From nuclear weapons to terrorism, the United States and Iran clash on nearly even front. Yet, it has not always been this way. As recently as 1979, Norwich University, the oldest Senior Military College in the United States, played host to nearly eighty Iranian Midshipmen. Although Norwich's Iranian program was short-lived, it was one of the most successful cultural exchanges in the university's history. In the face of tremendous adversity, Norwich overcame all obstacles and successfully academically, militarily, and socially integrated the Iranian Midshipmen into the Corps of Cadets and the greater Norwich community. ; Winner of the 2022 Friends of the Kreitzberg Library Award for Outstanding Research in the University Archives category, honorable mention. ; Tribulation, Triumph, and Tragedy: Norwich University's Iranian Program (1976-1979) Joseph C. Chatterton History 249- Historical Methods Dr. Bennett 3, December 2021 Word Count: 3159 1 January 29, 2002, just five months after the most devastating terrorist attacks in American history, in his first State of the Union since the beginning of War on Terror President George W. Bush branded Iran as a member of the so-called Axis of Evil along with the likes of North Korea and Saddam Hussian's Iraq. In one line in particular, President Bush decried the Islamic Republic and made it clear that in his role as Commander and Chief, he regarded Iran as one of America's greatest geopolitical foes stating, "Iran aggressively pursues these weapons and exports terror, while an unelected few repress the Iranian people's hope for freedom."1 President Bush's remarks are unsurprising. After all, as recently as May of 2018, prominent Iranian politicians congregated in the hallowed halls of their Parliament to burn American flags and chant "Death to America."2 From nuclear weapons to terrorism, the United States and Iran clash on nearly even front. Yet, it has not always been this way. As recently as 1979, Norwich University, the oldest Senior Military College in the United States, played host to nearly eighty Iranian Midshipmen. Although Norwich's Iranian program was short-lived, it was one of the most successful cultural exchanges in the university's history. In the face of tremendous adversity, Norwich overcame all obstacles and successfully academically, militarily, and socially integrated the Iranian Midshipmen into the Corps of Cadets and the greater Norwich community. In the fifty years since the birth of Iran's Islamic Republic, scholars, historians, and government officials have devoted the vast majority of their analysis on the dramatic collapse of the Shah's regime, the ensuing hostage crisis, and the profound implications it had on American foreign policy. While the significance of this is undeniable, far less research has been done into 1 George W Bush, "2002 State of the Union ," National Archives and Records Administration (National Archives and Records Administration, January 29, 2002), https://georgewbush-whitehouse.archives.gov/stateoftheunion/2002/. 2 "Iranian Politicians Set Fire to US Flag in Parliament," BBC News (BBC), accessed November 4, 2021, https://www.bbc.com/news/av/world-middle-east-44055625. 2 academic links which bound the two nations, and the effects that the regime's collapse had on the vast number of Iranian students studying in the United States. Norwich's Iranian program was not the first of its kind, however it was the most successful. Similar programs were attempted at other military academies such as at The Virginia Military Institute (VMI) and the Citadel. However, both of these programs were plagued by difficulties. In 1976 Lieutenant Colonel Paul LaFond, the Deputy Commandant of Norwich's Corps of Cadets, visited VMI to observe VMI's Iranian program so that Norwich might draw lessons for the establishment of its own program. Following the trip Colonel LaFond compiled a detailed report. In the report, it becomes quickly evident that the VMI program consistently struggled to successfully integrate the Iranian students. Major flash point included the serving of Pork products during chow time and their "more relaxed idea of the honor code,"3 LaFond ends this memorandum with a section dedicated "Staff, Faculty and Cadre reaction to the Iranian Program." In this section it becomes evident that many prominent leaders of VMI had less than positive things to say about the program. One Cadet advisor remarked, "The Iranians have put a great strain on our system. The school has been weakened." he continued on dramatically stating, "If we had large numbers for very long it could destroy our system."4 Probably the gravest signal that VMI's Iran program was less than successful are the somber closing remarks of the schools highest ranking officials, the Commandant of Cadets: " You will have a severe problem. Are you ready to cope and is it worth it? There will be many problems with your own cadets."5 The first half of this quote is simple enough to analyze. Of course, there will be many general challenges with introducing a large contingent of foreign midshipmen into a military environment such as 3 Paul LaFond. Memorandum to Loring Hart, 7 May 1976. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. 4 Paul LaFond, Memorandum to Loring Hart. 5 Paul LaFond, Memorandum to Loring Hart. 3 VMI, yet it is the second part of this quote that really requires some unpacking. What exactly was the Commandant's intent when he stated, "There will be many problems with your own cadets."6 As mentioned previously VMI's Iranian program was notorious for its struggles to integrate the Iranian Midshipmen into their Corps of Cadets, one aspect of this often overlooked is the initial hostility between American Cadets and the Iranian Midshipmen. Earlier in the memorandum VMI's Commandant is quoted to have stated in subsection 5, Discipline and Control, "At first, the 'Old Cadets' harassed the Iranians, and were hard on them. A period of turbulence resulted," he goes on to articulate his point stating that he "cautions, to watch our martinets that they don't cause trouble and states that this type of cadet is particularly frustrated when working with Iranians."7 Although the wording in certain sections of this memorandum can be somewhat confusing for a twenty-first century perspective to comprehend, the general theme is clear, VMI's Iranian program was plagued with trials and tribulations, many of which remained unresolved at the time of its publication. In spite of this evident adversity, Norwich remained resolved to push forward and succeed where VMI failed. With this in mind one must question why Senior Military Colleges such as Norwich placed such an emphasis on creating relations with Iran? For thousands of years Iran has been a strategic regional power. Throughout antiquity the Persian Empire was one of the world's premier powers, and this prominence continued into the Middle Ages. In the 7th century CE, the nation played a vital role in helping to facilitate the spread of Islam from the Arabian peninsula to Central Asia.8 As time progressed the nation's strategic value only grew. During the age of European Imperialism, Iran held a vital role as a 6 Paul LaFond, Memorandum to Loring Hart. 7 Paul LaFond, Memorandum to Loring Hart. 8 Kathryn Babayan, "The Safavid Synthesis: From Qizilbash Islam to Imamite Shi'ism." Iranian Studies 27, no. 1/4 (1994): 135–61. 4 buffer between the British lion and the Russian bear.9 By 1879, Iran was a colony within the British Empire in all but name. The Iranian government was forced to grant monopolies on everything from "the construction of railways, canals and irrigation system,"10 to control of the nation's banking system.11 Yet the nation's greatest strategic value laid below its surface. In 1908, as oil was beginning to gradually replace coal as the key to industrialization, foreign interest in the country skyrocketed with the Anglo-Iranian Oil Company discovery of black gold beneath the waters of the Persian Gulf.12 Iran entered the Cold War in a very interesting position. Many of its institutions, and much wealth continued to be controlled by foreigners in London and by this point Washington. Understandably this angered many Iranians and many turned to socialist politicians like Egypt's Gamal Abdel Nassar, and in Iran's case Mohammad Mosaddegh. In the general election of 1951 Mosaddegh campaigned on the simple message that Iran must free itself from the British imperial yoke. He would win the Prime Ministership in a landslide, and upon assuming the highest office in the nation he set out to make good on his campaign promise. Symbolically on May Day in 1951, Mosaddegh announced the nationalization of the Anglo-Iranian Oil Company. In October of that year he doubled down, expelling all British subjects from the nation. Yet the Western powers did not take kindly to being forcefully evicted from Iran, especially taking into consideration the ongoing Cold War, the nation's strategic geography, and its valuable resources. Thus, the British Intelligence service (MI6) in conjunction with the Central Intelligence Agency (CIA), began planning for regime change. In August of 1953 Operation Ajax (alternatively known as Operation Boot) successfully ousted the democratically 9 Chris Paine and Erica Schoenberger, "Iranian Nationalism and the Great Powers: 1872-1954." MERIP Reports, no. 37 (1975): 3–28. 10 Paine, "Iranian Nationalism and the Great Powers. 1975. 11 Paine, "Iranian Nationalism and the Great Powers. 1975. 12 Paine, "Iranian Nationalism and the Great Powers. 1975. 5 elected Mosaddegh, and bestowed the on nation's monarch or Shah, Mohammad Reza Pahlavi near absolute power.13 The Shah's Iran played a vital role in the United States' middle eastern policy. As described in his journal article, American–Iranian Alliances: International Education, Modernization, and Human Rights during the Pahlavi Era, Dr. Mathew K. Shannon "The Shah's Iran provided to successive American administrations, with a toe hold in the Persian Gulf region … a bulwark against Soviet expansion… and guaranteed the westward flow of Iranian oil."14 With this in context it is understandable that the United States wished to do everything within its power to strengthen its strategic relationship with Iran. While on one hand this means providing Iran with military funds and equipment, it also means flexing the United States' soft power. The Oxford dictionary defines "soft power" as, "a way of dealing with other countries that involves using economic and cultural influence to persuade them to do things, rather than military power."15 In the 1970s the United States had many of the top universities in the world, as well as one of the most robust and modern educational systems. Thus, it seems only logical that the US utilizes its education system, as a bastion of strength. Dr. Joseph Nye, a well-established political scientist and the former Assistant Secretary of Defense for International Security Affairs is quoted for stating, "The ideas and values that America exports in the minds of more than half a million foreign students who study every year in American universities and return to their home countries, tend to reach elites in power."16 Throughout the Cold War the United States would 13 Moyara de Moraes Ruehsen. "Operation 'Ajax' Revisited: Iran, 1953." Middle Eastern Studies 29, no. 3 (1993): 467–86. 14 Matthew K. Shannon, "American–Iranian Alliances: International Education, Modernization, and Human Rights during the Pahlavi Era" Diplomatic History 39, no. 4, (2015) 661. 15 "Soft Power,"Definition, pictures, pronunciation and usage notes, Oxford Advanced Learner's Dictionary. 16 Carol Atkinson, "Does Soft Power Matter? A Comparative Analysis of Student Exchange Programs 1980–2006" Foreign Policy Analysis 6 no. 1, (310) 2. 6 faithfully follow Dr. Nye's advice to further develop its relationship with the Shah's Iran. The previously mentioned Dr. Mathew Shannon notes the rapid and substantial growth of Iranian students in the United States stating, "The population grew from a mere five hundred in 1950, to upwards of fifty thousand in the late 1970, making them the largest national group of students in the United States."17 The significance of this cannot be understated. Upon graduating from American Universities these students returned to their homeland and played an active role in building the new modern Iran. It was on their shoulders that the "bulwark against Soviet expansion rested." It was the alumni of American universities that ran Iran's state oil company and made the plans for modernizing Iranian industry and infrastructure. These alumni would hold high positions in the nation's civil service, would serve as elected members of Iran's Majlis (Parliament), and crucial to Norwich as officers in the Iranian Military. While Iran benefited from this influx of a highly educated, professional class, the United States was able to stock the Iranian government with those sympathetic to the West. Norwich University first began accepting Iranian Midshipmen in the fall of 1976. President Loring Hart and his administration put a great deal of emphasis on naturalizing the Iranian Midshipmen to the University from the onset. Captain M. Ali Foroughizadeh an Iranian Imperial Navy officer stationed in Arlington, Virginia, would serve as the main point of contact between the University and the Iranian government, for much of the program's existence. The correspondences between Captain Foroughizadeh and President Hart provide unique insight into its early development. The process of integrating Iranian students into the Corps of Cadets and the greater University community did not begin in August with the traditional start of the school year, but rather in June of 1976. As detailed by William F. Beatty, the Executive Assistant to the 17 Shannon, American-Iranian Alliances, 662. 7 President, "Currently fifty-two Iranian midshipmen are undergoing an intensive English, Mathematics and Physical education study program at Norwich in preparation for their enrollment next September as members of the class of 1980."18 Clearly even from the onset of its program Norwich was taking the proactive? steps to fully integrate the Midshipmen firmly into the Corps. Although at times it can become easy to forget, at the end of day Norwich is not merely a remote outpost of the US military but is a university with a long and storied tradition of academic excellence. As such, the importance of academic integration for the Universities Iran students cannot be understated. One of the key takeaways from VMI's tumultuous Iranian program was that failure to integrate the Iranian students in the classroom could have disastrous consequences. Thus, Norwich's faculty and administration made every effort to thoroughly integrate the Iranian students academically into the University. Associate professor Dr. Hollis D. McBride of the Engineering Department described the climate in the classroom stating "Conflicts between Irani and Americans in class have been few." Dr. Hollis does briefly pause his praise to note that the Iranian students seemed more inclined to help each other than their fellow American students, and does advise that having fewer Iranians per class would "reduce their dependence on each other."19 Yet in spite of these challenges Dr. McBride makes it abundantly clear he believes that the presence of the Iranian midshipmen had a profound and positive impact on the education of all students of all nationalities. McBride's praise for the program goes as far as to state, "Never have I seen a class of students work as hard as both Irani and Americans." He goes on to state "I am convinced that the example of the Irani working 18 William F Beatty, Letter to CDR Abghari, 4 November 1976. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. 19 Hollis D McBride, Memorandum to Dr. Hart and Dr. Chevalier, 15 July 1977. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. 8 overcomes the more usual image of upperclassmen playing to encourage this premier academic effort I have witnessed in my ten years at Norwich."20 Great strides were also taken to properly integrate the Iranian midshipmen socially into the Norwich community. In one of his first memorandums regarding the arrival of Midshipmen, he encourages members of the staff to "host one or two Iranian students for an evening meal to socialize."21 The University also made a significant effort to integrate Iranian and American students within the barracks. The previously mentioned engineering professor, Dr. McBride makes a strong case for integration stating, "An American roommate is a plus, but even more important is an American roommate of the same major."22 The logic behind this is self-evident. Forcing American and Iranian students to live together in close quarters means they are far more likely to develop close cross-cultural bonds, which in turn are "beneficial to both the American and the Iranian."23 Having an American roommate also forced the Iranian Midshipmen to use English on a daily basis and forces them to not to rely solely on their fellow Iranians. Sports and extracurricular activities also played a role in assimilating the midshipmen into the campus community. Many of the Iranian midshipmen played soccer both competitively and recreationally for the school. President Hart remarks upon the Midshipmen in a memorandum he sent to Iranian Admiral Farzaneh regarding the filming of a promotional video stating, "we might arrange a game for the Iranian Cadets on the soccer team." 24 While it is easy to overlook such trivial events as American and Iranian athletes competing together, surely the connections and 20 Hollis McBride, Memorandum to Dr. Hart and Dr. Chevalier. 21 Loring E Hart , Memorandum to Distribution Lists I and II, 15 June 1976. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. 22 Hollis McBride, Memorandum to Dr. Hart and Dr. Chevalier. 23 Hollis McBride, Memorandum to Dr. Hart and Dr. Chevalier. 24 Hart, Loring E, Memorandum to Vadm D. Farzaneh, 11 December 1978. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. 9 comradery built on the playing field can overcome linguistic and cultural differences and help the Iranian students merge into the student body. Despite these successes, a shadow lurked over the entirety of the program. One with a limited knowledge of world history, might wonder why the program was so short lived if it was clearly so successful The simple answer: revolution. Despite the guise of modernization beneath Iran's surface, discontent was brewing against the Shah and his authoritarian regime. Chief among the dissenters' grievances were not only the brutal human rights violations committed by the secret police (SAVAK), but the perception of American imperialism, and backlash for the increasingly secular nature of Iranian society. By 1978, demonstrations against the Imperial government occurred across all the nation's major cities with riots targeting symbols of the West such as banks, cinemas, and restaurants.25 The nation's Shiite clergy also played a major role in the overthrow of the Imperial regime. With his health failing and the regime crumbling, the Shah and his family were forced to flee in exile in Egypt. Simultaneously the Ayatollah Khomeini, a leader of the Shiite clergy, and an outspoken critic of the government returned from exile just in time for revolutionary forces to capture Tehran.26 Meanwhile back in Northfield, President Hart's administration was doing everything within its power to look after the best interests of the Iranian Midshipmen. Initially it appeared that the situation was under control. As late as November 9th, 1979, the Institute of International Education wrote "Foreign students who are in this country to pursue an and who are lawfully engaged in that pursuit, properly enjoy the protection of the laws which allow them to enter the 25 Said Amir Arjomand, "The Causes and Significance of the Iranian Revolution." State, Culture, and Society 1, no. 3 (1985): 41–66. http://www.jstor.org/stable/20006816. 26 Said Amir, Arjomand,"The Causes and Significance of the Iranian Revolution." 10 country and permit them to remain."27 Five days later University Vice President James Galloway echoed similar sentiments, writing that the state department had advised him that "State and Defense were discussing Iranian students, but were oriented towards those Iranians holding student visas, not members of an organized program. Current guidance was the status quo, and to maintain a low profile."28 Unfortunately this good news would be short lived. November 4, 1979 saw the storming of the American embassy in Tehran and the capture of 52 American hostages, President Carter issued an executive order calling for all the review of all educational visas for Iranian students in the United States.29 The optimism that the program could survive evaporated Almost overnight. Less than a month later Vice President James Galloway was forced to send out a new memo with a far different tone. While the November addition spoke of maintaining the status quo, the updated version stated, "On the basis of official order from the Iranian government or the U.S government, the Norwich Naval Contingent is directed to terminate their school and depart or prepare to depart."30 Throughout the winter of 1980 the campus held its breath bracing for the inevitable. On April 7, this finally occurred when "The State Department severed diplomatic relations with Iran and ordered the deportation of "employees" and "officials of Iran by Friday April 11 at midnight."31 The next day on April 8, a glimmer of false hope set in, with 27 Hughes Jenkins, "Educational Exchange Agencies Urge Care in Coping with Iranian Students in U.S, 9 November 1979. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. 28 James V Galloway, Memorandum For Record, 14 November 1979. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. 29 Will Tiague, Hostages of the Crisis: Iranian Students in Arkansas, 1979-1981. The Arkansas Quarterly 77, no. 2 (2018): 113-130. 30 Harry A Buckley, Contingency Plan for the Iranian Crisis, 4 December 1979. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. 31 Philip R Marsilius, Sequence of Events, 7-14 April 1980. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. 11 the general feeling being that "the Iranian Cadets would be classified as students rather than as officials or employees, and would therefore be permitted to finish the semester."32 However, the next day such hopes would be shattered when the State department reversed its decision and labeled the Midshipmen as Officials of Iran. Two days later on April 10, President Hart briefed the Corps on the unfolding situation. In a testament to the successes of the program when Iranian Midshipmen " c/CPT Kazem Yahyapour bid farewell to the American students on behalf of the Iranians students, he received a standing ovation from the Corps. Faculty, and staff."33 On April 12, 1980 the Iranian program would officially die with the departure of 80 Iranian students and officials. The last communication upon touchdown in Tehran was simple and sober, "We received and are warm and ok."34 The Iranian program was over. Since that infamous date in 1980 the relation between the United States and the Islamic Republic of Iran have only grown worse. Today it would be unimaginable for Midshipmen from Iran to study at an American military college such as Norwich University. Yet only fifty years ago between 1976 and 1979 over 80 Iranian students were fully integrated, academically, socially, and militarily into the Norwich community. Although the program ended in tragedy, in a world where military cooperation continues to grow increasingly important, the story of success remains relevant and worth remembering. 32 Philip R Marsilius, Sequence of Events. 33Philip R Marsilius, Sequence of Events. 34 Philip R Marsilius, Sequence of Events. 12 Bibliography Primary Sources Beatty, William F. Letter to CDR Abghari, 4 November 1976. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. Galloway, James V. Memorandum For Record, 14 November 1979. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. Hart, Loring E. Memorandum to Distribution Lists I and II, 15 June 1976. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. Hart, Loring E. Memorandum to Vadm D. Farzaneh, 11 December 1978. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. LaFond, Paul. Memorandum to Loring Hart, 7 May 1976. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. Marsilius, Philip R, Sequence of Events, 7-14 April 1980. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. McBride, Hollis D. Memorandum to Dr. Hart and Dr. Chevalier, 15 July 1977. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. Jenkins, Hughes. "Educational Exchange Agencies Urge Care in Coping with Iranian Students in U.S, 9 November 1979. President Hart's Files on the Iranian Students, Norwich University Archives, Northfield Vt. Secondary Sources Arjomand, Said Amir. "The Causes and Significance of the Iranian Revolution." State, Culture, and Society 1, no. 3 (1985): 41–66. http://www.jstor.org/stable/20006816. This article provided valuable information about the events of Iran's Islamic Revolution. It discusses the initial protests and the peoples major grievances against the secret police, the west, and the increasing secular nature of society. Babayan, Kathryn. "The Safavid Synthesis: From Qizilbash Islam to Imamite Shi'ism." Iranian Studies 27, no. 1/4 (1994): 135–61. 13 This article provides information on the history of Islam in Iran. Initially it was used to help inllistrate how historically Iran has been very stratiegic, but it also serves to introduce Islam, which would prove to be a very important factor in the 1979 Revolution. Carol Atkinson, "Does Soft Power Matter? A Comparative Analysis of Student Exchange Programs 1980–2006" Foreign Policy Analysis 6 no. 1, (310) 2. This article helps to illustrate the significance of soft power, particularly the use of student exchange programs to project American power across the globe. Clearly this is very relevant to Norwich's Iranian exchange program, and helps to explain its significance and one of its purposes. Bush, George W. "2002 State of the Union ," National Archives and Records Administration (National Archives and Records Administration, January 29, 2002), https://georgewbush-whitehouse.archives.gov/stateoftheunion/2002/. Used in the introduction to help establish the very hostile relationship that that United States currently has with the Islam Republic of Iran. "Iranian Politicians Set Fire to US Flag in Parliament," BBC News (BBC), accessed November 4, 2021, https://www.bbc.com/news/av/world-middle-east-44055625 Used in the introduction to help establish the very hostile relationship that that United States currently has with the Islam Republic of Iran. Shannon, Matthew K. "American–Iranian Alliances: International Education, Modernization, and Human Rights during the Pahlavi Era" Diplomatic History 39, no. 4, (2015) 661. Provides valuable background information into the nature of the Iranian state, and the Iranian education system during the Shah's reign. Key to Norwich, this article mentions exchange programs particularly those with the United States. Moyara de Moraes, Ruehsen. "Operation 'Ajax' Revisited: Iran, 1953." Middle Eastern Studies 29, no. 3 (1993): 467–86. Discussed the Anglo-American coup which overthrew Iran's democratically elected government, and handed the Shah absolute power. Played a vital role in creating the Iranian government which Norwich cooperated with, it is also key to understand the underlying factors behind the 1979 Revolution. Paine, Chris, and Erica Schoenberger. "Iranian Nationalism and the Great Powers: 1872-1954." MERIP Reports, no. 37 (1975): 3–28. Helps to establish the early history of Iran, and its history of Anglo-American domination. 14 "Soft Power,"Definition, pictures, pronunciation and usage notes, Oxford Advanced Learner's Dictionary. Provides a definition for soft power, to help illustrate its significance to the United States particularly in a strategic ally such as the Shah's Iran. Tiague, Will. Hostages of the Crisis: Iranian Students in Arkansas, 1979-1981. The Arkansas Quarterly 77, no. 2 (2018): 113-130. Provides context for the Iranian hostage crisis, President Carter's reaction, and the effects that it had on the vast number of Iranian students studying in the United States. Yarbrough, Tinsley E. Federal Alienage Doctrine and the Iranian Student Litigation. Human Rights Quarterly 4, no. 2 (1982): 243–60. Discusses the legal issues facing Iranian students facing deportation in the United States following the Islamic Revolution.
In this dissertation, we are mainly interested in the interactions between poverty and one of its greatest dimensions1, namely health. More specifically, we will focus on their inequalities: does poverty inequality have more effect on poverty than health level? Does health inequality matter to poverty? Poverty and health are two related concepts that both express human deprivation. Health is said to be one of the most important dimensions of poverty and vice-versa. That is, poverty implies poor health because of a low investment in health, a bad environment and sanitation and other living conditions due to poverty, a poor nutrition (thus a greater risk of illness), a limited access to, and use of, health care, a lower health education and investment in health, etc2. Conversely, poor health leads inevitably to poverty due to high opportunity costs occasioned by ill-health such as unemployment or limited employability (thus a loss of income and revenues), a lower productivity (due to loss of strength, skills and ability), a loss of motivation and energy (which lengthen the duration of job search), high health care expenditures (or catastrophic expenditures), etc3. But what are the degree of correlation and the direction of the causality between these two phenomena? Which causes which? This is a classic problem of simultaneity that has become a great challenge for economists. Worst, each of these phenomena (health and poverty) has many dimensions4. How to reconcile two multidimensional and simultaneous events? 1 Aside the income-related material deprivation. 2 Tenants of the ?Absolute Income? hypothesis for instance show that absolute income level of individual has positive impact on their health status (Preston, 1975; Deaton, 2003). Conversely, lack of income (and the poverty state it implies) leads unambiguously to poor health. For other authors, it is not the absolute level per se, but the relative level (i.e. comparably to others in the society) that impacts most health outcomes. This is the ?Relative Income? hypothesis (see van Doorslaer and Wagstaff, 2000, for a summary). 3 See Sen (1999) and more recently Marmot (2001) for more information. 4 Poverty could be seen as monetary poverty, human poverty, social poverty, etc. Identically, one talks of mental health, physical health, ?positive? and ?negative? health, etc. So a one-on-one causality could not possibly exits between the two, or will be hard to establish. We?ve chosen the first way of causality: that is, poverty (and inequality) causes poor health. As justification, we consider a life-cycle theory approach (Becker, 1962). An individual is born with a given stock of health. This stock is supposed to be adequate enough. During his life, this stock is submitted to depreciation due to health shocks and aging (Becker?s theory, 1962). We could think that the poorer you are, the more difficult is your capacity to invest in your health5. Empirically, many surveys (too numerous to be enumerated here) show that poor people6 do have worse health status (that is, high mortality and morbidity rates, poor access to health services, etc.). It has been established that poor children are less healthy worldwide, independently of the region or country considered. It is generally agreed that the best way to improve the health of the poor is through pro-poor growth policies and redistribution. Empirically, one of the major achievements of these last two decades in developing countries is the improvement in health status of populations (notably the drop in mortality rates and higher life expectations) following periods of (sustained) economic growth. However, is this relation always true? In some countries as we will see later in this thesis, while observing an improvement in the population?s welfare, the converse is observed in its health status, or vice versa. If health and poverty are so closely related, they should theoretically move in the same direction. But the fact that in some countries we observe opposite trends suggests that some dimensions of health and poverty are not or may not be indeed so closely related, as postulated, and that they may depend of other factors. 1. The Purpose of the Study. 5 Another justification is that many authors have studied the problem the other way. Schultz and Tansel (1992, 1997) for instance showed that ill-health causes a loss of revenues in rural Cote d?Ivoire. Audibert, Mathonnat et al. (2003) also showed that malaria caused a loss of earnings of rural cotton producers in Cote d?Ivoire. 6 Usually defined from some income or expenditure-related metric or some assets-based metric. The ultimate goal of our dissertation in its essence is to measure inequality in health7 in developing countries using mainly Demographic and Health Surveys (DHS, henceforth)8. It deals with interactions between poverty and one of its greatest dimensions, putting aside the income-related material deprivation, namely health. It therefore measures inequality in health status and access to health and discusses which policies should be implemented to correct these inequalities. That is, it aims to see how much rich people are better off and benefit from health interventions, as compared to the poor, and how to reduce such an inequality. The present dissertation contains four papers that are related to these questions. Our main hypothesis (that will be tested) is that poverty impacts health through inequality effects9. Graphically, we can lay these simple relationships as: The dashed line in the figure above suggests that income inequality could impact health directly. But we consider that this direct effect is rather small or negligible, as compared to the indirect effect through inequality in health. Therefore, inequality in health is central to our discussion. To measure inequalities in health, we face three challenges: 7 And corollary health sanitation (access to safe water, toilet and electricity). Though electricity is more a measure of economic development that health measure per se, we add it here as a control for sanitation and nutrition: for example women could read more carefully the drugs? notices, or warm more quickly foods; more generally, electricity often improves the mental and material wellbeing of households. It also conditions health facility?s performance. 8 And potentially other surveys. In this case, we mention explicitly the survey(s). 9 The other important factor that could impact health is the performance of the health system. This is discussed in the Chapter 3. Health Assets Inequality Health Inequality Poverty (Assets Index) - measuring welfare (income metric) and subsequently inequality in welfare, - measuring health, - and measuring inequality in health. The measurements can be conducted using two approaches (Sahn, 2003): - Directly by ranking the households or individuals vis-à-vis their performance in the health indicator; we thus have a direct measure of inequality in health. This is suitable when the health indicator is continuous (such as weight, height or body mass index). According to Prof. David E. Sahn, that approach ?which has been referred to as the univariate approach to measuring pure health inequality, involves making comparisons of cardinal or scalar indicators of health inequality and distributions of health, regardless of whether health is correlated with welfare measured along other dimensions?. - Indirectly by finding a scaling measure such as consumption or income or another indicator (assets index for instance)10 that would help ranking the households or individuals (from the poorest to the richest), and see what are their performance in the health variable of interest. We are therefore measuring an indirect health inequality. The indirect method is mostly suitable when the health indicator is dichotomous (for example whether the individual has got diarrhoea last 2 weeks, or ?have the child been vaccinated?, or ?place of delivery?) or is a rate (such as child mortality). Again, quoting Prof. Sahn, ?making comparisons of health across populations with different social and economic characteristics is often referred to in the literature as following the so-called `gradient? or `socioeconomic? approach to health inequality. Much of the motivation for this work on the gradient approach to health inequality arises out of fundamental concerns over social and economic justice. The roots of the gradient will often arise from various types of discrimination, prejudice, and other legal, social, and economic norms that may contribute to stratification and fragmentation, and subsequently inequality in access to material resources and various correlated welfare outcomes?. While the first method would appear quickly limited for dummy or limited categorical health variables because of the small variability in the population, the second approach could also be 10 Or more generally any other socioeconomic gradient such as education, gender or location. impossible when no information is available to scale the units of observation in terms of welfare. We?ll be mostly focusing on the second approach, as did many health economists, and also due to the nature of the DHS datasets in hand and the indicators that we are investigating. 2. Strategy, Methods and Structure. Measuring wealth-related inequality in health implies in the first stage defining and characterizing the poor. Who are indeed the poor? Traditionally, monetary measures (income or consumption) have been used to distinguish households or people into ?rich? and ?poor? classes. Indeed, it is agreed that the ?incomemetric? approach is one of the best ways to measure welfare11. However, it sometimes, if not often, happens that we lack this essential information in household survey datasets. Especially in our case, the DHS datasets do not have income nor consumption information. Then, how to characterize the poor in this situation? For a long time, economists have eluded the question. But soon, it became evident that an alternative measure is needed to strengthen the ?poverty debate?. In the first part of our dissertation, we start by providing a theoretical framework to find a proxy for wellbeing, in the case where consumption or income-related data are missing, namely by discussing the use of assets as such a proxy. The first part of this thesis is relatively long, as compared to the second. However, this is justified, due to its purpose. The goal of the first part of the dissertation is to participate to the research agenda on poverty. It attempts to measure it in a ?non traditional?12 way. 11 There is a consensus in the economic literature that income is more suitable to measure wealth or welfare in developed countries while consumption is more adequate for developing ones due to various reasons such as irregularity of incomes for informal sector, seasonality, prices, recall periods, trustworthy, etc. (see Deaton 1998 for detail). 12 i.e. a non monetary way. The main rationale for this first part therefore is thus to find a new, non monetary measure to characterize in best, life conditions, welfare and then the poor. This measure is referred to as the ?assets index?. Indeed, as the majority of developing countries are engaged more and more in fighting poverty, inequality and deprivation, more and more information on the state of poverty13 is needed. If in almost all these countries, many household surveys have been implemented to collect information on socioeconomic indicators, the major indicator that is needed to analyze poverty (namely income or consumption data) is unfortunately not often collected due to various reasons (time, cost, periodicity, etc.). Even, if they were collected, the quality of the data is often poor. Therefore, economists tend to rely more on other indicators to compensate for the absence of monetary measures. One of the indicators often used are the assets owned by households. The question arose then how to use these assets to characterize the poor in this context? How to weight each of them? In a first attempt, many economists built a simple linear index by assigning arbitrary weights to the assets14. In a seminal paper, Filmer and Pritchett (2001) propose to construct the so-called ?assets index? which could be used as a proxy for consumption or income. It is commonly agreed that their methodology follows a ?scientific? approach, thus is more credible. In their case, they use a Principal Component Analysis (PCA, henceforth) to build their assets index. Since, many other economists have followed in their footsteps which we label in our dissertation, the ?material? poverty approach (as opposed to the monetary one) since it is based on materials (goods and assets) owned by the households or individuals. Because of the importance of the subject (poverty) and because the method is pretty new and original, this first part of our thesis is as said quite long as compared to the second one and has two papers which focus mainly on poverty and inequality issues and their connections with economic growth. In this part, we start by presenting a methodology of measuring non monetary (material) poverty, when a consumption or income data is not available. We show how one can obtain robust results using assets or wealth variables. Once the method is clearly 13 And more generally welfare. 14 For example a television is given a weight of 100, a radio 50, and so on. But this is clearly not a `scientific? way to proceed, as there is no rational ground in giving such weights. tested and validated, it is then confronted to real data. We show that the index shares basically the same properties with monetary metrics and roughly scales households in the same way as does the consumption or income variables. We discuss the advantages and also the limitations of using the assets index. The important thing to bear in mind is that, once it is obtained, it could be used to rank the observational units by wealth or welfare level. - The first chapter defines in a first section poverty and how it is usually measured (by the income metric approach). We discuss the limitations of the use of income/expenditure and what could be alternative measures. We then propose in section 2 the assets metric as a proxy for poverty measurement and test the material poverty approach on international datasets collected by the DHS program. We explore the material poverty and inequality nexus in the world and how Sub-Saharan Africa (SSA)15 compares with other regions. We show, using that index and DHS data, that poverty, at least from an assets point of view, was also decreasing in SSA as well as in other regions of the world. This result contrasts with other findings such as Ravallion and Chen (2001) or Sala-i-Martin (2002) that show that, while other regions of the world are experiencing a decline in their (monetary) poverty rates, SSA is lagging behind, with rates starting to rise over the last decade. Therefore, two different measures of welfare could yield opposite results and messages in terms of policies to implement to combat poverty. Moreover, the method we use not only allows observing changes over time for each country, but also provides a natural ranking among countries (from the poorest to the richest). In this chapter, aside the measure of welfare and poverty, we also discuss in a final section the impact of demographic transition on economic growth and therefore on poverty. Indeed, demographic transition is a new phenomenon that is occurring in developing countries, especially African ones. Its negligence could lead to underestimating poverty measures (both material and monetary) by underestimating real economic growth rates. We show that changes in the composition and the size of households put an extra-pressure on the development process. While traditional authors have not considered the impact of these 15 SSA countries are Benin, Burkina Faso, Central African Republic, Cameroon, Chad, Comoros, Republic of Congo, Côte d?Ivoire, Ethiopia, Gabon, Ghana, Guinea, Kenya, Lesotho, Madagascar, Malawi, Mali, Mauritania, Mozambique, Namibia, Niger, Nigeria, Rwanda, Senegal, South Africa, Tanzania, Togo, Uganda, Zambia and Zimbabwe. The ?rest of the world? is represented by Armenia, Bangladesh, Bolivia, Brazil, Colombia, Dominican Republic, Egypt, Guatemala, Haiti, Honduras, India, Indonesia, Kazakhstan, Kyrgyz Republic, Moldova, Morocco, Nepal, Nicaragua, Pakistan, Paraguay, Peru, Philippines, Turkey, Uzbekistan, Vietnam and Yemen. changes, we show that taking this into account implies higher economic growth rates than those actually observed or forecasted. - Once the assets index approach is established and tested on international data, the question arose how it performs as compared to the monetary metric. Indeed, if monetary measures remain the reference, then our assets index should share some common properties with them. The second chapter assesses the trends in material poverty in Ghana from the assets perspective using the Core Welfare Indicators Questionnaires Surveys (CWIQ). It then compared these trends with the monetary poverty over roughly the same period. We show that the assets index could be used and yields the same consistent results as using other welfare variable (such as income, consumption or expenditure). Therefore, using two consecutive CWIQ surveys, we find that material poverty in Ghana has decreased roughly by the same magnitude as monetary one, as found in other studies by other authors such as Coulombe and McKay (2007) using Ghanaian GLSS16 consumption data. Thus, this chapter could thus be viewed as providing the proof that the material and the monetary approaches could be equivalent. The second part of our dissertation seeks how to define and measure health and inequality in health. While the definition of health is not obvious, we propose to measure it with child mortality rates. Our main rationale in doing so is that low child mortality generates, ceteris paribus, higher life expectancy17, thus is an adequate measure of a population?s health. This may not be true in areas devastated by wars, famines, and HIV and other pandemics where child mortality could be high (in this case, the best measure should be life expectancy by age groups). Also, the reader should bear in mind that in fact, child mortality could be itself is a good indicator for measuring the (success of the) economic development level of a society as a whole (Sen, 1995), mainly because in developing countries, child mortality is highly correlated to factors linked to the level of development such as access to safe water, sanitation, vaccination coverage, access to health care, etc. - In the third chapter, we focus on measuring overall population?s health. For this, we estimate child mortality in SSA and compare it to the rest of the world. We explore the 16 Ghana Living Standard Surveys. 17 By construction, life expectancy at birth is highly correlated and sensitive to child mortality (it is based on child mortality rates for various cohorts). Lower child mortality rates lead to higher life expectancy and vice versa. determinants of child mortality using mainly a Weibull model and DHS data with socioeconomic variables18 as one of our major covariates. The use of the assets index information is to see how these quintiles behave in a multivariate regression framework of child mortality (i.e. how they affect child mortality). We find, among others, that mother?s education and access to health care and sanitation are one of the strongest predictors for child survival. Controlling for education and other factors, family?s wealth and the area of residency do not really matter for child survival in SSA, contrasting with results found elsewhere. - The fourth and last chapter answers the ultimate goal of this dissertation, that is, the scope of health inequalities in the developing world, particularly in SSA. It uses the factor analysis (FA) method of Chapter 1 to rank household according to their economic gradient status19 and then studies inequalities in various health indicators in relation with these groups. The intention is to analyze inequality rates between rich and poor for various health variables. In this chapter, we concentrate solely on inequality issues in health and health-related infrastructures and services. Mainly, we analyze inequality in access to sanitation infrastructures (water and electricity20) and various health status and access to health indicators (such as child death, child anthropometry, medically assisted delivery and vaccination coverage) using a Gini and Marginal Gini Income Elasticity approach (GIE and MGIE, henceforth) on one hand, and the Concentration Index (CI) approach on the other. Results show that, while almost all countries have made great efforts in improving coverage in, and access to, these indicators, almost all the gains have been captured by the better-offs of the society, especially in SSA. We extend the analysis to compare GIE estimates to those of CI and find consistent results yielding quite similar messages. 18 Quintiles groups derived from an assets index. 19 By grouping usually households in 5 quintiles from poorer to richer ones. 20 On the rationale of using electricity, see footnote 7 above. 3. Results and Policy Implications. As said above, the major goal in conducting this thesis research is to analyze inequality in health status, health care and health-related services using DHS data. To reach our objective, we follow two intermediate steps: - For assets poverty, results show that assets poverty and inequality are decreasing in every region of the world, including Sub-Saharan Africa. This tends to support our hypothesis that, contrary to common beliefs, African households use assets and building ownerships as saving tools and buffer to economic shocks. The first paper also shows however that the demographic transition actually occurring in developing countries could impede on economic growth and trigger a bullet on policies aiming at combating poverty. - Our third paper shows that child mortality is decreasing in all parts the world. However, the 1990s and early 2000s have been a lost decade for the African continent where many countries have witnessed an increase in rates that is mostly attributable among other factors to the economic and financial turmoils of the 1990s and early 2000s and the HIV epidemic. Our hypothesis is that these phenomena have destabilized the organization of the health care system, cut its funding and hampered its performance. High levels of health inequality can also be part of the puzzle. Coming back to the particular case of HIV/AIDS, the reader should observe that it affects more and more the less poor so that it can also lead to a decline in assets inequality (richer people are dying) along with an increase in child mortality and thus explain in great part our paradox. This setback (the rise in mortality over recent periods despite poverty reduction) will make impossible for these countries to reach the millennium development goals, at least for child mortality. The conclusion to this is that African population?s health has been stagnant over the period 1990-2005. Regression analysis reveals no strong correlation between our measure of welfare (assets index) and child mortality. More important are mothers? education and access to health care and sanitation services. - Finally, our inequality estimates show that they are quite high for all indicators considered. For ill-health indicators (child malnutrition and death), rates are excessively concentrated in poor and rural groups. Concerning access to health care services, rich and urban groups tend to be more favoured than poor and urban ones. But the high level of inequality tends to be reducing at the margin over time, as the poor have increasing access. Finally for access to sanitation services, results show that while the majority of countries have made substantial efforts to increase coverage on the first two periods, the rich and urban classes have benefited more and inequality (which is at high levels) tends to rise at the margin over time, especially for the poor. More preoccupying is the fact that rates are falling between 1995-2000 and 2000-2005, probably because of the privatization of these services and the new costs they impose on households. Overall, inequality in all variables considered is more pronounced in SSA than the rest of the world (expect for death and malnutrition). The sub-continent is still disadvantaged in terms of access to services or ill-health. Where to go from here? In the African sub-continent, we have the following picture: a decreasing (material) poverty and inequality but coupled with a stagnant child mortality situation, a stagnant or increasing malnutrition. This is mostly due to high levels of, and an increasing inequality at the margin in access to sanitation and electricity services coupled with a decreasing access to these services. Thus, despite the fact that we observe a decreasing inequality at the margin in access to health care (even though the average level of inequality is still high) the missing link in health-related services coupled with an overall high inequality in these two types of services hugely impact child health and survival. Therefore, as access to health care services and health-related sanitation services is essential to child survival, our findings call for vigorous policies to promote access of the poor groups and rural areas to these services. African Governments should continue to favour access of the poor to health care and reverse the inequality trends in access to water, sanitation and electricity. This is vital for the health of the population and for the development of Africa. Funding can come from various sources: the Government Budget, International Assistance but also from households themselves (since the first part of our thesis has demonstrated that they are getting richer (and various surveys show that they are willing to pay for quality health care), an adequate fees policy could benefit to the health care system). Measures should be put in place to strengthen the performance of the health system and to mitigate the negative effects of macroeconomic imbalances, economic crises and HIV/AIDS. Only on these conditions the Sub-Continent could hope to eradicate poverty and promote health for all. 4. Contribution of this Thesis. This thesis seeks to analyze empirically the inequality in health and access to health in SSA and how this region compared to the rest of the world. To do so, it develops a new method to characterize poor households and to analyze assets-based poverty, when the monetary measure is unavailable. Such a method is indeed necessary as almost all developing countries have collected many surveys that lack the consumption or income information. Once a poverty measure and a correct measure of health have been found, and their core determinants clearly established, we then proceed to the health inequality analysis, along with its determinants, using two methodologies: the traditional CI and the more recent GIE approaches. These approaches have been the mostly used to explore the inequality in health and access to health these last years. Though already studied in the literature, and sometimes applied on DHS or some groups of DHS datasets, our dissertation differs in its purpose and scope and its large scale. No paper to our knowledge used the totally to-date freely available DHS datasets to study poverty and inequality topics and provide basic statistics. Our main contribution is to shed a new light on the welfare-inequality-health nexus in Africa, how it evolves over time and how it compares to other regions around the world, using all available information. It also put numbers on various important socioeconomic indicators such as poverty, inequality, child health and mortality, access to health-related infrastructures, etc., for developing countries, especially African ones. As we sometimes lack these important information, this thesis proves finally to be a very useful exercise. ; Cette thèse part d'un postulat simple : « l'amélioration du niveau de vie s'accompagne de l'amélioration de l'état de santé générale d'une population » et teste sa validité dans le contexte de l'Afrique au Sud du Sahara (ASS). Si cette hypothèse se vérifie en général dans le contexte de l'ASS en ce qui concerne le niveau (plus le pays est riche, plus sa population est en bonne santé), il l'est moins en ce qui concerne les dynamiques, du moins à court et moyen terme. Notamment, les pays qui connaissent une amélioration tendancielle de bien-être matériel ne connaissent pas forcément une amélioration de la santé de leurs populations. Ceci constitue un paradoxe qui viendrait invalider notre postulat. En écartant tout effet de retard ou de rattrapage qui pourrait l'expliquer car nous travaillons sur une période de 15 ans réparties en 3 sous-périodes (1990-1995, 1995-2000 et 2000-2005), nous expliquons ce paradoxe, toutes choses égales par ailleurs, par deux canaux principaux qui peuvent interagir : - la performance du système de santé et - l'inégalité en santé. Si le premier est plus évident mais aussi plus difficile à prouver empiriquement du fait du manque de données sur des séries longues, ou du fait que ces données sont trop agrégées et éparses, le second canal est testable avec des bases de données adéquates qui, elles, sont disponibles au niveau microéconomique (ménages). Les bases de données que nous avons privilégiées sont les Enquêtes Démographiques et de Santé (EDS) du fait de leur comparabilité dans l'espace et le temps (mêmes noms de variables standardisées, même méthodologie d'enquête, mêmes modules, etc.). Ces atouts sont d'autant plus importants que les comparaisons de pauvreté et de bien-être basées sur les enquêtes de revenus ou de consommation butent sur de sérieux problèmes à savoir la comparabilité de ces enquêtes (méthodologies différentes, périodes de rappel différents, prix souvent non collectés de la même manière, etc.). Pour montrer ces effets de l'inégalité de santé sur les niveaux et les tendances de la santé des populations et la pauvreté et le bien-être, nous avons axé notre recherche autour de 3 axes principaux : 1- Comment mesurer le niveau de richesse et donc le bien-être des ménages en l'absence d'information sur la consommation et le revenu ? Les chapitres 1 et 2 de notre thèse se penchent sur cette question. Nous avons privilégié, à l'instar de plus en plus d'économistes, l'utilisation des biens des ménages et les méthodes de l'analyse factorielle et d'analyse en composantes principales pour construire un indice de richesse. Cet indice de richesse est pris comme un substitut du revenu ou de la consommation et sert donc de proxy pour la mesure du bien-être. Bien qu'il comporte quelques lacunes (notamment le fait qu'il ne concerne que les biens matériels et durables du ménage alors que la consommation ou le revenu sont des concepts plus globaux de bien-être, il ne prend pas en compte les préférences des ménages, il ne comporte aucune notion de valeur car le prix n'est pas pris en compte, de telle façon qu'une petite télévision en noir blanc vieille de vingt ans est mise au même niveau qu'un grand écran plasma flambant neuf, etc.), il n'en demeure pas moins que d'un côté, avec les EDS, il n'y a pas moyen de faire autrement en l'état actuel des choses, mais aussi et surtout parce que ces données permettent d'éviter les problèmes évoqués plus haut, notamment celui de la comparabilité des données pour faire de la comparaison spatiale et inter-temporelle des données en matière de pauvreté. Dans le premier chapitre, en nous basant sur cet indice et une ligne de pauvreté définie a priori à 60% pour la première observation dans notre échantillon (Benin, 1996), et en utilisant les données EDS et une analyse en composantes principales (ACP), nous avons pu mesurer la tendance de la pauvreté dite « matérielle » (en opposition à la pauvreté monétaire, basée sur la métrique monétaire). Cette méthode qui est privilégiée par des auteurs comme Sahn et Stifel est d'autant plus intéressante qu'elle donne non seulement les tendances de la pauvreté dans chaque pays, mais elle permet aussi une classification naturelle de ces pays par ordre de grandeur de pauvreté. Cependant, dans la mesure où les biens des ménages et la dépenses de consommation sont disponibles, l'analyste devrait estimer les deux types de pauvreté (matérielle via l'indice de richesse et monétaire via le revenu ou la consommation) car les études montrent souvent que les biens matériels et la consommation ou le revenu ne sont pas très bien corrélés, et donc le choix de l'indicateur de bien-être est crucial en termes de politiques économique et de santé. En effet, si l'indicateur sous-estime le vrai niveau de pauvreté ou d'inégalité (ou les surestime), les dépenses publiques qui en résultent peuvent être plus ou moins surévaluées, de même que les réponses apportées se révéler inadéquates. Donc dans la mesure du possible, il conviendrait de se pencher sur la question du choix de l'indicateur. Les résultats de notre méthodologie montrent que l'ASS reste la région la plus pauvre du monde en termes de possession d'actifs. La région orientale de l'ASS est la plus pauvre au monde (75%) suivie de l'Asie du Sud (64%), le Sud de l'ASS (61%), l'Afrique Centrale (57%), l'Afrique de l'Ouest (55%), l'Asie de l'Ouest (40%), l'Asie du Sud-Est (19%), l'Amérique Latine (18%), les Caraïbes (17%), l'Afrique du Nord (6%), l'Asie Centrale (2%) et l'Europe de l'Est (1%). Notre analyse nous montre que la pauvreté baisse dans l'ensemble des pays Africains au Sud du Sahara (sauf la Zambie), à l'instar des autres pays du monde dans l'échantillon. En effet, en considérant les trends, nous voyons que la moyenne de l'ASS passe de 63% de pauvreté matérielle entre 1990-1995 à 62% en 1995-2000 et 58% entre 2000 et 2005. La baisse est modeste et lente mais non négligeable et surtout, elle est en accélération sur les 2 dernières périodes. Mais elle demeure toutefois beaucoup plus marquée dans le reste du monde. Concomitamment à la baisse de la pauvreté, nous observons aussi une baisse de l'inégalité. Nous terminons ce chapitre par une réflexion sur l'effet de la transition démographique sur la croissance économique et la pauvreté en ASS et dans les autres pays en développement. En effet, la chute de la fertilité et de la mortalité couplées à un exode rural font que le nombre de famille se démultiplie du fait de la transition vers des tailles plus réduites. Ceci impose plus de contraintes (et donc peut avoir un impact négatif) sur la croissance économique et risque de sous-estimer le niveau réel de pauvreté. Il convient, une fois que la pauvreté matérielle et ses tendances ont été bien calculées avec les biens durables (et la transition économique prise si possible en compte), de tester la validité de cette méthode en la confrontant avec les résultats issus de l'analyse monétaire de la pauvreté. Les EDS ne comportant pas données d'information sur la consommation, nous nous sommes tournés vers une autre source de données. Dans le chapitre 2, nous avons testé la robustesse de notre méthode dans le cas particulier du Ghana, en utilisant les enquêtes du Questionnaire Unifié sur les Indicateurs de Base de Bienêtre (QUIBB), et en confrontant les résultats issus de la méthode ACP avec ceux issus de la méthode traditionnelle monétaire et trouvons grosso modo les mêmes résultats (10% de baisse avec la méthode monétaire traditionnelle et 7% avec notre méthode sur la période 1997- 2003). Ceci valide donc le fait que la méthode que nous proposons (à savoir, mesurer le bienêtre et la pauvreté par les biens durables des ménages) est tout aussi valide que la méthode plus traditionnelle utilisant des métriques monétaires. Une analyse fine dans le cas du Ghana montre que la baisse de la pauvreté est due à une croissance économique particulièrement pro-pauvre mais aussi à des dynamiques intra et intersectorielles (réallocation des gens des secteurs moins productifs vers ceux plus productifs) et aussi une forte migration des campagnes vers les villes. Nos simulations montrent que les migrants ruraux ont aussi bénéficié de cette croissance dans les villes où ils trouvent plus d'opportunités. 2- Une fois établie que la pauvreté est en recul en ASS, nous avons voulu mesurer la tendance de la santé de sa population (approximée par les taux de mortalité infantile et infanto-juvénile). Nous discutons dans le chapitre 3 de trois méthodes pour estimer et comparer les taux de mortalité des enfants : - la méthode des cohortes fictives (sur laquelle l'équipe de l'EDS se base pour estimer les taux « officiels » de mortalité), - la méthode non paramétrique (Kaplan et Meier) que privilégient un certain nombre d'économistes et - la méthode paramétrique (Weibull) de plus en plus utilisée pour sa souplesse et sa robustesse. Les deux premières méthodes ont tendance à sous-estimer le vrai niveau de mortalité et de ce fait nous avons privilégié le Weibull. De plus, avec cette dernière, nous pouvons évaluer l'effet de chaque variable spécifique (comme l'éducation ou l'accès à l'eau) sur le niveau de mortalité. Une étude des déterminants de cette mortalité montre qu'outre l'effet attendu de l'éducation des mères, l'accès aux infrastructures de santé (soins médicaux et surtout prénataux durant et lors de l'accouchement) et sanitaires (accès aux toilettes et dans une moindre mesure à l'eau potable) en sont les principaux facteurs. L'effet de richesse joue peu en ASS (mais pas dans le reste du monde), une fois que nous contrôlons pour le lieu de résidence (urbain) et le niveau d'éducation. Ce résultat nous surprend quelque peu, même s'il a été trouvé dans d'autres études. Ensuite, nous avons calculé la mortalité prédite des enfants. De toutes les régions du monde, l'ASS a le niveau de mortalité le plus élevé (par exemple en moyenne 107 décès pour la mortalité infantile contre 51 pour le reste du monde, soit plus du double). Ce résultat était toutefois attendu. Par contre nous avons été quelque peu surpris en ce qui concerne les tendances. Le constat est que sur les 15 ans, la mortalité des enfants a très peu ou pas du tout baissé dans le sous-continent africain (et est même en augmentation dans certains pays, alors qu'ils enregistrent une baisse de la pauvreté matérielle sur la même période). En moyenne, considérant les enfants de moins d'un an, les taux sont passés de 95%o à 89.5%o pour remonter à 91.5%o pour les 3 périodes 1990-1195, 1995-2000 et 2000-2005. Ainsi sur 15 ans, la mortalité infantile n'a baissé que de 3 points et demie en moyenne et surtout, elle remonte sur la période 1995-2005. Un examen des taux de malnutrition des enfants confirme ces tendances. On pourrait dire que ces résultats sont plutôt encourageants et normaux si on fait une analyse d'ensemble du sous-continent. En effet pour l'ensemble de l'ASS, cette légère baisse semble en conformité avec la baisse de 5 points des taux de pauvreté matérielle (63% en 1990-1995 à 58% en 2000-2005). Mais l'ordre de grandeur est faible en termes de magnitude, et surtout si compare au reste du monde où on observe une baisse de la mortalité beaucoup plus conséquente. Mais c'est l'arbre qui cache la forêt. Une analyse plus fine par pays montre en effet une situation plus contrastée. Notre postulat de départ nous dit que sur une période suffisamment longue, une amélioration de bien-être s'accompagne d'une amélioration de la santé. Or on constate que certains pays qui connaissent une baisse de la pauvreté matérielle connaissent également une recrudescence de la mortalité des enfants. Pour une même année, ce résultat peut être normal, traduisant un simple décalage pour que l'amélioration de bien-être se traduise par un meilleur état de santé de la population. Mais à moyen terme (période de 5 ans), nous observons la même absence d'effet. Nous sommes donc face à un paradoxe qu'il nous faut comprendre et tenter d'expliquer. Une des pistes pour comprendre ces résultats est d'analyser la performance des systèmes de santé en Afrique. Les facteurs qui expliquent notamment cette performance sont : des facteurs « classiques » comme la performance économique des périodes passées, les montants et l'allocation des dépenses de santé, l'organisation des systèmes de santé, la baisse de la fourniture de services de soins de santé (vaccination, assistance à la naissance, soins prénataux, soins curatifs, .), la malnutrition, le SIDA, les guerres, la fuite des cerveaux notamment du personnel médical, etc., à côté de facteurs plus « subtils » ou ténus car moins saisissables comme les crises financières des années 1990s qui ont plombé certaines des économies de la sous-région, la qualité des soins, la corruption et les dessous-de-table, l'instabilité de la croissance économique (même si elle est positive), etc. La seconde voie que nous examinons pour expliquer le manque de résultat en santé dans certains pays concerne l'inégalité en santé et ceci fait l'objet de notre dernier chapitre. 3- Expliquer l'absence de lien entre santé et pauvreté dans certains pays de l'ASS : l'effet de l'inégalité en santé. Dans le chapitre 4, nous émettons l'hypothèse que le fort niveau d'inégalité dans l'accès aux services de santé et d'assainissement couplé à la faible performance du système de santé (avec en toile de fond l'impact du Sida) peuvent servir à expliquer en partie notre paradoxe. Nous considérons deux types de services : - soins de santé (vaccination, assistance médicale à la naissance et traitement médical de la diarrhée) et - hygiène et assainissement (accès à l'eau potable et à l'électricité, accès aux toilettes propres). Le choix de ces services est motivé par le fait que le modèle Weibull dans le chapitre 3 nous montre que toutes choses égales par ailleurs, ils sont cruciaux pour la survie des enfants, en particulier en Afrique. Les niveaux d'accès montrent une baisse tendancielle des taux pour les services de santé (surtout pour la vaccination) et une légère augmentation de l'accès à l'électricité et dans une moindre mesure à l'eau potable. L'accès aux toilettes propres demeure un luxe réservé à une petite fraction de la population. Pour les calculs d'inégalité, nous considérons deux indicateurs: - l'indice de concentration (pour mesurer le niveau moyen d'inégalité) - et l'élasticité-revenu du Gini (inégalité « à la marge » quand le revenu d'un individu ou d'un groupe augmente d'un point de pourcentage). Globalement, les pays d'ASS ont un niveau d'inégalité beaucoup plus élevé comme on s'y attendait par rapport au reste du monde. Pour les tendances, nous remarquons que l'inégalité marginale s'accroît pour les services d'assainissement (eau, toilette et électricité), mais qu'elle diminue pour les soins de santé. En ce qui concerne l'inégalité moyenne, elle indique une disproportion dans l'accès des classes riches par rapport à celles pauvres. Même si les groupes pauvres « rattrapent » ceux riches dans la provision de certains services, cela se fait de façon trop lente. De fait, le haut niveau d'inégalité couplé à une recrudescence de cette inégalité à la marge pour certains services tendent à annihiler les effets positifs de la croissance économique et de la réduction de la pauvreté et maintiendraient la mortalité, la malnutrition et la morbidité des enfants en Afrique à des niveaux relativement élevés et plus particulièrement concentrées dans les groupes les plus pauvres. Tout ceci appelle à des politiques économiques, sociales et sanitaires pour renverser fortement les tendances de la mortalité des enfants. En particulier, nos résultats suggèrent qu'il faudrait que les pays Africains puissent entre autres : - accroître les services de soins de santé, notamment les soins préventifs comme les services essentiels à la santé de l'enfant dès sa naissance (vaccination, services prénataux et assistance à la naissance), les soins curatifs et les campagnes de sensibilisation. - renverser la tendance baissière dans la provision des services sanitaires (eau, électricité, environnement et assainissement, prise en charge des déchets, etc.). - améliorer la nutrition et l'environnement immédiat de ces enfants et les comportements des ménages (espacement des naissances, éducation des mères en matière de santé, etc.). - plus généralement comme le montrent d'autres études, il faudrait aussi améliorer la performance globale de leur système de santé en empêchant la fuite des cerveaux, en allouant un budget suffisant à la santé, en organisant mieux les différents organes, de même que les ciblages des politiques de santé, en empêchant la corruption, en améliorant la qualité (accueil, propreté des centres de soins, etc.), en équipant les centres en médicaments, vaccins, moyens de transport et de communication, etc. Intégrer si possible les systèmes plus traditionnels de soins (comme les matrones et les guérisseurs) et le secteur privé, de même qu'une meilleure organisation du système pharmaceutique. Ces politiques constituent un tout et doivent être mise en oeuvre rapidement, ou renforcées le cas échéant. A cette seule condition les pays Africains pourraient espérer rattraper leur retard dans les Objectifs du Millénaire.
1.Introduzione Nel 2014, nell'ambito dell'Agenzia Europea Frontex, prese avvio l'operazione Triton, coordinata dall'Italia. Da quel momento e fino al 2018, tutte le persone soccorse in mare dovevano essere portate in salvo sulle coste italiane. Una volta arrivate sul territorio, queste persone dovevano essere messe nella condizione di potere avanzare una richiesta di asilo o di protezione internazionale. Il già esistente sistema di accoglienza dedicato alle persone richiedenti asilo (SPRAR) si basava sulla disponibilità volontaria degli enti locali e non era in grado di gestire l'elevato numero di persone in arrivo. Furono per questa ragione istituiti (art. 11 Dlgs. n.142/2015) i Centri di Accoglienza Straordinaria (CAS) sotto la diretta gestione degli Uffici Territoriali del Governo (Prefetture). I CAS erano quindi pensati come strutture temporanee ed emergenziali. Le azioni messe in atto dai CAS dovevano, innanzitutto, rispondere ai bisogni primari delle persone accolte, in termini di vitto, alloggio e assistenza sanitaria. Ma, a dispetto del loro carattere temporaneo, e alla stregua dello SPRAR, i CAS avevano l'obbligo di svolgere attività (apprendimento della lingua italiana, istruzione, formazione, inserimento nel mondo del lavoro e nel territorio, assistenza legale e psicosociale) finalizzate all'acquisizione di strumenti di base per favorire i migranti accolti nei processi di integrazione, di autonomia e di acquisizione di una cittadinanza consapevole. 1.1 I richiedenti asilo: L'accoglienza in Italia e una possibile traiettoria resiliente La maggior parte dei richiedenti asilo proveniva dall'Africa subsahariana o dall'Asia Meridionale (Afghanistan e Bangladesh e Pakistan) e aveva alle spalle un lungo viaggio di cui la traversata mortifera via mare o attraverso i Balcani o il Caucaso era solo l'ultima tappa. La durata media del viaggio dal paese di origine era di venti mesi, che si svolgevano quasi sempre al limite della soglia di sopravvivenza. È ormai ben documentato il fatto che la privazione di cibo, di ripari, l'affaticamento estremo, il senso di minaccia, i maltrattamenti ripetuti, i lutti dovuti alla perdita di persone care durante gli spostamenti sono condizioni che accomunavano tutti questi percorsi migratori. A queste, si aggiungeva, per la maggior parte di loro, un periodo di reclusione, che poteva superare l'anno, nei centri di detenzione della Libia dove le condizioni disumane, la pratica sistematica della tortura e della violenza sessuale sono state rese note e denunciate dalle principali organizzazioni internazionali, come Medici Senza Frontiere e Amnesty International (Fondazione Migrantes, 2018). Inoltre, l'alto potenziale traumatico di queste esperienze si aggiunge a vissuti altrettanto tragici legati alle circostanze di vita nel paese di partenza che aumentano la vulnerabilità dei migranti. Infatti, questi sono il più delle volte costretti a scappare da condizioni di instabilità politica, di gravi conflitti interni civili e di estrema povertà. È per quanto fin qui descritto che si può affermare che le persone in arrivo nei CAS sono portatrici di storie potenzialmente traumatiche e ad alta complessità psicosociale che richiedono un'attenzione particolare. Le pratiche d'accoglienza che vengono messe in atto nei centri devono tenere conto di tale complessità nel rispondere ai bisogni di ogni persona, sia nella dimensione psicologica sia in quella sociale. In questo modo, nel cercare di raggiungere l'obiettivo ultimo dell'integrazione dei richiedenti accolti, i progetti d'accoglienza potrebbero favorire la definizione di un loro processo di resilienza che li porti a vivere una condizione socialmente accettabile e di benessere. Il concetto di resilienza ha suscitato molto interesse in letteratura negli ultimi decenni. Un primo dato storico nell'evoluzione della teorizzazione di questo concetto (Cicchetti & Garmezy,1993) è lo spostamento dell'interesse dalla patologia e dalla vulnerabilità alla resilienza, che si può ricondurre alla diffusione di una prospettiva positiva e salutogena nella ricerca e nella pratica clinica e psicosociale (Bonanno & Diminitch, 2013; Bonanno, Westphal, & Mancini, 2011; Cicchetti, 2013; Cyrulnik & Malaguti,2015; Walsh, 2016). Negli anni il concetto di resilienza è stato indagato a partire da diversi approcci. Da alcuni autori (Costa & McRae, 1980) è stato studiato come un tratto di personalità, stabile e fisso, da altri (Wagnild & Young, 1993) come l'abilità di fronteggiare e adattarsi positivamente a eventi stressanti o avversivi. Cicchetti (2013), concettualizzando la resilienza come un processo, ha concentrato l'attenzione sui fattori che lo determinano, con particolare interesse a quelli genetici e neurali. Bonanno e Diminitch (2013) si sono, invece, concentrati su quei fattori di rischio o quelle condizioni esistenziali potenzialmente vulnerabili che possono determinare il processo e che gli autori (Bonanno et al., 2011) definiscono come eventi potenzialmente traumatici (EPT). Rutter (2012), da parte sua, ha teorizzato la resilienza come un concetto dinamico dato dalla continua interazione tra i fattori protettivi e di rischio, portando all'attenzione l'influenza ambientale. Tuttavia, sebbene l'autore (Rutter, 2012) abbia messo in luce la funzione dell'ambiente nel processo di resilienza, sono gli approcci più ecologici e sociali (Anaut, 2005; Cyrulnik, 2001; Cyrulnik & Malaguti, 2015; Malaguti, 2012; Walsh, 2016) che hanno enfatizzato e dato maggiore importanza ai fattori contestuali, sociali, familiari e relazionali nella definizione del processo di resilienza. In particolare, secondo Cyrulnik (2001), posti i fattori di protezione, il processo non può avvenire che nell'ambito di relazioni significative. Nello specifico, l'autore distingue tre elementi fondamentali che rendono conto, nell'insieme, del processo: 1- le esperienze pregresse nell'infanzia e nella storia personale dell'individuo, la qualità dei legami di attaccamento e la capacità di mentalizzazione; 2- il trauma e le sue caratteristiche (strutturali, contingenti ed emotive e sociali); 3- la possibilità di risignificare la tragedia avvenuta attraverso il sostegno affettivo e la relazione d'aiuto, descritta, genericamente come l'incontro con l'Altro. Secondo l'autore, la persona costruisce nel proprio passato, in particolar modo durante l'infanzia, attraverso il legame di attaccamento sufficientemente sicuro, le risorse e la capacità di mentalizzazione utili per affrontare e risignificare il trauma. È in questo spazio relazionale quindi che la persona forma una rappresentazione di Sé come persona amabile, capace di affidarsi e di costruire relazioni forti e significative anche in futuro. La capacità e la possibilità di costruire queste relazioni sono viste come le condizioni che possono aiutare la persona a riconoscere le risorse da attivare per superare la profonda ferita incisa dall'esperienza traumatica e per ristabilire un equilibrio nella propria esistenza. Nell'ultima fase della sua teoria l'autore specifica l'importanza di una figura che chiama tutore di sviluppo o di resilienza, le cui caratteristiche e funzioni sono approfonditamente delineate nella pubblicazione di Lighezzolo, Marchal, & Theis (2003). Secondo gli autori, il tutore di resilienza deve favorire un processo di autonomia e ri-strutturazione del sé, trasmettere sapere, fornire esempi e modelli che permettano e legittimino l'errore; non deve quindi ricoprire un ruolo insostituibile e onnipotente. Il tutore di resilienza, sia esso una persona adulta informale o una figura istituzionalizzata nel sistema di cura e presa in carico della persona, è una risorsa esterna che coadiuva nel processo di resilienza. In questo ultimo caso, la formazione e la definizione del ruolo dell'operatore nel processo di presa in carico contribuiranno alla costruzione di un efficace intervento sociale e clinico per la promozione della resilienza nell'assistito (Manciaux, 2001). Negli ultimi anni, una serie di rassegne internazionali (Agaibi & Wilson, 2005; Siriwardhana, Ali, Roberts, & Stewart, 2014; Sleijpen, Boeije, Kleber, & Mooren. 2016) e in Italia (Tessitore & Margherita, 2017), hanno tentato di sistematizzare i risultati degli studi sul processo di resilienza nell'esperienza potenzialmente pluritraumatica della migrazione, con particolare attenzione alla condizione esistenziale di rifugiato. I risultati evidenziano e si concentrano, soprattutto, sui principali fattori di rischio e quelli protettivi che possono intervenire nel processo di resilienza a seguito di queste esperienze pluritraumatiche. In questi lavori emerge, tuttavia, la necessità per la ricerca di individuare strategie e procedure per interventi e pratiche mirati ed efficaci a promuovere il processo di resilienza nei contesti dell'accoglienza. In particolare, rispetto al contesto italiano si riscontra che sono stati svolti pochi studi sul tema, ancora da approfondire (Tessitore & Margherita, 2017). L'analisi approfondita delle pratiche costruite e messe in atto nell'ambito dell'accoglienza negli ultimi anni in Italia risulta rilevante per una sistematizzazione di conoscenze e competenze e utili per la progettazione di interventi psicosociali efficaci. La presente ricerca si poneva l'obiettivo di studiare, se e in che misura, le pratiche dell'accoglienza e le strategie di intervento messe in atto nel sistema CAS di Parma e Provincia abbiano favorito un processo di resilienza nei richiedenti asilo accolti. Inoltre, si poneva l'obiettivo di comprendere se e in che modo l'operatore dell'accoglienza potesse svolgere una funzione di tutore di resilienza. Poiché basandosi sulla teorizzazione di Cyrulnik (2001), l'esito del processo di resilienza è dato dall'interazione dei fattori protettivi individuali, dalla qualità/intensità del trauma e/o comunque delle situazioni avverse e dall'incontro con i possibili tutori di resilienza, il progetto si è sviluppato in due fasi e ha tenuto conto sia dell'esperienza dei richiedenti asilo sia di quella degli operatori. Rispettivamente, nella prima fase l'obiettivo della ricerca si proponeva di individuare le risorse/vincoli personali presenti nella biografia dei richiedenti asilo, i vissuti emotivi e la qualità dei legami stabiliti nel passato, di individuare le risorse/vincoli messe in gioco durante il viaggio e, infine, di individuare le risorse/vincoli con funzione protettiva dal momento dell'arrivo in Italia e in particolare nel CAS di residenza e nella relazione con gli operatori. Nella seconda fase, la ricerca mirava a individuare le risorse e le competenze, rintracciabili nelle biografie degli operatori dei CAS messe in gioco nella pratica professionale e di conoscere le loro motivazioni alla base della scelta professionale, e a comprendere il significato e l'uso consapevole della relazione con i richiedenti asilo nella loro pratica professionale e, infine, a valutare la qualità della loro vita professionale tenendo conto del forte carico emotivo dovuto alla relazione con i richiedenti asilo e il loro vissuti traumatici. 2. Migrazione ed Europa: Una revisione sistematica sulla promozione della resilienza dei richiedenti asilo negli Stati membri dell'Unione Europea. La migrazione è un fenomeno complesso determinato dall'interazione di fattori di espulsione e di attrazione. L'Europa ha sempre svolto un ruolo di attrazione nei flussi migratori. Negli ultimi anni, le direttive per gli Stati membri hanno mirato a promuovere il benessere dei richiedenti asilo. È importante sviluppare la resilienza per raggiungere il benessere delle persone. L'obiettivo della revisione sistematica è stato quello di esplorare come viene studiata la resilienza nei richiedenti asilo nei paesi dell'UE. Sono stati consultati i database internazionali PsycINFO, PubMed, Web of science, Scopus, MEDLINE, Psychology e behavioural collection. Gli articoli sono stati analizzati secondo i criteri PRISMA. Sono stati ottenuti 12 articoli. Dall'analisi qualitativa sono emersi tre approcci principali e quattro principi teorici fondamentali che potrebbero guidare lo studio della resilienza in contesti migratori. Lo studio della resilienza può essere orientato verso un approccio clinico, clinico e sociale o psicosociale. Inoltre, la ricerca ha tenuto conto della necessità di costruire una nuova narrazione di sé e della propria storia nei richiedenti asilo, di restituire agency ai richiedenti asilo, di valorizzare il proprio contesto culturale e quello del paese ospitante e di promuovere una democratizzazione del sistema istituzionale di accoglienza. Si suggeriscono implicazioni per le politiche degli Stati membri dell'UE coinvolti in prima linea nella gestione dell'accoglienza in Europa. Data la limitata letteratura sull'argomento, questa rassegna suggerisce una nuova e originale visione di presa in carico dei richiedenti asilo attraverso una maggiore implementazione di interventi focalizzati sull'individuo e sulle sue risorse. 3. Promozione della salute psicosociale nei migranti: una revisione sistematica della ricerca e degli interventi sulla resilienza nei contesti migratori. La resilienza è identificata come una capacità chiave per prosperare di fronte a esperienze avverse e dolorose e raggiungere un buono stato di salute psicosociale equilibrato. Questa revisione mirava ad indagare come la resilienza è intesa nel contesto della ricerca sul benessere dei migranti e come gli interventi psicosociali sono progettati per migliorare la resilienza dei migranti. Le domande della ricerca hanno riguardato la concettualizzazione della resilienza, le conseguenti scelte metodologiche e quali programmi di intervento sono stati indirizzati ai migranti. Nei 63 articoli inclusi, è emersa una classica dicotomia tra la resilienza concettualizzata come capacità individuale o come risultato di un processo dinamico. È anche emerso che l'importanza delle diverse esperienze migratorie non è adeguatamente considerata nella selezione dei partecipanti. Gli interventi hanno descritto la procedura ma meno la misura della loro efficacia. 4. Il sistema d'accoglienza straordinaria di Parma e provincia: soddisfazione e benessere percepito dai migranti accolti. I servizi e le progettualità messi in atto nei CAS mirano a favorire integrazione, autonomia e benessere. Questi obiettivi si strutturano sull'attivazione e promozione di risorse dei richiedenti asilo. Nello specifico, vanno ad innestarsi sulle loro abilità, sulle conoscenze, sulle competenze, sulla loro agency e sulla capacità di proiettarsi verso un futuro. Poiché i richiedenti asilo sono i principali attori e fruitori di questi servizi, la valutazione di efficacia e di raggiungimento degli obiettivi preposti deve tenere conto necessariamente del loro punto di vista. I richiedenti asilo che hanno partecipato allo studio erano circa il 20% della popolazione dei richiedenti asilo adulti presenti nel territorio di Parma e provincia. Per la stratificazione del campione si è tenuto conto della variabile del paese di origine, della collocazione sul territorio provinciale (distretto) e il tempo di permanenza nel sistema CAS. È stato costruito un questionario ad hoc che mirava ad indagare la percezione di autonomia, di benessere personale, di soddisfazione verso sé stesso, la percezione di essere rispettato nelle proprie tradizioni culturali e la soddisfazione verso il servizio. Il questionario constava di una parte introduttiva, che forniva una breve descrizione al partecipante delle finalità d'indagine, e di diverse sezioni, che indagavano e approfondivano specifiche aree (temi) di interesse. Le prime due aree hanno rilevato i dati socio-anagrafici e il viaggio dei richiedenti asilo. La terza e la quarta area hanno indagato l'accoglienza nel centro e la struttura in cui risiedeva il beneficiario. Le altre aree si sono concentrate sui servizi primari (beni e servizi di prima necessità, assistenza medica) e servizi secondari (assistenza legale, lingua italiana, sostegno psicosociale, lavoro, mediazione culturale, orientamento al territorio e tempo libero) che gli venivano offerti. Le ultime sezioni si focalizzavano sul rapporto con gli operatori, sul progetto individualizzato e sui propri piani futuri. Alla fine del questionario vi era una breve sezione che mirava ad indagare la soddisfazione generale verso l'intero processo di accoglienza in Italia e la specifica esperienza nel territorio di Parma e provincia. Sono state effettuate delle analisi ed elaborazioni statistiche descrittive tramite il software SPSS. Dal questionario è emerso un quadro complessivo dei servizi offerti e una mappatura delle pratiche messe in atto all'interno delle strutture a partire dal punto di vista dei richiedenti asilo. Questi hanno espresso una generale soddisfazione del sistema accoglienza in Italia e in particolare di quella ricevuta a Parma. Hanno riportato un senso di protezione e sicurezza e una generale percezione di capacità e autonomia raggiunta in molti dei servizi e ambiti della quotidianità. Le aree più critiche sono risultate essere l'assistenza legale, l'avviamento lavorativo, la creazione di relazioni sociali con italiani nel tempo libero, la progettazione individualizzata e in particolare il sostegno psicosociale e, infine, la progettazione futura. In queste aree i richiedenti asilo hanno espresso una bassa soddisfazione verso il servizio di sostegno ricevuto, una scarsa consapevolezza di sé e delle proprie capacità e una bassa percezione di un'autonomia conquistata dal singolo servizio e, più in generale, dalla struttura d'accoglienza. 5. Vissuti, fattori di protezione e fattori di rischio nelle biografie dei richiedenti asilo: la definizione di traiettorie di resilienza nei Centri d'Accoglienza Straordinaria. I richiedenti asilo sono portatori di storie potenzialmente traumatiche a seguito delle quali possono vivere distress psicologico e PTSD nel paese d'accoglienza. Qui vengono inseriti in programmi che mirano a favorire benessere psicologico e integrazione. Tale processo è definito resilienza, La resilienza è un processo che vede le persone impegnate a guarire da esperienze dolorose, a prendersi cura della propria vita per continuare a svilupparsi positivamente in modo socialmente accettabile. Il presente studio mira a comprendere i fattori di protezione e le risorse personali e sociali che possono favorire il superamento dei traumi e un processo di resilienza nei richiedenti asilo. Sono stati somministrati 29 test CORE-10 e questionari costruiti ad hoc per il sostegno sociale percepito e condotte altrettante interviste in profondità. Con risultati moderati e gravi di distress psicologico nei partecipanti, sono emersi fattori protettivi e risorse già nella fase pre-migratoria. I legami di accudimento sembrano svolgere una funzione protettiva anche durante l'accoglienza, favorendo la costruzione di rapporti di fiducia. Il supporto sociale della comunità d'accoglienza e quello degli operatori nei centri possono influenzare la definizione di traiettorie resilienti. Lo studio solleva implicazioni di tipo clinico e sociale. Nei suoi limiti lo studio vuole essere un'apertura a nuovi approfondimenti di ricerca. 6. La qualità della vita professionale di chi lavora con i richiedenti asilo: Compassion Staisfaction, Burnout e Secondary Traumatic Stress negli operatori dell'accoglienza In Italia negli ultimi anni sono stati strutturati Centri di Accoglienza Straordinaria per rispondere ai bisogni primari e secondari dei richiedenti asilo approdati sulle coste mediterranee. A seguito dell'apertura dei CAS, sul territorio nazionale si è formato un nuovo corpo professionale, i professionisti dell'accoglienza. Poiché inizialmente non è stata richiesta una formazione specifica in base al contesto e agli obiettivi posti, il loro profilo professionale derivava tendenzialmente dai diversi percorsi formativi e lavorativi precedenti. Considerando il mandato istituzionale del loro lavoro, quale favorire l'accoglienza e una completa presa in carico dei richiedenti asilo, i professionisti dell'accoglienza sono quotidianamente coinvolti nella relazione con gli accolti ed esposti ai racconti traumatici o ai sintomi agiti di questi. Infatti, i richiedenti asilo sono persone spesso profondamente traumatizzate dalle esperienze passate, dal viaggio, ma anche disorientate e impreparate per la complessa esperienza dell'accoglienza e dell'integrazione. Questo aspetto del lavoro con i richiedenti asilo può influenzare il clima e la qualità della vita professionale dei professionisti dell'accoglienza. Infatti, come nelle altre professioni d'aiuto continuamente esposte a eventi stressanti o traumatici, anche nel lavoro di cura e accoglienza dei richiedenti asilo è alto il rischio di sviluppare i sintomi negativi associati al burnout e al trauma vicario. Sebbene, negli ultimi venti anni, la qualità della vita professionale sia stata ampiamente approfondita in diversi settori, non risultano studi che esplorino questo tema tra i professionisti del settore dell'accoglienza. In questo studio è stato sottoposto il questionario ProQOL 5 ai professionisti dell'accoglienza dei Centri di Accoglienza Straordinaria di Parma e provincia, attivamente coinvolti nella relazione d'aiuto con i richiedenti asilo, con lo scopo di definire lo stato di benessere psicosociale rispetto alla loro qualità di vita professionale. Anche se si è dimostrato che mediamente i professionisti dell'accoglienza riportano una buona soddisfazione nello svolgere il proprio lavoro, sono emersi tre profili. Il primo gruppo sembra esprimere soprattutto Burnout, il secondo gruppo una maggiore Compassion Satisfaction e il terzo gruppo un malessere evidente sia per il Burnout che per il Secondary Traumatic Stress. I dati ottenuti permettono di colmare parzialmente un vuoto nella letteratura di settore. Inoltre, la rilevanza dei dati spinge alla riflessione sulla possibilità di incoraggiare interventi efficaci di prevenzione e management delle organizzazioni, al fine di favorire il benessere psicosociale di questo corpo professionale emergente. 7. Essere professionisti dell'accoglienza: l'importanza di un uso consapevole del Se' nella relazione d'aiuto e la funzione del tutore di resilienza. All'interno dei CAS sono stati impiegati professionisti di differenti background formativi ed esperienziali. Appannaggio degli operatori è l'attivazione dei servizi interni ed esterni e il monitoraggio di tutte le fasi del progetto di accoglienza. La presa in carico si configurerebbe come una relazione d'aiuto possibile attraverso la compresenza di diversi aspetti di Sé. Chi lavora con i richiedenti asilo deve affrontare e gestire vissuti potenzialmente traumatici che influenzano il buon esito dell'intervento clinico-sociale. Nel favorire benessere psicologico nei beneficiari, gli operatori svolgono funzioni che richiamano quelle del tutore di resilienza. In questo studio si è esplorata la rappresentazione dei professionisti dell'accoglienza e la consapevolezza di Sé a partire dal loro punto di vista. Sono stati condotti tre focus group e le trascrizioni verbatim sono state analizzate secondo l'approccio IPA. Sono emersi tre aspetti del Sé (Sé personale, Sé professionale e Sé burocrate). Il Tempo e il Contesto sociale sono risultate possibili variabili che influenzano la relazione d'aiuto. Lo studio propone implicazioni di ricerche future e di policy. 8. Conclusioni Negli anni il sistema italiano dell'accoglienza si era ormai rodato e formalizzato su due principali dispositivi: il sistema SPRAR e i cosiddetti Centri di Accoglienza Straordinaria (CAS). Tuttavia, negli ultimi due anni, con il cosiddetto decreto Salvini (D.lg. 4/19/2018 n° 113), si è assistito ad un graduale ridimensionamento dei numeri degli accolti e ad una conseguente chiusura di strutture del sistema CAS. Pertanto, assume rilevanza e importanza capitalizzare le esperienze di accoglienza e comprenderne maggiormente le potenzialità e i limiti. Con la presente ricerca e le analisi delle pratiche d'accoglienza e delle progettualità messe in atto all'interno del sistema CAS sono emersi due risultati principali. Il primo risultato emerso è che i richiedenti asilo accolti abbiano consapevolezza delle risorse e dei fattori protettivi che hanno acquisito nell'arco di vita. Inoltre, si è evidenziata una forte e imprescindibile interdipendenza tra i vissuti psicologici, i bisogni e le risorse dei richiedenti asilo e la funzione relazionale dell'operatore dell'accoglienza. Dalla ricerca è emerso che il valore di tale interdipendenza, non essendo riconosciuto formalmente e quindi esplicitamente richiamato nelle norme e regolamentazioni, era dipeso da un reciproco riconoscimento dei richiedenti asilo accolti e degli operatori. Tuttavia, questa relazione, se opportunamente strutturata e formalizzata, può favorire la definizione di traiettorie di resilienza e il raggiungimento degli obiettivi di integrazione, autonomia e benessere psicosociale. Al momento in cui è stata condotta la ricerca, questi obiettivi erano parzialmente raggiunti. Infatti, sebbene nel sistema d'accoglienza i richiedenti asilo abbiano percepito di essere in un luogo sicuro e protetto e fossero generalmente soddisfatti dei servizi offerti, hanno riportato livelli medio-alti di disagio psicologico. Il valore traumatico delle loro esperienze di vita è stato esplorato e compreso nella sua diacronicità, in quanto i vissuti traumatici sono rintracciabili non solo durante il viaggio ma già nelle esperienze pre-migratorie. Le biografie dei richiedenti asilo sono segnate da profonde ferite, che spesso risalgono a perdite, lutti o tradimenti da parte delle figure significative dell'infanzia o della comunità allargata, fino a sentirsi espulsi dalle politiche disattente degli Stati d'appartenenza. Anche l'arrivo in Italia e l'inserimento nel sistema d'accoglienza comportano sfide esistenziali, che in alcuni casi arrivano a reiterare esperienze traumatiche passate. Nonostante questo, i richiedenti asilo hanno mostrato consapevolezza delle proprie risorse e dei fattori di protezione acquisiti già durante l'infanzia, attraverso le relazioni significative e di accudimento. Queste risorse hanno svolto una funzione di protezione e sostegno nel loro sforzo psicologico di fronteggiare e sopravvivere alle avversità incontrate in tutto l'arco di vita. Nonostante la loro consapevolezza e tenuto conto della permanenza relativamente lunga nel sistema d'accoglienza, è risultato che le esperienze traumatiche non trovano uno spazio adeguato di ascolto e di ri-significazione una volta inseriti nei progetti di accoglienza. Le caratteristiche strutturali e organizzative del sistema non sembrano favorire quell'incontro con l'Altro che può garantire la rielaborazione delle esperienze passate e riattribuire senso e agency alla propria vita, anche nella quotidianità. Al contrario, i richiedenti asilo sono consapevoli di ritrovarsi in una posizione di svantaggio rispetto al potere decisionale sui loro progetti di vita. Non sono coinvolti nelle scelte progettuali e non percepiscono una crescita personale nelle competenze e nelle capacità necessarie per rendersi autonomi. Tuttavia, i richiedenti asilo riconoscono negli operatori degli interlocutori diretti che svolgono un ruolo di congiunzione con la società ospitante. Nello svolgimento del proprio ruolo, gli operatori possono aprirsi ad un ascolto attivo di tutte le parti della biografia dei richiedenti asilo per costruire un rapporto di fiducia. Al fine di favorire la costruzione di tale rapporto, è importante che gli operatori nella loro pratica quotidiana mirino a riattribuire agency ai richiedenti asilo, coinvolgendoli nella progettazione individualizzata. Ciò favorirebbe la valorizzazione e l'attivazione delle risorse dei richiedenti asilo, l'instaurarsi di relazioni di fiducia che consentano la ricostruzione di significato delle proprie esperienze traumatiche di vita e la restituzione di una rappresentazione di Sé attiva e agente. In generale, si otterrebbe una maggiore adesione al progetto d'accoglienza. Inoltre, la valorizzazione della funzione relazionale degli operatori dell'accoglienza favorirebbe una maggiore qualità di vita professionale. I professionisti avrebbero così la possibilità di riconoscere e far riconoscere il proprio ruolo, che è stato profondamente messo in discussione dalla comunità e dalle politiche degli ultimi anni. Quindi, l'ascolto attivo, la riattribuzione di agency e l'esempio nella quotidianità da parte degli operatori favorirebbero il riconoscimento del loro ruolo come tutori di resilienza e promuoverebbero la definizione di traiettorie di resilienza. In questo modo si faciliterebbe il raggiungimento di uno stato di salute psicosociale nei richiedenti asilo. La legittimazione del ruolo funzionale della relazione tra i richiedenti asilo e gli operatori dell'accoglienza da parte del contesto sociale e istituzionale diventa un fattore necessario allo sviluppo di buone pratiche d'accoglienza e alla promozione di traiettorie di resilienza. 9. Riferimenti bibliografici Agaibi, E. C., & Wilson, J.P. (2005). Trauma, PSTD and resilience. A Review of the Literature. Trauma, Violence & Abuse, 6(3), 195-216. doi:10.1177/1524838005277438 Anaut, M. (2005). Le concept de résilience et ses applications cliniques. Recherche en soins infirmiers, 82(3), 4-11. doi.org/10.3917/rsi.082.0004 Berkham, M., Bewick, B., Mullin, T., Gilbody, S., Connell, J., Cahill, J., …Evans, C. (2013). The CORE-10: A short measure of psychological distress for routine use in the psychological therapies. Counselling and Psychotherapy Research, 13(1), 3-13. doi.org/10.1080/14733145.2012.729069 Bonanno, G., & Diminich, E. D. (2013). Annual Research Review. Positive adjustment to adversity – trajectories of minimal- impact resilience and emergent resilience. Journal of child psychology and psychiatry, 54(4), 378-401. doi:10.1111/jcpp.12021 Bonanno, A. G., Westphal, M., & Mancini, A. D. (2011). Resilience to loss and potential trauma. Annual Review Clinical Psychological, 7, 511–535. doi:10.1146/annurev-clinpsy-032210-104526 Cicchetti, D. (2013). Annual Research Review. Resilient functioning in maltreated children. Past, present and future perspectives. Journal of Child Psychology and Psychiatry, 54(4), 402–422. doi:10.1111/j.1469-7610.2012.02608.x Cicchetti, D., & Garmezy, N. (1993). Prospects and promises in the study of resilience. Development and Psychopathology, 5, 497-502. doi:10.1017/S0954579400006118 Costa, P., & McCrae, R. (1980). Influence of extroversion and neuroticism on subjective wellbeing: Happy and unhappy people. Journal of Personality and Social Psychology, 38, 668-678. DOI:10.1037/0022-3514.38.4.668 Connell, J., & Barkham, M. (2007). CORE 10 user manual (versione 1.0). Centre for Psychological Service Research, CPSR Memo 1, University of Sheffield. Cyrulnik, B. (2001). Manifeste pour la résilience. Spirale, 18(2), 77-82. DOI 10.3917/spi.018.0077 Cyrulnik,B., & Malaguti, E. (2015). Costruire la resilienza. La riorganizzazione positiva della vita e la creazione di legami significativi, Trento, IT: Centri Studi Erickson Figley, C. R. (Ed.). (1995). Brunner/Mazel psychological stress series, No. 23. Compassion fatigue: Coping with secondary traumatic stress disorder in those who treat the traumatized. Philadelphia, PA, US: Brunner/Mazel Fondazione Migrantes. (2018). Il diritto d'asilo. Accogliere proteggere promuovere integrare. Report 2018. Roma, IT Lighezzolo,J., Marchal, S., & Theis, A. (2003). La résilience chez l'enfant mailtraté: Tuteur de développement et mécanismes défensifs (approche projective comparée). Neuropsychiatrie de l'enfance et de l'adolescence, 51, 87–97. DOI:10.1016/S0222-9617(03)00020-5 Malaguti, M. (2012). Educarsi alla resilienza. Trento, IT : Erickson. Manciaux, M. (2001). La résilience. Un regard qui fait vivre. Etudes, 395(10), 321-330. https://doi.org/10.3917/etu.954.0321 Palestini, L., Prati, G., Pietrantoni L., & Cicognani E. (2009). La qualità della vita professionale nel lavoro di soccorso: un contributo alla validazione italiana della Professional Quality Of Life Scale (ProQOL). Psicoterapia cognitiva e Comportamentale, 15(2), 205-227 Rutter, M. (2012). Resilience as a dynamic concept. Development and Psychopathology, 24, 335–344 Siriwardhana, C., Ali, S. S., Roberts, B., & Stewart, R. (2014). A systematic review of resilience and mental health outcomes of conflict-driven adult forced migrants. Conflict and Health, 4, 8-13. doi:10.1186/1752-1505-8-13 Sleijpen, M., Boeije, H. R., Kleber, R. J., & Mooren, T. (2016). Between power and powerlessness: a meta-ethnography of sources of resilience in young refugees. Ethnicity & Health, 21(2), 158–180. doi:10.1080/13557858.2015.1080484 Smith, J. A., Flowers, P., & Larkin, M. (2009). Interpretative Phenomenological Analysis: Theory, Method and Research, Los Angeles: Sage. Stamm, B. H. (2010). The Concise ProQOL Manual, 2nd Ed. Pocatello, ID: ProQOL.org. Tessitore, F., & Margherita, G. (2017). A review of asylum seekers and refugees in Italy: where is the psychological research in Italy?. Mediterranean Journal of Clinical Psychology, 5(2),1-33. doi:10.6092/2282- 1619/2017.5.1612 Wagnild, G. M., & Young, H. M. (1993). Development and psychometric evaluation of the resilience scale. Journal of Nursing Measurement, 1(2), 165-178 Walsh, F. (2016). Family resilience a development systems framework. European Journal of developmental psychology, 13 (3), 313-3224 dx.doi.org/10.1080/17405629.2016.1154035
A STUDY OF CODE-SWITCHING OF TEACHER TALK ON TRAINEE TEACHER IN PPL II PROGRAM OF STATE UNIVERSITY OF SURABAYA Renata Kenanga Rinda 10020084019 English Education, Faculty of Languages and Art, State University of Surabaya email: renata.rinda195@gmail.com Dosen Pembimbing: Prof. Dr. Hj. Lies Amin Lestari, M.A, M.Pd English Education, Faculty of Languages and Art, State University of Surabaya Abstrak Terdapat perbedaan pandangan tentang penggunaan alih kode dalam bahasa guru pada pengajaran bahasa Inggris sebagai bahasa kedua. Di satu sisi, bahasa Inggris sangat dianjurkan untuk digunakan sebagai bahasa satu-satunya dalam mengajar, namun teori lain justru mengusulkan penggunaan beberapa bahasa sebagai alat guru dalam mengajarkan bahasa Inggris. Menanggapi masalah tersebut, penelitian ini dilakukan untuk mengetahui jenis-jenis bahasa, jenis-jenis alih kode, dan alasan penggunaannya yang dilakukan oleh calon guru pada PPL II, Universitas Negeri Surabaya. Catatan lapangan dan rekaman digunakan untuk mengumpulkan data yang diperlukan dalam penelitian deskriptif kualitatif ini. Hasil penelitian menunjukkan bahwa ada tiga jenis bahasa yang digunakan oleh calon guru; Bahasa Inggris, Indonesia, Jawa, dan Arab, dengan tiga jenis alih kode; tag-switching, inter-sentential switching, dan intra-sentential switching. Hasil penelitian juga mengungkapkan lima alasan penggunaan alih bahasa yaitu sebagai alat untuk mengajar, member penegasan, mengkritik, menyemangati, dan menanyakan hal kepada siswa yang membantu calon guru dalam mengelola kelas. Berdasarkan hal tersebut, dapat disimpulkan bahwa hasil penelitian ini mendukung teori kedua yang menganjurkan penggunaan beberapa bahasa dalam pengajaran bahasa Inggris sebagai bahasa kedua. Kata Kunci: mengajar bahasa Inggris sebagai bahasa kedua, bahasa guru, alih kode. Abstract The practice of code-switching in teacher talk for the teaching of English as second language exposed a contradictive theory about it. On the one hand, English was strongly proposed as the only language to be used while other theories allow the use of various languages as medium of instruction implemented used as the teacher's equipment in managing the classroom. Coping with the above dilemma, this research aimed at investigating the types of languages, types of code-switching, and reasons of using them in trainee teacher's teacher talk in PPL II program of State University of Surabaya. Field notes and audio recording were employed in five observations to confirm the data revealed under the descriptive qualitative research. The findings pointed out that there were four types of languages used in trainee teacher's teacher talk; English, Bahasa Indonesia, Javanese, and Arabic, with three types of code-switching; tag switching, inter-sentential switching, and intra-sentential switching. The findings also described five reasons of using code-switching; lecturing, giving directions or confirmation, criticizing or justifying authority, praising or encouraging, and asking question toward the students which helped the trainee teacher managed the class. In sum, the result of this study supported the second theory which allows the use of various languages in teaching English in second language classroom. Keywords: teaching English as a second language, teacher talk, code-switching introduction Reinforcing the Indonesia's competitiveness as a member of the developing nations, the demand to improve people's education level is enormously needed. Then, to cope with it, teachers as the foremost stakeholder in this area have the biggest role to settle on whether the improvement can be achieved or not. This fact is agreed as a general truth for the reason that the students' enhancement in the class is most impacted by the teachers (McCaffrey, Lockwood, Koretz, Louis, & Hamilton, 2004). As a result, this reality becomes a powerful foundation for the Government to construct a shifting rule in education policies. Several policies are made, then the most significant one is the lecturers and teachers regulation that is called UU No. 14/2005, short of Undang-Undang Republik Indonesia Nomor 14 Tahun 2005 Tentang Guru dan Dosen. Basically, it has three major points stated; the general rules of teachers, teachers' competences and qualifications, and then the obligations and rights of the teachers. The three of them go in certain directions which make the system of education enhanced through the development of the teachers' quality. Fulfilling the above goal, the policy regulates some criteria that teachers should have; pedagogical, personality, professionalism, and social competences. Indeed, realizing the four criteria mentioned is not an effortless task to deal with. The Government will not be able to reach it without working hand in hand with other components in the education world. Under this consideration, the Government calls for shot to the education institutions to prop up the new policy. One of the umbrella institutions that gets the mandate is State University of Surabaya that has main responsibility to educate the undergraduate students who take education as their major of study. Regarding to the Government's requirements, State University of Surabaya tries to bring them into reality through a program named PPL, stands for Program Pengalaman Lapangan consisting of PPL I and PPL II. Consequently, all of the students in Education Department, State University of Surabaya, which is English Department, have to participate in both programs. In materializing those programs, in the sixth semester, the English Education Department conducts PPL I program carried in the campus to train the undergraduate students through microteaching activity. After that, the PPL II program starts on the seventh semester. This program held in the real teaching environment in several schools chosen for approximately three months long. This makes PPL II different from PPL I. Among several schools selected by the English Education Department, SMP Negeri 1 Madiun is one of them. In this school, there were four English undergraduate students who practiced teaching in the academic year of 2013. They had conscientiousness to manage the classroom in the seventh grade as real teachers. Based on the informal observation toward those trainee teachers, it was found that all of them tried to handle the class by using English. They greeted the students, delivered the material, and even responded to the questions by utilizing the same language. This special language used by the trainee teachers to address the students in English classroom is called teacher talk (Ellis, 1985). Moreover, teacher talk turns out to be a major resource of the students related to their language input (Al-Otaibi, 2004). By giving good model through their talk, it is hoped that students can get good example in practicing English. Understanding this theory, the trainee teachers in SMP Negeri 1 Madiun were in the right track to keep implementing English in their talk. By giving the proper model of applying English, the students were expected to do the same. Nonetheless, the implementation of teacher talk of trainee teachers by using English in the seventh grade of SMP Negeri 1 Madiun was not supported well. Many students' responses came up beyond the expectation. When the classroom atmosphere was packaged in all English, most students got confused and frustrated. They neither understood some words nor comprehend the teachers' instructions. As a result; some students lost their attention to the trainee teachers. In order to cope with the unforeseen condition, the trainee teachers frequently changed their teacher talk into other languages such as Bahasa Indonesia or Javanese as alternative languages. These changing languages always happened automatically. In the first minute, the trainee teachers used English then suddenly changed it into Bahasa Indonesia or Javanese then got back into English. The three languages were used in one single sentence. In another occasion, the different pattern was found; sometimes the trainee teachers' teacher talk was implemented in English while the class began, then in the middle of running the class, the use of Bahasa Indonesia was implemented then finally the trainee teachers closed their talk by reusing English. The above process of changing one language into other languages that happen in the middle of talk is called code-switching (Cook, 2000). The code-switching possibly involved in teacher talk is an unavoidable result of communication that happens among various languages circumstances. Moreover, because of code-switching in teacher talk is a special occurrence in teaching English, there are many analysis and theoretical discussions that are elicited in the previous decades (Gumperz, 1982). Several findings towards it spread out in the education world. Regarding to the above fact of code-switching language in teacher talk, it provided the underlying principle for undertaking this descriptive research, and which was initiated in a challenge to describe the types of languages, types of code-switching, and reasons of using them in trainee teacher's teacher talk. Furthermore, by identifying them, it is expected that the findings of this research will be useful to draw the map of code-switching language that might happen in five or ten years later when the trainee teachers of PPL II program of English Education Department become a part of materializing the Indonesia's education improvement as real teachers. METHODOLOGY Research Subjects Reflecting on the purposes of this research, it considered the three parameters in choosing the research subject; the status, the background language, and the achievement. The status of the subject observed was a trainee teacher. The researcher selected her rather than the real English teacher at that school since the trainee teacher observed right now would replace the position of the real teacher in conducting the second language classroom in the future. As a consequence, the research findings would be valuable information prepared for the trainee teacher before being a teacher. Then, the second reason was the language background. The trainee teacher and the students of SMP Negeri 1 Madiun, speak the same languages, it made the phenomenon of code-switching possibly appeared. Besides, the researcher considered the trainee teacher chosen for being a good model and achieving good GPA; 3, 57 within 0 – 4 scale. Instruments In this research, the field note observation and audio recording were utilized as the research instruments. By implementing the field note observation, it is possible to focus on the ongoing behaviors occur and note the most important feature in the classroom (Bailey, 1994). The model of field note was adapted from Konsep Penetian Tindakan Kelas dan Penelitianya. It consisted of four parts; identification, instruction, description material, and reflection material (Susanto, 2010). Then, the audio-recording was also employed as the second instruments to record the detail information appeared. Data Collection In collecting the data, five observations were conducted. Each observation took 2 sessions in 80 minutes. Moreover, the five observations were done in five weeks; four weeks on July and one week on August that were classified into two parts; direct informal observation and direct formal observation. Direct informal observation was conducted on the first week of August before running the formal one in order to know the basic information and condition of the subject observed in the classroom. Then, on the first, second, and third formal observations, the audio recording was placed on the nearest area of the trainee teacher in order to get the clearest sound. Then, the field note described the types of language, types of code-switching, and reasons of using them in the trainee teacher' teacher talk on the description material. Next, the reflection material column was completed with the researcher's point of view related to the case found. Last, while the fourth formal observation was completed, the researcher had to pay more attention toward the subject observed. Here, since the trainee teacher did not make any difference towards her types of languages, types code-switching used, and reasons of using them, the researcher could stop the observation. Data Analysis Types of Languages Related to the types of languages, the data found in the first observation were coded by "a", second observation coded by "b", and third observation coded by "c". Then they were identified based on the four types of languages used; English, Bahasa Indonesia, Javanese, and Arabic. Those four types of languages were reclassified by the researcher based on the language combinations made by the trainee teacher namely first, English and Bahasa Indonesia, second, English and Javanese, third, English and Arabic, fourth, Bahasa Indonesia and Javanese, and last, English, Javanese, and Bahasa Indonesia. Types of Code-switching The types of code-switching were grouped based on Sankoff & Poplack (1981) namely tag-switching, inter-sentential switching, and intra-sentential switching. Moreover, the trainee teacher reclassified them concerning on the process involved; tag-switching were divided regarding on the simple fixed word insertion at the beginning and the end of code-switching, inter-sentential switching was reclassified into code switching between sentences or sentence and clause, and intra-sentential switching reclassified into word or phrase embedded in phrase or clause from another language, word or phrase inserted between words or phrases from another language, and words or phrase stayed between two types of languages. Reasons of using code-switching in teacher talk The reasons of using the code-switching in teacher talk made by the trainee teacher were identified based on Flanders (1970). There were seven categories which are lecturing, giving directions, criticizing or justifying authority, accepting feeling, praising or encouraging, accepting or using the students' thought, and asking question towards the students. RESULTS Types of Languages After analyzing the field notes and audio recording transcriptions that were completed by the researcher on August 21st, August 28th, and September 4th, 2013, it was found that there were 211 code-switching used by the trainee teacher in her teacher talk. In those code-switching, four languages were used as the trainee teacher's tool to accomplish the process of teaching English. Then, those four types of languages were reclassified by the researcher based on the language combinations made by the trainee teacher namely first, English and Bahasa Indonesia, second, English and Javanese, third, English and Arabic, four, Bahasa Indonesia and Javanese, and last, English, Javanese, and Bahasa Indonesia. The supporting facts quoted from the trainee teacher's teacher talk related to the four languages found are provided in the following paragraphs. Firstly, the combination between English and Bahasa Indonesia languages contributed in three observations conducted. In the first observation, there were 53 code-switching composed by the two types of languages mentioned. Then, on the second observation it gained enlargement and reached 76 numbers. Last, it reduced slightly to 19 numbers on the third observation. Moreover, one of those examples was labeled by 1: (1) Student 18 :I will go to Mecca on May. Teacher :That's enough. Sekarang mana Karina? Could you please tell me what is Azar's plan on May? (1) Student 28 :He will go to Mecca. Teacher :On May, he will go to Mecca, repeat it. The code-switching marked by 1 was the example of the code-switching that used English and Bahasa Indonesia combination. At that time, the trainee teacher wanted student 18 namely Azar to tell his plan on May. After hearing Azar's plan, the trainee teacher asked another student that was student 28, Karina, by first implementing the code-switching that was stated in Bahasa Indonesia, "Sekarang mana Karina?" to call her and then followed by English sentence stated in interrogative form," Could you please tell me what is Azar's plan on May?" Then, related to the reason of using it, the trainee teacher did the code-switching for asking question toward student 28 in order to tell what student 18 planned on May. Another example of this combination was also found in the code-switching numbered by 2: (2) Student 1 :Silent. Teacher :No? Why? You still have no idea? Okay, I will play the video again and listen. (Playing the video). You all must know how to tell time. What is the importance of telling time? This is the answer. So, what do you think about it? I need to learn telling time because I need to know time to go to school for example. What else? What else? Seperti yang disebutkan di video tadi (2). Students : Silent. Teacher :I need to telling time because? Anyone? Anyone? Aga? Through the above example, the existence of English and Bahasa Indonesia were also clearly seen. Firstly, the trainee teacher asked the students about the importance of the material given. Since the students were not able to answer the trainee teacher's question, she delivered her question again. Then, she finally answered her own question in order to show the students how to deal with it On the contrary; the students were silent and gained no movement. Moreover, related to this example, the code-switching was used. English came first then followed by Bahasa Indonesia. Then, the unique thing appeared in this example was when the trainee teacher switched her talk from English to Bahasa Indonesia, there was also English word insertion "video" in the middle of Bahasa Indonesia sentence. Next, in line with its function, through this code-switching, the trainee teacher tried to give confirmation about the answer of the question mentioned before. Then, the second combination involved the two types of languages which were English and Javanese, also recorded in the three observations conducted but the combination was only found in one number for each. The trainee teacher did this second combination in 3: (3) Students :Doubt . . . climbing. (Repeating the teacher) Teacher :Yes, right. Student 13 :ndaut . . .ndaut (Speaking in Javanese) Teacher :No, it is different. Ndaut is an activity which is usually done by the farmer, right? (3) At this point, the word ndaut taken from Javanese came first then followed by English. This code switching was implemented when the trainee teacher taught the pronunciation of the word doubt. The trainee teacher lectured the students in correct way by saying /daƱt/. Otherwise, the students made fun of it and preferred to pronounce doubt as ndaut since they had already known and more familiar with this Javanese word comparing to English. For that reason, the trainee teacher commented on the students' pronunciation by criticizing them by delivering code-switching containing English and Javanese language. Then, the second example related to the same combination was stated in 4: (4) Student 15 :Raising her hand. Teacher :Okay. Student 15 :We need to know time to have breakfast. Teacher :Okay, we need to know what time to have breakfast. And then? Heh, sorry, what is your name? (4) At this point, the trainee teacher had a discussion with the students about the importance of telling time. When the students wanted to share their idea about it, they had to raise their hands then the trainee teacher gave them a score by marking their name list. The trainee teacher used the code-switching to call the student by mentioning him in Javanese word heh to replace the student's name since she did not know yet. Then, it was followed by a question formed in English. By implementing this code-switching, the trainee teacher used it as a tool for asking question to the student. Next, the third combination was comprised from English and Arabic language. This language combination was only found in the second observation in one number. It was supported by the code-switching labeled 5: (5) Student 3 :Balik ke Surabaya kapan? Teacher :Insyaalloh, I will back to Surabaya at September, 15 (5). Guys, on September 14, my friends and I will have a surprise for all of you Students : Apa? Surprise? This code-switching appeared while the students asked when the trainee teacher would back to her college in Surabaya. In answering the students' question, she implemented an Arabic word insyaallah that was commonly used in Indonesia even though most of Indonesians do not speak Arabic well. Moreover, it was used as a mark of certainty related to the future plan as cited in," "Insyaallah, I will back to Surabaya at September, 15." The Arabic word was stated first then an English sentence formed in the future tense mentioning the exact date of the trainee teacher's leaving. Through this point, it could be observed that the trainee teacher used code-switching as the teacher's tool for giving a confirmation for a certain case. The fourth combination was the only one that did not contain English in it. It was composed from Bahasa Indonesia and Javanese that appeared on three numbers in the second observation and one in the third observation. The example was labeled by 6: (6) Teacher :Kamu tahu kata kerja bentuk pertama? Student : . . . . . (silent) Teacher :Kata kerja pertama itu gak enek embel-embel e (6). Students : Ohh . . . At first, Bahasa Indonesia was implemented, and then it was switched to Javanese language in gak enek embel-embel e. Moreover, by delivering this code-switching, the trainee teacher lectured her students in defining the verb used for telling the daily activities. She said, the verb one should not be added by –ed or –ing that the students usually made mistakes on. Another example of the same language combination mentioned in 7: (7) Teacher :Begini, kita di sini dinilai sama guru pamong. Guru pamongnya siapa? Bu Pur. Student 8 :Yang bahasa Inggris itu? Teacher :He em, guru angkat yang di sini. Ibu angkat yang di sini (7) Student 32 : Brarti tinggalnya di mana? Similarly, the trainee teacher implemented Bahasa Indonesia first, and switched to Javanese then. Nevertheless, in 7, the trainee teacher used the code-switching to give confirmation toward the student 8's question by saying he em in order to express her agreement with the student's statement. The last combination happened among English, Javanese, and Bahasa Indonesia. This combination was comprised from three types of languages that did not appear on the first and second observation but finally used in one number in the third observation. It was labeled by 8: (8) Student 21 :Masih bingung, Miss Teacher :Okay. Verb one do not contain embel-embel apapun. Gak enek embel-embel apa-apanya. Hanya bentuk dasar, okay (8). Firstly, English was used to mention the case that the trainee teacher explained, then Javanese appeared in the middle of the sentence, and finally it was ended by the code-switching to Bahasa Indonesia. The trainee teacher used this code-switching to answer the students' question related to the correct form of the verb that should be used in making a sentence based on the picture given on the slide show. Since there were many students got confuse, the trainee teacher chose to explain the case by implementing Javanese and Bahasa Indonesia in order to make the students get a clear understanding. Through the above descriptions in connection with the types of languages in the three weeks observations that were conducted in row, in short, the trainee teacher did the code switching in her teacher talk by utilizing four languages by implementing five combinations. In addition, the trainee teacher preferred to use the first combination of English and Bahasa Indonesia comparing to the other four combinations namely English and Javanese, English and Arabic, Bahasa Indonesia and Javanese, and English, Javanese, and Bahasa Indonesia that only appeared in less than three numbers. Types of Code-switching In terms of the types of code-switching used, three observations that were conducted by the researcher gave the same results. Then, they were grouped based on Sankoff & Poplack (1981); tag-switching, inter-sentential switching, and intra-sentential switching. Tag-switching was the easiest type of code-switching that could be identified. Its characteristic which is the insertion of simple fixed word from one language in a sentence from another language becomes a valuable sign in marking this code-switching's type. Moreover, there were 60 tag-switching found during the observations; 18 of them used in the first observation, 26 in the second observation, and 16 in the third observation. They created two different patterns related to the simple fixed word place of insertion. The first pattern was the simple fixed word insertion embedded at the beginning of the sentence. As it was stated in 9: (9) Student 21 :Miss, saya? Teacher :Tunggu, Budi duluan. Come on Budi, kamu bisa Budi (9). Kamu bisa, ini sangat gampang. Come on as part of English simple fixed word was inserted at the beginning of code-switching then was followed by Bahasa Indonesia language. At that time, the trainee teacher wanted Budi to come forward and tell his assignment in front of his friends. On the contrary, the student did not give any response and kept silent. Dealing with it, the trainee teacher encouraged the student by saying "come on" then did automatic changing language by switching her talk to Bahasa Indonesia. As a result, Budi participated in the classroom activity and showed his ability in presenting the assignment. Another example of this pattern was also mentioned in 10: (10) Teacher :Can I borrow it? Just for showing the slide show. Just for showing the slide show. Student 23 :Giving his laptop. Teacher :Okay, thank you. Sorry, something goes wrong with the laptop. Sorry. Just be quite while waiting me to set the laptop. Just wait. Do not make any noise. Just wait. Just wait. The laptop is error. Sorry. Just wait. Just wait. We will still continue the lesson. Nah, it should be like this (10) Comparing to the previous question, in this tag-switching, the simple fixed word was formed in Bahasa Indonesia nah. Then, related to its function, the trainee teacher tried to give a confirmation related to the picture projected from the laptop. However, the code-switching that was labeled by 10 still had the same pattern with the previous one. Another tag-switching that had different pattern related to the position of the simple fixed word insertion was observed in 11: (11)Students : . . . . . . . . (making noise) Teacher :I won't start if you are still making noise. Anyone, hello boys over there back to your seat please. I won't start the lesson if you still make noise, sudah? (11) Students :Sudah. Teacher :Okay, anyone, do you remember what we did in last lesson? Do you still remember what we did last lesson? In this tag-switching, sudah was inserted in the end of the sentence. It was contradictive with the previous pattern that the simple fixed word used at the beginning of the tag-switching. In 11, sudah was spoken in Bahasa Indonesia that was embedded in the English sentence. Moreover, concerning to its function, by delivering this code-switching the trainee teacher justified her authority in controlling the classroom situation since there were many students who kept busy in their talking when the lesson started. After delivering this tag-switching, the trainee teacher started the classroom activities when the situation was not too noisy. Then, not only found in 11, the second pattern of tag-switching also observed in 12: (12)Student 4 :Great time? Teacher :Great time has the same meaning with very happy. Mereka sangat bahagia setiap kali mereka berkumpul, clear? (12) Students :Yes. In 12, the trainee teacher spoke in Bahasa Indonesia first, then, she switched her talk to English by mentioning a simple fixed word "clear". Through this example, the trainee teacher used the same pattern of tag-switching as shown in 11 but it had different reason which was asking question toward the students' understanding. Besides the above examples, other simple fixed words found were eight in English; okay, sorry, right, hello, please, now, guys, and stop, and three in Bahasa Indonesia; ya, siapa, and jangan. All of them created the same pattern with the two examples explored which were either embedded at the beginning or at the end of the tag-switching. After investigating the existence of tag-switching, the second types of it namely inter-sentential switching was also implemented by the trainee teacher. There were 92 inter-sentential switching used by the trainee teacher during her teaching; 25 found in the first, 36 in the second, and 31 in the third observation. Generally, it happened in two patterns which were first, inter-sentential switching between sentences and second, inter-sentential switching between sentence and clause. The trainee teacher did inter-sentential switching between two sentences in 13: (13)Teacher :Okay, could you please continue your plans? Student 25 :I will visit Bandung on January. Teacher: Now, Rio. What is Granta's plan on January? Gak usah tanya yang lain (13). Student 26 :He will . . . The utterances in 13 were composed by two sentences, first sentence formed in all English and then it was followed by the second sentence stated in Bahasa Indonesia. The trainee teacher changed her talk after finishing her full sentence in one language first, and then stated the sentence in different language. This reason made it classified into inter-sentential between two sentences. Next, concerning on the function of this switching, at this time, the trainee teacher wanted student 28 to answer her question about student 25's plan on January. To elicit the student, the trainee teacher directed a question to him. Another example of inter-sentential switching between two sentences also used in 14: (14)Student 5 : Ya ampun angel e. Teacher :Contohnya seperti tadi ya. Just make piece of paragraph or writing. Caranya gampang kan, seperti tadi. (417) Student 5 :Ini dikumpulkan? The example showed that the trainee teacher mentioned the sentence in Bahasa Indonesia that was switched to English then returned to Bahasa Indonesia. This inter-sentential switching turned up when the trainee teacher wanted to give confirmation to the students related to the assignment given which was about creating a simple paragraph. Showing the different pattern, inter-sentential switching used between sentence and clause was found in 15: (15)Teacher :Just say the tree is okay, but tree of hopes is also okay because your tree contains of so many hopes so you can say the tree of hopes. Student 9 :Opo? Opo? Teacher :The tree is okay. The tree of hopes is okay. Because almost of all of these contain your hopes. That is okay. I give the name "the tree" or "the tree of hopes" karena pohonnya banyak sekali mengandung harapan-harapan kalian (15). The English sentence was spoken first and then followed by clause in Bahasa Indonesia. Here, the English sentence could actually stand by itself without any clause followed. However, in this case, the clause spoken in Bahasa Indonesia was used as an extended reason for the preceding sentence. As a consequence, it made the existence of inter-sentential switching between sentence and clause clearly seen. Moreover, through this switching, the trainee teacher gave a confirmation toward the title of the assignment given that the students asked. Also, the pattern of inter-sentential switching was observed in 16: (16)Students :Discussing and continuing their tree of hopes with their friends. Student 4 :Kalau pengen lihat Sakura di Jepang? Teacher :I will visit Japan to see the beautiful Sakura. Seperti ini nanti, on January I will visit France. (16) Bahasa Indonesia clause seperti ini nanti was stated just before the English sentence. Here, the trainee teacher used it as a tool to lecture the students about how to write down their plan for each month. Last, the analysis of the third type of code-switching which is intra-sentential switching found in 59 numbers. Starting from the first to the last observation, the number of intra-sentential switching was decreasing. There were 10 numbers found in first, then 20 numbers in the second, then reached up to 12 in the last observation. Furthermore, the present of intra-sentential switching can be observed when there is an insertion of word or phrase embedded in phrase stated in another language inside the sentence boundary. There were three patterns found contributed in intra-sentential switching. First pattern of intra-sentential switching is a phrase or word that was embedded into another phrase or clause formed in different language. This pattern was mentioned in 17: (17)Teacher :Apa ini pentingnya? Kenapa harus mempelajari ini? Kenapa kita harus mempelajari telling time? (17). Student 3 :Silent. Teacher :Ada yang tahu? On the above situation, the trainee teacher implemented intra-sentential switching by using Bahasa Indonesia to ask the students about the importance of the material given, Kenapa kita harus mempelajari . . . However, she still stated the theme of the lesson by inserting English phrase "telling time" at the end of the sentence that made the existence of intra-sentential switching used. By implementing this intra-sentential switching, the trainee teacher was able to make the students answer the question she asked about. The second example of the same pattern of intra-sentential switching labeled by 18: (18)Teacher :Jadi seperti itu, kalau misalkan kalian menggunakan ekspresi I wish (18). Contohnya seperti itu. Okay? Students : Yes. In the 18, the trainee teacher lectured the students by implementing tag-switching that happened between Bahasa Indonesia clause and an English phrase. The trainee teacher put her effort in order to explain the material given to the students by using this intra-sentential switching. Then, the second pattern is a word or phrase inserted in the middle of other words or phrases from another language. This pattern was stated in 19: (19)Teacher :Do you have another question? Student 9 :Kalau merayakan ulang tahun temen itu apa, Miss? Teacher :I will celebrate my friend's birthday. My friend pake apostrophe (19). Student 32 :Miss? Miss? The word pake which was taken from Bahasa Indonesia was inserted by the trainee teacher in between English phrase and word. My friend and apostrophe enclosed it on either side, therefore, pake was placed in the middle of them. Moreover, by delivering this intra-sentential switching, the trainee teacher lectured the students related to the lesson given. She informed the students about the use of apostrophe as a possessive noun mark that the students confused. Then, the same pattern of intra-sentential switching also supported by 20: (20)Teacher :To give me a new mobile phone. HP itu mobile phone. (20) Okay? Student 3 :Miss, kalau punya banyak permintaan? Teacher : I have a lot of . . . Here, the word taken from Bahasa Indonesia also stayed in between the two English words. Here the trainee teacher used it to give a confirmation to the students that hand phone is just the same with the mobile phone. Next, the third pattern of intra-sentential switching happened among several words in three languages in one sentence. This pattern appeared only in 8: (21)Teacher :Kata kerja pertama itu gak enek embel-embel e. Student :Ohh . . . Student 21 :Masih bingung, Miss Teacher :Okay. Verb one do not contain embel embel apapun (8). This intra-sentential switching was contributed by three types of languages; English, Javanese, and Bahasa Indonesia. It made the third type different from the two previous examples that were only composed from two types of languages. Furthermore, the word embel-embel, which was stated in Javanese, was inserted by the trainee teacher in between English phrases and Bahasa Indonesia word. This intra-sentential switching was delivered by the trainee teacher when she lectured the students about present tense. At that time, the students commonly made mistakes related to the form of verb that should be used in present tense. As a consequence, the trainee teacher gave them further understanding toward the case by saying intra-sentential switching in 8. After describing the types of code-switching used in trainee teacher's teacher talk, in summary, there were three types of them used in teaching foreign language classroom. They were tag-switching marked by the existence of simple fixed at the beginning or the end of the code-switching, inter-sentential switching identified from its composition between sentences or sentence and clause, and intra-sentential switching that used through word or phrase embedded in phrase or clause from another language, word or phrase inserted between words or phrases from another language, and words or phrase stayed in between two types of languages. DISCUSSION Related to the types of languages contributed on the code-switching done by the trainee teacher in her teacher talk, the implementation of various languages in the second language classroom was proven. The results pointed out the four types of languages; English, Bahasa Indonesia, Javanese, and Arabic that were reclassified by the researcher into five combinations based on the language combinations made by the trainee teacher. They were English and Bahasa Indonesia, English and Javanese, English and Arabic, Bahasa Indonesia and Javanese, and English, Javanese, and Bahasa Indonesia. They were used by the trainee teacher in running the second language classroom of the seventh grade in SMP Negeri 1 Madiun. Since the trainee teacher used various types of languages, it can be said that teaching English as a foreign language will not be able to be separated with the practice of other languages that both trainee teacher and students acquired before. Also reflecting on the same facts, the trainee teacher mostly used the first combination which was English and Bahasa Indonesia stated on 203 numbers in three observations recorded. Then, the others combinations only contributed in few numbers; English and Javanese appeared in 3 times, English and Arabic in once, Bahasa Indonesia and Javanese in twice, and last combination, English, Javanese, and Bahasa Indonesia in once only. Regarding to this fact, among the five combinations found, the trainee teacher preferred to use the first one among the others. Having compared to the theory of teaching English in the second language classroom, the trainee teacher's decision for applying various languages but still put English as the preferable language used among the others was on the correct track. It is believed since the implementation of English provides the language input for the students when there is a very limited support from the other resources (Stern, 1983). This condition was represented by the teaching English as a second language in the seventh grade of SMPN 1 Madiun. The students were lack of resources since English was only used in the English classroom. Then, concerning on the second research question, which was the types of code-switching used, there were three types of them were used in teaching second language classroom based on Sankoff & Poplack (1981). They were tag-switching marked by the existence of simple fixed at the beginning or the end of the code-switching, inter-sentential switching identified from its composition between sentences or sentence and clause, and intra-sentential switching used through word or phrase embedded in phrase or clause from another language, word or phrase inserted between words or phrases from another language, and words or phrase stayed in between two types of languages. Among the three types of code-switching used, inter-sentential switching was most implemented. The use of it was found in 25 numbers in first observation, then it became higher in the second observation which covered 36 numbers, then it decreased slightly in the last observation, 31 numbers. Then, in the second rank was tag-switching found in 60 numbers. In the first observation, it appeared on 18 numbers then enlarged up to 26 in the second observation then finally decreased to be 16 numbers in the third observation. Last, the fewest type of code-switching used was intra-sentential switching that was found in 59 numbers. Ten of them were implemented in the first observation then increased in the second observation and reached up to 12 numbers in the last observation. Referring to the theory in teaching English as a second language, the implementation of code-switching was also allowed to do. It is believed since the use of code-switching becomes an alternative way that can be utilized in bilingual or multilingual circumstances (Auer, 1998). Since English was taught as a foreign language in Indonesia, both teacher and students acquired their first language first. In this case, Bahasa Indonesia, Javanese, and Arabic were languages they spoke before. This reason caused the code-switching made by the trainee teacher composed of the four languages. Conversely, if both teacher and students did not live under the bilingual or multilingual circumstances, they would not have been able to speak various languages then the implementation of code-switching would not be there. Also, by implementing the first language, the process of acquiring the second language which was English would be considered as a successful process since both teacher and students understood the different things about them (Faerch & Kasper, 1983). When the code-switching was implemented, the English was not the only language that was allowed to be used. Here, both first language and English were used together. Through this practice, the understanding about their differences could be clear. For example, in 3, the trainee teacher described the differences between doubt and ndaut. The first word was taken from English while the second one was from Javanese. They both did not have any correlation related to their meaning. In order to make the students understand about them, the trainee teacher used both words in English and Javanese. The third point, in line with the reasons of using the code-switching in teacher talk reflected on Flanders (1970) which are lecturing, giving directions or confirmation, criticizing or justifying authority, accepting feeling, praising or encouraging, accepting or using the students' thought, and asking question towards the students. Among the seven reasons mentioned, only five of them became the reasons why the trainee teacher used code-switching in her talk when teaching English as foreign language was done. They were lecturing the students, giving confirmation, criticizing or justifying the authority, praising and encouraging, and asking question. Based on the above discussions, related to the types of languages and code switching done by the trainee teacher in her teacher talk, both of them were not deniable to be implemented since it revealed five positive reasons of using them. However, the use of English as a foreign language should be maximized in order to give a comprehensible input for the students. CONCLUSIONS Regarding to the results revealed in this study, it exposed the four conclusions related to the research questions discussed. First, related to the types of languages used by the trainee teacher in her teacher talk, there were four types of languages English, Bahasa Indonesia, Javanese, and Arabic represented on the five combinations namely English and Bahasa Indonesia, English and Javanese, English and Arabic, Bahasa Indonesia and Javanese, and English, Javanese, and Bahasa Indonesia. Second, there were three types of code-switching which were tag-switching, inter-sentential switching, and intra-sentential switching in five combinations namely English and Bahasa Indonesia, English and Javanese, English and Arabic, Bahasa Indonesia and Javanese, and English, Javanese, and Bahasa Indonesia. Third, there were five reasons of using the code-switching in teacher talk which were lecturing, giving directions or confirmation, criticizing or justifying authority, praising or encouraging, and asking question towards the students. REFERENCES Al-Otaibi, S. S. H. (2004). The Effect of "Positive Teacher Talk" on Students' Performance, Interaction & Attitudes: A case Study of Female Students at the College of Languages & Translation at King Saud University. King Saud University, King Saud. Ary, D., Jacobs, L. C., & Sorensen, C. (2010). Introduction to Research in Education. Belmont, CA: Wadsworth. Auer, P. (1998). Code-switching in Conversation: Language, Interaction and Identity London: Routledge. Bailey, K. D. (1994). Methods of Social Research (4 ed.). New York: The Free Press. Cook, V. (2000). Second Language Learning and Language Teaching (2 ed.). Beijing: Foreign Language Teaching and Research Press. Ellis, R. (1985). Understanding Second Language Acquisition. Shanghai: Foreign Language Education Press. Faerch, C., & Kasper, G. (1983). 'Plans and strategies in foreign language communication', in Strategies in Interlanguage Communication. London: Longman. Flanders, N. A. (1970). Analyzing Teacher Behavior. Addison-Wesley: Reading Mass. Gumperz, J. (1982). Discourse Strategies. Cambridge: Cambridge University Press. McCaffrey, D. F., Lockwood, J. R., Koretz, D., Louis, T. A., & Hamilton, L. (2004). Models for the Value Added Modeling of Teacher Effects. Journal of Educational and Behavioral Statistics, 1. Sankoff, D., & Poplack, S. (1981). A Formal Grammar for Code-switching International Journal of Human Communication 14(Papers in Linguistics), 3-45. Stern, H. H. (1983). Fundamental Concepts of Language Teaching. Shanghai: Shanghai Foreign Language Education Press. Susanto. (2010). Konsep Penelitian Tindakan Kelas dan Penerapannya. Surabaya: Lembaga Penerbitan FBS UNESA.
The American Civil War is one of the defining events in American history. Abundant studies cover every aspect of the conflict, from strategic analysis to the material culture of uniforms. Even with thousands of academic studies, each adding a new interpretation, there remains still unexplored territory. This study's objective is to expand upon and connect these previous interpretations to produce another tier in understanding a specific chapter of the war. The question posed centers on not the Confederate strengths but the Federal weaknesses. Research shows how the failure and limitations of Union strategy, policy, and the inability to logistically sustain massive offensives opened the way for the Confederacy to capitalize on, and turn the tide of the war. Furthermore, how did the Confederate strategies both militarily and politically have the greatest success and influence on the Kentucky and Maryland Campaigns and the overall outcome of the war? ; Master of Arts in Military History ; Capstone Autumn 1862 The High Tide of the Confederacy Colin E. Zimmerman A paper submitted in partial fulfillment of the requirements for the Master of Arts in Military History Norwich University MH562 Capstone Paper Dr. Wesley Moody 23-August-2020. 2 Thesis: The American Civil War is one of the defining events in American history. Abundant studies cover every aspect of the conflict, from strategic analysis to the material culture of uniforms. Even with thousands of academic studies, each adding a new interpretation, there remains still unexplored territory. This study's objective is to expand upon and connect these previous interpretations to produce another tier in understanding a specific chapter of the war. The question posed centers on not the Confederate strengths but the Federal weaknesses. Research shows how the failure and limitations of Union strategy, policy, and the inability to logistically sustain massive offensives opened the way for the Confederacy to capitalize on, and turn the tide of the war. Furthermore, how did the Confederate strategies both militarily and politically have the greatest success and influence on the Kentucky and Maryland Campaigns and the overall outcome of the war? It will be necessary to answer this question through a multilayered approach. Instead of viewing the Kentucky and Maryland campaigns on the tactical level, which has already consumed most of the historiography on the topic, this study will instead find an explanation to this question through political, logistical, organizational, leadership personalities, and economic components and how they dictated the overall strategic picture and framework. When synthesizing all these components together, one potential answer generates: the grand Confederate offensive in the autumn of 1862, a direct result of botched Federal strategic measures and limitations, divided political policies, and the Union's struggling logistical capabilities; indicated the high tide of the Confederacy. Through battlefield victories and seizing the initiative in direct and indirect courses, Confederate leadership allowed the Southern field armies to exploit the Federal weaknesses culminating in the Kentucky and Maryland campaigns. 3 These campaigns offered the Confederacy its only realistic chance of ending the war on political and strategic terms that favored the South. An examination of each specific component and its relation to the Confederate high tide's theory is therefore essential to back this new interpretation. Political Factors of the North, South, and Europe; and its Benefit to the Confederacy in 1862: All wars, especially civil wars, are political in their foundation, influence, and execution. In "On War," Carl von Clausewitz states that "the political object, as the original motive of the War, will be the standard for determining both the aim of the military force and the amount of effort to be made." 1 This axiom applies to events in the autumn of 1862 since political factors dominated the motivation of strategy. The Confederacy's legitimacy resided within its field armies continued existence. Their ability to gain military victories that supported both the strategic and political realms was the essential component that needed to be sustained if the South was to remain independent. The North was in a completely different predicament, as the rival political factions, Republican's and Democrat's, each with its own opinion on the objective goals and the conduct of the war, could not in the early phase of the war come to common ground as to what the specific nature, cause, plan, and purpose of the Civil War was. The North was a nation at war without complete unification of mind, and purpose, which presented a weakness that could ultimately undo its efforts. Complicating matters for President Abraham Lincoln, and his party's agenda, was the fact the Northern Democratic party held just over 45% of the popular vote of free and border states in the 1860 election. 2 In short, the President and his administration existed only in a 1 Carl von Clausewitz, On War, Translated by Colonel J.J. Graham. New York, NY: Barnes & Noble, 2004. 10. 2 James McPherson, Battle Cry of Freedom: The Civil War Era, Oxford: Oxford University Press, 1988. 506. 4 narrow margin and needed to conduct the war in a way suitable to keep the two very different mindsets exhibited by both the Republicans and Democrats in agreement. The Kentucky and Maryland campaigns occurred while changing Republican ideas on the persecution of the war and mid-term congressional elections, which proved to be a significant juncture in Northern and foreign politics. To be sure, the summer and fall of 1862 were extremely delicate times for Lincoln and the Republicans, and they could not afford any negative setbacks. Lacking any precedent to draw on, the Lincoln Administration delicately approached the rebellion by seeking the destruction of Confederate armies and exempting the Southern population from the burdens of war by respecting the civilians' constitutional rights and property. Historian Mark Grimsley captured the conviction of the policy by pointing out that the Lincoln administration renounced any intention of attacking slavery; and the government's assumption that most white Southerners were lukewarm about secession, and if handled with forbearance, would withdraw their allegiance from the Confederacy once Union armies entered their midst. 3 This policy known as conciliation, therefore, served as the beat to which Union forces marched off to war. Not all Northern generals and radical Republicans embraced this; however, the policy served as the first step in an evolutionary process that would eventually culminate in "hard-war." The effects of conciliation created favorable conditions for the Confederacy from which they were able to exploit the "limited war" shortcomings of the Union and surge forward into the fall offensive and their high tide. These shortcomings manifest in several different forms: leadership, strategic limitation, and foreign and domestic political pressure. Unfortunately for the 3 Mark Grimsley, The Hard Hand of War: Union Military Policy toward Southern Civilians, 1861-1865. Cambridge: Cambridge University Press, 2013. 3. 5 Union, the combination of these factors exposed themselves in a negative light nearly all simultaneously, creating a perfect opportunity for the Confederates to take advantage of the drawbacks and pursue victory. Fueling the fire was the Lincoln Administration's policy regarding the appointment of military governors in captured territory. The issue arose when these cities, such as Nashville, were turned into massive supply centers for Union armies, resulting in intense rivalries between city and country, neighboring communities, and whites and blacks as they competed for jobs and dominance. 4 Henry Halleck, George McClellan, Don Carlos Buell, the key leaders of the Federal armies in 1862, generated the most immediate consequences stemming from the shortcomings of conciliation from as these three adherents to firm Democratic principles and military strategy are most responsible for creating the opportunity for a Confederate offensive. Generals Halleck, McClellan, and Buell are often portrayed by historians as lacking the "killer instinct," especially when compared to Ulysses S. Grant, William T. Sherman, and Phil Sheridan. However, a more accurate analysis finds them as men who followed the conciliation policy almost to the letter for political, personal, or logistical reasons. Halleck himself wrote the Elements of Military Art and Science, where he harped on the capture of strategic points, incurring the least number of casualties and damage as possible as the primary strategy of winning a war. Ironically, Halleck, the most influential Union general in 1862, believed that warfare was unjustifiable in most cases and should only be conducted with the utmost caution. 5 As General in Chief, Halleck had a significant influence on the conduct of operations of the Union forces. Each of these three 4 Grimsley, The Hard Hand of War, 35-36; Scott Nelson and Carol Sheriff, A People of War: Civilians and Soldiers in America's Civil War, New York: Oxford University Press, 2007. 88. The reference to negative leadership refers to the actions of Nathaniel Lyon and Francis Blair; who introduced "harsh" measures in 1861 prematurely which led to a brutal guerilla war and other political ramifications. 5 Henry Wagner Halleck, Elements of Military Art and Science: Course of Instruction in Strategy, Fortification, Tactics of Battle, Embracing the Duties of Staff, Infantry, Cavalry, Artillery, and Engineers, Adapted to the Use of Volunteers and Militia, Third Edition, New York: D. Appleton & Company, 1862. 7-9. 6 commanders prescribed to similar variants of Halleck's theory, whose universal core value of caution above all else acted as the catalyst to create the conditions for the Confederacy to crest in the fall of 1862. While the reigns of military success were in McClellan's and Buell's hands during the Maryland and Kentucky campaigns; Halleck made two major errors in 1862 that are directly responsible for igniting the Confederate offensives. The first was his overabundance of caution in taking Corinth, allowing the Confederates to slip away and then failing to retain the initiative by pushing to Vicksburg while simultaneously failing to capture Chattanooga. The second major failure was his inability to harness his granted power and force McClellan to speedily and effectively send his army to the aid of John Pope, eliminating any opportunity for a combined assault on Lee's smaller army. 6 The Democratic principles these generals prescribed to differed in many respects from Lincoln and the Republican agenda on the idea of the war. Each strongly believed in the preservation of the Union yet favored winning the war by the least drastic measures, the least number of casualties, and on a platform acceptable to their Democratic party beliefs. 7 For instance, McClellan wrote Buell, upon the latter's elevation to command of the Army of the Ohio: "bear in mind that we are fighting only to preserve the integrity of the Union and to uphold the power of General Government….be careful so to treat the unarmed inhabitants as to contract, not widen, the breach existing between us & the rebels." 8 Additionally, Generals Pope, Grant, and Rosecrans, who likely weren't as politically polarized as the former three, contributed to the growing political dissension in 1862 in their own right. Therefore, by their actions, federal military leadership did more to subvert the Union military from ending the war quickly and 6 Russel F. Weigley, A Great Civil War: A Military and Political History, 1861-1865, Indianapolis: Indiana University Press, 2000. 135-136. It is arguable whether or not the Army of the Potomac could have arrived in its entirety rapidly enough to join with Pope. However, personal and in-house political agendas did not move the efficiency along any faster. 7 Weigley, A Great Civil War, xix-xxi. 8 Grimsley, 64. 7 dividing political tension based on faction theology more than any other public figures in 1862. One of the more notable incidents that fit into the framework of subversion was Grant's debacle at Shiloh, which brought strong opposition from anti-war Democrats, causing cautious leaders such as Halleck and McClellan to tighten their grip and fear repeat attacks. Most detrimental in this respect was the administration's and Halleck's decision to temporarily bench Grant during the Corinth episode, then subsequently leaving him in a position where he could not act with his usual aggressiveness against Stirling Price and Earl Van Dorn. Before his removal as General in Chief, George McClellan wrote Halleck then in charge of western forces, "The future success of our cause demands that proceedings such as Grant's should at once be checked. Generals must observe discipline as well as private soldiers. Do not hesitate to arrest him at once if the good of service requires it, & place CF Smith in command." 9 Grant's "recklessness" at Shiloh created quite the stir on the home front, which as a result, political rivals of the Lincoln Administration, sought to break down Grant as a way to spread discontent and fit the anti-war platform. They harped on the high number of casualties, the surprise of the Confederate attack, and the black eye to the seemingly unstoppable Union war machine. The backlash reached Washington, prompting a response from the Administration. In a telegram to Halleck, Secretary of War Stanton wrote, "The President desires to know why you have made no official report to this department respecting the late battles of Pittsburg landing. And whether any neglect or misconduct of General Grant or any other officer contributed to the sad casualties that befell our forces on Sunday." 10 The battle of Shiloh became the first political debacle that militarily opened the door for the Confederacy to take the offensive in the fall of 1862. 9 Nancy Scott Anderson and Dwight Anderson, The Generals: Ulysses. S. Grant and Robert E. Lee, Avenel: New Jersey, 1987. 230. 10 Anderson, The Generals, 241. 8 The most immediate politically charged consequence materialized in Halleck's handling of the advance on Corinth, which exemplified his standard cautiousness with added paranoia of avoiding another repeat of Shiloh. 11 The delicate politically charged caution continued even after the successful capture of Corinth in Halleck's decision to send Buell, over Pope or Grant to seize Chattanooga. Halleck's snail-like cautious advance on Corinth, and the decision to send Buell to Chattanooga, allowed the disorganized Confederate army to withdraw from Corinth, establish a new commander in the form of Braxton Bragg, who in turn brought reorganization, discipline, and professionalization to the Army of Mississippi; which proved to be the genesis of Bragg and Smith having the ability to advance into Tennessee and Kentucky. 12 Military shortcomings turned political disasters in the Eastern Theater during the summer of 1862, soon overshadowed Shiloh, and added dramatic momentum and opportunity to the rise of the Confederate high tide in the war's primary theater. McClellan and his Army of the Potomac, having suffered political harassment in late 1861 into the spring of 1862, began their downward political spiral with the Army of the Potomac's loss of initiative and strategic defeat during the Seven Days Battles on the Peninsula. The setbacks along the James River coupled with the black eye at Shiloh, and the defeat of Federal forces in the Shenandoah Valley in the spring of 1862 had devastating political effects, which left the North and European powers believing that all hope for the Union resided with McClellan and his Army of the Potomac. The proximity of the Union and Confederate capitals made the Eastern theater a hot spot for journalists and policymakers on both sides, who saw the region as the deciding factor in the Civil War's outcome. This army's setback at the gates of Richmond did more to influence how events 11 Larry J. Daniel, Days of Glory: The Army of the Cumberland, 1861-1865, Baton Rouge: Louisiana State University Press, 2006. 85. 12 Thomas Lawrence Connelly, Army of the Heartland: The Army of Tennessee, 1861-1862, Baton Rouge: Louisiana State University Press, 2001. 188-194. 9 unfolded in the east in 1862 in both the strategic and political sense, both foreign and domestic. 13 The shortcomings on the Peninsula stymied the Union's hope to quickly end the war while making the voices of "Peace Democrats" louder and the political situation even more delicate. As if the Lincoln Administration did not already have enough burdens, both England and France, whose neutrality was necessary for the Union war effort, began to openly question the North's ability to subdue the South and end the rebellion. 14 Stonewall Jackson's brilliant campaign in the Valley, coupled with the Army of Northern Virginia's ferocious performance on the Peninsula elevated Southern patriotism, and simultaneously dampened Northern morale, convincing many on both sides that Southern victory was achievable. 15 Colonel Charles Marshall, Lee's Assistant Adjutant General believed that Robert E. Lee's emergence onto the scene was the greatest benefit to the Southern cause. He equated Lee's leadership on the Peninsula to that of a color bearer bravely advancing his banner towards the enemy. On political matters Marshall correctly believed that the Northern people were impatient for a speedy victory and that the Federal Government expressed this sentiment in its policy on conducting the war. However, this policy was forcefully and forever altered with the aggressive Lee's emergence onto the scene, whose plan called for carrying on the war indefinitely until the Confederacy achieved victory. Marshall outlined this plan as designed to, "frustrate the enemy's designs; to break up campaigns undertaken with vast expense and with confident assurance of success; to impress upon the minds of Northern people the conviction that they must prepare for a protracted struggle, great sacrifices of life and treasure, with the possibility that all might at last be of no 13 Stephen W. Sears, To the Gates of Richmond: The Peninsula Campaign, New York: Houghton Mifflin Company, 1992. 355. 14 McPherson, Battle Cry of Freedom, 554-555. 15 Peter Cozzens, Shenandoah 1862: Stonewall Jackson's Valley Campaign, Chapel Hill: University of North Carolina Press, 2008. 507-508. 10 avail; and to accomplish this at the smallest cost to the Confederacy." 16 This leadership change at such a critical moment proved to be the dawn of turning Confederate fortunes in the east. Public opinion and political reactions to the Union failure on the Peninsula were mixed; however, strong opposition towards McClellan emerged and created discord among the rival Democrats and Republicans, each of whom found outlets to accuse the other of the responsibility of the campaign's failure. 17 Amid this political turmoil, Lincoln, in an effort to offset the discord introduced Major General John Pope, who only managed to escalate political dissension to a fever pitch with his disastrous Northern Virginia campaign. 18 In the Western Theater, the emergence of Braxton Bragg also came at a critical juncture in juxtaposition with the events occurring in the east. Bragg took command of the Army of Mississippi at one of its darkest hours, and through exemplary organizational skills, reshaped the Army of Mississippi into a professional, disciplined force capable of delivering a lethal blow. With such a force, Bragg was able to look to more risky opportunities that would offset the Union strategic gains in the west and regain Tennessee and perhaps set the stage for Kentucky.19 Private Sam Watkins of the 1st Tennessee recorded the positive change in morale from the melancholy atmosphere at Corinth to when new lifeblood in the army emerged. "We were in an ecstasy akin to heaven. We were happy; the troops were jubilant; our manhood blood pulsated more warmly; our patriotism was awakened; our pride was renewed and stood ready for any emergency; we felt that one Southern man could whip twenty Yankees. All was lovely and 16 Charles Marshall, Lees Aide-De-Camp: Being the Papers of Colonel Charles Marshall Sometime Aide-De-Camp, Military Secretary, and Assistant Adjutant General on the Staff of Robert E. Lee, 1862-1865, Edited by Gary W. Gallagher, and Frederick Maurice, Lincoln: University of Nebraska Press, 2000. 74. 17 Sears, To the Gates of Richmond, 346-347. 18 John J. Hennessy, Return to Bull Run: The Battle and Campaign of Second Manassas. Norman: University of Oklahoma Press, 1999. 468-472. 19 Earl J. Hess, Banners to the Breeze: the Kentucky Campaign, Corinth, and Stones River, Lincoln, Neb.: University of Nebraska Press, 2010. 19-22. 11 the goose hung high." 20 Although the Confederates had suffered initial setbacks early in 1862, the advantages afforded by conciliation, cautious Federal leadership, and the emergence of Lee and Bragg allowed for a reversal of fortunes. In 1862 Southern patriotism was running high; the idea of independence and the Confederate soldier's superiority was at its wartime peak. 21 Lee's decision to invade Maryland was political in nature. Maryland Campaign historians, Joseph Harsh, Scot Hartwig, Stephen Sears, James Murfin, and Ezra Carman while differing on strategic matters, all agree that Lee's primary purpose was to secure a decisive victory which would gain the South the political victory; either in the form of Northern domestic politics or international recognition and or intervention. The application of political pressure to Lee's offensive outweighs all the deficiencies faced by his army in the logistical realm, and further illustrated his grasp on the delicacy of Northern political division. Clearly, he understood this division and had faith that his smaller, ill-supplied force had a chance to deliver a blow that would fracture the Northern populace and produce an outcome that favored the South. General Lee suggested his understanding of such matters in a letter to President Jefferson Davis while in Dranesville on September 3. "The present seems to be the most propitious time since the commencement of the war for the Confederate Army to enter Maryland.….if it is ever desired to give material aid to Maryland and afford her and opportunity of throwing off the oppression to which she is now subject, this would seem the most favorable." 22 The domestic and foreign political objectives acting as primary motives for the "invasion," were in that instant equal to the strategic goals which accompanied them when 20 Samuel R. Watkins, Company Aytch or A Side Show of the Big Show: A Memoir of the Civil War. Edited by Ruth Hill Fulton McAllister. Nashville, TN: Turner, 2011. 45. 21 Joseph T. Glatthaar, General Lee's Army: From Victory to Collapse, New York: Free Press, 2008. 207; James Longstreet, Battles and Leaders of the Civil War, Edited by Ned Bradford. New York: The Fairfax Press, 1979. 263. 22 United States War Department, The War of the Rebellion: A Compilation of the Official Records of the Union and Confederate Armies. Vol. 19. Washington: Govt. Print. Off., 1880. 590. 12 defining the military value of the campaign; this is a unique feature to the Maryland Campaign and its condition for victory, while only a secondary task in Kentucky. In contrast historian Edwin Coddington paints a different picture for Lee's purposes in the Pennsylvania Campaign of 1863. Coddington outlined that Lee, in this part of the war, contended with the new Federal doctrine of "hard war" and emancipation, eliminating the decisive battle matched with the political advantage that existed in 1862. Therefore, Lee's only real option was to defeat the Army of the Potomac in detail, earning a strategic victory rather than a political one. 23 Such a task required adequate logistics, and a complete and total battlefield victory, two factors that eluded the Confederacy during the war. Such victory conditions presented to Lee in 1862 were unique and would never materialize again in any substantial form. Political division in the North was at fever pitch in the late summer of 1862; evidence of the discord's depth is apparent in everything from personal letters through Northern news outlets. Robert E. Lee, an avid reader of Northern papers, understood this notion and sought to exploit it. Domestically, Northern Democrats maintained a loud voice in critical regions and states, which only grew more robust and more resilient with each military shortcoming and failure. August and early September saw a heightened level of panic and discouragement in the North, with Pope's defeat and Lee's invasion of Maryland, while at the same time Kirby Smith's Confederate Army of Kentucky demonstrated against Cincinnati. Pennsylvania was understandably the most unnerved due to its proximity to Maryland and vital war infrastructure, and its Republican governor Andrew Curtin's demand for 80,000 troops to defend his state embodied it. Additionally, the mayors of the influential northern cities of Harrisburg, Philadelphia, and 23 Edwin B. Coddington, The Gettysburg Campaign: A Study in Command, New York: Simon and Schuster. 1968. 6-7. 13 Baltimore were alarmed, fearing their respective city was the target of Lee's advancing legions.24 In Cincinnati, the situation turned somewhat drastic. After destroying the Union forces at Richmond, Kentucky on August 30, Kirby Smith as a result had a clear road to the Ohio River. Understandably Illinois, Indiana, and Ohio all worried what Smith's next move would be while they scrambled to organize bodies of troops. General Lew Wallace arrived in Cincinnati, declared martial law and quickly set about organizing a defense. 25 With panic to the extremity of declaring martial law, the Northern population began to question their ability to win the war openly. Prominent figures such as George Templeton Strong, Samuel Galloway, Reverend Robert Laird Collier, and Senator Garrett Davis, spoke not only for themselves but also for the majority of the people by openly challenging President Lincoln and his administration on their ability to conduct the war. The accusations included Lincoln's unfitness for the Presidency, the constant change of military leadership in the east, which showed instability and was severely hurting morale in the North. Demands also arose that there be a complete reorganization of the Administration. 26 The Lincoln Administration's threat of a draft, unless an additional 300,000 volunteers could be raised created further tension. The idea of a draft disgusted many Northerners; however, with "patriotic" spirit enticed by bounties, nine-month service, and the threat of draft, the ranks of new regiments began to fill in late summer of 1862, only hitting forty-five percent of the intended quota. 27 The Union soldiers themselves cast a gloomy mood over the situation and expressed their views with varying levels of disgust. Lieutenant Elisha Hunt Rhodes of the 2nd 24 David H. Donald, Lincoln, New York, NY: Touchstone, 1996. 373. 25 Vernon L. Volpe, "Dispute Every Inch of Ground": Major General Lew Wallace Commands Cincinnati, September 1862." Indiana Magazine of History 85, no. 2 (1989): 139. 26 Donald, Lincoln, 373. 27 McPherson, Battle Cry of Freedom, 492. 14 Rhode Island expressed in his diary that: "I fear we are no nearer the end of the war than we were when we first landed at Fortress Monroe five months ago." 28 Captain Francis Donaldson of the 118th Pennsylvania captured the mood in Washington: "We are constant witness of the sad plight of the Army of the Potomac, as thousands of Genl. Pope's troops in great demoralization are ever passing the Fort in retreat to Washington. The poor old Army of the Potomac, how I pity it." 29 Captain Henry Pearson of the 6th New Hampshire also expressed his views in the aftermath of Second Manassas: "You need not be surprised if success falls to the rebels with astonishing rapidity." 30 Brigadier General Marsena Patrick's opinion bordered on insurrection: "There is a general feeling that the Southern Confederacy will be recognized & that they deserve recognition." 31 Lieutenant Charles Seton Fleming of the 2nd Florida Infantry, in a letter home to his mother describing the aftermath of the Second Manassas campaign, echoed Patrick's views when he wrote: "Our victory is complete, even the Yankee prisoners acknowledge it." 32 Lieutenant Colonel Henry Hubbell of the 3rd New York wrote in August 1862: "I am not sure that it would not be a good thing to have the rebels get possession of Washington however, as it might waken up the north to the fact that we are having a war in earnest, and not merely playing soldier…. We have got men & means enough in the north to put an end to this war in 90 days, if they would only go at it in earnest and let politics & the nigger alone." 33 28 Elisha Hunt Rhodes, All for the Union: A History of the 2nd Rhode Island Volunteer Infantry in the War of the Great Rebellion. Edited by Robert Hunt Rhodes. Lincoln, RI: A. Mowbray, 1985. 69. 29 Francis Adams Donaldson, Inside the Army of the Potomac: The Civil War Experience of Captain Francis Adams Donaldson. Edited by J. Gregory Acken. Mechanicsburg, PA: Stackpole Books, 1998. 104. 30 D. Scott Hartwig, To Antietam Creek: the Maryland Campaign of September 1862. Baltimore: Johns Hopkins University Press, 2019. 134-135. 31 Ibid., 134-135. 32 Francis P. Fleming, A Memoir of Captain C. Seton Fleming: of the Second Florida Infantry, C.S.A., Reprint 1985: Jacksonville: Times-Union Publishing House, 1884. 66. 33 Simon P. Newman, "A Democrat in Lincoln's Army: The Civil War Letters of Henry P. Hubbell." The Princeton University Library Chronicle 50, no. 2 (1989): 155-68. 157. 15 Hubbell eluded to the growing discord of racial issues that many Democrats saw as an unnecessary and politically charged motive to a war that was supposed to be strictly for preserving the Union. Nevertheless, this issue began to transform the cause of the war in the summer of 1862, adding only more weight to a very delicate political situation. Hubbell's feelings weren't isolated; instead, the sense that the war was taking on a new front to end slavery infuriated many Northerners. Hubbell's views on racial matters and slavery were not limited to himself, in fact, the stiffest opposition to war that had anything to do with freeing slaves came from the Midwest states; where racism was an epidemic culturally, especially in the Army of the Ohio. The talk of national emancipation led hundreds of men to desert and, in some cases, join the Confederacy. 34 Sentiments similar to these echoed across the Union armies and, undoubtedly, were shared by family and friends on the home front. Some individuals turned bitter, and perhaps extreme, which reflected political, ideological, and sectional differences in the North, which under the pressure of a seemingly collapsing system reared its ugly head. The term "invasion" has been used several times thus far, especially by the Union's most publicized general, George McClellan. This term and others related to it divided the minds of many of those who had significant power to dictate the war. Abraham Lincoln, at no point, recognized the Confederacy as a legitimate entity. He always maintained that the Southern States were in rebellion and needed to be brought back into the Union. Interestingly, his senior generals in 1862, mostly Democrats, saw the Confederate offensives as invasions, insinuating their conscious or subconscious recognition that Confederate armies were "foreign invaders" intent on doing harm, which helped fuel the panic, frustration, and seemingly lost Union cause ideology. 35 34 Daniel, Days of Glory, 101. 35 Andrew Pooley, "Shoo-ing the Geese: Lincoln and the Army of the Potomac, 1862-1863." Australian Journal of American Studies 21, no.2 (2002): 86-100. 86-87. 16 Jefferson Davis, the Confederate cabinet, Robert E. Lee, Braxton Bragg, and all the other high-ranking Confederate officers comprehended the growing Northern political disunion. This is evident in the decision to approve a Confederate offensive and the string of strategic goals associated with it. The Army of Northern Virginia, for example, fulfilled its duty of defeating the Federals time and again, completely reversing the tide of the war in the east. As Robert E. Lee sat at his headquarters in the aftermath of Chantilly, it had become abundantly clear that he now possessed the opportunity to strike the decisive blow against whatever Union army would oppose him in Maryland or Pennsylvania, which would likely result in some sort of peace talks. 36 Lieutenant Colonel Edward Porter Alexander Chief of Ordnance in the Army of Northern Virginia saw the picture as clear as Lee. Referring to the army, we wrote: "His [Lee's] army had, that magnificent morale which made them equal to twice their numbers, & which they never lost even to the surrender at Appomattox. And his confidence in them, & theirs in him, were so equal that no man can yet say which was greatest. And no old soldier need ask a prouder record than is implied in that fact. By going into Maryland Gen. Lee could at least subsist his army for a while upon the enemy, & he doubtless hoped, too, for a chance to force the Federal army to come out & fight him under favorable conditions." 37 Confederate officer William Allan, reverberated Alexander's sentiments when he wrote of the Army of Northern Virginia: "its spirit at this time was high. A series of brilliant successes had given it unbounded confidence in itself and its leaders, and the ragged dirty soldiers hailed with joy the advance across the Potomac." 38 The comparison of the Federal and Confederate views as indicated from primary sources, on 36 Hartwig, To Antietam Creek, 52-53. 37 Edward Porter Alexander, Fighting for the Confederacy: The Personal Recollections of General Edward Porter Alexander. Edited by Gary W. Gallagher, United States: The University of North Carolina Press, 2000. 139. 38 William Allan, The Army of Northern Virginia in 1862, Reprint: Middletown: DE, 2020. 273. 17 leadership and the progress of the war at the beginning of the Maryland Campaign were clearly in favor of the South. The leadership of Don Carlos Buell is a prime example of political dissatisfaction, both on the home front and in the army. While McClellan was unpopular with the Administration, he still held favor with most of his officers, and certainly the rank and file of the army and the nation. Buell, however, faced contention on three similar fronts – The Indiana bloc, the general and field officers of the First Division, and the supporters of Alexander McCook, one of his corps commanders. Much of the disgust with Buell occurred during the Kentucky Campaign. This break in unified efforts favored the Confederate cause, particularly in swaying popular opinion in Kentucky. Republican Indiana newspapers ripped into Buell's leadership, declaring that he was completely mishandling the pursuit of two Confederate armies that were ripping up Kentucky and potentially heading towards Indiana, Ohio, or Illinois. Some newspapers called for his immediate dismissal, and a few even demanded he be shot. 39 When comparing Lee and his army to Buell and his, there formulates a fascinating dissection of the polar extremes in popular and political opinion. Lee and his men were on the top of their game, while Buell's forces were at a low ebb. Using these two examples as the basis of measurement, it becomes apparent that overall, the Confederate forces enjoyed a much higher sense of public support and favorability then their Union counterparts did at that particular moment in the war. Scholars have hotly debated the prospect of European powers, particularly England and France intervening and mediating an end to the conflict. The idea of such a prospect was undoubtedly the primary goal for the Confederate strategy in the autumn of 1862. It is essential to view the idea of European intervention in the simplest of forms. The Southern strategy partly 39 Daniel, 128-129. 18 hinged on it, as can be observed via strategic decisions and public opinion, the North, however, feared the prospect. Intervention and mediation on any level would, in the end, be more beneficial to the South, and the Lincoln Administration would appear as incapable; in short, it would be a disaster for the North and Republicans. 40 The onset of a "cotton famine" and the scandal of the Trent affair occurred amid all the politically charged events in 1862, resulting in the British sending an additional 11,000 men to Canada and forcing Lincoln to tread lightly in foreign political matters. 41 Historian Max Beloff believed that the possibility of British intervention was extremely likely in 1862, mainly due to the North's refusal to make anti-slavery sentiments the basis of their cause, instead still focusing on the preservation of the Union, which only supported the pro-Southern faction in Parliament. 42 An examination of Southern newspapers and other editorials, shows public opinion in the South at the beginning of the war was universal in the belief that Great Britain would be forced, through the power of cotton, to intervene either by raising the blockade or by recognizing the Confederate States as an independent nation or perhaps both. 43 Regardless of the likelihood of actual intervention or recognition, the idea of it greatly influenced Confederate leaders, particularly Lee, who notated such objective goals in his correspondence with Davis. Davis agreed outlining his desires in a communication to Lee on September 7. He reminded Lee that the Confederacy was waging war solely for self-defense. Through the eight points he outlined as the guiding principles for the field armies to abide by, Davis continually revolved his doctrine around political objectives whose chief purpose were to achieve peace with the United States. If the South maintained a self- 40 McPherson, 444. 41 Nelson, A People at War, 166. 42 Max Beloff, "Historical Revision No. CXVIII: Great Britain and the American Civil War." History, New Series, 37, no. 129, (1952): 40-48. 42. 43 Schuyler Dean Hoslett, "The Richmond Daily Press on British Intervention in the Civil War: A Brief Summary." The William and Mary Quarterly 20, no. 1 (1940): 79-83. 80. 19 defense posture, with the objective of peace through battlefield victory; then the likelihood of positive European intervention on their behalf had a much higher probability, which in turn could possibly bring a speedy end to the war with terms that favored the Confederacy. 44 Logistical Concerns and Organizational Components: While the South always lagged behind the North in terms of finance, economy, manufacturing, manpower, and many other logistical concerns, the disparity was narrower in 1862 than in the coming years. As a point of contention, several trends and circumstances in the Union war effort benefited the South more than it aided the Union on the grand stage. Concerning logistics, Clausewitz's maxim states: "The dependence on the base increases in intensity and extent with the size of the Army, which is easy to understand. An Army is like a tree. From the ground out of which it grows it draws it's nourishment; if it is small it can easily be transplanted, but this becomes more difficult as it increases in size….When therefore, we talk of the influence of the base on the operations of an Army, the dimensions of the Army must always serve as the scale by which to measure the magnitude of that influence." 45 This axiom is precisely the predicament of the Northern war effort in the first two years of the war. The logistical portion of this study will examine the condition and availability of uniforms and equipment, quality of weaponry then in circulation, training and experience of soldiers, and finally the ability of each government to produce and supply its troops effectively. A logistical understanding is crucial for understanding the obstacles and conditions faced by the armies and how it dictated their effectiveness on campaign and immediate tactical ability on the battlefield in 1862. The South, as previously stated from the very beginning of the war, was behind its 44 OR, vol 19, 1: 598-599. 45 Clausewitz, On War, 353-354. 20 opponent in logistical matters; however, the North in 1862 was not at the climax in its ability of production and supply, and therefore lacked significantly in certain areas. However, it is essential to note that the limitations of the Federal logistical system by the fall of 1862 were only a few months shy of efficiently supplying the vast number of troops in the field. The first evidence of a marked change in the Union's logistical ability emerged in the Chancellorsville Campaign's genesis, after the winter of 1862-63. 46 Accepting the notion that the Confederate armies were in rough shape logistically; it is important to note that the primary leadership in the field was acutely aware of the shortages. However, the unfolding opportunity demanded a military strike that outweighed logistical concerns. Therefore, an examination into the Federal system's shortcomings is necessary to show the benefits it offered toward the Confederacy. The United States Army in the Antebellum period contained roughly 15,000 men of all arms. Compared with an army of 600,000 men in 1862, it is understandable that there would be significant shortcomings and hurdles to overcome in a nation that, as a rule, did not trust professional armies nor want to foot the bill for one. Nevertheless, the North had a clear advantage when it came to industrialization and manufacturing. Over one million Northerners worked in industrial jobs, ten times more than their Southern counterparts. Furthermore, the North contained roughly 100,000 factories compared to the South's 20,000. 47 Yet, as already pointed out, the prewar army was tiny and supplied with uniforms and equipment solely from the Schuylkill Arsenal in Philadelphia. Additionally, the arsenals producing firearms were limited, with all those existing in the South subsequently seized upon secession, having fewer firearms available to Northern regiments. 48 The North, therefore, would have to raise and equip an army 46 Stephen Sears, Chancellorsville, New York: Houghton Mifflin Company, 1996. 71-75 47 Matthew S. Muehlbauer and David J. Ulbrich, Ways of War: American Military History from the Colonial Era to the Twenty-First Century. New York: Routledge, 2018. 174-175. 48 Joseph E. Chance, The Second Texas Infantry, From Shiloh to Vicksburg, Austin: Eakin Press, 1984. 16, 24. 21 primarily with outdated weapons and with an industrial system that wasn't geared toward war manufacturing. The North's only saving grace was its economic might. 49 Economically it is crucial to understand that the Union that won the war in 1865, was not the same financial institution nor economy in 1861 and 1862. It was in major part due to the Legal Tender Act of 1862 and the National Currency Act of 1863, that the North was able to pay for the sustainment of the war; yet it took time for these acts to take effect. Therefore, in 1862 financially, the North was undoubtedly at its weakest; many of the state and municipal banks, especially those in border states, had closed their doors, while millions of businesses and private civilians hoarded gold. 50 The Union was only able to field the armies it did in 1861-1862 because of its ability to pay for the conversion and development of machinery needed for equipment, weaponry, and uniforms while relying initially on its prewar militia. Faced with arming a massive army overnight, the United States was forced to arm many of its regiments with outdated firearms, such as the M-1842 Smoothbore musket, and the M-1816 Flintlocks that were converted to percussion, in addition to supplementing itself with foreign weapons, from Britain, Belgium, France, Austria, and others. These weapons except those from Britain, proved to be severely outdated compared to the technology available in the 1860s. The importance of recognizing the sub-standard firearms is their effectiveness on the battlefield and the potentiality of changing the outcome in a crucial moment in a battle. In an era of the rifled musket that was accurate from 250-300 yards, a typical smoothbore musket ranged from 80-100 yards. A significant portion of Federal troops were armed with outdated weapons in the Maryland and Kentucky Campaigns. A focus on any of the principal engagements in that time frame will show that regiments armed 49 McPherson, 442-445. 50 Nelson, 132-133. 22 with such weapons were in certain circumstances ineffective on the immediate tactical plane, and perhaps beneficial to their adversary. The disparity of weapons had begun to improve for the North in 1862; however, the infusion of nearly 300,000 volunteers during the summer of 1862 created a logistical gap once again. Many of the existing regiments in the army still shouldered outdated weapons, and now with legions of new men forming, these troops found themselves supplied with weapons that were unequal to the rigors of Civil War combat. Of this second wave of new recruits, the 12th New Jersey Volunteers serve as an excellent microcosm to examine the Union's logistical deficiencies in the rush to arm new recruits in 1862. Initially, the Jerseymen expected to receive the celebrated Enfield rifle; instead, they ended up with the inferior Austrian Lorenz, which was later exchanged in Washington for the equally outdated 1842 Springfield musket, although they saw this as an improvement over the detested Austrian rifle. 51 While every regiment's experience is different, the new wave and veterans alike in 1862 experienced some level of logistical deficiency that impacted their abelites on campaign or in battle. Aside from weapons, much of the equipment in the Army of the Potomac and the Army of the Ohio at the beginning of the Confederate offensives were at the end of its serviceable life span, due to months of active campaigning, and the inability to properly re-muster the army on a large scale because of the continuity of Confederate aggressiveness, which certainly affected their performance as a cohesive fighting force. Brigadier General Abner Doubleday who commanded a brigade at Second Manassas submitted requisitions to replace equipment and clothing just before the onset of the Maryland Campaign, noted in disgust: "owing to the great number [of other officers] making requisitions, mine were not filled and we were soon obliged to 51 Edward G. Longacre, To Gettysburg and Beyond: The Twelfth New Jersey Volunteer Infantry, II Corps, Army of the Potomac, 1862-1865, Hightstown: Longstreet House, 1988. 24. 23 take the field deficient in everything." 52 This sentiment was backed up by Captain James Wren of the IX Corps, who wrote that the men in his division "looked very bad, being Lousey, Dirty & Almost naked & worn out." 53 The soldiers in the Army of the Ohio were in equally if not worse shape. The vast distances covered by the Western Theater's armies created long supply lines, which fell victim to frequent raids from rebel cavalry. T.J. Wright of the 8th Kentucky Infantry noted in his diary that the Army of the Ohio was: "the hungriest, raggedest, tiredest, dirtiest, lousiest and sleepiest set of men the hardships of this or any other war ever produced." 54 While it is certain that the Confederates were in equally bad situations logistically, they had the benefit victory behind them in the east, and in Bragg's army's case, high morale. Another major struggle for the Federals in 1862 was the ability to get the supplies to its armies. The reason is not one specific aspect, but rather a compilation of bureaucracy, corruption, and lack of precedent to draw off. McClellan's army on the Peninsula had to be supplied from the sea, Pope in command of the Army of Virginia never took the time to ensure his troops had everything they needed, and Buell's army along with the rest of the western forces contended with long supply lines originating in Cairo Illinois, that were frequently raided by Confederate cavalry. The 16th Maine Infantry is a classic example of the suffering that occurred in a system that was outside its capabilities in 1862. The regiment's adjutant and historian Abner Small wrote: "How those men suffered! Hunger, daily felt, was nothing compared with it. Men of education, of refinement, and wealth, who willingly and cheerfully gave up home, with all its love and comfort, for country, made to feel degraded for want of clothing!" Small then describes 52 Hartwig, 137. 53 Ibid., 137. 54 Kenneth W. Noe, Perryville: This Grand Havoc of Battle. Lexington: University Press of Kentucky, 2011. 89. 24 the horrendous conditions: "…without shelter, without overcoats, shoeless, hatless, and hundreds without blankets; and through all that long, sad, and weary tramp, we were jeered at, insulted, and called the "Blanket Brigade!" 55 While examples like this are on the extreme, the narrative fits when assessing the entire logistical picture of the Army of the Potomac in September 1862. The term logistics also dovetails into organizational tables. Aside from sharing similar shortcomings in the area of supply and outdated weaponry, Lee's Army of Northern Virginia was by far the superior force in leadership, experience, and organization when compared with McClellan's force. By September 2, 1862, nearly 61 percent of Lee's infantry had fought in three or more major battles, and 81 percent fought in two or more. All of his 184 infantry regiments were veterans of at least one battle. Not only were Lee's regiments superior in this regard, but his brigade commanders were highly efficient as well. Twenty-seven of Lee's forty brigades were veterans of two or more major battles, while the remaining thirteen had fought in either the Seven Days or Second Manassas. On the divisional level, the highest official level of organization at that point for the A.N.V.; all of the eleven divisions had seen at least one battle. 56 The Union leadership backed this notion up as well. It was widely accepted, and a point still argued amongst historians, that the Southern fighting man was superior. This mythology has far back as the American Revolution corroboration has its roots in early Confederate victories, particularly at First and Second Manassas, the Shenandoah Valley, and the Seven Days battles. These victories generated an aura of invincibility around the Army of Northern Virginia that transcended into the minds of the Federal troops. 57 In fact Lee, true to form was in the first days of September 1862, the living epithet of Baron De Jomini's maxims, "the general should do 55 Abner Ralph Small, The Sixteenth Maine Regiment in the War of the Rebellion, 1861-1865. London: Forgotten Books, 2015. 38. 56 Joseph L. Harsh, Taken at the Flood Robert E. Lee and Confederate Strategy in the Maryland Campaign of 1862. Ashland: The Kent State University Press, 2013. 39-40 57 Pooley, "Shoo-ing the Geese", 88. 25 everything to electrify his own soldiers, and to impart to them the same enthusiasm which he endeavors to repress his adversaries….in general, a cherished cause, and a general who inspires the confidence by previous success, are powerful means of electrifying an army and conducing to victory." 58 In contrast, McClellan's forces reformed into the Army of the Potomac, could not boast anything near the statistics of the Army of Northern Virginia could. September 1862 was the most disorganized and weakest the Army of the Potomac would find itself in the duration of the war. This school of thought canceled out, at least temporarily, any deficiencies faced by Lee's forces. When George B. McClellan rode out of Washington to take command, he found three very different organizations, each with its own command, divisional, brigade, artillery, cavalry, transportation, and quartermaster structures. Additionally, the newly formed regiments, many of whom were only a few weeks old, were rushed to the front and infused into the disorganized mess. Organizing these separate organizations into one effective command would weeks if not months, McClellan would be forced to do it in a matter of days, while in motion, in addition to planning a short-term strategy to deal with Lee. 59 The chaos of the reorganization is apparent in the 5th New York Volunteers' experience. Historian Brian Pohanka related an instance of the 5th as they passed McClellan on the march toward western Maryland: "As they marched, General McClellan reined up beside the troops of Warren's brigade. 'Well, and how is the Old Fifth this evening?' he asked. 'First rate, General, but we'd be better off if we weren't living so much on supposition." 60 Even though he had the bigger force, the disorganization and confusion associated with the rapidity of the Maryland Campaign denied the general his army's full might 58 Baron De Jomini, The Art of War, Translated by Capt. G.H. Mendell, and Lieut. W.P. Craighill, Radford: Wilder Publications, 2008. 30-31. 59 Hartwig, 133-136. 60 Brian C. Pohanka, Vortex of Hell: History of the 5th New York Volunteer Infantry. Lynchburg, VA: Schroeder Publications, 2012. 369. 26 on the battlefield. In different circumstances these obstacles may have been overcome had McClellan had time to prepare. Robert E. Lee sensed his enemy's weakness and used it as part of his foundation to seek permission from President Davis to invade Maryland. "The two grand armies of the United States that have been operating in Virginia, though now united, are much weakened and demoralized. Their new levies, of which I understand 60,000 men have already been posted in Washington, are not yet organized, and will take some time to prepare for the field." 61 Lee identified that his logistical situation was terrible, however, he recognized the unfolding opportunity in front of him. "The army is not properly equipped for an invasion of an enemy's territory. It lacks much of the material of war, is feeble in transportation, the animals being much reduced, and the men are poorly provided with clothes, and in thousands of instances are destitute of shoes. Still, we cannot not afford to be idle, and though weaker than our opponents in men and military equipment's, must endeavor to harass if we cannot destroy them. I am aware that the movement is attended with much risk, yet I do not consider success impossible, and shall endeavor to guard it from loss." 62 The amount of stock Lee put into the Federals logistical organization is apparent. In fact, if taken as a whole, his reliance on the overall Federal weakness is one of his only justifications for his ill-supplied and smaller force to go on the offensive. Additionally, these logistical matters, both of his own and the Federal weakness, coincide directly with Lee's desire to deliver a decisive blow to the Federals quickly. There was not a better opportunity to do it and expect fruitful results, then while the Army of Potomac was at its weakest moment, structurally, organizationally, numerically, and logistically. 61 OR, vol 19, 1: 590-591. 62 Ibid., 590-591. 27 Lee's conclusion of the ill-preparedness of the new Union regiments applies not only to the troops in his sector but also to those in the Western Theater. Much like Lee's army within reach of Washington, Kirby Smith's small army in Kentucky created a panic and proved Lee's theory on the reliability of new soldiers. Kirby Smith successfully and thoroughly destroyed an equally sized Federal force of raw recruits at Richmond, Kentucky, on August 30, 1862, eliminating them from the military equation. Historian Kenneth Noe termed the battle of Richmond as "the most lopsided Confederate victory of the war, as Kirby Smith's men inflicted casualties so staggering that entire Union brigades ceased to exist." 63 With Smith's incursion into Kentucky, a vacuum of chaos erupted in the region, in particular, Ohio. The microcosm of Cincinnati infuses both the political and the serious logistical problems faced by the North in 1862. Historian Vernon Volpe pointed out, "Although the influx of [Union] volunteers was inspiring, with it came a shortage of arms, ammunition, and other equipment needed to outfit the troops properly." 64 This example was echoed across the entire Kentucky region in 1862. Although McClellan's army outnumbered Lee with a total of roughly 87,000 men, twenty percent of his infantry were raw, having been in the army just a handful of weeks and had not even come close to mastering the level of proficiency needed in drill and tactics to be effective on a Civil War battlefield. 65 Even though the Federals were able to put fresh regiments into the field, it became an issue of quantity versus quality. The unfortunate story of the 118th Pennsylvania Volunteers is a classic case in point of these raw troops' ineffectiveness. Arriving to the Army of the Potomac just a few days before the battle of Antietam, the men prepared to enter their first engagement on September 19 at Shepherdstown. Their regimental historian 63 Noe, Perryville, 39. 64 Volpe, "Dispute Every Inch of Ground", 146. 65 Hartwig, 139. 28 wrote: "The teachings of the battalion-drill near Sharpsburg on the previous day [September 18] now had practical application." The 118th's Colonel stated in his official report that: "We returned their fire as fast as possible, but soon found that our Enfield rifles were so defective that quite one-fourth of them would not explode the caps." 66 The 118th's story, while extreme is not unique, another raw Federal regiment the 128th Pennsylvania found itself in an even worse circumstance, owing to its lack of training. The 128th Pennsylvania arrived at the army just days before as well and were assigned to the newly organized XII Corps, which itself contained some of the highest proportions of raw troops. During the battle of Antietam, the new regiment found itself in Miller's Cornfield and due lack of basic drill unable to maneuver itself back onto its brigade in the face of onrushing Confederates. Officers and sergeants from experienced neighboring outfits were sent to try and move the bewildered regiment all to no avail. In the end, the 128th was left to its fate and was nearly destroyed, having no effect on the enemy and only weakening their own brigades' position. 67 Stories similar in nature can be found across the Army of the Potomac on every sector of each battlefield during the Maryland Campaign, each in the midst of their own mishaps allowing the Confederates a level of superiority while hindering their supporting elements an opportunity to exploit any gains. Don Carlos Buell's Army of the Ohio experienced similar circumstances with green regiments as its eastern counterpart. In a letter to Kirby Smith, Bragg detailed his understanding that Buell's men were in rough shape and utterly demoralized. These circumstances, Bragg believed, offered the South a greater benefit of success. 68 The raw, ill-trained, ill-equipped, and completely unprepared 105th Ohio, 123rd Illinois, and 21st Wisconsin infantry regiments were 66 Survivors' Association 118th (Corn Exchange) Regt., P.V., History of the Corn Exchange Regiment 118th Pennsylvania Volunteers,62. 67 Stephen W. Sears, Landscape Turned Red. New York: Ticknor & Fields, 1994. 206. 68 United States War Department, The War of the Rebellion: A Compilation of the Official Records of the Union and Confederate Armies. Vol. 16: Part 2. Correspondence, Washington: Govt. Print. Off., 1880. 754. 29 all glaring examples of this shortcoming. The 123rd Illinois found itself in a similar predicament as the 128th Pennsylvania at Antietam, exposed and on its own, and fell victim to veteran Confederate troops bearing down on them. The 105th Ohio, equally as green, found itself thrown into the breach in the midst of the 123rd Illinois collapse. Private Ayre of the 105th remarked: "…could not form into a proper line and after going through several maneuvers in order to do so we became mixed and confused." In similar fashion to the 123rd Illinois, the 105th Ohio was quickly stampeded by their Confederate attackers. 69 Much like the inferiority of outdated weapons, untrained, raw troops could not perform to a tactically sufficient level to keep par with the rapid pace and constantly changing conditions of a Civil War battlefield. While plenty of experienced units did exist in the Union armies, it is clear the inexperienced ones created more problems, affording the Confederate forces golden opportunities to exploit immediate tactical advantages they likely would not have had, had they been fighting experienced, or even trained troops. On the other side of the coin, the copious amounts of raw units severely hampered any notion gaining a decisive victory or rapidly following up a pursuit. This is evident in the in the results of Antietam and Perryville, both of which were Confederate tactical victories, and the speed at which Lee and Bragg's armies were pursued. The armies' organization is important when looking to understand the advantages and disadvantages and how this affected a particular side's likelihood of victory. The experience level and the amount of subpar weaponry in both the armies of the Potomac and Ohio was only one issue, their organizational structure in both leadership and how its units were grouped confounded their problems and offered the Confederates another edge over their opponent pushing the scale further in favor in the equation of obtaining a victory. As previously stated, the 69 Stuart W. Sanders, Maney's Confederate Brigade at the Battle of Perryville, Charleston: The History Press, 2014. 53-54. 30 Army of the Potomac during the Maryland Campaign was a conglomeration of several different organizations. It contained the II, V, and VI Corps the original Army of the Potomac, the re-designated I and XII Corps, the Army of Virginia, and the newly dubbed IX that had served on the North Carolina coast. Although there were certainly experienced troops and leaders in each of these components, they each spoke a different organizational "language." 70 George McClellan certainly had the most difficult task of any field commander regarding the organization of his army. Not only did he have three different organizations to mold together as a cohesive fighting force, but he also had the additional struggle of doing it on the fly in a military and national emergency. Therefore, although the Army of the Potomac was a potent fighting force, and managed to engage the Confederates, its capabilities in terms of operational effectiveness were severely limited. Buell's circumstances were much more appealing. His Army of the Ohio had remained intact as a cohesive fighting force since its formation; however, he received additional reinforcements from Grant, and a host of new regiments, diluting its effectiveness as an organization. The Army of the Ohio's real organizational issues manifested in the senior leadership's quirks, rivalries, and lack of cohesion. 71 The use of cavalry in both McClellan and Buell's forces paled in comparison to the South. This issue stemmed from the Federal government's inability to recognize the importance of that specific branch early in the conflict. Overwhelmingly, the cavalry found its commands broken apart and scattered across the army, acting in various guard and staff related duties. Those commands retained to perform the primary tasks of nineteenth-century, reconnaissance, screening, and raids were too few and spread out to have any significant impact on the outcome 70 Hartwig, 133-135. 71 Steven E. Woodworth, Nothing but Victory: The Army of the Tennessee, 1861-1865. New York: Vintage, 2005. 216. 31 of the Maryland and Kentucky Campaigns. 72 Although they lacked in cavalry ability the Federals were unquestionably superior in artillery. Union guns, although far superior to that of the South were severely flawed organizationally in 1862. Circling back to the theme of different organizational structures in McClellan's force, the arrangement of this branch varied, causing communication issues, and leadership vacuums. In common with the cavalry, the prominent artillery structure in 1862 in both the Army of the Potomac and Army of the Ohio, lacked a unified system of command; instead, most batteries were the responsibility of brigade commanders or divisional commanders. Therefore, at critical moments batteries could only take orders from infantry commanders and were presented with the difficult task of coordinating mass firing on specific targets. 73 While it may seem trivial, such inefficiency in employment and "bureaucratic red tape" of military organization prevented the cavalry and artillery from performing at its maximum potential which no doubt contributed to the shortcomings of the Union armies in 1862. The Confederate military organization also had its flaws; however, as previously noted, the experience level of Confederate forces as a whole were much higher and able to adapt to a situation more efficiently. Partly this had to do with the smaller size of the forces overall, and the Confederate authorities' choice to disperse recruits and conscripts across seasoned units rather than raise new organizations. The cavalry of J.E.B. Stuart, John Hunt Morgan, and Nathan Bedford Forrest for instance were vastly superior to their Federal counterparts in every respect. These commands were led well, centralized, and overall contained extremely efficient horsemen, which had proven themselves time and again on the battlefield. 74 Confederate artillery was 72 Hartwig, 155-158. 73 Curt Johnson and Richard C. Anderson, Jr., Artillery Hell: The Employment of Artillery at Antietam, College Station: Texas A&M University Press, 1995. 53; Daniel, 146, 148-150. 74 Hartwig, 88-90; Hess, Banners to the Breeze, 24. 32 generally inferior in respect to quality of mechanics, yet, the branch retained a slight advantage over its foes in its organization. Lee's artillery was organized on the divisional level, allowing for easier deployment, and concentrated fire, as the Army of Northern Virginia, did not have a corps structure during this time, division commanders held greater authority in placement and employment of artillery. Furthermore, several groups of divisions fell under an unofficial "wing" structure, allowing Jackson and Longstreet to concentrate guns further. 75 Bragg organized his army different than Lee's army. Bragg operated with two wings or corps, broken down into several divisions. His army maintained an organized and effective cavalry force; however, their weakest point was the artillery. Only fifty-six guns accompanied the Army of Mississippi into Kentucky compared to Buell's 147 guns. These Confederate guns like the Federals were assigned to individual brigades, same as its Federal counterpart, eliminating opportunities to converge fire effectively. 76 Understanding the organizational structure of an army allows for a realistic understanding of what that force is capable of; how it moves in the larger scheme of a campaign; and the benefits and challenges of its employment on the tactical level. Assuming the forces involved were all organized in the same fashion, with identical structures is detrimental in interpreting the ebb and flow of battles and campaigns. A clear picture of how a field army operates through an organizational table is, therefore, paramount. Using Lee and McClellan as examples illustrate the nature of this point. In the Maryland Campaign, Lee was able to give more direct orders to independent division commanders, therefore reducing somewhat the natural confusion begot of transferring and disseminating orders through multiple tiers of officers. On the other hand, McClellan had to give orders to "wing" commanders, who then cut the orders to corps 75 Johnson, Artillery Hell, 41-47. 76 Noe, 370-373, 381-382. 33 commanders then down to the divisional level, doubling the amount of personalities the orders had to go through compared to Lee's forces. It is clear from watching the battles of Antietam and Perryville's tactical evolution that the commanding generals' intent was time and again ineffectually carried out due to communication breakdown and misinterpretation of orders on both sides. Having only scratched the surface of the organizational components of only four of the principal armies involved in the fall of 1862, it becomes clear that each differed in how it chose to conduct its internal operations. However, it is equally apparent from this brief examination, that Confederate forces in the fall of 1862 were better organized and tactically more efficient than their Federal counterparts in Maryland and Kentucky, therefore lending an edge to overall Confederate success and perhaps victory. Strategic Considerations: The strategic components are unquestionably the most important when ascertaining why the fall of 1862 was the Confederacy's high tide. Having looked at the political, logistical, and organizational components and internalizing how each affected the grand design of Confederate strategy in 1862, this section will now tie these components together and shed light on how each influenced strategic decision and guided the final results of the campaigns. A clear understanding of what strategy is necessary to further examine this section. Clausewitz defines strategy as: "the employment of the battle as the means towards the attainment of the object of the War." 77 The "attainment of the object" is the crucial cog in accepting the purpose and direction of operations in Maryland and Kentucky. The strategic composition of these campaigns was different in what they sought to obtain as their achievable goal. Lee's objective was political in its foundation; his 77 Clausewitz, 133. 34 campaign didn't revolve around the occupation of land or control of any specific feature; instead, it sought a climactic battle with a decisive battlefield victory in which Lee was willing to risk his army in a desperate gamble. 78 Bragg and Smith's Kentucky incursions were much more multilayered on an operational platform. While some sort of showdown battle was necessary for the west, it was not the immediate goal, only a potentiality; instead, the relief and re-establishment of Tennessee was paramount with a secondary objective of the "liberation" of Kentucky. The second tier of goals included the control of rail and river systems as a means to eliminate the Union's ability to supply its forces and occupy any portion of the Upper or Deep South. The most significant strategic gain for the South in 1862 existed in Tennessee and Kentucky. Proof of this importance is shown through the fact that six of the seven Confederate field armies would make this region their primary objective in the fall of 1862. These six armies included the commands of Generals' Braxton Bragg, Kirby Smith, Earl Van Dorn, Stirling Price, William Loring, and Humphrey Marshall. Confederate control and or occupation of Tennessee and Kentucky offered benefits and a platform for victory that the remaining Confederate states collectively couldn't offer. Having been the first state to fall under Federal control, Tennessee's recapture would be a major morale boost for the Confederacy nationally and particularly to the large amount of Tennessee regiments that made up Bragg's army. The most significant benefit, however, resided in Tennessee's industrial capability, as it contained the ability to produce more raw items for the war effort then the rest of the Confederacy combined. 79 Confederate control 78 Harsh, 25; OR, vol 19, 1: 598-599. 79 Connelly. 5-15. The importance of Tennessee to the Confederacy is undeniable. Connelly argues that the region was the largest concentrated area for the production of war materials in the Confederacy. The region by 1864 had produced 22,665 pounds niter. Additionally, the area contained a significant source of lead, and was the chief producer of gunpowder in 1861. Tennessee also contained a vast number of factories that repaired old weapons, manufactured new small arms, cartridges, percussion caps, and other equipment. By the fall of 1861, Nashville plants alone turned out 100,000 percussion caps daily, with some 1,300,000 caps produced weekly. The region boasted on the two major Confederate sources of livestock, the other being 35 would, therefore, help in stabilizing the struggling logistical and economic constraints faced in the South. Additionally, the state's rail system would allow for the re-establishment of a direct connection to North Carolina and Virginia and the ability to ship supplies and material to the Confederate forces in the east. Conversely, the loss of Tennessee would be a major blow to Union morale, as its loss would have undone and nullified the Federal campaigns in 1861 and early 1862. 80 Kentucky also offered significant gains for the South. It was generally believed, particularly by the Confederate government's higher echelons, that the majority of Kentuckians were sympathetic to the Southern cause and would rally to Confederate banners if field armies were able to move into the region and strategically hold it. Logistically Kentucky offered a substantial increase for the South, particularly in animals, forage, and transportation options. Like Tennessee, Kentucky contained major river systems and rail lines that would drastically increase movement for the South and partially cut off the mid-west states from the rest of the Union. Politically, Kentucky, a vital border state under Confederate control, could be crippling to Northern domestic and foreign political views. In theory, this political aspect played on a successful campaign in Maryland, another vital border state. More immediately, Kentucky offered the western Confederate armies an opportunity to turn the war from one of defense to one poising them on the edge of invasion of critical Northern states, Ohio, Illinois, and Indiana. Such a turn in the circumstances would be devastating for the Union, particularly politically. The Illinois town of Cairo on the Mississippi River, in 1862 was serving as the logistical launch point for the Union armies in the west; prolonged Confederate control of Kentucky would likely force the Shenandoah Valley in Virginia. More pork was raised in Tennessee save Missouri than any other state. Agriculturally, Middle Tennessee in 1860 produced an average of more than a million bushels of corn making it a leader amongst its sister states. 80 Connelly, 3-6. 36 the Federals to find an alternative method of supplying the troops in Corinth and other points in the Southern heartland. As long as the Federals controlled these regions, they would continue to pin the Confederacy in the Deep South denying them of access to vital infrastructure, maneuvering room, and favorable victory conditions. Braxton Bragg and Kirby Smith had to go on the offensive if they were to alleviate the situation by the very nature of the circumstances. As Lee's army with Richmond, their backs were on the doorstep of the Deep South, and they had no room to maneuver. Fortunately for the South, the western offensive was born out of an opportune moment of Halleck's caution that was strategically seized upon by Confederate commanders. In the necessity of the moment, launching an offensive like Lee during the Seven Days battles was the only beneficial option and a necessary risk if the war was going to be taken off the doorstep of the Deep South. Robert E. Lee on the other end of things saw himself and his army as the most important entity in the Confederacy at that moment. In his mind, the only scenario for Confederate victory rested in his hands alone. He showed this belief in dispatches and letters throughout the campaign in an effort to orchestrate movements across the Confederacy to complement his objective. In a letter to Jefferson Davis, he noted his desire to see his suggestion on what he felt Loring's command should do in the Kanawha Valley, in an effort to support his operation. 81 Lee did not stop with Loring; however, days prior, he communicated his victory at Manassas and planned offensive to Braxton Bragg and requested that Bragg pass the information along to Kirby Smith for further coordination. It was Lee's desire that these western armies gain similar victories to his at Manassas, that when added together may be enough to secure Southern 81 OR, vol 19, 1: 594. 37 victory.82 Lastly, he demonstrated his understanding of the confused state of Federal forces in Washington and the need to seize the initiative before the opportunity was lost. Like Kentucky, Maryland was a vital border state, not for its potentiality in resources, but rather for its geographic relation to Washington. Any serious Confederate incursion into the state would be life-threatening to the Union, and therefore demanded desperate measures on the part of Northern armies to repel such an advance. 83 Lee's leadership has been often criticized during the Maryland Campaign from historians and even shocked his subordinates, Jackson, and Longstreet. 84 Lee was certainly aggressive and was known for taking risks; however, he was not a foolish man, and never committed his army to a disaster, at least not one he foresaw. Comparing his stratagem throughout the rest of the war, it's probable to conclude that his movements were well thought out, with the least amount of risk generated from the objective demands of the campaign. Even in moments of reaction to McClellan, Lee always retained the initiative in Maryland. In the aftermath of Seconded Manassas and Chantilly, it was the opinion of many in both military and civilian leadership that a final showdown somewhere north of the Potomac River was all that was needed for Confederate victory. 85 If Lee was a poker player, he was taking his hand and going all in, he could only hope the Federals floundered. General Longstreet understood the gravity of the moment when he wrote: "When the Second Bull Run campaign 82 OR, vol 19, 1: 589. 83 Ezra A. Carman, The Maryland Campaign of September 1862, Vol. I: South Mountain. Edited by Thomas G. Clemens, El Dorado Hills, CA: Savas Beatie, 2012. 19-21. Carman was present at the battle of Antietam and dedicated his life to research and study of the Maryland Campaign in the post war years. Carman's work was able to capture not only the historical timeline of events, but offered an emotional aspect not seen in other works. This emotional component while subtle is an important tool in internalizing the mindset of Union soldiers and perhaps the North itself. 84 James Longstreet, Battles and Leaders of the Civil War, Edited by Ned Bradford. New York: The Fairfax Press, 1979. 265. Longstreet claims that aside from himself, that General Jackson was also taken back from the boldness of Lee's designs on the Maryland Campaign, while at a meeting in Frederick MD, September 9th. 85 Harsh, 60-63. Multiple historians have agreed on this point. James Murfin considered the battle of Antietam to be the most important battle in American history, and one of the most decisive in world history. Ezra Carman portrays the campaign as requiring desperate action for the North, while Scot Hartwig, Stephen Sears and James McPherson center on the political undertone. 38 closed, we had the most brilliant prospects the Confederates ever had. We then possessed an army which, had it been kept together, the Federals would never have dared attack." 86 Lee's confidence in his army was surely the determining factor in his choice to assume the offensive into Maryland, and no doubt behind his reasoning to push the army as hard as he did in the maneuvering and fighting that took place in Maryland. The General expressed his confidence in the men and the importance of the offensive in General Order No. 102. on September 4: "This army is about to engage in most important operations." He further outlines the necessity of respecting private property, and the desire for his commands to lighten their supply encumbrance to allow them to move quickly and efficiently. 87 When coupling the logistical and organizational shortcomings, the political factors reinforced by his troops' confidence and his in them proved to be the energy from which the Maryland Campaign was executed. The offensives themselves presented each of these commanders a complicated set of obstacles and decisions to overcome while ensuring they offered the best possible benefit to their cause with the least amount of risk towards their army. This is certainly one of the most challenging aspects of being a commander in charge of any offensive-minded campaign. Johnston at Shiloh, Burnside at Fredericksburg, Hooker at Chancellorsville, and Hood in Tennessee all failed to capitalize on this principle. The fact that Lee and Bragg achieved the scale of operational measures they did is a testament to their leadership and ability to seize control and direction of a developing situation. If the argument is to be maintained that the Maryland and Kentucky campaigns provided the South the best chance the South had of winning the war, then proof of this claim must lay within the strategic composition of the campaigns themselves. If taken in this context, then it must be understood that every move Lee, Bragg, and 86 Longstreet, Battles and Leaders of the Civil War, 263. 87 OR, vol 16, 2: 592. 39 Smith, along with the supporting roles of Loring, Marshall, Price, and Van Dorn were calculated if not on a grand scale, certainly on an individual level. Unlocking the purpose of the maneuvers, and their relation to strategic success will illustrate the continually changing dynamics and environment of each campaign, and how these generals continually altered their designs to fit the goals of their strategic objectives. The evolving strategic situation in the months leading up to the campaigns created the conditions under which the operations in Maryland and Kentucky were governed. Understanding the Confederate forces' strategic focus for needing to assume the offensive will outline the gravity and weight they placed on the outcome of these fall campaigns. The most measurable strategic potential in 1862 existed in the Western Theater. As already stated, the economic and logistical importance of this region necessitated an aggressive action on behalf of the South if the Confederacy was to survive. The first attempt at recovering control of Tennessee occurred in April with the battle of Shiloh. While tactically a Confederate failure, the aftermath of the fighting created adverse reactions from the Northern press and transposed into Halleck's overall cautious and slow pursuit towards Corinth. Halleck, after taking Corinth, was faced with limited choices on where to move next. Due to political and doctrinal restrictions of conciliation and Halleck's theory on war, the massive Union army was not able logistically to move into the Deep South. The only real move available to the Federal forces in the summer of 1862, was a lateral one east towards Chattanooga. 88 With Bragg at Tupelo and Kirby Smith's small command at Chattanooga, the path of success for an aggressive officer to take Chattanooga, a major supply hub for the South, was wide open. Halleck foiled this opportunity by sending Buell's command to accomplish the task. The slow-moving cautious Buell initially created consternation among 88 Daniel, 86. 40 Confederate leadership, yet once the pace of his progress was realized, the same trepidation turned into an opportunity. 89 Clausewitz described the potential for a reciprocal effect to take place should an army go on the offensive; however, he counterweighs that thought with pointing out that an army in a precarious position with the opportunity to gain a substantial amount should jump on the opportunity if one should be presented. 90 Certainly, Bragg and Smith applied a variation of this maxim into their decision to go on the advance. The term "invasion" is the defining ideology that bound both major theaters of war and other Confederate objectives in the fall of 1862. Clausewitz wrote that even if the complete overthrow of the enemy is impossible, which it was for the Confederacy, then the only other real option of winning a war is to conquer a portion of the enemy territory. In conquering the enemy territory, the invader has the opportunity to weaken the enemy's resources, crippling their ability to sustain an army. By carrying the war in enemy territory, the conditions will further the enemy's expense and ultimately lead to peace negotiations. 91 The term "invasion" generates a delicate question concerning what an invasion actually is, and how it fits into the American context, particularly in the political spectrum in 1862. Baron De Jomoni, whose military maxims were dominant in nineteenth-century America, distinguished what an "invasion" actually is. Breaking down the idea of an offensive, he wrote that: "…an invasion occurs against a great state whose whole or significant portion of territory is attacked. If only a province or moderate line of defense is attacked, then it is an offensive, and if such actions are limited only to a confined operation, then it is termed an initiative." 92 Indeed then, if taken in this context, 89 Connelly, 200-201. 90 Clausewitz, 707. 91 Clausewitz, 706. Neither of the primary Confederate armies had the ability to "conquer" Federal territory. However, the last part in reference to Clausewitz maxim was the adaptation applied by the Confederacy in its strategic goals. 92 Jomini, The Art of War, 54. The difference in the definition in understanding the purpose of the Confederate objective is critical. Many historians point to the Army of Northern Virginia's strategic goals as fitting into the framework of an 41 Confederate efforts militarily were an offensive and an invasion only in the political spectrum. Although the press and even the top military minds used the term invasion quite frequently in the North, there is nothing in the Confederate strategic framework of 1862, that fit the definition of invasion, Lee himself in a letter to Jefferson Davis on September 4, used the term expedition implying that his foray had a specific purpose and would be short. 93 Due to logistics alone, Confederate forces across the board could not sustain the long-term goals of an invasion. However, the Clausewitzian maxim of a "strategical attack" was within reach and achievable according to the conditional logistical framework. Much of the success for the Confederates relied on the superiority of its troops, and the avoidance of exhausting itself with an over achievement of objectives. 94 The window of opportunity was narrow, operationally because of logistics, but more importantly, because of politics. The two most significant benefits afforded to the Southern cause in 1862 were the Congressional fall elections and European superpowers. If Confederate forces could score a major political victory in the east, and both a strategic reversal coupled with a political coup in the west, then perhaps Northern voters would come to resent the war and vote for "Peace Democrats" in November, and more advantageously draw England and France in as mediators or some other influential role, to end the war. It is apparent that the pressure to act decisively if not at least aggressively before November was of paramount importance. While it is debated as to how far the European powers would intercede, what is certain is that the Confederacy banked part of its strategic decisions both politically and militarily on intervention. 95 Just as apparent was the frustration and delicate invasion, yet when looking at that particular army's logistics and Lee's strategic goals only the Jominian maxim of offensive fits the framework. 93 OR, vol 16, 2: 591-592. 94 Clausewitz, 601. 95 McPherson, 534-535. 42 statesmanship which had to be executed on behalf of the Union to convince the English mainly that the war was nothing more than a rebellion that the Republic could put down on its own. 96 However, this did not appear to be the scene in the late summer of 1862 with Union defeats and setbacks continually piling up. Lee retained the initiative by keeping the enemy guessing what his next move and true objective was. According to Henry McClellan, J.E.B. Stuart's adjutant, that as late as September 13, Federal forces maintained the: "utmost uncertainty regarding Lee's movements and intentions." 97 Lee designed his army's movements to draw out the Federals from Washington. By crossing at Leesburg, his army was initially east of the Catoctin Mountains and a direct threat to Washington and Baltimore, it was this crossing point that directly forced the disorganized Army of the Potomac to leave the defenses prematurely, and more importantly to force Lincoln's hand in placing McClellan back in overall command. 98 The key to the Army of Northern Virginia's movements was speed and mobility, thus the reasoning for Lee's series of orders, which included provisions for shoeless Confederates to remain at Winchester, a lightening of supplies, and an insistence that straggling be strictly forbidden. Lee's next major objective after crossing the Potomac River was to move on Frederick. A Confederate presence in a substantial pro-Union area was a direct insult to the North, and would only further press the Army of the Potomac to hurry faster in order to "repel the invasion" and "save the nation"; while most importantly for the Confederates, continually limit the progress of McClellan organizing his army into a capable force on the battlefield. 96 Nelson, 163-168. 97 H.B. McClellan, The Life and Campaigns of Major-General J.E.B. Stuart: Commander of the Cavalry of the Army of Northern Virginia, Edison: The Blue & Grey Press, 1993. 113. 98 Harsh, 98; OR, vol 16, 2: 604-605. Letter from Lee to Davis on September 12 justifying is reasoning for crossing his army east of the mountains. 43 Lee's grand strategy was working so far; his movements northward from Richmond had stripped the Atlantic states of their Union occupiers to concentrate on Lee's Confederate force, while at the same time sending the Federal strategy of war into complete chaos as they scrambled to deal with the offensive. Lee believed that if he launched an unrelenting offensive, the Federals would be compelled to abandon their widely scattered smaller campaigns, which were gradually eating away the frontiers of the Confederacy; and, as a result, be forced to concentrate their columns in response to his initiatives. 99 Lee's movement into the western part of the state, via Frederick and into the Middleton and Pleasant valleys, opened the Shenandoah Valley up momentarily, which assisted Loring's advance in western Virginia, by isolating the small Federal commands in that region. In addition to freeing up Loring to make an offensive, Lee's army in western Maryland split the Federal war effort in half. The Army of the Potomac was now confined in environs around Washington, while Federal forces in the Western Theater had no direct route to reinforce McClellan. 100 The simultaneous advance of Lee, Loring, Marshall, Smith, and Bragg effectively drove a wedge between the Union field armies, while Price and Van Dorn's forces kept Grant fixed at Corinth. 101 Bragg and Smith's columns made their march through eastern and middle Tennessee and into Kentucky at an incredible speed, leaving Buell's army to have to hustle to catch up. 102 Kirby Smith realized the opportunity in front of him early on and moved his men forward roughly the same time Lee's men were preparing to destroy John Pope's forces near Manassas, beginning the Kentucky Campaign. Union Brigadier General George W. Morgan's command held the vital Cumberland Gap, which historian Earl Hess christened the "Gibraltar of the West." 99 Harsh, 116. 100 Hartwig, 162-163. 101 Harsh, 96-97; Hess, 31-35. 102 Hess, 57,62,64. 44 The Gap itself served as a platform for the Federals to invade East Tennessee, and as long as it remained in Federal hands, the Deep South, particularly Chattanooga and Atlanta, would be under constant threat. 103 Reducing this garrison was the first lynchpin in breaking Federal control and regaining Tennessee for the South. Smith, now free to maneuver feinted around the gap and threatened the supply lines, forcing a Federal withdrawal; he then turned his legions northward and moved into Kentucky. Smith moved through the eastern part of the state and pushed Heth's division as far as Covington, directly across from Cincinnati, sending that city and southern Ohio into a panic. 104 With Smith's small army running almost unmolested in Kentucky, Bragg's larger army moved through Middle Tennessee via Sparta feinting towards Nashville, forcing the Federals to concentrate there, while strategically widening the gap between Buell's command and Southern forces in Kentucky. Bragg, before departing to Chattanooga, left behind roughly 35,000 men in two separate commands under generals Stirling Price and Earl Van Dorn. These commands had a twofold objective. Their primary objective was to contain the Army of the Tennessee at Corinth, and once Bragg and Smith were in position, launch an offensive of their own against Grant, defeat him, and then rapidly march to connect with Bragg's army. 105 Bragg and Smith exposed the weakness in the Federal policy of limited war with its preoccupation of taking landmarks and reliance on cumbersome supply lines and within less than a months' time-reversed almost a year of Union progress in the west, in respect to subjugating the Upper South. Unlike John Bell Hood's offensive into Tennessee in late 1864, which, while certainly an emergency, did not deviate Sherman from his plans of marching to the sea. 106 In 103 Hess, 7-8. 104 Volpe, "Dispute Every Inch of Ground", 141. 105 Noe, 29. 106 Eric A. Jacobson and Richard A. Rupp, For Cause and for Country: A Study of the Affair at Spring Hill and the Battle of Franklin, Eric A. Jacobson, 2013. 42. 45 1862, this simply was impossible for Federal forces. Sherman operated under a "hard war" doctrine that allowed him to subsist off the land and changed his objective from key city centers to making war on the Southern people, through the destruction of their local economy, food subsistence, and ability subsist in a normal capacity. 107 Sherman effectively narrowed the war to the immediate doorstep of the Southern People. As a result the individual citizen was forced to deal with their own survival, and naturally the bigger picture of the Confederacy became less important. Union forces in 1862 did not have the same conditional framework, and by default, would be forced to pursue any Confederate force and meet it on the battlefield. Even though the fall of 1862 didn't produce the hoped-for victory conditions, strategically, the Confederates were more successful in this period than at any other part of the war. The results of this success were more apparent in the Western Theater than in the east. However, certain components in the Eastern Theater changed as well. The most significant measurable success emerged in time bought for the Confederacy, and a prolonged timetable for the Northern plan of war. In the summer, Federal plans in the west called for the capture of Vicksburg and Chattanooga, the latter of which was in progress when the offensive started. 108 It is highly probable that if able, the Federal forces would have moved on Vicksburg in the summer of 1862, and perhaps forced its capitulation much sooner. 109 However, this is only speculation, yet, the reality is this operation was certainly delayed by the events that occurred in Kentucky and the aggressive nature of Price and Van Dorn. Kentucky was only one variable in stymieing the Federal drive toward Vicksburg. Just as important were the aggressiveness of Price and Van Dorn at the battles of Iuka and Corinth in October. Although Confederate defeats, the outcome of 107 Charles Royster, The Destructive War: William Tecumseh Sherman, Stonewall Jackson, and the Americans, New York: Alfred A. Knopf Inc. 321-328. 108 McPherson, 511-512. 109 Woodworth, Nothing but Victory, 243-244. 46 these battles managed to temporarily check the Federals, prompting an end to any realistic campaign season in Mississippi. At least for the foreseeable future, the Mississippi River remained open by way of Vicksburg, and Union strategy incomplete, in which case was Price and Van Dorn's big contribution. 110 Bragg and Smith failed to hold Kentucky and or convert her into a Confederate state. However, as the logistic concerns show, the state's complete occupation, with the available forces, was genuinely impossible. In all the engagements that had taken place, the Southerners had the better day. Kirby Smith's army completely routed Federal forces at Richmond in August, and Bragg's army captured the garrison at Munfordville. Before and during the campaign John Hunt Morgan's cavalry had wreaked havoc in Kentucky, capturing supplies, disrupting communications, and pushing to the Ohio River virtually unchallenged. 111 Even Kentucky's principle battle at Perryville was the better day tactically for the Confederates. More than anything, Kentucky showed the weakness of Buell, limited war, and the Union's inability to protect vital territory adequately under a conciliation policy. While in the end Bragg and Smith left, they did so generally unmolested, which showed Buell's unwillingness to fight another pitched battle. Therefore, this aftermath was certainly nothing for the Union to be proud of. In truth Buell did not drive Bragg and Smith out of Kentucky, rather the limitations of logistics and the realization of strategic objectives forced the Confederates back to Tennessee. 112 Although Braxton Bragg is surrounded by much controversy and sharp opinions on his leadership capabilities, one must look past emotion and see the facts as they present in the strategic element. While indeed, the Confederates failed to hold Kentucky, they did succeed in 110 Woodworth, 239-240. 111 Hess, 12. 112 Noe, 333. 47 regaining portions of Tennessee. In particular, Middle Tennessee by way of Murfreesboro, which sat astride the Nashville and Chattanooga Railroad, and was seen as the key to the wealthy Stone, Duck, and Elk River valleys. 113 Historian Thomas Connelly pointed out, which was already previously noted, that Tennessee was by far the most critical state in terms of manufacturing to the South. Although the entire state wasn't in Confederate hands, over two-thirds of it was, and most importantly, the opportunity to secure the very vital Nashville and Mississippi River corridor remained a possibility for a future campaign. 114 The primary focal point in the interpretation of the Kentucky Campaign is the Confederate failure to remain within that state. However, the key phrase narrows down to opportunity and potential. If taken in this context, the Confederate forces in July were backed into a corner. However, come October, these same forces had managed to throw the Federal forces off balance and regain a significant portion of lost territory, changing the entire atmosphere and flow of the Western Theater. In short, the success of the Kentucky Campaign is that it allowed the Confederates to move from the verge of defeat to a position where the fate of the Western Theater was up in the air, which only a decisive campaign would bring to a conclusion. 115 The fall of 1862 was the last chance the Confederates had at securing Tennessee permanently during the war. While the Western Theater was more significant in terms of strategic gain and leverage, the Eastern Theater added its own momentous shift in the flow of events. Unlike the west, the Eastern Theater was very narrow, as it existed in the space between Richmond and Washington. In strategic terms, the region was harrowing regarding maneuvering room and logistical sustainment. In one sense, Lee and his army were successful in pushing the Army of the Potomac 113 Peter Cozzens, No Better Place to Die: The Battle of Stones River, Chicago: University of Illinois, 1990. 8. 114 Connelly, 16-22. 115 Cozzens, No Better Place to Die, 12-14; Hess, 116. 48 away from the gates of Richmond, along with wrecking the Army of Virginia, while lastly temporarily clearing the smaller theaters, such as the coast and Shenandoah Valley of Federal forces. 116 While this situation may have provided an opportunity in the west, it meant little or nothing in the east. The fact is, Lee understood his primary objective either consisted of breaking the Northern will to fight through battlefield victory or by the complete destruction of the Union army. 117 Lee's primary objective in Maryland was to bate the Federal forces into a showdown fight. He was successful in this mission by just crossing over the Potomac River. The location of Washington in the southern portion of Maryland across from Alexandria made an incursion in Maryland a threat for the Federal government. 118 Unlike the west, where a fair amount of effort was required for Bragg and Smith to march their armies the distance required to Kentucky, the Army of Northern Virginia did not have to move far to accomplish its mission. Another key component to Lee's strategic objective was the lack of overhead in its long-term goal. Unlike the Western Theater, there was no pressure for Lee to specifically secure any particular region, as the Confederacy in the east had not lost any of its production capabilities nor any significant amount of land to Federal occupation. Therefore, the Confederate movements' direction wasn't necessarily guided by a specific purpose, but rather by the necessity of strategic gains which were designed to draw out the Army of the Potomac in a state of haste and unpreparedness. However, whereas the Kentucky Campaign had different aspects of measurable success, the 116 Harsh, 19-20. 117 Murfin, 63-64. 118 Harsh, 23; Murfin, 36-40; McPherson, 555-556. All the major historians who focus on the Maryland Campaign point to this as a major component to deterring the outcome and purpose of Lee's strategy. 49 Maryland Campaign had none, only a single purpose that demanded a climactic clash to determine its outcome. 119 At no other point in the war did Lee have such an advantage and control of the initiative. Arguably, his combination of subordinate officers was the best in their position as a whole than at any other point. His army was operating off a long track of victory, the length of which they would not experience again. 120 And most importantly, the Maryland Campaign was truly the only time in which Lee would have direct control of the flow of events; in Richmond, he had acted out of desperation, in Northern Virginia, Fredericksburg, Chancellorsville, the Overland Campaign and Petersburg he counteracted his opponents moves, and at Gettysburg, he committed to a battle that was dictated by the Federals. In September of 1862, Lee was the composer of the campaign and the master of ceremonies, he and he alone decided when and where the climactic battle would be fought. 121 All too often, the argument arises that the Army of the Potomac moved quicker than Lee expected, and caught him off guard, forcing him to settle and fight an unprepared battle at Sharpsburg. This theory would make sense if Lee's strategic objectives were multilayered like Bragg or Smith. Nevertheless, this theory doesn't match up to his sole objective of a decisive engagement. As seen with logistical circumstances, Hagerstown was likely the limit for the army in terms of range, Lee, therefore, had decided to make the principle stand somewhere in that area. 122 Two factors make this apparent, the choice to reduce Harpers Ferry and Martinsburg, which are necessary for military doctrine, and the choice to have the army lay around Frederick 119 OR, vol 16, 2: Correspondence between Robert E. Lee and Jefferson Davis, September 8, 1862; Harsh, 119; Alexander, Fighting for the Confederacy, 139. 120 Hartwig, 126-127. 121 Harsh, 57-59. 122 Carman, The Maryland Campaign of September 1862, Vol. I ,108-111; Harsh, 190; Hartwig, 116-117; Murfin, 113. All of these sources for reasons ranging from realistic logistical concerns to Lee's strategic initiative point towards the area of Hagerstown as the realistic goal of the Confederate offensive. 50 for several days. 123 If the plan had been to fight somewhere else or keep the Federals at a distance, these two factors fit the mold. The truth is that Lee wanted a fight, and he wanted it quick, the geography of Western Maryland affords a great opportunity to a defending army, which was Lee's primary tactical vision. 124 Looking at the scope of the Army of Northern Virginia's movements in the campaign, there a few abundantly clear facts that warrant Lee's strategic designs. It's already been stated that Lee's intention was to draw out the Army of the Potomac, which he did by simply crossing into Maryland, and ushered the emergency by crossing east of the mountains. 125 The next key was the layover or taunting of the Federals by having his army remain in Frederick for several days. The decision to reduce the Harpers Ferry garrison, while militarily necessary, also doubly acted as part of the "national emergency" which further put pressure on McClellan and his army to move with haste. 126 The battle of South Mountain, while a Confederate defeat, opened the way for the Federals to move over the range and meet Lee on the ground of his choosing. 127 South Mountain is interesting, particularly for strategic reasons. The choice to leave one division under D.H. Hill to hold the three passes stretched over ten miles indicates that Lee didn't intend to stop the Federals there and expected them to take the position. A decisive battle along the South Mountain range would not have been beneficial for Lee to meet his objectives. His army would not have been able to counterattack effectively due to terrain, and maneuvering room would have been limited. Although Lee initially considered scrapping the campaign due to the longer than expected siege of Harpers Ferry, once the garrison did fall, he was able to 123 Harsh, 147-150; Hartwig, 211-212, OR, vol 16, 2, 603 (Special Orders 191) 605-608. 124 Allan, 201-205; Harsh, 98-99; Marshall, 148-150. 125 Marshall, 146. 126 Brian Matthew Jordan, Unholy Sabbath: The Battle of South Mountain in History and Memory September 14, 1862, New York: Savas Beatie, 2012. 80-85. 127 Jordon, Unholy Sabbath, 301. 51 concentrate his forces in the area of Sharpsburg. 128 It may not be that Lee specifically wanted to fight at Sharpsburg, but the lay of the land and the tactical and strategic components of it, offered natural terrain on which to fight a decisive battle. 129 The Antietam battlefield offered several very strong defensive opportunities. First was the Antietam Creek, which was wide and deep enough to stop infantry from crossing unless over a bridge. The terrain, particularly on the southern end of the battlefield, is very suitable for a defending force, along with the ground near the center of the battlefield. On the northern end, the terrain is its weakest for defense; however, the entire battlefield, especially the northern end, is very suitable for artillery employment. Lee's position at Antietam Creek was without question formidable. 130 Whereas the events in Kentucky were one of maneuver, Maryland hinged on the tactical climax. Therefore, both forces needed to clash and soundly defeat the other to end the campaign. The battle of Antietam itself ended in a draw, and the opposing lines virtually remained the same. 131 Having realized the day after the engagement that McClellan wasn't likely to attack again, and understanding that his position offered no benefits for his army to attack, Lee promptly withdrew back into Shepherdstown, Virginia, (West Virginia) intending to regroup his army and re-crossing the Potomac River near Williamsport to again sue for a decisive battle. The Confederate's were blocked by several determining factors though, the two primary factors being McClellan's choice to move the VI Corps north towards Hagerstown to block a crossing, and a large amount of straggling that has taken place since the start of the 128 Allan, 320. 129 Harsh, 301-303. 130 Phillip Thomas Tucker, Burnside's Bridge: The Climatic Struggle of the 2nd and 20th Georgia at Antietam Creek, Mechanicsburg: Stackpole Books, 2000. 47-54. 131 Ezra Carman, The Maryland Campaign of September 1862, Vol. 2: Antietam. Edited by Thomas G. Clemens, El Dorado Hills, CA: Savas Beatie, 2012. 501. 52 campaigning that had severely reduced Lee's army from upwards of 70,000 men down to roughly 45,000. 132 While Lee did not thrash McClellan's army at Antietam to the extent his strategic objectives called for, the opportunity for a Confederate political victory was not entirely gone. In fact, Lee's offensive convinced Britain and France that Northern armies could never restore the Union, and they contemplated mediation, which would have constituted de facto recognition of the Confederacy. 133 Moving away from the narrow view of Lee and Maryland it is important to note that Bragg's army had achieved a significant victory on September 17 at Munfordville the same day the battle of Antietam was raging. While Lee's army was more or less locked in a stalemate in Maryland, the western Confederate forces still very much retained the initiative in Kentucky. If a successful outcome in Kentucky occurred, perhaps that would be enough to enhance the stalemate at Antietam into a negative outcome for the Union. 134 Lee did not wait in position along Antietam Creek, for events to develop in Kentucky, he didn't have to. By simply moving back across the river and McClellan's inability to pursue for logistical reasons, Lee still very much posed a serious threat, especially with re-crossing into Maryland if need be. Looking at the outcome of the Maryland Campaign and the factors involved in the forces' genetic composition, Lee's army achieved all that could reasonably be expected of it. Certainly, due to its size, it would be impossible to annihilate the Army of the Potomac, yet, by remaining together and gaining the tactical victory, that would have to be enough. 135 132 Murfin, 306. 133 McPherson, 546. 134 Earl J. Hess, Braxton Bragg: The Most Hated Man in the Confederacy, University of North Carolina Press, 2016. 63. 135 Ezra Carman, The Maryland Campaign of September 1862. Vol. III: Shepherdstown Ford and the End of the Campaign. Edited by Thomas G. Clemens, El Dorado Hills, CA: Savas Beatie, 2012. 20-21. 53 Truly then the lynchpin of the 1862 Confederate offensive rested on the shoulders of Bragg and Smith. 136 Lee's offensive and climatic battle of Antietam would have held little or no importance if the events west of the Appalachian's hadn't been taking place in the manner they were. The ultimate failure of Bragg and Smith in Kentucky was their inability to link their armies together. The process involved in making this happen didn't occur until it was too late. 137 Regardless of why this juncture of uniting these armies didn't occur, the important point was that they retained the initiative until the battle of Perryville. Unlike Lee, Bragg and Smith didn't necessarily have to defeat Buell or Wright's local forces, but rather they just needed to exist in Kentucky. Smith's forces had cleared out Morgan and what pitiful resistance Wright was able to scrape together. Buell's army lingered exhausted and timidly in the western part of the state. Bragg and Smith controlled in theory over two-thirds of the state in the last weeks of September into October. 138 The high tide of the Confederacy occurred not at Antietam, but in the days before Perryville. Up until this date, the South had been successful in relieving Richmond, Chattanooga, Vicksburg, the Carolina coast, Shenandoah Valley, western Virginia, and Northern Virginia of any significant Federal occupation, or military operations. The Confederate armies were at its maxim of manpower, at least in theory, if not in actual employment and contained men who were wholly more experienced than their counterparts. Most importantly, the South had been successful universally of maintaining a Confederate wide offensive initiative. When looking at the battles of South Mountain, Richmond, Munfordville, Antietam, and Harpers Ferry, only 136 Hess, Braxton Bragg, 64. 137 Noe, 328-329. 138 Daniel, 128-129; Hess, 62-64; Noe, 104. 54 South Mountain had been a Federal victory and Antietam a draw, while the rest were complete decisive Confederate victories. The battle of Perryville long considered the principal battle of the Kentucky Campaign was neither decisive nor climatic. 139 The battle itself was fought only by portions of the armies, on ground that held no real strategic value to the overall goals of the campaign. However, the legacy of Perryville resides in Bragg's choice to withdraw his army from Kentucky in its aftermath. Leaving aside Bragg's personality, leadership issues, and his subordinates, the important aspect to look at is what was actually accomplished by his army. It's already been stated that Bragg and Smith's offensive knocked the Federal plan of war back a few pegs and opened up at two-thirds of Tennessee for the foreseeable future. Confederate goals upon entering Kentucky were unclear and varied in design between Bragg and Smith. 140 Perhaps the largest draw was establishing the state as Confederate, which they quickly understood wasn't a popular option amongst the people. That being the case, Confederate field armies could only subsist for so long in hostile territory until they would, by necessity, be forced to withdraw to friendly Tennessee. 141 Therefore, without the support of the majority of Kentuckians to endorse a Confederate government, the continuation of a Southern army within the state offered no benefit to the Confederacy. 142 Bragg and Smith's only true strategic failing was their inability to link together and deliver a decisive blow against Buell. If looked at in the context of the genetics of an ocean wave, the advance into Kentucky was the last little bit of the wave that rolls into the edge of the beach. It neither has the momentum nor the power to damage anything of significant strength. However, the break or 139 Noe, 343. 140 Hess, 56-57. 141 Connelly, 228; Noe, 334. 142 Noe, 336. 55 impact of the wave that occurs just before hitting shore tends to denote the power of the temporary effects inflicted within that particular wave's life span. Sticking with the ocean wave analogy, the Confederate wide offensive in the fall of 1862 was the last ocean wave before the tide changed. The lifespan of the Confederacy would perish in the calm time between the next high tide. Conclusion: The interpretations of the Civil War, its key moments, critical players, and even the purpose of the conflict, vary in many different extremes, platforms, and algorithms. Surely there were other critical moments of the war, in which the Confederacy could have theoretically changed the outcome or moments in which Union forces could have ended the war much sooner. The progress of the war is a fascinating storyline of complete unpreparedness through a series of excruciating growing pains that led to the high efficiency of conducting war. Looking at the grand scope of the conflict, particularly the logistics of the opposing sides, even the most novice student of the struggle can recognize that the Confederacy was severely behind in every aspect and shouldn't have waged war. 143 However, the fact remains they did, and the reality is any Southern hope for victory resided in the slowness, unpreparedness, and political deadlock of the North's ability to wage war. The true window in which to view why the fall of 1862 was the Southern high tide occurs in the aftermath of the campaigns themselves. The first and most critical component was the issuance of the Emancipation Proclamation. The bold political move forever changed the direction and intent of the war. For the South, it had devastating consequences, as it eliminated 143 McPherson, 312-316. 56 any dream of European intervention, and essentially made the Confederacy an island left to its own. The proclamation also bled into the second crucial component, which truly had its roots at the beginning of 1862; however, it had become fully developed by the closing days of 1862, and that is the abandonment of "limited war" principals and the acceptance of "hard war" doctrine. 144 Militarily the South would never mount such a broad offensive again nor one with so much potential to gain from it. Lee's Pennsylvania Campaign in 1863, while more famous, did not have the potential as nine months prior when he crossed into Maryland. 145 Lee in June of 1863 was acting independently, while Confederate armies in the west were giving ground rapidly and losing Vicksburg. 146 Even with Confederate victory at Chickamauga, Bragg nor his predecessors could ever mount an effective counterthrust to regain vital Tennessee. 147 Hood's Tennessee Campaign in 1864 offered the closest opportunity; however, his cause was pyrrhic and traded the destruction of Georgia for the hope of gaining Tennessee. 148 The commencement of the Overland Campaign in 1864 saw the end of Lee's ability to mount a counterattack that had won for him on previous battlefields. With his numbers dwindling, and the Union's production capabilities at its height, continuing supply of reinforcements, and Grant's power to coordinate multiple armies upon Lee, forced the Confederate leader to dance to the tune of Grant's strategy. 149 144 McPherson, 567. 145 Coddington, The Gettysburg Campaign, 4-8. 146 Edwin C. Bearss and J. Parker Hills, Receding Tide: Vicksburg and Gettysburg the Campaigns that Changed the Civil War, National Geographic Society, 2010. 266. 147 Steven Woodworth, Six Armies in Tennessee: The Chickamauga and Chattanooga, Lincoln: University of Nebraska Press, 1998. 144. 148 Jacobson, For Cause and for Country, 524. 149 Gordon C. Rhea, The Battle of the Wilderness May 5-6, 1864, Baton Rouge: Louisiana State University Press, 1994. 9-10, 12-13, 22. 57 The Maryland and Kentucky Campaigns were episodes that the Union could not afford to lose. Certainly, Union armies, especially in the east, met multiple setbacks, defeats, and disasters throughout the war; however, a loss at this critical juncture in each theater would have produced devastating consequences from which the North could not recover. The brilliance of these campaigns resides in the fact that neither side could afford a negative outcome, and a victorious outcome for either side had the power and capabilities to change the entire trajectory of the war. The Maryland and Kentucky Campaigns do not have a true decisive victor in respect to the definition, yet, the rate at which the Union declared victory and the rapidity with which it instituted new measures both politically and militarily showed the emergency the events in the fall of 1862 produced for the North. 150 An acceptance of that notion coupled with political density, logistical pitfalls, organizational hurtles, and strategic objectives, will clearly indicate that the fall of 1862 in the course of the Maryland and Kentucky Campaigns, along with their supporting offenses was the high tide of the Confederacy, and the moment the Civil War changed trajectory in both political and military senses, which was the beginning of the Confederacy's defeat. 150 Muehlbauer, Ways of War, 197-200. 58 Bibliography Secondary Sources: Anderson, Nancy Scott and Dwight Anderson. The Generals: Ulysses. S. Grant and Robert E. Lee. Avenel: New Jersey, 1987. Bearss, Edwin C. and J. Parker Hills, Receding Tide: Vicksburg and Gettysburg the Campaigns that Changed the Civil War, National Geographic Society, 2010. Beloff, Max. "Historical Revision No. CXVIII: Great Britain and the American Civil War." History, New Series, 37, no. 129, (1952): 40-48. Brauer, Kinley J. "British Mediation and the American Civil War: A Reconsideration." The Journal of Southern History 38, no. 1 (1972): 49-64. Carman, Ezra Ayers. The Maryland Campaign of September 1862, Vol. I: South Mountain. Edited by Thomas G. Clemens, El Dorado Hills, CA: Savas Beatie, 2012. Carman, Ezra Ayers. The Maryland Campaign of September 1862, Vol. 2: Antietam. Edited by Thomas G. Clemens. El Dorado Hills, CA: Savas Beatie, 2012. Carman, Ezra Ayres. The Maryland Campaign of September 1862. Vol. III: Shepherdstown Ford and the End of the Campaign. Edited by Thomas G. Clemens. El Dorado Hills, CA: Savas Beatie, 2012. Chance, Joseph E. The Second Texas Infantry, From Shiloh to Vicksburg, Austin: Eakin Press, 1984. Coddington, Edwin B. The Gettysburg Campaign: A Study in Command, New York: Simon and Schuster. 1968. Connelly, Thomas Lawrence. Army of the Heartland: The Army of Tennessee, 1861-1862. Baton Rouge: Louisiana State University Press, 2001. Cozzens, Peter. No Better Place to Die: The Battle of Stones River, Chicago: University of Illinois, 1990. Cozzens, Peter. Shenandoah 1862: Stonewall Jackson's Valley Campaign. Chapel Hill: University of North Carolina Press, 2008. 59 Daniel, Larry J. Days of Glory: The Army of the Cumberland, 1861-1865. Baton Rouge: Louisiana State University Press, 2006. Donald, David Herbert. Lincoln. New York, NY: Touchstone, 1996. Glatthaar, Joseph T. General Lee's Army: From Victory to Collapse. New York: Free Press, 2008. Grimsley, Mark. The Hard Hand of War: Union Military Policy toward Southern Civilians, 1861-1865. Cambridge: Cambridge University Press, 2013. Halleck, Henry Wagner. Elements of Military Art and Science: Course of Instruction in Strategy, Fortification, Tactics of Battle, Embracing the Duties of Staff, Infantry, Cavalry, Artillery, and Engineers, Adapted to the Use of Volunteers and Militia, Third Edition, New York: D. Appleton & Company, 1862. Harsh, Joseph L. Taken at the Flood Robert E. Lee and Confederate Strategy in the Maryland Campaign of 1862. Ashland: The Kent State University Press, 2013. Hartwig, D. Scott. To Antietam Creek: the Maryland Campaign of September 1862. Baltimore: Johns Hopkins University Press, 2019. Hennessy, John J. Return to Bull Run: The Battle and Campaign of Second Manassas. Norman: University of Oklahoma Press, 1999. Hess, Earl J. Banners to the Breeze: the Kentucky Campaign, Corinth, and Stones River. Lincoln, Neb.: University of Nebraska Press, 2010. Hess, Earl J. Braxton Bragg: The Most Hated Man of the Confederacy. Chapel Hill: University of North Carolina Press, 2016. Hoslett, Schuyler Dean. "The Richmond Daily Press on British Intervention in the Civil War: A Brief Summary." The William and Mary Quarterly 20, no. 1 (1940): 79-83. Jacobson Eric A. and Richard A. Rupp, For Cause and for Country: A Study of the Affair at Spring Hill and the Battle of Franklin, Eric A. Jacobson, 2013. Jomini, Antoine Henri. The Art of War: A New Edition, with Appendices and Maps. Westport, CT: Greenwood Press, 1971. Jordan, Brian Matthew. Unholy Sabbath: The Battle of South Mountain in History and Memory September 14, 1862, New York: Savas Beatie, 2012. Longacre, Edward G. To Gettysburg and Beyond: The Twelfth New Jersey Volunteer Infantry, II Corps, Army of the Potomac, 1862-1865, Hightstown: Longstreet House, 1988. 60 McClellan, H. B. The Campaigns of Stuart's Cavalry. Edison, NJ: Blue and Grey Press, 1993. McPherson, James. Battle Cry of Freedom: The Civil War Era, Oxford: Oxford University Press, 1988. Miller, Donald L. Vicksburg: Grants Campaign That Broke the Confederacy. New York: Simon & Schuster, 2020. Muehlbauer, Matthew S. and David J. Ulbrich, Ways of War: American Military History from the Colonial Era to the Twenty-First Century. New York: Routledge, 2018. Murfin, James V., and James I. Robertson. The Gleam of Bayonets: The Battle of Antietam and Robert E. Lees Maryland Campaign, September 1862. Baton Rouge, LA: Louisiana State University Press, 2004. Noe, Kenneth W. Perryville: This Grand Havoc of Battle. Lexington: University Press of Kentucky, 2011. Pohanka, Brian C. Vortex of Hell: History of the 5th New York Volunteer Infantry. Lynchburg, VA: Schroeder Publications, 2012. Pooley, Andrew. "Shoo-ing the Geese: Lincoln and the Army of the Potomac, 1862-1863." Australasian Journal of American Studies 21, no.2 (2002): 86-100. Rhea, Gordon C. The Battle of the Wilderness May 5-6, 1864. Baton Rouge: Louisiana State University Press, 1994. Royster, Charles. The Destructive War: William Tecumseh Sherman, Stonewall Jackson, and the Americans. New York: Alfred A. Knopf, Inc., 1991. Sanders, Stuart W. Maney's Confederate Brigade at the Battle of Perryville, Charleston: The History Press, 2014. Sears, Stephen W. Chancellorsville. New York: Houghton Mifflin Company, 1996. Sears, Stephen W. Landscape Turned Red. New York: Ticknor & Fields, 1994. Sears, Stephen W. To the Gates of Richmond: The Peninsula Campaign. New York: Houghton Mifflin Company, 1992. Tucker, Phillip Thomas. Burnside's Bridge: The Climatic Struggle of the 2nd and 20th Georgia at Antietam Creek, Mechanicsburg: Stackpole Books, 2000. Volpe, Vernon L. "Dispute Every Inch of Ground": Major General Lew Wallace Commands Cincinnati, September 1862." Indiana Magazine of History 85, no. 2 (1989): 61 Von Clausewitz, Carl. On War. Translated by Colonel J.J. Graham. New York, NY: Barnes & Noble, 2004. Weigley, Russell Frank. A Great Civil War: A Military and Political History, 1861-1865. Bloomington, IN: Indiana University Press, 2004. Woodworth, Steven E. Nothing but Victory the Army of the Tennessee, 1861-1865. New York: Vintage, 2005. Primary Sources: Allan, William. The Army of Northern Virginia in 1862, Reprint: Middletown: DE, 2020. Alexander, Edward Porter. Fighting for the Confederacy: The Personal Recollections of General Edward Porter Alexander. Edited by Gary W. Gallagher, United States: The University of North Carolina Press, 2000. Battles and Leaders of the Civil War Volumes 1-4, edited by Robert Underwood Johnson, and Clarence Clough Buel. New York: The Century Company, 1885. Donaldson, Francis Adams. Inside the Army of the Potomac: The Civil War Experience of Captain Francis Adams Donaldson. Edited by J. Gregory Acken. Mechanicsburg, PA: Stackpole Books, 1998. Fleming, Francis P. A Memoir of Captain C. Seton Fleming: of the Second Florida Infantry, C.S.A., Reprint 1985: Jacksonville: Times-Union Publishing House, 1884. Marshall, Charles. Lees Aide-De-Camp: Being the Papers of Colonel Charles Marshall Sometime Aide-De-Camp, Military Secretary, and Assistant Adjutant General on the Staff of Robert E. Lee, 1862-1865. Edited by Gary W. Gallagher, and Frederick Maurice. Lincoln: University of Nebraska Press, 2000. Newman, Simon P. "A Democrat in Lincoln's Army: The Civil War Letters of Henry P. Hubbell." The Princeton University Library Chronicle 50, no. 2 (1989): 155-68. Rhodes, Elisha Hunt. All for the Union: A History of the 2nd Rhode Island Volunteer Infantry in the War of the Great Rebellion. Edited by Robert Hunt Rhodes. Lincoln, RI: A. Mowbray, 1985. Small, Abner Ralph. The Sixteenth Maine Regiment in the War of the Rebellion, 1861-1865. London: Forgotten Books, 2015. Survivors' Association 118th (Corn Exchange) Regt., P.V., History of the Corn Exchange Regiment 118th Pennsylvania Volunteers,62. 62 United States War Department. The War of the Rebellion: A Compilation of the Official Records of the Union and Confederate Armies. Vol. 19. Washington: Govt. Print. Off., 1880. Tourgée Albion W. The Story of a Thousand: Being a History of the Service of the 105th Ohio Volunteer Infantry in the War for the Union, from August 21, 1862, to June 6, 1865. Edited by Peter C. Luebke. Kent, OH: Kent State University Press, 2011.Watkins, Samuel R.Company Aytch or A Side Show of the Big Show: A Memoir of the Civil War. Edited by Ruth Hill Fulton McAllister. Nashville, TN: Turner, 2011
El objetivo principal de esta Tesis Doctoral es evaluar el desempeño financiero de las inversiones socialmente responsables (ISR). En las últimas décadas, la gestión de inversiones ha experimentado un proceso progresivo de adaptación en el que los objetivos financieros convencionales se han complementado con atributos no financieros como los criterios medioambientales, sociales y de gobernanza (ESG). Esta tendencia refleja una creciente conciencia sobre cuestiones ambientales, sociales y éticas que influye de manera importante en las decisiones de compra de los inversores (Mollet y Ziegler, 2014). La ISR atrae a inversores que desean ir más allá de la utilidad financiera de sus inversiones y que esperan una utilidad no financiera que refleje sus valores sociales (Auer, 2016; Auer y Schuhmacher, 2016). Los aspectos ESG se están convirtiendo en una parte importante del proceso de toma de decisiones de los inversores al ayudarles a identificar oportunidades y riesgos en el largo plazo. De acuerdo con el Global Sustainable Investment Review de 2016, en 2016 hubo 22,89 billones de dólares gestionados profesionalmente en el marco de estrategias de inversión responsable a nivel mundial, lo que representa un aumento del 25% desde 2014. En 2016, el 53% de los gestores en Europa utilizaron estrategias de inversión responsable, siendo esta proporción del 22% en EE.UU. y del 51% en Australia/Nueva Zelanda. Esta tendencia se ha ratificado para los dos últimos años. Los gestores de activos estadounidenses consideraron criterios ESG en su gestión por valor de 11,6 billones de dólares, un 44 por ciento más que los 8,1 billones de dólares de 2016 (USSIF, 2018). El informe EUROSIF (2018) también revela un crecimiento sostenido en Europa de las estrategias de inversión sostenibles. Los dos últimos años (2016-2018) muestran signos manifiestos de que la ISR se está convirtiendo en parte integrante de la gestión de los fondos europeos. La idea básica de la ISR es aplicar un conjunto de filtros al universo de inversión disponible con el fin de seleccionar o excluir activos en función de criterios ESG (Auer, 2016). En la práctica, existen diferentes estrategias ISR, como la integración, la selección positiva/best-in-class, la selección ética/negativa, la gobernanza, el compromiso, etc., todas ellas con el objetivo de dirigir los fondos hacia empresas socialmente responsables con proyectos y políticas constructivas y sostenibles. Desde la perspectiva de los inversores, la cuestión crítica es si la selección de acciones socialmente responsable conduce a ganancias o pérdidas en términos de rendimiento financiero. Por parte de las empresas, la cuestión es si el gasto de recursos en prácticas de responsabilidad social de las empresas (RSE) redundará en beneficio de la empresa y aumentará su valor. Si hacer el bien (social y medioambiental) está vinculado a hacerlo bien (financieramente), las empresas podrían verse incentivadas a comportarse de manera más sostenible. Una relación positiva entre el desempeño social y el financiero legitimaría incluso la RSE sobre razones económicas (Margolis et al. 2009). El crecimiento de la ISR y sus consecuencias ha estimulado la realización de estudios empíricos evaluando su comportamiento financiero. Una parte importante de la literatura se ha centrado en el rendimiento financiero de los fondos de inversión ISR. En general, estos estudios encuentran que no hay diferencias significativas en el desempeño financiero de fondos ISR y fondos de tipo convencional (Leite et al. 2018)2. Sin embargo, la evaluación del impacto financiero de la ISR mediante el análisis del rendimiento de los fondos de inversión ISR gestionados activamente presenta algunas deficiencias. Por ejemplo, como señalan Brammer et al (2006) y Kempf y Osthoff (2007), existen efectos confusos -como las habilidades de gestión del gestor y los honorarios y tasas por la gestión- que pueden dificultar la identificación del rendimiento de las ISR. Además, la evidencia de Utz y Wimmer (2014), Humphrey et al. (2016), y Statman y Glushkov (2016) sugiere que la etiqueta "socialmente responsable" puede ser una estrategia de marketing de los fondos, lo que suscitaría dudas entre los inversores sobre si un fondo ISR es realmente socialmente responsable. En consecuencia, los inversores pueden tener dificultades para saber en qué medida un fondo ISR tiene realmente en cuenta los criterios sociales en su proceso de selección. Para superar las limitaciones asociadas a los estudios sobre fondos de inversión ISR gestionados activamente, un enfoque alternativo para evaluar los efectos financieros de la ISR consiste en analizar el rendimiento de carteras sintéticas formadas utilizando características sociales, medioambientales y de gobernanza de las empresas. En esta Tesis Doctoral, seguimos este enfoque para evaluar las inversiones socialmente responsables. Esta Tesis Doctoral está organizada en dos secciones. La primera incluye los capítulos 1 y 2 en los que se evalúan algunos aspectos metodológicos relacionados con una medida de rendimiento financiero que se utiliza para evaluar el rendimiento financiero de la ISR en la sección dos. La segunda sección incluye los capítulos 3, 4, 5 y 6 en los que se evalúa el desempeño financiero de la ISR desde diferentes perspectivas. Primera Sección. En el Capítulo 1 se evalúa la utilidad de una estrategia de inversión sectorial basada en el modelo de tres factores de Fama y French (1992). En este capítulo desarrollamos un proceso de inversión, que hasta donde sabemos es nuevo, incluyendo en una cartera acciones que están infravaloradas con respecto a sus índices sectoriales, es decir, tomamos como factor de mercado relevante el índice sectorial al que pertenecen las empresas. Nuestro principal objetivo en este capítulo es comprobar si es posible conseguir de forma consistente una rentabilidad extraordinaria mediante una estrategia sectorial basada en el modelo de Fama y French (1992) para la toma de decisiones de inversión. En el Capítulo 2 se evalúa si el modelo Fama y French (1992) puede convertirse en una herramienta más versátil y flexible, capaz de incorporar las variaciones en las características de las empresas de una forma más dinámica. Específicamente, prestamos atención al procedimiento que siguen Fama y French (1992) para formar los factores de riesgo. Ellos toman datos anuales y evalúan las carteras de valor y tamaño una vez al año, manteniéndolas invariables durante todo el período. Sin embargo, observamos que las características de las empresas pueden variar durante un periodo de 12 meses. Argumentamos que en ese periodo la valoración de una empresa puede cambiar como resultado de, por ejemplo, variaciones en su precio de mercado, su tamaño o su precio en libros; sin embargo el modelo de Fama y French (1992) no refleja con precisión esta dinámica. Nuestro principal objetivo en este capítulo es probar la eficacia del modelo tomando datos mensuales y reformando las carteras de valor y tamaño al final de cada mes para desarrollar una herramienta más dinámica y adaptable. Segunda Sección. En el Capítulo 3 se evalúa el rendimiento financiero de carteras que pueden formar inversores minoristas con conciencia social en comparación con inversiones convencionales. Observamos que la mayoría de los estudios previos que evalúan el rendimiento financiero de la ISR se llevan a cabo desde la perspectiva de las decisiones de inversión de los inversores institucionales y no desde la perspectiva de los inversores particulares que desean mantener carteras ISR. Sin embargo, ha habido un aumento considerable de la popularidad de la ISR entre los inversores minoristas (Benijts, 2010). Nilsson (2015) destaca que los inversores particulares optan por dedicar al menos una parte de sus fondos a inversiones que incluyan algún tipo de preocupación social o medioambiental, convirtiéndose así en un factor importante en la configuración de la ISR. Según el Global Sustainable Investment Review de 2016, aunque el mercado ISR en la mayoría de las regiones está dominado por inversores institucionales profesionales, el interés de los inversores particulares por la ISR está adquiriendo relevancia. De hecho, la proporción relativa de inversiones en ISR al por menor en Canadá, Europa y Estados Unidos aumentó del 13 por ciento en 2014 al 26 por ciento a comienzos de 2016 (GSIA, 2016). El objetivo de este capítulo es evaluar el rendimiento de las carteras que pueden formar los inversores minoristas socialmente responsables en comparación con las inversiones convencionales. Utilizamos varias medidas de rendimiento financiero; entre otras, la desarrollada en el capítulo 2 de esta Tesis Doctoral. Como punto relevante para los inversores minoristas, para la selección de las empresas socialmente responsables acudimos a una fuente de información de acceso libre al público a la que puede acceder cualquier inversor minorista. Adicionalmente, en este capítulo analizamos el impacto que pueden tener diferentes estados del mercado (alcistas y bajistas) sobre el rendimiento financiero de las carteras ISR. Investigaciones recientes muestran que el rendimiento de fondos de renta variable ISR (Nofsinger y Varma, 2014; Becchetti et al., 2015, Leite y Cortez, 2015), fondos de renta fija de ISR (Henke, 2016) y empresas socialmente responsables (Brzeszczyński y McIntosh, 2014; Carvalho y Areal, 2016) son sensibles a diferentes estados del mercado. En el Capítulo 4 evaluamos el desempeño financiero de carteras de acciones construidas con criterios de RSC a nivel internacional. Observamos que los estudios previos que abordan el desempeño de las carteras sintéticas socialmente responsables adolecen de algunas limitaciones e inconsistencias, a saber: (1) la mayoría de los estudios previos se centran en los mercados bursátiles de EE.UU. y Europa; (2) con la excepción de Badía et al. (2017), los estudios anteriores no comparan el desempeño de las carteras de ISR de diferentes regiones del mundo; (3) existen estudios que miden la RSC sólo a través de una de sus dimensiones individuales, mientras que otros consideran medidas agregadas de la RSC; (4) la mayoría de los estudios no evalúan la influencia de la industria en el desempeño financiero de las carteras de acciones ISR; (5) en varios de los estudios que evalúan a empresas europeas, se utilizan muestras de tamaño reducido; (6) falta evidencia actualizada; y (7) algunos investigadores simplemente dividen los períodos de análisis en subperíodos para evaluar el ―efecto de tiempo‖, sin embargo, es posible que se haya descuidado un efecto importante, el impacto de diferentes estados del mercado sobre el rendimiento financiero. Nuestro principal objetivo en este capítulo es evaluar el rendimiento financiero de carteras construidas sobre la base de criterios RSC superando las limitaciones previas. Formamos carteras de acciones con valoraciones de sostenibilidad altas y bajas e investigamos el rendimiento de dichas carteras utilizando modelos multifactoriales. En este capítulo, ampliamos el análisis sobre el impacto de la utilización de filtros socialmente responsables en el rendimiento de las carteras de inversión a otras áreas geográficas (Norteamérica, Europa, Japón y Asia-Pacífico); comparamos el rendimiento financiero de las carteras ISR de estas regiones entre sí; formamos carteras basadas en una medida agregada de RSE, así como en tres de sus dimensiones específicas ESG; evaluamos la influencia de la industria en el rendimiento financiero de las carteras de acciones ISR; y, por último, evaluamos el rendimiento financiero de las carteras de acciones ISR en diferentes estados de los mercados: alcistas, bajistas y períodos de mercados mixtos. En el Capítulo 5 evaluamos el rendimiento financiero de carteras de deuda pública formadas según criterios ESG. Observamos que, aunque el concepto de ISR se relacionó originalmente con la selección de acciones, la proporción de inversores que aplican criterios ISR a bonos ha crecido significativamente en los últimos años. Según el Foro Europeo de Inversión Sostenible (EUROSIF, 2016), la renta variable representaba más del 30% de los activos de ISR en diciembre de 2015, lo que supone un descenso significativo respecto al 50% del año anterior. Por otra parte, se ha producido un fuerte aumento de los bonos, que han pasado del 40% registrado en diciembre de 2013 al 64%. Tanto los bonos corporativos como los bonos gubernamentales experimentaron un crecimiento notable. En este sentido, las implicaciones financieras de los procesos de selección ESG sobre bonos corporativos pueden estar estrechamente relacionadas con la selección de acciones, ya que los bonos corporativos están asociados a empresas. De hecho, estudios previos (por ejemplo, Derwall y Koedijk, 2009; Leite y Cortez, 2016) que evalúan el desempeño financiero de fondos que invierten en bonos de renta fija socialmente responsables, encuentran que en promedio tuvieron un desempeño similar al de los fondos convencionales. Estos resultados están en línea con la mayoría de los estudios empíricos sobre el desempeño de los fondos ISR que muestran que tienden a tener un desempeño similar al de sus pares convencionales (Revelly y Viviani, 2015). Sin embargo, los procesos de selección ESG sobre bonos gubernamentales, dado que no están relacionados con las empresas, pueden ayudar a comprender las consecuencias de la ISR para activos alternativos. A pesar del crecimiento del mercado de deuda pública ISR y del desarrollo de calificaciones de los países basadas en factores ESG en los últimos años, se ha pasado por alto el vínculo entre la rentabilidad de la deuda pública y el rendimiento de los países en términos de preocupaciones ESG. De hecho, hasta donde sabemos, ninguna investigación previa ha evaluado el rendimiento financiero de las inversiones responsables en bonos gubernamentales. El objetivo principal de este capítulo es llenar este vacío. Evaluamos el rendimiento financiero de carteras de deuda pública formadas según criterios ESG. A diferencia de estudios previos, en los que se aplican calificaciones de sostenibilidad de las empresas, se utilizan calificaciones de sostenibilidad relacionadas con los países. En el capítulo 6 se estudia un aspecto poco evaluado de la RSE: la distinción entre inversiones en cuestiones de sostenibilidad materiales e inmateriales. Sólo las empresas que se centran en cuestiones de sostenibilidad material asociadas a sus operaciones principales deberían lograr una ventaja competitiva y obtener un mayor rendimiento social y financiero. Las actividades de RSE y las innovaciones relacionadas deben realizarse sobre aspectos materiales, ya que de lo contrario no se debería espera un efecto positivo en el rendimiento financiero. De hecho, las inversiones en cuestiones inmateriales pueden implicar costes empresariales adicionales sin un rendimiento social y financiero asociado. Para las empresas es importante centrarse en las cuestiones materiales ya que de este modo invierten en aspectos sociales que realmente afectan a sus operaciones. A pesar de que temas como la seguridad de los productos, el cambio climático y la intensidad en el uso de los recursos tienen impactos en varias industrias, como señalan Herz and Rogers (2016), esos efectos a menudo varían en gran medida de una industria a otra. Los riesgos pueden estar en todas partes, aunque también son particulares. Como consecuencia, las empresas de diferentes industrias tienen sus perfiles de sostenibilidad particulares. Es probable que una empresa que invierte sobre temas de sostenibilidad material en su industria logre un desempeño financiero positivo. Mientras tanto, es probable que una empresa que invierte en cuestiones de sostenibilidad materiales pero también inmateriales no logre un rendimiento financiero superior. En este capítulo, el objetivo principal es evaluar el rendimiento financiero de carteras de acciones formadas en función de cuestiones de RSC materiales e inmateriales. Khan et al (2016) muestran que las empresas estadounidenses con un fuerte desempeño en aspectos materiales superan a las empresas con un desempeño pobre en temas materiales. Nuestro conjunto de datos incluye empresas de estadounidenses y Europa. De este modo, ampliamos las pruebas anteriores de Khan et al. (2016) a las empresas europeas. La evaluación de las empresas estadounidenses y europeas es particularmente interesante dada la heterogeneidad de las pautas de desarrollo de la ISR en los distintos países (Neher y Hebb, 2015). En este capítulo utilizamos las puntuaciones de las empresas a partir de un conjunto de datos original que integra los estándares del Mapa de Materialidad SASB que, hasta donde sabemos, no se ha utilizado antes en este contexto. ; The main objective of this Doctoral Thesis is to evaluate the financial performance of socially responsible investments (SRI). In recent decades, investment management has undergone a progressive adaption process in which conventional financial objectives are increasingly being complemented by non-financial attributes such as environment, social and governance (ESG) criteria. This trend reflects an increasing awareness of environmental, social, and ethical issues that is strongly influencing the purchase decisions of investors (Mollet and Ziegler, 2014). SRI appeals to investors who wish to go beyond the financial utility of their investments and also derive non-financial utility from holding securities that reflect their social values (Auer, 2016; Auer and Schuhmacher, 2016). Additionally, ESG issues are becoming an important part of investors' decision-making process by helping them to identify firms' long-term opportunities and risks. According to the 2016 Global Sustainable Investment Review, in 2016 there were $22.89 trillion of assets being professionally managed under responsible investment strategies globally, representing an increase of 25% since 2014. In 2016, 53% of managers in Europe used responsible investment strategies, this proportion being 22% in the US and 51% in Australia/New Zealand. This tendency has been ratified recently for the last two years. US asset managers considered ESG criteria across $11.6 trillion in assets, up 44 percent from $8.1 trillion in 2016 (USSIF, 2018). The EUROSIF (2018) report discloses sustained growth for most sustainable and responsible investment strategies. The past two years (2016-2018) show manifest signs of SRI becoming integral to European fund management. The basic idea of SRI is to apply a set of screens to the available investment universe, in order to select or exclude assets based on ESG criteria (Auer, 2016). In practice, there is a range of SRI strategies, such as integration, positive/best-in-class screening, ethical/negative screening, governance and engagement, etc. All of these aim to drive funds towards socially responsible firms with constructive sustainable projects and policies. From an investors' perspective, the critical issue is whether socially responsible stock selection leads to gains or losses in terms of financial performance. On the firms' side, the question is whether spending resources on corporate social responsibility (CSR) practices will render benefits for the firm and increase its value. If doing good is indeed linked to doing well, firms may be led to behave in a more sustainable way. A positive relationship between social and financial performance would even legitimize CSR on economic grounds (Margolis et al. 2009). The growth of SRI and its consequences has stimulated empirical studies assessing financial behaviours. An important stream of the literature has focused on the financial performance of SRI mutual funds. In general, these studies find that there are no significant differences between the performance of SRI mutual funds and conventional funds (Leite et al. 2018). However, assessing the financial impact of SRI by evaluating the performance of actively managed SRI mutual funds has some shortcomings. For instance, as Brammer et al. (2006), and Kempf and Osthoff (2007) point out, there are confounding effects - such as fund manager skills and management fees - that may make it difficult to identify the performance that is due to the social characteristics of the underlying holdings. Furthermore, the evidence of Utz and Wimmer (2014), Humphrey et al. (2016), and Statman and Glushkov (2016) suggests that the 'socially responsible' label may be more akin to a marketing strategy, thus raising doubts among investors that an SRI fund is really socially responsible. As a consequence, investors may find it difficult to know the extent to which an SRI fund is really considering social criteria in its selection process. To overcome the limitations associated to studies on actively managed SRI mutual funds, an alternative approach to evaluate the financial effects of SRI involves evaluating the performance of synthetic portfolios formed on assets' social characteristics. In this Doctoral Thesis, we follow this approach to evaluating socially responsible investments. This Doctoral Thesis is organized in two sections. The first includes chapters 1 and 2 in which we evaluate some methodological aspects related to a financial performance measure which is used to assess the financial performance of SRI in Section two. The second Section includes Chapters 3, 4, 5, and 6 in which we evaluate the financial performance of SRI from different perspectives. First Section. In Chapter 1 we assess the usefulness of a sector investment strategy based on the three-factor Fama and French (1992) model. We develop an investment process that is, as far as we know, new by including stocks that are undervalued with respect to their sector indices in a portfolio. We take as the relevant market factor the sector index to which firms belong. We base the strategy on the difficulty entailed in effectively choosing the appropriate market portfolio (Roll, 1977).Our main objective in this chapter is to test whether it is possible to consistently achieve extra-financial returns by means of a sector strategy using the Fama and French model (1992) as a basis for decision-making. In Chapter 2 we evaluate whether the Fama and French (1992) model may be adapted to become a more versatile and flexible tool, capable of incorporating variations of firms characteristics in a more dynamic form. We pay attention to the procedure that Fama and French (1992) follow to form the risk factors. They take annual data, and the value and size portfolios are assessed once a year, maintaining invariability during the whole period. However, we note that firms' characteristics can change during any given 12-month period. We argue that, over time, firms' valuation may change as a result of variations in its market price, size or book price, and we are aware that the Fama and French (1992) model does not accurately reflect these dynamics. Our main objective in this chapter is to test the effectiveness of the model by taking month-to-month data and reforming the value and size portfolios at the end of each month, aiming to develop a more dynamic and adaptable tool. Second Section. In Chapter 3 we evaluate the financial performance of portfolios that can be formed by socially conscious retail investors compared to conventional investments. We note that most previous studies evaluating the financial performance of SRI are conducted from the perspective of institutional investors' investment decisions and not from the perspective of retail investors who wish to hold SRI portfolios. Nonetheless, there has been a considerable increase in the popularity of SRI among retail investors (Benijts, 2010). Nilsson (2015) highlights that retail investors choose to devote at least part of their funds to investments that include some kind of social or environmental concerns, thereby having become an important factor in shaping SRI. According to the 2016 Global Sustainable Investment Review, although the SRI market in most of the regions is dominated by professional institutional investors, retail investors' interest in SRI is gaining relevance. Indeed, the relative proportion of retail SRI investments in Canada, Europe and the United States increased from 13 percent in 2014 to 26 percent at the start of 2016 (GSIA, 2016). Furthermore, over one third of SRI assets in the United States come from retail investors. The objective of this chapter is to assess the performance of portfolios that can be formed by socially responsible retail investors compared to conventional investments. We use several financial performance measures. Among others, that developed in chapter 2 of this Doctoral Thesis. As a relevant point to retail investors, we use stocks listed on a source freely available to the public that any retail investor may access. Additionally, we analyse the impact of different market states on the financial performance of SRI portfolios. Recent research shows that the performance of SRI equity funds (Nofsinger and Varma, 2014; Becchetti et al., 2015, Leite and Cortez, 2015), SRI fixed-income funds (Henke, 2016), and socially responsible stocks (Brzeszczyński and McIntosh, 2014; Carvalho and Areal, 2016) is sensitive to different market states (e.g., expansion and recession periods). In Chapter 4 we evaluate the financial performance of international stock portfolios based on CSR criteria. We note that previous studies that address the performance of socially screened synthetic portfolios suffer from some limitations and inconsistencies, namely, (1) the majority of prior evidence only refers to the US and European stock markets; (2) with the exception of Badía et al. (2017), previous studies do not compare the performance of SRI portfolios of different regions worldwide; (3) there are studies that measure CSR through one of its individual dimension only, whereas others consider an aggregate construct of CSR; (4) most studies do not evaluate the influence of specific industries on the financial performance of SRI stock portfolios; (5) in several studies assessing European firms, undersized samples are used; (6) up-to-date evidence is lacking; and (7) some researchers who split sample periods merely into sub-periods to evaluate a 'time effect', i.e., whether SRI returns were better in earlier years and yet declined in more recent periods, may have neglected an important effect, specifically, the impact of different market states. Our main objective in this chapter is to evaluate the financial performance of international stock portfolios based on CSR criteria aiming to overcome previous limitations in the evaluation of SRI stock portfolio performance. We form portfolios of stocks with high and low sustainability scores and investigate the performance of such portfolios using multi-factor models. In this chapter, we extend the analysis on the impact of including socially responsible screens on investment portfolios performance to additional geographical areas (North America, Europe, Japan, and Asia Pacific); we compare the financial performance of SRI portfolios of these regions to each other; we form portfolios based on an aggregate measure of CSR as well as on three of its specific ESG dimensions; we evaluate the influence of specific industries on the financial performance of SRI stock portfolios; and finally, we assess the financial performance of SRI stock portfolios over different market states: bear, bull and mixed market periods. In Chapter 5 we evaluate the financial performance of government bond portfolios formed according to ESG criteria. We note that although the concept of SRI was originally related to stock selection, the proportion of portfolio investors applying SRI criteria to bonds has grown significantly in recent years. According to the European Sustainable Investment Forum (EUROSIF, 2016), equities represented over 30% of SRI assets in December 2015, a significant decrease from the previous year's 50%. Meanwhile, there was a strong increase in bonds from the 40% registered in December 2013 to 64%. Both corporate bonds and government bonds underwent a remarkable growth. The former rose from 21.3% to 51.17% of the bond allocation, while the latter increased from 16.6% to 41.26%.In this regard, the financial implications of ESG screening processes on corporate bonds may be closely related to stock selections since corporate bonds are associated with firms. Indeed, previous studies (e.g., Derwall and Koedijk, 2009; Leite and Cortez, 2016) which evaluate the financial performance of mutual funds that invest in socially responsible fixed-income stocks, find that the average SRI bond funds performed similarly to conventional funds. These results are in line with most empirical studies about the performance of SRI funds, which show that they tend to have a similar performance to their conventional peers (Revelly and Viviani, 2015). However, ESG screening processes on government bonds, since they are not related to firms, can help gain an in-depth understanding of SRI consequences for alternative assets. Despite the SRI government bond market growth and the development of country ratings based on ESG factors in recent years, the link between government bond returns and country performance in terms of ESG concerns has been overlooked. In fact, to the best of our knowledge, no previous research has evaluated the financial performance of responsible government bond investments. The main objective of this chapter is to fill this gap. We assess the financial performance of government bond portfolios formed according to ESG criteria. We thus open a discussion on the financial performance of SRI for an alternative asset to firms.In contrast to previous studies, which apply firm sustainability ratings, we use sustainability ratings related to countries. In Chapter 6 we ascertain a less assessed aspect in CSR: distinguishing between investments in material versus immaterial sustainability issues. We note that only firms focused on material sustainability issues associated with their main operations should achieve a competitive advantage and obtain a higher social and financial performance. CSR activities and innovations should be performed on material aspects since otherwise a positive effect on financial performance is not expected. Indeed, investments on immaterial issues may involve additional corporate costs without a social and financial performance associated return. Focusing on material issues is important for firms since they do investments in social aspects that truly affect their operations. Despite issues as prod¬uct safety, climate change, and resource intensity have impacts across several industries, as Hertz et al. (2016) note, those effects often vary to a great extent from one industry to the next. Risks may be everywhere, although they are indeed also particular. As a consequence, firms of specific industries have their particular sustainability profiles. Thus, a firm investing and reporting on material sustainability issues is likely achieved positive financial performance. Meanwhile, a firm investing on material but also on immaterial sustainability issues is likely not achieved superior financial performance. In this chapter, the main objective is to assess the financial performance of stock portfolios formed according to material and immaterial CSR issues. Khan et al. (2016) show that US firms with strong performance on material aspects outperform firms with poor performance on material topics. Our dataset includes companies from US and Europe. We thus extend the previous evidence of Khan et al. (2016) to European firms. Evaluating firms from US and Europe is particularly interesting given the heterogeneity in the patterns of development of SRI across countries (Neher and Hebb, 2015). Furthermore, we use firm' scores from an original dataset that integrates the SASB Materiality Map standards which, to our knowledge, has not been used before.
The College Metcufy. VOL. IV. GETTYSBURG, PA., JANUARY, 1897. No. 9, THE COLLEGE MERCURY, Published each month during the college year by the Students of Pennsylvania (Gettysburg) College. STAFF. Editor: ROBBIN B. WOLF, '97. Associate Editors : LEWIS C. MANGES, '97. ED, W. MEISEN H ELDER, SAMUEL J. MILLER '97. CHARLES T. LARK '98. JOHN W. OTT, '97. CHARLES H. TILP, '98. E. L. KOLLER, '98. Alumni Association Editor: REV. D. FRANK GARLAND, A. M., Baltimore, Md. Business Manager: HARRY R, SMITH, '97. Assistant Business Manager: JOHN E. MEISENHELDER, '97. mi™™./One volume (tenmonths). . . . $1.00 ILKMS. jslngleCOpies 15 Fayatle is advance All Students are requested to hand us matter tor publication. The Alumni and ex-members or the college will favor us by-sending Information concerning their whereabouts or any Items they may think would be interesting for publication. All subscriptions and business matters should be addressed to the business manager. Matter intended for publication should be addressed to the Editor. Address, THE COLLEGE MEKCUKY, Gettysburg, Pa. CONTENTS. EtllTORIAL, 13° CODBX SlNAITCUS, I31 THE COLLEGE LITERARY SOCIETY, - - - - - 132 BOOK REVIEWS, 135 NEW YEAR RESOLUTIONS, --- 135 COLLEGE LOCALS, 135 ALUMNI NOTES, --- 137 TOWN AND SEMINARY NOTES, --- 139 ATHLETIC NOTES, --- 139 Y. M. C. A. NOTES, 140 FRATERNITY NOTES, --- 140 LITERARY SOCIETIES, 141 EXCHANGES, -- 141 EDITORIAL THIS issue of the MERCURY appears some-what later than the usual time on account of the date of opening. . * ., COLLEGE reopened oir the morning of the fifth with the majority of the boys back on time, but the usual number of stragglers keep up the reputation of id genus omne. All re-port a pleasant vacation and many New Year's resolutions. The loss of several has been more than compensated by the arrival of new ones. Very few of the boys accomplished the work mapped out by themselves for the vacation, such as essays, Specttum and MERCURY work. Who can blame them ? The Christmas vaca-tion should be a real vacation, and the appear-ance of the boys after the examinations showed their need of rest. Now comes the hard work which the middle term always brings. How-ever, if the work is more arduous, it is to be remembered that this season is most propitious for close application. * * EVER since the MERCURY was given to the present Staff, extraordinary efforts have been made to increase the number of Alumni per-sonals. Our efforts have not been altogether unrewarded. But as this publication is main-tained chiefly in the interest of the Alumni, it is fitting that a yet greater portion of its space should be devoted to them. The present plan has been found inadequate. It is unreasonable to expect that two under graduates can keep themselves informed concerning the great body of Alumni scattered all over the habitable globe. The following plan commends itself as more likely to meet the end aimed at; That in lV THE COLLEGE MERCURY. every city or section of the country which has enough Alumni residents to justify it, some Alumnus regularly furnish such personal notes, one in such places respectively as New York, Philadelphia, Baltimore, York Altoona, New England and at two or three points in the South and West. This plan proposed only as tentative, at least deserves a trial, and personal letters will be written to those who are thought most willing to attend to the work and the names of those who accept will ap-pear in the MERCURY, so that all the Alumni in that section may send their personals to them. Any further suggestions which may improve this plan will be gratefully received. * *' * WE take pleasure in calling the attention of our readers to the article, in this issue, of Dr. J. W. Richard, and to the letter of Dr. J. H. W. Stuckenberg. We extend our hearty thanks to the gentlemen and commend their example to others. * * * THE Philadelphia Press of Jan. 4th, contains a striking editorial on the subject, Small Col-leges and degrees, the substance of which fol-lows. "At a meeting last week of representatives from the leading colleges of Iowa a resolution was offered asking the Legislature to change the law of that State concerning the conferring of college degrees. As the law now stands any three men can organize a college by in-corporating it under the laws of the State, and any college so incorporated can confer de-grees. Under the law there has sprung up a large number of so-called colleges in Iowa, and as all of them are handing out degrees lib-erally, much discredit is brought upon the honor. The struggle among them to attract students is fierce and many inducements are offered, one college agreeing to pay the mile-age of students in proportion to the length of time they remain in college. The question of college degrees was brought prominently before the public last winter by State Senator Garfield, of Ohio, a son of the late President Garfield. He introduced a bill in the Legislature of that State the object of which was to examine into and pass upon the fitness of colleges to confer honorary degrees. The bill provided for the creation of a univer-sity council consisting of ten members ap-pointed by the Governor. * * * When in the opinion of this council an institution did not have the requisite standing its right to confer honorary degrees should be taken away. New York has ahead}' conferred this power on the regents of the State University and this State should confer it on the University Council." * * * * * We are surprised that so eminent a journal does not know that this State has already taken a similar step, of which we are heartily glad, and that it has done away with the evil of a college like Gettysburg and others of a like high standard having the value of their degrees decreased by the host of small, so-called, colleges which are scarcely better than a good high school. Some estimable men of culture have refused the offer of a degree be-cause a degree has largely lost its significance. It is to be hoped that the Iowa Legislature will pass the bill and that all the other States will join in the movement to prevent charter-ing new institutions and withdrawing the charter from those whose standard does not justify their existence. CODEX SINAITICUS. THE CODEX SINAITICUS is the name given to a celebrated manuscript of the Bible, dis-covered by Prof. Dr. Constantine Tischendorf, February 4th, 1859, nl the Convent of St. Catharine, at the foot of Mount Sinai. The manuscript consists of 346^ leaves. Each leaf is 13^ inches wide and 14^6 high, and contains four columns of writing; and each col-umn contains forty-eight lines. It is supposed to have been prepared in Egypt, or at Con-j stantinople, about the middle of the fourth century of our era. It is written in what is known as uncial or capital letters. Each letter is separated from the others, and all are of the same size, except that frequentty a letter is re- ' duced in size in order to make it fit into the line. Tischendorf calls it "omnium codicum i unclalium sohis integei omniumque a?itiqtiissi- THE COLLEGE MERCURY. 132 mus." His designation solus integer is cer-tainly correct as applied to the New Testament portion, for it is the 011I5' known uncial manu-script that contains the entire text of the New Testament, without any omission, together with the Epistle of Barnabas and a part of the Shepherd of Hennas in Greek (147^2 leaves in all). The designation "antiguissimus." has been questioned, for it is thought by many scholars that the Codex Vaticanus at Rome, is at least as old, if not a little older. But it deserves to be called one of the two oldest, and one of the most valuable biblical manuscripts in the world. Tischeudorf having obtained possession of it as a loan, carried it to Cairo, where in two months, assisted by a German physician, and a druggist, he made a complete copy of it. Then having secured the permanent possession of it for the Russian government, he trans-ferred it to Leipzig, where a quasi-facsimile edition of three hundred copies was printed from types cast specially for the purpose. The original was then taken to St. Petersburg, where it is sacredly kept. The printed copies were distributed among the crowned heads and large libraries, mostly of Europe, except one third of the number which were placed at the disposal of Dr. Tis-cheudorf. Copies of this rare and valuable edition, which for the purposes of textual crit-icism are almost as good as the original, are in the libraries of the Theological Seminaries re-spectively at Gettysburg, Princeton, Union (New York), Andover, Rochester, Auburn, and in the Astor and Lenox Libraries and the library of the American Bible Society in New York, and in the University libraries of Har-vard and Yale. J. W. R. IT has been my privilege to address many students in Colleges, Universities, and Semi-naries; but I do not think I ever addressed any who were more attentive, more earnest, more appreciative, and more eager to learn, than those I recently met at Gettysburg. Compared with what I found there in the past it looks as if a new spirit had come with a quickening influence. The young men are evidently intent on understanding the age in which they live, through which must come all the influences which can affect them, and which is the only age which they can work on directly. They were anxious to know how they can use most effectively all that the school gives them of knowledge and wisdom. There were many evidences that the stu-dents want to make the most of their oppor-tunities in order to make the most of them-selves. With this object in view many ques-tions were asked respecting the best methods of study. It was gratifying to find that many are not content with being mere learners; they want also to become scholars and thinkers. For this purpose they strive to enter upon original research and seek to become indepen-dent investigators. The friends of higher edu-cation ought to see to it that the best means for this purpose are put within the reach of these young men. I saw evidence at Gettysburg that excellent teaching has been done in the College and Seminary. The church has reason to cherish the brightest hopes respecting these institu-tions if the aspiring and energetic spirit is pro-moted and developed. Connected with the earnest intellectual trend I found also a living faith and sincere devotion to the church. J. H. W. STUCKENBERG. Cambridge, Mass., Dec. 21, 1896. THE COLLEGE LITERARY SOCIETY. From no other source during his college course does a man receive so much training as he does from the literary society. He may be a good student and lead his class in scholarship, but if he does not make use of the advantages offered by the literary society he feels when he leaves college that he neg-lected that which would be of more practical good to him than much he learned in the class-room. The important feature of the literary society 133 THE COLLEGE MERCURY -is the training it gives a man for public speak-ing, so, that when he is called upon to make an address he has the ability to use the knowl-edge he has acquired and impart it to others in a manner easily understood. Another important feature is the knowledge of parliamentary rules' and the ability to pre-side at meetings which one receives from the literary society. After a man leaves college his influence is to a great extent measured by his knowledge of the qualifications just mentioned. We have attended meetings over which incompetent men have presided and we have noticed how uninteresting the proceedings have become and the inability of the chairman to decide questions of dispute. In some cases, perhaps, it was possible to overlook this incompetency, as in the case ot a man who has had no ad-vantages to gain any knowledge in such mat-ters ; but there is no excuse for a college man to be placed in such a position. If he should be, he can blame no person but himself, be-cause most of the institutions provide oppor-tunities for the acquirement of such qualifica-tions. . We thus see the college days are, above all others, the time, and the literary societies the place, to acquire those abilities which a stu-dent may be called upon at any time of his life to exercise. A society in order to be of any influence in the institutions in which it may exist must have members who are devoted to its welfare and who take an active part in its exercises. It is not the society which has the largest number on its roll which is the most prosper-ous, but the one in which the members work for their own good and the best interests of their society. Those who participate in the exercises because they are compelled so to do by the rules of the society do not receive nearly so much benefit as they who do so for the instruction and training derived from the participation in the exercises. The literary sotiety is the same as all other organizations in that it needs earnest, active and devoted members in order to make it a success. There has never yet been anything at-tempted for good which has not been sub-jected to influences which proved harmful to it. In many institutions the literary society is practically dead or rapidly declining. From one who is interested in the welfare of the lit-erary societies the following information was received concerning the condition of the so-cieties in about thirty-five representative in-stitutions: Eight institutions report the so-cieties flourishing. In sixteen they are rap-idly declining, some among this number are yet active and doing good work, but yet are no longer what they once were, while others have practically died as far as usefulness is concerned. In eleven of the thirty-five insti-tutions the literary society no longer exists. The societies are dying from New England southward. All institutions reporting their societies as dead are north of Pennsylvania. Those speaking of a decline are in the Middle States, while the flourishing ones are south and west of Pennsylvania. Some of the societies report the cause of their decay is the literary work done by the Greek Letter Fraternity and additional liter-ary work in the college curriculum. Other causes, such as over-prominence of athletics and the tendency of students to specialize in-stead of getting a general culture prove very detrimental to the welfare of the literary so-cieties. In the institutions in which the literary so-ciety has ceased to exist the Greek Letter Fraternities have been most full}' developed, and their influence is reported as the main cause of the society's decay. It is a question if the fraternities will ever take the place of the literary society, and if so, will they prove a satisfactory substitute. Personally, I do not believe the fraternity will supplant the society, notwithstanding the reports to the contrary. [ My opinion is the same as that of the college > president who writes: "I can conceive of no substitute for the literary societ}'." When there is anything to be neglected be-cause of press of class-room work or the meet-ings of any of the college' organizations the THE COLLEGE MERCURY. 134 duties of the literary society are invariably the first neglected. Instead of considering the weekly meetings of the society as the place to which "our duty calls us" and from which we should have a very good excuse to absent our-selves, we often think it is only the place to | pass the evening when we do not have an en-gagement for another place. The great attention given to athletics by the colleges of to-day detracts seriously from the interest in the literary society. The intense interest of the student body in one sphere is very likely to produce relaxation in others, especially in those in which the work is volun-tary. As said before, the literar)' society is the first to suffer from athletics. For some reason it has become the opinion of many peo-ple that there is more glory in the feats of brawn than those of brain. The contests to-day between the different institutions are more in athletics than in literary contests. Because of the great interest taken in athletics, Yale to-day enjoys the honor of holding the suprem-acy in athletics in the college world. In order to attain this position her literary work has suffered, and she, for this reason, meets defeat at the hands of Harvard each year in the lit-erary contests. Athletics are a good thing and cannot be denied the student, but a little less interest in them and more in the work of the literary society would prove of much advan-tage in many institutions. What is most needed by the students of to-day is a broad, liberal culture. But there are many who think this is not necessary, hence they begin early in their course to specialize. Consequently in those institutions which en-courage specializing we find less interest in the literary society. This seems contrary to what ought to be the case. If a student is unable to take a regular college course before he be-gins to specialize, he should take an active part in the literary society which would do something to aid him in securing the general culture needed to exercise the proper influ- • ence in society. The college man of to-day has much expected from him by the world be-cause of the advantages he has enjoyed. It has been said: "No one in England has any-thing to say but the scientific men, and they do not know how to say it.'' For these reasons we are led to believe the literary society has not outlived its day of use-fulness. The present time demands of men the qualifications which the work of the literary society gives. The first qualification is the art of public speaking. We notice to-day that the-number of able speakers is not increasing in the same proportion as the number of well-educated men. Public speaking is beginning to be spoken of as a lost art. The tongue is not the moving power it once was. Depew says: "In one respect the graduates of 1895 are far behind those of 1855. Few of the boys who leave college this year will be good speak-ers. They may be as good thinkers as those who were graduated four decades ago, but they will not be nearly so capable of telling what they know, or what they think, because of the decline of the debate as a means of training." In speaking about the decline of the debating society, he says: "I regard it as a national calamity." The man who desires to exert any influence in these days, when every question receives the attention of the people in public gatherings, should be able to express himself clearly and forcibly. Depew says again: "If the young college man only knew how to speak he wrould be invincible." The greatest difficulty college graduates ex-perience is that they are unable to think on their feet before an audience. As students they neglected this training and now they are at a great disadvantage in public meetings. H. R. S., '97. Where are our literary men ? Both the Spectrum and MERCURY editors would like to hear from them. Let some of our new men be heard from. There must be material in so large a class. Remember these two publica-tions depend upon the efforts you put forth in their behalf. Let us receive aid from every one. Try your hand. •35 THE COLLEGE MERCURY. BOOK REVIEWS. Abraham Lincoln—A poem by Lyma?i Whitney Allen ("Sangamon"),.pp. 112, 12 Mo. G. P. Putnam's So7ispublishers. This is the bc5und copy of the New York j Herald's $1,000 prize poem. The fact that this poem alone of all its competitors was se-lected by the set of competent judges, is the highest commendation. The poem gives a just portrait of one of America's greatest presi-dents and men. "A Princelonian," by James Ba?nes, pp. 4.31. G. P. Putnam's Sons, New York. This story of the college life of a Prince-tonian is particularly welcome just at this time, coming, as it does, not so long after this old and revered institution has celebrated its ses-quicentennial. It is written in a good and pleasing style and is sure to hold the interest of any reader from start to finish. But to the collage man, no matter where his Alma Mater may be, it strikes chords which find an an-swering vibration in his own breast ; and of his leisure hours he will regret none spent in reading it ; but once having begun he will look forward with pleasure to every succeed-ing hour's reading, and will close the book with a sigh because he has finished it. Besides furnishing a very vivid and delight-ful picture of college life, it is praiseworthy, as a piece of literature, for its character sketches, the character of the heroine being especially well delineated. The hero, Newton Wilber-force Hart, cannot but inspire in many a young man the ambition for a college life. The story, as a whole, reflects much credit on Princeton University and will surely bind the hearts of her sons more firmly to their Alma Afa/et and attract to her classic walls many whose ears had otherwise never heard her voice. Are you attending your literary society as regularly as you should ? If not, there must be a reason. Is it a good one? Men, be loyal! NEW YEAR RESOLUTIONS. Our resolutions good we plan, To take effect the first of Jan. Generally they're on the ebb As slowly creeps the first of Feb., And often sadly broken are As quicker dawns the first of Mar. They are nowhere unless on paper When Fool's Day comes, the first of Apr. Our minds now free, we're light and gay When flowers bloom, the first of May. The skies are fair, the earth in tune We have t/uod times the first of June. Days still more bright, why should we sigh? Speed quick the hours, first of July. Our memory, conscience in a fog. # The Summer glides, 'tis first of Aug. A good resolve we mijht have kept Come.1- stealing o'er us first of Sept. Our better selves by it are shocked As it grows clearer, first of Oct. "Bad habits old with which I strove Have mastered me." The first of Nov. "To give my troubled conscience peace, 'I now resolve' "—. The last of Dec. P. S.—The new resolution is, "I now resolve not to forget my resolutions." W. H. B. C, '99. COLLEGE LOCALS. EDMUND W. MEISENHELDER and E. I*. KOLLER, Editors. Mr. B., 1900 recently told an interesting story about the "Giant's Causeway" in the northern part of Africa. H., 1900, (speaking of Fred. I. in History)— "Every one in his time smoked beer and drank tobacco.'' Dr. M.—"I guess you don't know much about that, Mr. H.," "Do you?" Mr. F., '98, would like to know if "isolated means discovered.'' Mr. L,., '99, (in looking through a book) asked, "L,et me see the picture on the frontis-piece." A young lady of town recently asked our charming and bashful Mr. B., 1900, for one of his curls. We hear that "Brigy" is right in it. Recently Mr. L,., '99, listened to a young lady singing "Tell me do you love me?" After she had finished, George stood a short while in amazement. When he at last recov-ered himself he said: "Well, you do your share, I'll do mine." THE COLLEGE MERCURY. 136 Mr. E., '99, who has quite a reputation as a student of the Bible, told some boys that they should not tease old people, lest they would be devoured by the wolves, as were the children in the Bible. Dr M. (in French)—"What does ses mean ?'' Mr. F., 1900, (after thinking awhile)—"I don't think I can guess." Mr. H., '97, recently rendered effective service at a slight conflagration in a private house up town. "Hutty" cannot tell a lie, he did it with his big feet. Prof. H.—"Mr. T. What is a bias?" Mr. T., '99—"A part of a dress." hiforniation desired.—A Prep, would like to know what building that is with a balloon on top of it. Will some one please inform him ? Now is the time to hand in your applica-tions for the base ball team. Let every one who can play ball apply early. Don't wait to be coaxed ! There is material enough in college and prep, to make two first-class teams. Mr. E., '99, (in German declining "sich") "ich, er, sich." Well done, Luther ! Let the literary matter for the Spectrum be handed in as soon as possible. Let every one be represented. "Josey" K, '99, startled Dr. H. recently by affirming that "David was related to his grandmother, Ruth." The new men take well to "gym." work and we hope that the "good work may go on." The MERCURY extends its sympathy. Luther, '99, tells us that "the hills of Judea are west of the Mediterranean." A Freshman says that Sapho was the great-est poet of the 19th century. A Seminarian says the Mercury is going down. He meant that in the thermometer. Are we going to have field sports next term ? Some of the men in other colleges are at work indoors. Don't let us be behind time. Although guying seems to be one of the necessary evils of Gettysburg College, yet it certainly is out of place in Chapel and in the halls of the literary societies. Spayd, '99, has returned after his recent illness. F. & M. may not have a base-ball team this spring and will devote their time to the relay team, etc. As yet we have taken no definite steps in this direction. It is time. > The class in philosophy has been organized and has held some meetings. Prof. Klinger is the leader of the class. New members can join at any time. If you think you can be bene-fited, join. Nick got a "hair-cut." A Freshmrn lately asked one of the biolog-ical students when they were ' 'going to bisect that cat." K., '98, gives a new version of Oedipus' so-lution of the Sphinx's riddle. He says: "When a man is a baby he goes on four legs ; in middle age he goes on two, and when he is an old man he goes on one.'' H., '98, says that a certain old Greek was taunted with being a fondling \ F., '98, has discovered a new art—the "art of distance," and he says it is based upon Astronomy. Ask Johnnie M., '99, what kind of ham sandwiches they have at the Union Depot, Baltimore. Every student should be sure to attend the course of lectures given in Brua Chapel, under the auspices of the Y. M. C. A. The course this season is especially fine. The Juniors in their first recitation in Greek this term were not exactly conversant with the Oedipus mythus. Their intellects must have been dazzled by the new tables. K., '98, has coined a new word ; it is "rip-erable," and he uses it to describe the condi-tion of silk after having been acted on by nitric acid. Kitzmeyer and Wendt of '98, and Eberly, Koppenhaver and Wendt, of 1900, have not returned to college. It is gratifying to see the large number of new men who are connecting themselves with the literary societies of the college. It is a step in the right direction ; let the good work go on. Quite a number of 1900 men who thoughjt that the first term of Freshman was a "snap," were disagreeably surprised to find the "D's" and "E's" quite prominent on their reports. '37 THE COLLEGE MERCURY. ALUMNI. I,. C. MANGES and CHARLES H. TILP, Editors. '34. Jacob B. Bacon, after having spent a very eventful life as a professor and a contri-- butor to New York papers for more than a half century, died recently in New York. He was the first matriculate of the College and by his death his class becomes extinct. '42. The Lutheran Almanac and Year Book for 1897, is out in its familiar dress. Rev. M. Sheeleigh, D. D., has been editor of this val-uable pamphlet since 1871. '43. John Gneff made a very interesting Christmas address in St. Matthews church, Philadelphia Christmas evening. '44. Rev. P. Anstadt, D. D., of York, is translating Luther's "Commentary on the Gospel," which will soon appear in book form. '•57. Rev. Dr. Earnest closed his pastorate at Mifflinburg, Pa., with the close of the year and will rest awhile from public speaking, in hope of overcoming bronchial difficulty. '57. H. Louis Baugher, D. D., presided at thegreat Lutheran Home Mission Rally held in York,. Jan. 5th. '63. Volume IX of the Lutheran Commen-tary, prepared by Prof. E. J. Wolf, D. D., is in press. It contains the Annotations on the Pastoral Epistles and Hebrews. '64. Rev. J. G. Griffith, of Lawrence, Kan., has tendered his resignation to take effect the first of May. He expects to return B)ast in the early summer, and will work there if a field is opened to him. '67. Wm. E. Parson, D. D., of the Home Mission Board, delivered a very interesting ad-dress before that board on the subject, "Does Our Work Pay?" '67. Rev. C. S. Albert, D. D., editor of "Lutheran Lesson Helps," teaches the Bible lesson once a mouth at the Y. M. C. A. in Germantown. '67. J. Hay Brown, Esq., of Lancaster, was united in marriage with Miss Margaret J. Reilly on Wednesday, December 30th. It has been reported that Mr. Brown would be offered the Attorney Generalship in Mr. McKinley's cabinet. No other lawyer in Pennsylvania would be likely to fill the office with greater credit. '68. Rev. Geo. F. Behrniger, of Nyack, N. Y., delivered the discourse to the students of Cornell University on Sunday, Dec. 6th, in the regular order of the University, which en-gages clergymen of different denominations to officiate in turn. '69. Rev. E. T. Horn, of Charleston, S. C, has been delivering a course of lectures to the students of the Theological Seminary at New-berry, S. C. '69. In addition to his duties as president of Midland College Rev. Jacob A. Clutz, D. D., preaches every two weeks for the congrega-tion at Moray, Kansas. '72. Rev. Samuel A. Weikert presided at the anniversary meeting of the Y. M. C. A. held in Poughkeepsie. The Poughkeepsie Journal pronounces his address a masterpiece. '72. Rev. B. B. Collins and family, of Meyersdale, were somewhat surprised on Fri-day evening, Dec. 18, 1896, when a wagon well laden with provisions stopped at the par-sonage and began to unload its store. The mystery was cleared up later when a large number of the members of Zion church called to extend their greetings. The Luther League presented him with a purse. '75. Rev. M. L. Young, Ph. D., Meyers-dale, Pa., is contemplating a trip through the South in the interest of the "Young Luth-eran." '76. Rev. J. C. Jacoby, of Webster City, de-livered an address on the subject, "The Sab-bath in Relation to Our Civil Government," at the State Convention of the Sabbath Rescue Society, recently held in Des Moines. '77. Rev. F. P. Manhart, of Philadelphia, has been elected pastor of our Deaconess Motherhouse in Baltimore. '77. Wm. M. Baum, Jr., delivered a pleas-ing address during the Christmas exercises of his father's church, St. Matthew's, Philadel-phia, Pa. '78. Rev. Adam Stump, of York, Pa., has received notice from the Board of Publication that the second premium of the $300 offered last spring for two new Sunday school books, has been awarded to him. '78. Rev. C. L. McConnell, of Belleville, Pa., has been elected pastor of the Mifflinburg charge (Pa.) from which Rev. J. A. Earnest is about to retire. THE COLLEGE MERCURY. 138 '78. Rev. H. Max Lentz will complete the seventh year of his pastorate at Florence, Ky., in March, 1897. '80. Rev. C. W. Heisler, of Denver, Col., is President of the Colorado State Sunday School Association. '83. Longmans, Green & Co. have issued Macaulay's Life of Samuel Johnson with notes and an introduction by Prof. Huber Gray Buehler, of the Hotchkiss School. '83. The address of Rev. W. W. Anstadt is changed from Bedford to Hollidaysburg, Pa. '84. Rev. L. M. Zimmerman, of Baltimore, has lately issued a new book entitled "Sun-shine." '87. Rev. H. C. Alleman preached his in-troductory sermon as pastor of Christ church on Sunday, Dec. 13. He was greeted by a large congregation. '88. Rev. John E. Weidley, pastor of Beth-any Lutheran church, of Pittsburg, was kindly remembered by his congregation on Christ-mas with a purse of $70 and a set of Johnson's Cyclopaedias. '89. Morris W. Croll spent the Christmas holidays in Gettysburg with his mother. '90. On Thursday, Dec. 17th, Rev. U. S. G. Rupp, pastor of the Church of the Refor-mation, Baltimore, Md., was united in mar-riage to Miss Mary O. Sheeleigh, daughter of Rev. Dr. and Mrs. M. Sheeleigh, of Fort Washington, Pa. '90. Sanford B. Martin, Esq., of Hartford, Conn., spent the holidays with his parents, Dr. and Mrs. Martin. '91. Schmucker Duncan, of Yale College, spent the Christmas holidays in Gettysburg. '91. Rev. August Pohlman, M. D., has reached his field of labor in Africa and speaks very encouragingly of the prospects for the future. '92. Rev. H. E. Berkey, of Red Lion, Pa., is actively engaged in establishing and push-ing forward a new parish paper to be called The. Yotk County Luthetan. '92. Rev. Jesse W. Ball sent a very inter-esting paper to the Luthetan World last month, showing the prosperous condition of Southern California. '93. W. C. Heffner has received a call from the Fayetteville charge in the West Pennsyl-vania Synod. '92. Rev. E. E. Parsons, who is pastor at St. Clairesville, Bedford, county, Pa., is meet-ing with great success in his work. '93. Dr. Wm. H. Deardorff, of Philadel-phia, was hurt recently in a street car accident, but is on a fair road to recovery. '93. Rev. Ervin Dieterly filled the pulpit of the Fort Washington Mission at Fort Wash-ington, Pa., Dec. 18, 1896. '93. The beautiful Lutheran church at Silver Run, Md., Rev. W. H. Ehrhart, pas-tor, was dedicated on the 21st of December. Dr. Richard, of the Seminary, preached the dedicatory sermon. '93. Mr. J. F. Kempfer, who is one of the managers of the Alpha Publishing Co., was recently married to Dr. Darietta E. Newcomb, of Worcester, Ohio. Chas. Kloss, '94, was best man. '93. At the opening of the fortieth annual session of the Somerset County Teachers' In-stitute, on Dec. 7, Mr. Virgil R. Saylor, prin-cipal of the Salisbury schools, responded to the address of welcome in an eloquent and schol-arly manner, showing that he had carefully considered the diverse questions concerning the public schools, and was thoroughly equp-ped for the profession of teaching. '94. Rev. Paul W. Kohler, of the Semin-ary, filled his father's pulpit on Dec. 13. '94. Prof. Herbert A. Allison, of Susque-hanna University, spent the Christmas holi-days with his parents, near Gettysburg, Pa. '94. Fred. H. Bloomhardt and David W. VanCamp are doing creditable work in the Medical Department of U. P. '94. James W. Gladhill has entered the Philadelphia School of Pharmacy. '95. C. H. Hollinger and Edw. Wert are reading law with prominent lawyers in Har-risburg. '95. Herbert F. Richards is studying in Mt. Air}'. Seminary, Philadelphia, Pa. '95. M. G. L. Rietz and Roscoe C. Wright are pursuing their Theological studies at Hart-wick Seminary. '95. Fred. A. Crilly has entered his broth-er's store in Chicago as clerk. '96. Prof. D. E. Rice, of the Harrisburg High School, was in Gettysburg, Tuesday, ' Dec. 22, '96, visiting friends. 139 THE COLLEGE MERCURY. '96. Wm. Menges is at present engaged in his father's mill at Menges' Mills. "Bill's" flonr is the very best. TOW|\I /\|\ID SEWIINARY NOTES. S. J. MILLER, Editor. TOWN. It has been announced that an electric rail-way, recently surveyed, will be constructed from Washington to Gettysburg by way of Frederick next spring, or probably this winter if the weather be favorable. The company s corporating under a charter known as the Baltimore and Washington Transit Company, and under that charter it enjoys the privilege of operating throughout the State of Maryland. The capital stock is $1,000,000. A grand reception was given the newly elected pastor, Rev. D. W. Woods, Jr., of the Presbyterian church, on Friday, Dec. 4th. An attractive musical program was rendered and tea was served by the ladies of the congrega-tion. It was a most successful and enjoyable affair. At the exhibition of "Dolls," recently given by the ladies of the Reformed church, the neat little sum of $80 was realized for the benefit of the parsonage fund. Mr Frank Blocher, of this place, has been awarded the contract for furniture for the Meade High School, recently erected. He represents the U. S. School Furniture Com-pany, of Bloomsburg, Pa. Misses Ethel Wolf and Emily Horner spent their holidays at home. The former is attend-ing school at Lakeville, and the latter is at the Teachers' College, New York. The various churches observed the week of prayer and the services were conducted on the line of thought suggested by the Evangelical Alliance. The ninth annual reunion of Company C, Cole's Cavalry, was held a few miles from this place, on the 17th ult. Nineteen of the sur-vivors of the company, with members of their famjlies, comrades and others, assembled and had a very enjoyable time. After the banquet a business meeting and a camp-fire were held. At the business meeting the following persons from Gettysburg were elected officers for the ensuing year : President, W. H. Dot; Treas., J. E. Wible; Sec, Lieut. O. D. McMillan. Rev. H. C. Alleman spent Christmas with his parents at Lancaster. A jury of seven was recently appointed by Judge Dallas, in the U. S. Circuit Court, in the condemnation instituted by District At-torney Beck for aji additional strip of land wanted by the United States to preserve the battlefield. SEMINARY. Rev. J. Henry Harmes, of the Senior class, was unanimously elected pastor of Trinity church, Chambersburg, Pa. The call has baen accepted but he will not take permanent charge until his graduation the coming sum-mer. Rev. J. W. Richard, D. D., filled the pulpit of the Presbyterian church, this place, Sun-day, Dec. 26th. Rev. L. B. Hafer preached in the First Lutheran church, Chambersburg, Dec. 13th; at St. Thomas on Dec. 27th, and at Chambers-burg on Jan. 3d. Rev. J. C. Nicholas preached at New Free-dom during vacation. Rev. W. O. Ibach filled the pulpit of the St. Matthews Lutheran church, of Philadelphia, on Dec. 20th. Rev. R. W. Mottern preached at Dallis-towu on Dec. 13th; at the Memorial Luth-eran church, Harrisburg, on the 20th, and at Bethany Lutheran, Philadelphia, on the 27th. G. Z. Stup preached at Conshohocken, dur-ing vacation, Rev. J. F. Shearer, pastor. Among the others who preached during va-cation were: Messrs. Clare, Yule, Apple, Shinier, Yoder and Fulper. Rev. W. M. Cross preached in the Second Lutheran church, of Baltimore, on Jan. 3d, and in the Messiah Lutheran, of Harrisburg, on the 10th. Rev. Paul W. Koller assisted his father in the administering of the Hoi}' Communion on Jan. 10th. ATHLETICS. CHARLES T. LARK, Editor. Considerable interest has been manifested of late in the formation of a Basket Ball team. This game, as it requires considerable skill and activity, is fast winning its way, and de servedly so, into popularity amongst college THE COLLEGE MERCURY. 140 men. It is played somewhat on the order of foot-ball with perhaps the danger element eliminated. Basket ball would be a new departure in the athletics of our college and there seems to be no reason why we should not put a strong team in the field as we have abundant material from which to select. Our gymnasium affords excellent advantages for the game and it is just the thing for livening up the winter term. Let us, by all means, "get into the game." At a recent meeting of the Athletic Associa-tion, Charles J. Fite, '98, was elected as man-ager of next seasons eleven. Mr. Fite is, as a manager should be, a young man with honest business principles, and with plenty of push, in fact he is just the man for the place. Dale, '00, has been elected to the captaincy of the team for the season of '97. He is a brilliant, energetic player, and under his lead-ership "our kickers" will doubless make many additions to the list of victories. Y. M. 0. A. NOTES. The Association will observe the usual da}7 of Prayer for Colleges on Sunday afternoon, Jan. 31, It is hoped that Mr. Wile, of Car-lisle, will consent to come and address the stu-dents. The services will be made as interest-ing as possible, and the students of all three institutions are invited to attend From July 18-21. the twenty-ninth annual state convention of the Pennsylvania Young Men's Christian Association will be held at Reading. The Association will endeavor to have as many go as possible. Reading is not far from here, and we ought to send at least six and possibly more. We are glad to see the students take an in-terest in the coming course of entertainments. These alone vary the routine of the term. It is no easy task to arrange this course, and the committee deserve our approval and support. FRATERNITY NOTES. PHI KAPPA PSI. The Chapter was saddened by the news of the very sudden death of Frank K. Cessna, Pa. Eta, who captained the F. and M. eleven during the season which is just past. Rev. M. C. Horine, '62, was elected Presi- I dent of the East Pa. Conference of the Luth-eran Ministerium. Ed. C. Hecht, '91, for some years General Manager of the Real Estate Department of the Southern Railway Union, is now connected with the management of the Metropolitan Life Insurance Co. of New York City. White, '97, spent a portion of the holidays with Lark, '98. Weaver, '99, has been elected manager of the annual Tennis Tournament. Albert F. Smith, '00, and Frank P. Shoup, '00, were initiated Dec. 7th. PHI GAMMA DELTA. Bro. Sanford Martin, '90, spent the holidays with his parents in Gettysburg. Bro. Fichthorn, '94, is employed as draughts-man at Shiffler Bridge Works, Pittsburg, Pa. Bro. D. A. Buehler, '90, spent the holidays with his mother in Gettysburg. We were pleased to have with us during the past month Bros. Stahler, '82, and DeYoe, '86. The sympathy of the Chapter is extended to Bro. J. S. Kausler, '84, whose father died re-cently. Bro. H. L. Hoffman, '95, won the prize at the tumbling contest at Yale last term. SIGMA CHI. Henry Wolf Bikle, '97, Gettysburg, Pa., was initiated Jan. 5th, 1897. Frank Hersh, '92, was home for a few days at X'mas. Heindle, ex-'97, made us a visit several weeks ago. John Wendt, '98, who left college at the end of last term, intends to take a course in the Columbia Law School. Dale, '00, visited the Chapter at State Col-lege when home at X'mas. Norman and Will McPherson were home over X'mas. Leisenring, '97, visited the Chapter at the University of Pennsylvania a few weeks ago. Charles Wendt, '00, expects to enter a busi-ness college in New York City. PHI DELTA THETA. St. John McClean, of Gettysburg, was ini- i4i THE COLLEGE MERCURY. tiated into the fraternity at the end of last term. Ben. F. Carver, Hanover, Pa., was initiated Saturday, January 9th. Rev. Harry Lee Yarger, '83, Atchison, Kansas, field secretary of the Lutheran Board of Church Extension, attended a meeting of that body in York, Jan. 1. Singmaster attended the hop given last month by the Lehigh Chapter. Dave J. Forney recently returned from a visit to Carlisle. ALPHA TAU OMEGO. White Hutton, '97, represented the Chapter at the fifteenth biennal Congress of the Fra-ternity held at Cleveland, O. It was conceded by members of other Greek Societies to have been one of the greatest gatherings of its kind ever held. H. B. Cessna, 1900, of Bedford, Pa., was initiated into the Fraternity Jan. 5, 1897. We are glad to have Charles H. Spayd. '99, with us again, who was compelled to leave college on account of sickness. W. H. Menges, '96, will enter the Semi-nary at the opening of the next collegiate year. Maurice Zullinger, '98, who left college last year, is still confined to his bed. H. H. Jones, '92, is practicing medicine at Codorus, York county, Pa. LITEFJARY SOCIETIES. JOHN W. Orr, Editor. PHILO. Philo's business meetings have taken on a new interest lately owing to several heated ar-guments on different points of parliamentary law. This is a step in the right direction as many of our members will no doubt have use for a practical knowledge of the rules of pro-cedure after leaving college. Our last special program rendered on the evening of Dec. 11, was one of the best ever given. Instead of taking up an author as usual, Christmas furnished the special theme. Dr. Stuckenberg, an honorary member of Philo, who had been giving his course of lect-ures on Sociology here, gave us a very inter-esting talk on "Christmas in Germany." The doctor was especially pleased with the solo, "Stille Nacht." The only thing to detract from the pleasure of the evening was a bit of "guying" which took place before the exer-cises had begun. Philo takes this means of disavowing the action of those who forgot themselves, and promises its visitors that it will not happen again. It was attended by fully 300 persons who greatly enjoyed the following program: Music. Announcement to the Shepherds (Bible), - - ROLLER Announcement to the Shepherds (Ben Hur), - ENGLAR Hvmn 011 the "Morning of Christ's Nativity." - Miss SiEBER Music. Christmas: Historical Sketch, SMITH Christmas in Germany. Dr. STUCKENBERG Hymn—"Stille Nacht," Miss SIEBER Christmas in England, - HERMAN "Christmas," Irving, CLUTE Our Christmas, -.- ERB " 'Twas the Night Before Christinas," - - Miss MYERS Music. The new men initiated since the last issue of the MERCURY are: H. B. Cessna, W. B. Claney, R. Z. Imler, F. E. Kolb, W. G. Lawyer, F. P. Shoup, G. D. Weaver, of the the class of 1900; Evans and Mehring, of the class of 1901. The following officers were elected at the last meeting for the ensuing term: Pres., Clute; Vice Pres., Lutz; Cor. Sec, Tilp; Rec. Sec, Weaver, Sr., Treas., R. L. Smith; Asst. Libr., Hess; Critic, H. R. Smith. EXCHANGES. Said a biker to a farmer, * "Did a lady wheel this way ? " Said the farmer to the biker, "I'll be hanged if I can say," From the outfits they are wearing From the mountains to the sea, Whether the biker is a she or whether "Tis a he." WTe are glad to see that quite a number of our exchanges contain good, short stories. We think this more tasty than so many essays, yet a few good essays are not out of place. It is policy to endeavor to please the literary tastes of all. "Politeness," says Dr. Prather, "is like a pneumatic tire, there isn't much in it, but it eases many a jolt in the journey of life. An adveitisement in a Western paper read thus : Run away, a hired man named John, his nose turned up five feet eight inches with corduroy pants much worn. ADVERTISEMENTS. BASE- i/isitors to JO A I _J i_J Gettysburg College, $ . . SURRUES, . . Pipaldi i-)cr LeatjUQ Ball, jL J^litB, >'\a.sl-,.s, Qto. Managers should send for samples and special rates. Every requisite for TENNIS, GOLF, CRICKET, TRACK AND FIEID. GYMNASIUM EQUIPMENTS AND OUTFITS, COMPLETE CATALOGUE SPRING AND SUMMER SPORTS FREE. fi'~Ths Name the Guarantee." A. G. Spalding & Bros., NEW YORK, PHILADELPHIA, CHICAGO. 1108 CHESTNUT STREET, PHILADELPHIA fy/right's Qngraving ^jfouse *? /?AS become the recognized leader in unique styles of «^f COLLEGE and FRATERNITY EN-GRAVINGS and STATIONERY, College and Class-pay Invitations, engraved and printed from steel plates; Programmes, Menus, Wedding and Reception Invitations, Announcements, etc., etc. Examine prices and styles-before ordering elsewhere. 50 Visiting Cards frcm New Engraved Plate for $1.00. ERNEST A. WRIGHT, UOS Chestnut Street, PHILADELPHIA Hon. W. J. Bryan's Book All who are interested in furthering the sale of Hun. W.J. Bryan's new book should correspond immediately with the publishers. The work will contain . . AN ACCOUNT OP HIS CAMPAIGN TOUR, HIS BIOGRAPHY, WRITTEN Bi HIS WIFB HIS MOST IMPORTANT SPEECHES. THE RESULTS OP THE CAMPAIGN OF 1896. A REVIEW OF THE POLITICAL SITUATION. •••ACENTS WANTED••• Mi. Bryan DUB an-nounced his intention of devoting one-half of all royalties to furthering the cause of bimetallism. There are already indications of an enormous sale. Address W. B. CONKEY COMPANY, Publishers 341-351 Dearborn St.CHICAGO Settysburg, !Penn*a, WILL FIND THE-Cumberland Valley R. R. running in a South-Westerly direction froniHarrisbnrg, Pa., through Carlisle. Chambersburg, Hagerstown an 1 Martinsburg to Winchester, Va., a direct and available ^ route from the North, East and West to Gettysburg, Pa" via. Harrisburg and Carlisle. Through tickets via. this route on sale at all P. R. K. offices, and baggage checked through to destination. Also, a popular route to the South via. Carlisle. AS for your tickets via. Cnmberlauil Valley Railroad anil Carlisle, Pa, I. F. BOYD, Superintendent. H. A. RIDDLE, Gen. Passenger Agent. FPH. H. MlNNlCrl, Manufacturer, Wholesale and Retail Dealer in onfeetionepNj I OYSTERS AND G>dt fe=t fe=di&%f==/j) • CLOTHIER, * FASHIONABLE TAILOR, II GENTS FURNISHER. No. 11 Balto. St. - GETTYSBURG. J. E. BOYLE, OF LEECH, STILES & CO. EYE SPECIALISTS, 1413 Chestnut Street, Phila. Will be in Gettysburg, Pa., at W. H. TIPTON'S, THURSDAY, MX 10, From 9 a. m. to 3.SI) p. m. 'No charge for consulta-tion and examination and every pair of glasses or-dered guaranteed to be *■ satisfactory by LEECH, STILES, & Co. GOTO, ♦•HOTEL GETTYSBURG -XfiAilBER SHOPX- ^Photographer, No. 2g Baltimore St., GETTYSBURG SPECIAL ATTENTION PAID TO a-cnege (p.ins Collection of. BATTLEFIELD VIEWS _®ffixOa%s on hand. Centre Square. B. M. SEFTON. 2/ou ivili find a full lino of {Pure 'Drugs dc ^ine Stationery {People 'a Drug Store. ^Proscriptions a Specialty. MAIL ORDERS RECEIVE PROMPT ATTENTION. Latest Styles \% ipssfeg^ Sl|X5«^, Elliott ffyg^T
The laws of history are as absolute as the laws of physics, and if the probabilities of error are greater, it is only because history does not deal with as many humans as physics does atoms, so that individual variations count for more. — Isaac Asimov, Foundation and Empire From a certain point onward there is no longer any turning back. That is the point that must be reached. — Franz Kafka, The Trial INTRODUCTION How ought we characterise the exercise of power in our societies? Are they societies that confine and discipline our bodies, or ones that control us in potentially subtler ways? This article adopts the framework for analysis used by twentieth century French philosopher Gilles Deleuze in his short but defining essay on the subject, 'Postscript on Societies of Control'.[1] It firstly considers the background to the concept of control, then provides a definition of the concept, and, finally, asks whether our society is one of control. It argues that Deleuze is correct to say control has replaced discipline as the primary mechanism of power in our era. ORTHODOXY In order to address the question of whether societies of control are increasingly replacing disciplinary societies, it is imperative first to understand what disciplinary societies are. Discipline is a concept developed most powerfully by Deleuze's contemporary, Michel Foucault.[2] Foucault's philosophy primarily concerns the technologies of power operating within society and their effect on human autonomy. He pursues this study via a genealogical approach; that is, he employs a historical critique to interrogate the workings of powers at play in modern society. In this way—despite his vocal opposition to Hegel—Foucault is very much Hegelian in his belief that close examination of historical parallels and events can clarify and deepen our understanding of present-day technologies of power and how they shape or restrict our autonomy.[3] Through his historical work, which spans various societal and public institutions, Foucault identifies a fundamental change in the mechanisms of power exercised by the state in the eighteenth and nineteenth centuries. He articulates this shift as a transition away from sovereign power to technologies of discipline. This notion of discipline and disciplinary society is perhaps best exemplified by Foucault's enquiry into the French penal system in his Discipline and Punish.[4] The book opens with vivid depictions of public torture and execution in pre-eighteenth century France. Foucault explains that the physicality and the public nature of punishment in the French criminal system up until then was an essential aspect of the exercise of sovereign power. Yet, while brutal public spectacle instilled fear and awe, it also provided public fora for communities to revolt against the perceived injustices of the sovereign. By moderating power through the benevolent reform of the criminal, by the discipline of the docile body, and by the fragmentation of public space into discrete, segregated institutions, state power could be obscured and, thus, maintained. These forces are the hallmarks of a disciplinary society. REVISION In his 'Postscript', Deleuze—building on the work of Foucault—argues that the twentieth century has marked a shift from disciplinary societies to societies of control. A precise definition of control and societies of control has proven to be elusive;[5] it is therefore helpful to consider both the antecedents and critiques of Deleuze's analysis in addition to his work itself.[6] Antecedents Deleuze has attributed the concept of control to William Burroughs.[7] Burroughs, in turn, provides not a definition of control, but brief observations as to its exercise; in truth, his analogies are of only limited assistance when read in the context of mechanisms of power within society at large.[8] Nevertheless, there are two salient points to note. Firstly, Burroughs establishes that when one maintains total or absolute power over the actions of another, they can more accurately be said to be using them rather than controlling them. Secondly, Burroughs shows that control requires concessions and illusions: controllers must make concessions to the controlled in order to maintain the illusion of choice and free agreement, obscuring their true motives in order to avoid revolt. In contrast to Burroughs, Félix Guattari provides an analogy of control that usefully supports the conception Deleuze comes to advance: the gated home and community accessed and exited via electronic cards.[9] This has elements of discipline, as movement being granted or denied constitutes a form of confinement. But, as Deleuze argues, it also represents a departure from the disciplinary society, as 'what counts is not the barrier but the computer that tracks each person's position […] and effects a universal modulation'.[10] Among his identified influences, Deleuze contends that Foucault sees as 'our immediate future' societies of control.[11] Deleuze particularly emphasises that Foucault's work on discipline is historical (focused on the exercise of power in the nineteenth century); we should, therefore, not be so naive as to assume Foucault would not have recognised the possibility of further historical change. Indeed, Deleuze says that Foucault concludes his Discipline and Punish with the explicit recognition that a prison as a physical space is becoming less important in the exercise of power. This, Deleuze suggests, presages a fuller analysis of a new sort of power.[12] Deleuze makes these forceful arguments as to Foucault's understanding of power in response to a critique by Paul Virilio that Foucault did not understand the nature of modern power. Ironically, that critique is also an important precursor to Deleuze's analysis. Virilio argues that the patrolling of the highway—and not the prison—exemplifies the exercise of police power. Deleuze concurs, adding that modern authorities possess predictive technologies that anticipate the movement of subjects and consequently have less need for confining subjects. Deleuzian societies of control That predictive power is a hallmark of control. In his 'Postscript', Deleuze fleshes out this position polemically. It must be noted that Deleuze never attributes any concrete definition to the notion of control itself; he is primarily concerned with how a society of control operates. This section will similarly consider the features and modes of operation that constitute a Deleuzian society of control. Much like with the disciplinary society, the technologies of power that govern a society of control cannot be boiled down to one single technology or mechanism. Instead, there are targeted and multi-faceted ways in which societies of control manage the lives of their subjects. Most fundamentally, there are no enclosures or strictly delineated confined spaces (like, for instance, the disciplinary society's schools, barracks, and factories, which are all subject to clear separation from one another). Instead, there is a single modulation, which allows for the coexistence and connection of various states (the corporation, the education system, and the army are all connected, one flowing into the other). This brings us to the next point: exploring how these spaces or states are connected. The disciplinary society operates on the basis that its subjects start over when they move from one space to another. Though it does recognise analogies between the spaces (the discipline of the school may be similar to the discipline of the army), the spaces and norms are ultimately distinct from each other, with one having little bearing on the other. Societies of control, on the other hand, are predicated on connection between spaces, such that 'one is never finished with anything.'[13] These connections encourage a culture of constant progression or improvement. The question this cultural attitude begs (to what ends is progression and improvement directed?) admits no answer. There are also differences in the conceptualisation and treatment of the person. The disciplinary society takes the individual and subjugates her through discipline so that she will conform to the mass. No such subjugation is necessary in societies of control. The individual is not viewed as a member of a mass, but as a data point, a market audience, a sample. This allows for targeted control to take shape, where compliance is not forced upon the individual (as with discipline) but facilitated. There are no overarching aims or requirements outlined by societies of control (no 'watchwords'). The society is governed merely by way of codes that function as 'passwords'; these can allow or deny the individual access to certain information or amenities. The control of access is presumably based on the conduct of the individual and is a means of exercising control over individuals' choices: the individual self-disciplines because of incentives and disincentives encoded within herself as a data-point. This, in turn, suggests (perhaps even necessitates) a degree of technological surveillance that goes beyond that of the comparatively simple model of the Benthamic Panopticon Foucault famously employs. Additionally, there are no clear hierarchies, if there are any at all. Unlike in disciplinary societies, power is not centralised or in the hands of a single 'owner' or state. Rather, control is exercised by a corporation—invested with its own personhood—comprising stockholders. The make-up of this corporation is transitory and fundamentally transformable. All of these technologies—singular modulation across singular space, an ethos of the relentless pursuit of progress, the 'dividualisation' or 'data-fication' of the individual, the facilitation of compliance, the use of codes as passwords, technological surveillance, and the absence of clear hierarchies of power—together create a society of control. Critiques Here we will explore three critiques of Deleuze's thesis: the privatisation of public space, the role of surveillance in control, and the telos of control. Privatisation Michael Hardt deals at length with the Deleuzian conception of societies of control, both in his joint work with Antonio Negri on Empire, as well as more specifically, in a piece titled 'The Global Society of Control.' Here, Hardt contends that there is an incompleteness to Deleuze's work on control, and proceeds to elaborate on the operation of societies of control to fill in these purported gaps. He does so by situating these societies within his and Negri's broader framework of Empire. The study is multifaceted, but here only one aspect of the critique will be considered: the erasure of the dialectic between public and private. 'There is no more outside,' insists Hardt.[14] This is to say, there are no longer any meaningful or permanent divisions between private and public spaces. Nikolas Rose, similarly, argues that inherently public spaces (like public parks, libraries, and playgrounds) are being abandoned in favour of privatised and privately secured places (like shopping malls and arts centres) for acceptable members of the public.[15] Those who have no legitimate, consumerised reason to occupy these new privatised 'public' spaces are denied access to them. Populations and classes of people deemed 'dangerous' or 'undesirable' are excluded from the private-public spaces and, so, from society itself. Deleuze touches on this idea of exclusion as well, in saying that 'three quarters of humanity', who are too poor for debt (as in, those who cannot be managed through the mechanisms of 'control', because these mechanisms rely on monetary and consumerist incentives or 'passwords') and too numerous of confinement (which makes it logistically difficult to subject them to technologies of 'discipline' that rely on confinement) will have to face exclusion to shanty towns and ghettos.[16] From this, we can take two points. Firstly, that neither the societies of control, nor disciplinary societies are or have ever been able to exercise control or discipline over every individual; when they are unable to, they simply exclude these potentially unpredictable and uncontrollable threats to order. Secondly, there is the implicit acknowledgment that technologies of control and discipline can coexist; to conceive of discipline and control as dichotomous notions would be inaccurate.[17] In fact, the question posed by this essay itself may fall victim to a false dichotomy between Foucauldian discipline and Deleuzian control. These mechanisms of power are not necessarily mutually exclusive. We should, therefore, be wary to adopt a view that control represents a natural or irreversible progression (from discipline) in the exercise of power (as Hardt and Negri may be suggesting in saying that control is an intensification of discipline),[18] because they are contingent historical realities. That is what Foucault's work—and Deleuze's analysis of it—suggested of discipline, and it is no less true in the case of control. Thus, we can qualify our thesis by saying that while societies of control are increasingly replacing those of discipline, technologies of discipline (and even of sovereignty) are still employed in certain contexts. Surveillance Surveillance is implicit within Deleuze's conception of control (in the understanding of the individual as a mere data point, not the member of a mass), but Oscar Gandy articulates this technology more explicitly.[19] Such an emphasis on surveillance is problematised, however, by Rose, who posits that societies of control are not predicated on surveillance but on the instilling of self-discipline and self-regulation in their subjects. That rather misses the mark, because, as we have seen, societies of control employ a range of technologies to exercise power. Nothing suggests an emphasis on self-discipline ought to exclude the technology of surveillance, which is implicit in the incentivisation of labour and use of passwords. Telos But Rose's critique of surveillance does helpfully inform another point of discussion: the odd ideas prioritised within societies of control. Deleuze makes brilliant and incisive concluding remarks about this telos of self-improvement and self-actualisation. But what are the motivations behind this ethos of motivation? That is the question Deleuze poses in his conclusion, and it is a question that largely remains unanswered. In some ways, one can only hazard a guess at the mechanisms at work here. That is rather the point. Societies of control have evolved such that their technologies of power and their telos can be more obscure than that of disciplinary societies. VALIDATION With definitions—or, rather, understandings—of both disciplinary societies and societies of control to hand, this essay considers whether it can be said that the latter are replacing the former. The institutions of the disciplinary society Foucault identifies in his body of work—the home, the school, the prison, the barracks, the factory—are all still extant. However, as we have noted above, there need be no 'either/or' as between societies of discipline and of control; the question is more accurately one of degree and we must identify whether a general movement may be occurring. Again, that movement need not be total or irreversible. Such a movement seems to be taking place all around us. For example, remote working and learning, which Deleuze identified as increasing in the 1980's and which has skyrocketed in light of the coronavirus pandemic, has weakened substantially the disciplinary segregation of physical space.[20] At the same time, it has strengthened the all-encroaching productivity ethos of societies of control by placing work or study (itself little more than a preparatory step towards work) within the walls of the private family home. Whilst coronavirus may have accelerated a shift towards societies of control, this trend runs much deeper still. Below, we shall seek to validate the shift Deleuze identifies by employing and analysing four impressionistic vignettes. Vignette A In April 2021, Chinese state television broadcast an exposé of intolerable working conditions faced by food delivery drivers—long hours, meagre pay, algorithms that encourage dangerous driving and heavily fine lateness, and harassment from customers who have full and 'live' access to drivers' locations and contact details. China's couriers are estimated to contribute to close to 1% of the country's economic activity, but the undercover government official earned just £4.52 over a 12-hour shift.[21] The courier works in no strictly delineated or confined space, but everywhere, openly. He is the subject of constant surveillance. Customers have his precise location, his 'ETA', the corporation's promised delivery slot, and his personal mobile phone number at their fingertips. The threat of an angry call or harsh review might appear in those circumstances to operate rather like a panopticon unconfined by space, enforcing conformity. But that is only a minor part of this story; it is secondary to the algorithmic surveillance and control in which both the courier and the customer are merely variables. Drivers will be set timescales in which to complete a delivery determined by the average speed at which drivers have previously made that journey or a similar journey. If they beat that timeframe, they may be rewarded with bonus pay. If they fail, their pay will be docked. Both processes—the incentivisation of speed and disincentivisation of slowness—are automated. The algorithm does not care how the driver gets from A to B, only that he does so quickly and does not damage the customer's goods in the process. So, drivers will travel recklessly in order to beat the clock to boost their meagre pay, but this only shortens the average time of journey completion, making pay boosts harder to achieve and pay docks more likely and contributing to an insane culture of paranoia and uncertainty. Compliance with the requirements of speed in this system is facilitated, not forced. In paying the less perfect worker less and the more perfect worker more, the corporation is nudging the courier to an (ultimately ephemeral) standard of compliance. But it need take no further punishing or corrective action: it knows that the courier, impacted by these forces, will correct himself. The password operating here is that of a courier 'score' that determines the level of pay afforded for work done. This is ripe terrain to consider Deleuze's challenge as to whether the unions will be able to resist forces of control upon the breakdown of the workplace. China, where organised labour is met with fear and hostility, shows that the communist party will intervene by challenging monopolies and exposing low pay. They may moderate the technology of power, but they will not extinguish it; the work is too economically important for that. In the UK, there have been increased efforts by unions to protect insecure, 'gig-economy' labourers and they have had some success.[22] But here too the overall system of algorithmic control is not removed, but mollified. Vignette B A London-based junior employee at Goldman Sachs, one of the largest investment banks in the world, has complained that staff face 18-hour shifts that mean they are earning less than the UK living wage and regularly take sick leave due to burnout. In 2015, US employee Sarvshreshth Gupta, who had been working 100-hour weeks, took his own life.[23] The company has a £50,000 entry-level base salary.[24] The company's average employee takes home about £260,000 per year.[25] It is at first blush surprising that employees at Goldman Sachs could be said to be subjects of control by twenty-first century technologies of power, and even more surprising to suggest that their situation is comparable to that of couriers in China. But this is precisely the sort of topsy-turviness that is to be expected from (and ultimately serves to legitimate) societies of control, where we all 'work hard'. The impetus to 'get ahead' is central to the ethos of self-improvement and motivation instilled by societies of control. That is perhaps nowhere more evident than amongst the new, highly-remunerated, highly-overworked, 'meritocratic', professional or upper class of managers, bankers, and lawyers.[26] Previously, elite status was maintained through generations by inheritance. That method of status-maintenance has now mostly been displaced by investments in 'human capital'. This can be achieved directly—through funding private schooling, tuition, and even work placements paid for by the volunteer—or indirectly, through covering children's rent and paying for their goods. The crucial factor in bringing about this shift has been the rise of 'meritocracy', which purports that success (i.e. the rate of remuneration for one's work) is a result and marker of an individual's inherent drive and talent but which in reality allows 'a relatively tiny segment of the population […] to transmit advantage from generation to generation' because elite parents stack the odds in favour of their children's advancement from birth.[27] This is the society of control in action: demanding, inequitable and possessing an obscured, democratically-papered-over telos, drive and skill directed at productive activities. But the elite class are not spared from the brutalities of this system, as the above vignette suggests. Since societies are increasingly meritocratic (in the sense that the most skilled and driven will generally be remunerated the most, not in the sense that the system promotes a level playing field) young elite professionals still have to work incredibly hard to 'climb the ladder'. Even if they reach seemingly secure positions of employment, they will still want to continue to reap the rewards of their labour, still need to work intensively to secure funds to invest in their children's human capital, and still be motivated by the overwhelming and corrupting cultural ideal of self-improvement and motivation. The name of Goldman Sachs' personnel team, 'Human Capital Management', is telling. It has been noted, '[l]ives are things that people have; capital has rates of return.'[28] Vignette C About one in every hundred adults in Britain has been trained as a 'mental health first aider' by the MHFA.[29] They advertise their 'proactive' services thus: 'for every £1 spent by employers on mental health interventions, they get back £5 in reduced absence [.] and staff turnover.'[30] The second of five listed responsibilities for first-aiders is to communicate concerns about 'anyone in your workplace, for example to an appropriate manager.'[31] Separately, the UK government is providing '£1 million for innovative student mental health projects' that offer targeted support to those identified statistically as being at highest risk of mental ill-health.[32] Deleuze argued the hospital was being replaced by 'neighbourhood clinics, hospices, and day care'.[33] Similarly, the above vignette suggests that the power that would in a disciplinary society be exercised by the asylum has, in our societies of control, been exercised dispersedly by employers, with the aim being to improve profit-margins and productivity rates. The actual mental wellbeing of employees—or, rather, of human capital—is a means to that end that may give rise to some incidental good. But even these incidental goods are monetised, such as when companies compete on their 'work-life balance' or their inclusion of private therapy in 'healthcare plans' so as to attract the most human capital. Under these conditions, the public healthcare officials sectioning or supporting a member of the public who risks harm to herself or others are reduced in their significance. In their place, the anxious employer preempts possible harm to the corporation by proactively addressing and preventing harm to the employee. Similarly, 'mental health teams' in schools and universities are encouraged by the government to anticipate, based on a series of data-sets, those students who are 'more at risk' and provide targeted interventions to safeguard their health (and, by extension, their productivity). Deleuze says that 'the socio-technological study of the mechanisms of control […] would have to be categorical'. By this it is meant that we must look to each institution of power—the healthcare system, the corporate system, the educational system—and describe the power being exercised there. The above vignette shows that that has become an artificial mode of analysis in this era of control. The healthcare system has been radically dispersed, with detection, prevention, and mitigation (recovery being ancillary) of illness now increasingly undertaken by the corporation and its agents, including crucially the employee herself qua employee or human capital. She will contact her mental health first aider colleague or her employer (though any difference between the two seems doubtful). She will purchase products—self-help books, meditation apps, tickets to motivational talks—with a view to her greater productivity and, hence, 'employability'. In fact, the monetary value she attributes (through her valuable spare time as much as through her pay-power) to her own productivity and employability may reduce the corporate system's nascent role in facilitating compliance; her self-improvement becomes her guiding, internalised ethos as a consumer-employee and she will discipline herself, knowing this self-improvement will be coded and rewarded. Thus, technologies of power in the modern, mental health context cannot be identified within a healthcare system, a corporate system or an education system, nor even within what might be dubbed a 'consumer system'; there is no single system of operation of which we can speak. This conceptual challenge itself demonstrates the ultimate annihilation of the institutions Deleuze anticipates in societies of control. Vignette D In May 2021, the UK government proposed halving state funding for university courses they do not regard as 'strategic priorities', such as music, drama, visual arts, and archaeology. It is estimated that such courses would run at a deficit of £2,700 per enrolled student, and many courses may therefore have to close if the plans go ahead. The government says the decision is 'designed to target taxpayers' money towards the subjects which support the skills this country needs to build back better'.[34] They also say universities should "focus [.] upon subjects which deliver strong graduate employment outcomes in areas of economic and societal importance".[35] Deleuze foretold the 'effect on the school of perpetual training, and the corresponding abandonment of all university research'.[36] Alarming an idea as this may be, the above vignette should at least discourage us from dismissing it altogether. The government's proposal betrays a deeply production-oriented approach to higher education that sees knowledge and learning as purely instrumental to the development of concrete 'skills' to be directed at the most economically valuable production of goods and services and, correspondingly, the strongest employment outcomes. The UK education system no longer possesses its own watchwords (save, perhaps, 'instilling British Values'). Instead, all activity is directed at the future employment prospects of the student. The privatisation of schools (through academisation in England) has allowed for corporate sponsorship that makes this close instrumentalism perfectly plain: the corporation's senior managers become senior managers of underperforming schools and they are expected to foster students' 'aspirations'. Here, the corporate and educational systems are blended together, the former funding the latter, the latter supplying labour to the former. The physical spaces in which learning occurs can at times barely be distinct from the corporate, whether a company name is printed across the school entrance ('Bridge Academy in partnership with UBS') or affixed to laptops donated to school students studying remotely. CONCLUSION There is a great deal of truth to Deleuze's thesis that societies of control are replacing disciplinary societies. We have noted the destruction of swathes of confined and discrete spaces; the intermixing of institutions; the pervasive power of technology to tweak and modulate behaviour through coding; and the pointless but universal ethos of motivation. As Deleuze ably demonstrates, analyses of discipline, confinement, hierarchy, and masses can only take us so far in understanding these forces. More necessary in our quest to uncover the telos we are being made to serve is a socio-technological study of control and its methods. However, this essay has also sought to demonstrate the limits of Deleuze's proposed methodology. For a 'categorical' socio-technological study of control becomes more elusive the more deeply a society succumbs to control. Schools, prisons, barracks, hospitals, factories, offices, and homes are increasingly blended (and so less discrete) environments. The office educates, entertains, protects, and diagnoses its employees. The school is a business, its pupils are prospective employees. University is a career stage. Beds, dining tables, and lounges are workstations. For those on 'home detention' during coronavirus in the United States or under TPIMs (Terrorism Prevention and Investigation Measures) in the United Kingdom, these same spaces are prison cells. The gradual annihilation of the disciplines as physical and conceptual spaces—which Deleuze foresaw—also renders obsolete our existing methods of understanding power. We are in need of new tools to respond to these developments; the study of categories must be replaced with the study of networks and systems. We must explore with curiosity and thoroughness the complex web of relations operating through spaces and lives. BIBLIOGRAPHY Adams R, 'English universities must prove "commitment" to free speech for bailouts' The Guardian (16 July 2020) accessed 6 May 2021 Bakare L and Adams R, 'Plans for 50% funding cuts to arts subjects at universities "catastrophic' The Guardian (6 May 2021) accessed 6 May 2021 Burroughs WS, 'The Limits of Control' in Grauerholz J and Silverberg I (eds), Word Virus: The William S Burroughs Reader (4th edn, Fourth Estate 2010) Collini S, 'Snakes and Ladders' London Review of Books (London, 1 April 2021) 15 Deleuze G, 'Foucault: Lecture 17' (University of Paris, 25 March 1986) accessed 9 May 2021 — — 'Foucault: Lecture 18' (University of Paris, 8 April 1986) accessed 9 May 2021 — — 'Foucault: Lecture 19' (University of Paris, 15 April 1986) accessed 9 May 2021 — — 'Postscript on Societies of Control' (1992) 59 October 3 Department for Education and others, '£1 million for innovative student mental health projects' UK Government (5 March 2020) accessed 11 May 2021 Ewald F, The Birth of Solidarity: The History of the French Welfare State (Cooper M ed, Johnson TS tr, Duke University Press 2020) Feng E, 'For China's Overburdened Delivery Drivers, The Customer—And App—Is Always Right' NPR (Beijing, 1 December 2020) accessed 7 May 2021 Foster M, 'Guess How Much Goldman's Average Salary Is (GS)' Investopedia (25 June 2019) accessed 10 May 2021 Foucault M, The Birth of Biopolitics: Lectures at the Collège de France 1978–79 (Senellart M ed, Burchell G tr, Palgrave Macmillan 2008) — — Discipline and Punish: The Birth of the Prison (Sheridan A tr, 2nd edn, Vintage Books 1995) Hardt M, 'The Global Society of Control' (1998) 20(3) Discourse 139 — — and Negri A, Empire (Harvard University Press 2001) Makortoff K, 'Goldman Sachs junior banker speaks out over "18-hour shifts and low pay' The Guardian (London, 24 March 2021) accessed 7 May 2021 MHFA, 'Being a Mental Health First Aider: Your Guide to the Role' accessed 10 May 2021. — — 'Workplace Info Pack' accessed 10 May 2021. Morar N, Nail T and Smith DW (eds), Between Deleuze and Foucault (Edinburgh University Press 2016) Muldoon J, 'Foucault's Forgotten Hegelianism' (2014) 21 Parrhesia 102 Nealon J, Foucault Beyond Foucault: Power and Its Intensifications since 1984 (Stanford University Press 2008) Negri A, Interview with Gilles Deleuze: 'Control and Becoming' (Joughin M tr, Spring 1990) Rice-Oxley M, 'UK training record number of mental health first aiders' The Guardian (2 September 2019) accessed 11 May 2021 Roffe J, Gilles Deleuze's Empiricism and Subjectivity: A Critical Introduction and Guide (Edinburgh University Press 2016) Rose N, 'Government and Control' (2000) 40(2) The British Journal of Criminology 321–339 Wallin J, 'Four Propositions on the Limits of Control' (2013) 39(1) Visual Arts Research 6–8 Wise JM, 'Mapping the Culture of Control: Seeing through The Truman Show' (2002) 3(1) Television & New Media 29–47 Yang Y, 'China's food delivery groups slammed after undercover TV exposé' Financial Times (London, 29 April 2021) accessed 11 May 2021 — — 'How China's delivery apps are putting riders at risk' Financial Times (London, 26 January 2021) accessed 11 May 2021 [1] Gilles Deleuze, 'Postscript on Societies of Control' (1992) 59 October 3–7. [2] On their complex relationship before and after Foucault's death, see François Dosse, 'Deleuze and Foucault: A Philosophical Friendship' in Nikolae Morar, Thomas Nail and Daniel W Smith (eds), Between Deleuze and Foucault (Edinburgh University Press 2016). [3] James Muldoon, 'Foucault's Forgotten Hegelianism' (2014) 21 Parrhesia 102. [4] Michel Foucault, Discipline and Punish: The Birth of the Prison (Alan Sheridan tr, 2nd edn, Vintage Books 1995) [5] Michael Hardt, 'The Global Society of Control' (1998) 20(3) Discourse 139. [6] Deleuze cites these authors in his 'Postscript': (n 1). [7] Gilles Deleuze, 'Foucault: Lecture 19' (University of Paris, 15 April 1986). [8] Burroughs himself concedes his analogy of the life-boat is a 'primitive' one: William S Burroughs, 'The Limits of Control' in James Grauerholz and Ira Silverberg (eds), Word Virus: The William S Burroughs Reader (4th edn, Fourth Estate 2010). [9] 'Postscript' (n 1) 7. [10] ibid. [11] 'Postscript' (n 1) 4. [12] Foucault refers to it as 'biopower'. Biopower is not something that this essay will address, but we can observe that it may be that the Foucauldian notion of biopower and the Deleuzian notion of control are broadly similar or even the same: for a fuller discussion of that relationship, see Thomas Nail, 'Biopower and Control' in Between Deleuze and Foucault (n 2). [13] 'Postscript' (n 1) 5. [14] Hardt (n 5) 140. [15] Nikolas Rose, 'Government and Control' (2000) 40(2) The British Journal of Criminology 331. [16] 'Postscript' (n 1) 7. [17] JM Wise, 'Mapping the Culture of Control: Seeing through The Truman Show' (2002) 3(1) Television & New Media 29. [18] Nail, 'Biopower and Control'. [19] Wise, 'Culture of Control' 33. [20] Deleuze, 'Foucault: Lecture 18'. [21] Yuan Yang, 'China's food delivery groups slammed after undercover TV exposé' Financial Times (London, 29 April 2021). [22] For instance, many will now be recognised as 'workers' rather than as 'self-employed', with greater protections: Uber v Aslam [2021] UKSC 5. [23] Kalyeena Makortoff, 'Goldman Sachs junior banker speaks out over "18-hour shifts and low pay' The Guardian (London, 24 March 2021). [24] ibid. [25] Michael Foster, 'Guess How Much Goldman's Average Salary Is (GS)' Investopedia (25 June 2019). [26] Stefan Collini, 'Snakes and Ladders' London Review of Books (London, 1 April 2021) 15. [27] ibid 22. [28] ibid. [29] Mark Rice-Oxley, 'UK training record number of mental health first aiders' The Guardian (2 September 2019). [30]MHFA, 'Being a Mental Health First Aider: Your Guide to the Role'. [31] MHFA, 'Workplace Info Pack'. [32] Department for Education and others, '£1 million for innovative student mental health projects' UK Government (5 March 2020). [33] 'Postscript' (n 1) 4. [34] Lanre Bakare and Richard Adams, 'Plans for 50% funding cuts to arts subjects at universities "catastrophic' The Guardian (6 May 2021). [35] Richard Adams, 'English universities must prove "commitment" to free speech for bailouts' The Guardian (16 July 2020). [36] 'Postscript' (n 1) 7.
[EN] The advanced state of land degradation affecting more than 3,200 million people worldwide have raised great international concern regarding the sustainability of socio-ecological systems, urging the large-scale adoption of contextualized sustainable land management. The agricultural industrial model is a major cause of land degradation due to the promotion of unsustainable management practices that deteriorate the quality of soils compromising their capacity to function and deliver ecosystem services. The consequences derived from land degradation are especially devastating in semi-arid regions prone to desertification, where rainfall scarcity and irregularity intensifies crop failure risks and resource degradation, compromising the long term sustainability of these regions. ; Regenerative agriculture (RA) has recently gained increasing recognition as a plausible solution to restore degraded agroecosystems worldwide. RA is a farming approach foreseen to reverse land degradation, increase biodiversity, boost production and enhance the delivery of multiple ecosystem services by following a series of soil quality restoration principles and practices. Despite its promising benefits, RA has been limitedly adopted in semiarid regions. Major reasons explaining this seemingly incongruous mismatch are the scarce and contrasting empirical data proving its effectiveness, top-down research approaches and lack of farmer involvement in agroecosystem restoration projects and decision-making, and the generally slow response of soils to management changes in semiarid regions, which may delay the appearance of visible results discouraging farmers from adopting RA. ; In the high steppe plateau of southeast Spain, an on-going process of large-scale landscape restoration through adoption of regenerative agriculture was initiated in 2015. The high steppe plateau is one of the European regions most affected by land degradation and desertification processes and represents one of the world´s largest areas for the production of rainfed organic almonds. In 2015, local farmers created the AlVelAl association with the support of the Commonland Foundation, business entrepreneurs, regional governments, and research institutions, and started to apply RA at their farms. The objective was to restore vast extensions of degraded land for increasing the productivity and biodiversity of their agroecosystems, increasing the resilience to climate change, generating job opportunities and enhancing social cohesion in the region, in a time frame of 20 years following Commonlands´ 4-Returns approach. However, the limited empirical information supporting RA effectiveness, the lack of reference examples in the region, and the slowness with which visible ecological restoration processes usually occur in semi-arid regions were considered major obstacles hindering RA adoption in the region. To effectively address this knowledge gap, support farmers and expedite RA adoption, this research proposed horizontal research fostering the creation of learning communities between farmers and researchers, putting together local and scientific knowledge to improve the understanding of RA. This thesis presents a participatory monitoring and evaluation research (PM&E) applying a combination of social and ecological methods to evaluate the potential of PM&E to enhance knowledge exchange between farmers and researchers on Regenerative Agriculture in the context of the high steppe plateau. The aim of this thesis is twofold: on one hand, to increase the understanding on RA impacts, on the other hand, to evaluate the potential contribution of PM&E to enable social learning and contribute to the adaptation and long term adoption of RA in the high steppe plateau and semiarid regions in general. To facilitate PM&E of the impacts of sustainable land management and agricultural innovations like RA, Chapter 2 presents a participatory methodological framework that guides the identification and selection of technical and local indicators of soil quality, generating a monitoring system of soil quality for PM&E by farmers and researchers. The methodological framework includes the development of a visual soil assessment tool integrating local indicators of soil quality for farmers´ monitoring. The framework consists of 7 phases: 1) Definition of research and monitoring objectives; 2) Identification, selection and prioritization of Technical Indicators of Soil Quality (TISQ); 3) Identification, selection and prioritization of Local Indicators of Soil Quality; 4) Development of a visual soil assessment tool integrating LISQ; 5) Testing and validation of the visual soil evaluation tool; 6) Monitoring and assessment of sustainable land management impacts by researchers and farmers using TISQ and the visual soil evaluation tool respectively and; 7) Exchange of monitoring results between all involved participants, and joint evaluation of impacts. ; To facilitate PM&E of RA in the steppe highlands, Phases 1 to 5 were applied through a series of participatory methods including a first meeting with AlVelAl board members for the definition of research objectives, farm visits, participatory workshops, and conducting formal and informal interviews, among others. Technical indicators of soil quality were identified, selected and prioritized by researchers through an extensive literature review and ad-hoc expert consultation with expertise in soil quality assessment and monitoring. Local indicators of soil quality were identified, selected, prioritized and validated by farmers in two participatory workshops. The co-developed visual soil assessment tool, named the farmer manual, was tested and validated during the second workshop. Local indicators selected by farmers focused mostly on supporting, regulating and provisioning ecosystem services including water regulation, erosion control, soil fertility and crop performance. Technical indicators selected by researchers focused mostly on soil properties including aggregate stability, soil nutrients, microbial biomass and activity, and leaf nutrients, covering crucial supporting services. The combination of local and technical indicators provided complementary information, improving the coverage and feasibility of RA impact assessment, compared to using technical or local indicators alone. The methodological framework developed in this chapter facilitated the identification and selection of local and technical indicators of soil quality to generate relevant monitoring systems and visual soil assessment tools adapted to local contexts, thus improving knowledge exchange and mutual learning between farmers and researchers to support the implementation of RA and optimize the provision of ecosystem services. Implementation of RA usually happens gradually due to socioeconomic, informational, practical, environmental and political constraints Thus, RA adoption by farmers, in practice, translates into different combinations of RA practices, with a diversity of management, based on farmer capabilities, environmental conditions, and expected restoration results. ; To help the design, adoption and implementation of most effective RA practices to optimize the restoration of agroecosystems, Chapter 3 presents the impacts of the different combinations of RA practices implemented by participating farmers on crucial soil quality and crop performance indicators using previously selected technical indicators of soil quality over a period of 2 years. This chapter corresponds to the application of phase 6 of the methodological framework developed in Chapter 2. RA impacts were assessed in 9 farms on one field with regenerative management and one nearby field with conventional management based on frequent tillage, that were selected together with farmers. Fields were clustered under regenerative management based on the RA practices applied and distinguished 4 types of RA treatments: 1) reduced tillage with green manure (GM), 2) reduced tillage with organic amendments (OA), 3) reduced tillage with green manure and organic amendments (GM&OA), and 4) no tillage with permanent natural covers and organic amendments (NT&OA). The impacts of RA compared to conventional management were evaluated by comparing physical (bulk density and aggregate stability), chemical (pH, salinity, total N, P, K, available P, and exchangeable cations) and biological (SOC, POC, PON, microbial activity) properties of soil quality, and the nutritional status of almond trees (leaf N, P and K). Our results show that GM improved soil physical properties, presenting higher soil aggregate stability. We found that OA improved most soil chemical and biological properties, showing higher contents of SOC, POC, PON, total N, K, P, available P, exchangeable cations and microbial respiration. RA treatments combining ground covers and organic amendments (GM&OA and NT&OA) exhibited greater overall soil quality restoration than individual practices. NT&OA stood out for presenting the highest soil quality improvements. All RA treatments maintained similar crop nutritional status compared to conventional management. We concluded that RA has strong potential to restore the physical, chemical and biological quality of soils of woody agroecosystems in Mediterranean drylands without compromising their nutritional status. Furthermore, farming management combinations of multiple regenerative practices are expected to be more effective than applying individual RA practices. ; In parallel to researchers´ assessment of RA impacts, farmers assessed RA impacts in their farms by using the farmer manual jointly developed in participatory workshops. Chapter 4 presents the RA impact results from farmers´ assessment, and documented farmers´ insights, in the third year of PM&E, on the visual soil assessment process using the farmer manual, and on PM&E outcomes regarding the facilitation of participation and learning processes. This chapter corresponds to the application of phase 6 and phase 7 of the methodological framework developed in Chapter 2. Farmers´ visual soil assessment indicated regenerative agriculture as a promising solution to restore degraded agroecosystems in semiarid Mediterranean drylands, although observed soil quality improvements were relatively small compared to conventional management, and more time and efforts are needed to attain desired restoration targets. The monitoring results on RA reported by farmers were complementary to researchers´ findings using technical indicators of soil quality. Farmers' evaluation of the research project highlighted the PM&E research as an educational process that helped them look differently at their land and their restoration efforts and facilitated the creation of relationships of support and trust, learning and capacity building that are fundamental conducive conditions to enhance farming innovation efficiency and adoption. Farmers confirmed that generating spaces for farmer-to-farmer diffusion of knowledge and on-farm experiences is a key driver to expedite farming testing and adoption of innovations. Farmers insights revealed the need to actively involve them in all decision making phases of VSA tools and support them in initial implementation, in order to develop tools that meet farmers´ needs, to enhance VSA tool adoption, and facilitate reaching restoration goals. Furthermore, farmers´ evaluation of the farmer manual suggested the need to reinforce the multipurpose usefulness and potential benefits of collectively recording restoration progress in a systematized way, to enhance VSA tool adoption. Farmers´ insights on the PM&E research reinforces the importance of developing learning communities of farmers and researchers that provide a platform for exchange of experiences and support, as a crucial factor to favor social learning and support the adoption of long-term agricultural innovations. The success of PM&E research for agroecosystem restoration can be improved by integrating iterative phases where farmers can evaluate and adjust research activities and outcomes. We concluded that the process of PM&E that leads to enhanced social capital, social learning and improved understanding of restoration efforts has as much value as the actual restoration outcomes on the ground. Social learning is considered an important precondition for the adoption of contextualized sustainable land management and farming innovations like RA. The main objective of involving farmers and researchers in PM&E of RA was to enable social learning for enhanced understanding of RA impacts and support adoption of RA. Although there is a growing body of literature asserting the achievement of social learning through participatory processes, social learning has been loosely defined, sparsely assessed, and only partially covered when measured. Confirming that a participatory process has favored social learning implies demonstrating that there has been an acquisition of knowledge and change in perceptions at individual and collective level in the people involved in the participatory process, and that this change in perceptions has been generated through social relations. ; Chapter 5 presents an assessment of how the PM&E research process enabled social learning by effectively increasing knowledge exchange and understanding of RA impacts between participating farmers and researchers, and multiple stakeholders of farmers´ social networks. Occurrence of social learning was assessed by covering its social-cognitive (perceptions) and social-relational (social networks) dimensions. This chapter discusses the potential of PM&E to foster adoption and out-scaling of sustainable land management and farming innovations like RA by promoting the generation of information fluxes between farmers and researchers participating in PM&E and the agricultural community of which they form part. To assess changes in farmers´ perceptions and shared fluxes of information on RA before starting the PM&E and after three years of research, we applied fuzzy cognitive mapping and social network analysis as graphical semi-quantitative methods. Our results showed that PM&E enabled social learning amongst participating farmers who strengthened and enlarged their social networks on information sharing, and presented a more complex and broader common understanding of regenerative agriculture impacts and benefits. This supports the idea that PM&E thereby creates crucial preconditions for the adoption and out-scaling of RA. This study was one of the first studies in the field of natural resource management and innovation adoption proving that social learning occurred by providing evidence of both the social-cognitive and social-relational dimension. Our findings are relevant for the design of PM&E processes, agroecosystem Living Labs, and landscape restoration initiatives that aim to support farmers´ adoption and out-scaling of contextualized farming innovations and sustainable land management. We concluded that PM&E where the democratic involvement of participants is the bedrock of the whole research process and the needs and concerns of the farming community are taken as the basis for collaborative research represents a great opportunity to generate inclusive, engaging, efficient, and sound restoration processes and transitions towards sustainable and resilient agroecosystems. ; ES] El avanzado estado de degradación de la tierra que afecta a más de 3.200 millones de personas en todo el mundo ha suscitado una gran preocupación internacional con respecto a la sostenibilidad de los sistemas socio-ecológicos, instando a la adopción a gran escala de manejos sostenibles de la tierra, adaptados a los diferentes contextos. El modelo agrícola industrial es uno de los principales causantes de la degradación de la tierra debido a la promoción de prácticas agrícolas insostenibles que deterioran la calidad de los suelos, comprometiendo su capacidad de funcionamiento y de prestación de servicios ecosistémicos. Las consecuencias derivadas de la degradación de la tierra son especialmente devastadoras en regiones semiáridas propensas a procesos de desertificación, donde la escasez y la irregularidad de las lluvias intensifican la degradación de los recursos naturales y el riesgo de malas cosechas, comprometiendo la sostenibilidad de estas regiones a largo plazo. Recientemente, la agricultura regenerativa (AR) ha ganado un reconocimiento cada vez mayor como solución plausible para restaurar agroecosistemas degradados de todo el mundo. La AR es un enfoque agrícola que se prevé puede revertir la degradación de la tierra, aumentar la biodiversidad, incrementar la producción y mejorar la prestación de múltiples servicios ecosistémicos mediante el seguimiento de una serie de principios y prácticas de restauración de calidad del suelo. A pesar de los prometedores beneficios de la AR, este enfoque agrícola ha sido adoptado de forma muy limitada en regiones semiáridas. Las principales razones que explican su limitada adopción son: la escasez de datos empíricos que demuestran su efectividad, la información contradictoria que ofrecen dichos datos, los enfoques verticales (top-down), la falta de inclusión, participación y toma de decisiones de las agricultoras/es en los proyectos de restauración de agroecosistemas, y la generalmente lenta respuesta de los suelos en regiones semiáridas a los cambios de manejo, lo que puede retrasar la aparición de resultados visibles y desalentar a agricultoras y agricultores a adoptar la AR. En el altiplano estepario del sureste español se inició en 2015 un proceso de restauración de ecosistemas a gran escala mediante la adopción de la AR. El altiplano estepario es una de las regiones europeas más afectadas por procesos de degradación y desertificación de la tierra, y representa una de las mayores extensiones del mundo de producción de almendras ecológicas en secano. En 2015, agricultoras y agricultores locales crearon la asociación agroecológica AlVelAl con el apoyo de la Fundación Commonland, empresas, gobiernos regionales e instituciones de investigación, y comenzaron a aplicar AR en sus fincas. Su objetivo es restaurar grandes extensiones de tierras degradadas, mejorar la productividad y la biodiversidad, aumentar la resiliencia de sus agroecosistemas al cambio climático, generar oportunidades de empleo y mejorar la cohesión social en la región en el plazo de 20 años, siguiendo el enfoque de 4 retornos de la Fundación Commonland. Sin embargo, la escasez de datos e información que respalden la efectividad de la AR, junto con la falta de ejemplos de referencia en la región y la lentitud con la que los procesos de restauración ecológica suelen ocurrir en regiones semiáridas, fueron considerados grandes obstáculos para promover la adopción de la AR en la región. ; Para abordar de manera efectiva la falta de conocimiento sobre los impactos de la AR y apoyar a la comunidad agrícola a mejorar y acelerar su adopción, son necesarios enfoques de investigación horizontales que fomenten la creación de comunidades de aprendizaje entre agricultoras/es e investigadoras/es, aunando el conocimiento local y científico para mejorar el conocimiento sobre la AR. Esta tesis presenta una investigación de monitorización y evaluación participativa (MEP) donde aplicamos una combinación de métodos sociales y ecológicos para evaluar el potencial de esta metodología de investigación en la mejora del intercambio de conocimientos entre agricultoras/es e investigadoras/es sobre la AR en el contexto del altiplano estepario. El objetivo de esta tesis es doble: por un lado, mejorar el conocimiento de los impactos de la AR y, por otro lado, evaluar la contribución de la MEP en facilitar procesos de aprendizaje social, contribuyendo a una mejor adaptación y adopción a largo plazo de la AR en el altiplano estepario en particular, y en regiones semiáridas en general. Combinar el conocimiento científico y local se vuelve un imperativo en procesos de MEP para mejorar la adopción de innovaciones agrícolas, siendo especialmente relevante en regiones semiáridas que típicamente responden lento a cambios de manejo, lo que suele dar lugar a bajas tasas de adopción de dichas innovaciones. Para ello es necesario generar sistemas de monitorización de calidad del suelo y sostenibilidad de los agroecosistemas que integren el conocimiento de agricultoras/es e investigadoras/es, y estén adaptados al contexto donde se aplican las innovaciones. ; Para facilitar la MEP de los impactos de manejos sostenibles e innovaciones agrícolas como la AR, el Capítulo 2 presenta un marco metodológico que guía la identificación y selección de indicadores técnicos y locales de calidad del suelo, conformando un sistema de monitorización para la evaluación participativa de la AR por parte de investigadoras/es y agricultoras/es. El marco metodológico incluye el desarrollo de una herramienta para la evaluación visual del suelo integrando indicadores locales de calidad de suelo para el monitoreo por parte de las agricultoras/es. El marco metodológico consta de 7 fases e incluye: Fase 1) Definición de objetivos de investigación y monitorización; Fase 2) Identificación, selección y priorización de Indicadores Técnicos de Calidad del Suelo (TISQ); Fase 3) Identificación, selección y priorización de Indicadores Locales de Calidad del Suelo (LISQ); Fase 4) Desarrollo de una herramienta de evaluación visual del suelo integrando LISQ; Fase 5) Puesta en práctica y validación de la herramienta de evaluación visual del suelo; Fase 6) Monitorización y evaluación de los impactos de los manejos implementados por parte de investigadoras/es y agricultoras/es, usando los TISQ y la herramienta de evaluación visual del suelo respectivamente y; Fase 7) Intercambio de los resultados de monitorización entre las participantes y evaluación conjunta de los impactos. Para facilitar la MEP de la AR en el altiplano estepario, se desarrolló este marco metodológico y fueron aplicadas las fases 1 a 5 a través de una serie de metodologías participativas que incluyeron una primera reunión con los miembros de la junta directiva de la asociación AlVelAl para la definición conjunta de objetivos de investigación, visitas a las fincas de las agricultoras/es participantes, el desarrollo de talleres participativos, y la realización de entrevistas formales e informales, entre otras. Las investigadoras/es participantes en la MEP identificaron, seleccionaron y priorizaron indicadores técnicos de calidad del suelo a través de una extensa revisión de literatura científica y la consulta ad-hoc a expertas/os con experiencia en monitorización y evaluación de calidad de suelos. Las agricultoras/es participantes identificaron, seleccionaron, priorizaron y validaron indicadores locales de calidad del suelo en dos talleres participativos. La herramienta de evaluación visual del suelo desarrollada conjuntamente, que denominamos Cuaderno de Campo, fue puesta en práctica y validada durante el segundo taller participativo. Los indicadores locales de calidad de suelo seleccionados por las agricultoras/es se enfocaron principalmente en la evaluación de servicios ecosistémicos de apoyo, regulación y abastecimiento, e incluyeron indicadores de regulación hidrológica, control de la erosión, fertilidad del suelo y rendimiento de los cultivos. Los indicadores técnicos de calidad del suelo seleccionados por las investigadoras/es se consistieron en propiedades fisicoquímicas y biológicas del suelo, incluyendo los indicadores: estabilidad de agregados, nutrientes del suelo, biomasa y actividad microbiana, y nutrientes foliares, y cubriendo importantes servicios ecosistémicos de apoyo. La información complementaria generada al combinar indicadores locales y técnicos de calidad de suelo permite ampliar la cobertura, viabilidad y efectividad en la MEP de los impactos de la AR, en comparación con usar de manera individual indicadores técnicos o indicadores locales. El marco metodológico desarrollado en este capítulo facilitó la identificación y selección de indicadores locales y técnicos de calidad del suelo para generar sistemas de monitorización y herramientas de evaluación visual de suelo relevantes y adaptadas a los contextos locales, lo que permite mejorar el intercambio de conocimientos y el aprendizaje mutuo entre agricultoras/es e investigadoras/es para apoyar la implementación de la AR y optimizar la provisión de servicios ecosistémicos. ; La implementación de la AR por parte de agricultoras/es generalmente ocurre de forma gradual debido a limitaciones socioeconómicas, informacionales, ambientales y políticas. Por ello, la adopción de la AR por parte de agricultoras/ es, se traduce en diferentes combinaciones de prácticas regenerativas y diversidad de manejos determinados por factores socioeconómicos, las capacidades de las agricultoras/es, las condiciones ambientales, y los resultados de restauración que se esperan conseguir. Para ayudar al diseño, adopción e implementación de las prácticas de AR más efectivas para optimizar la restauración de agroecosistemas degradados en ambientes semiáridos, el Capítulo 3 presenta la evaluación de los impactos de diferentes combinaciones de prácticas regenerativas implementadas por las agricultoras/es participantes en la MEP usando los indicadores técnicos de calidad de suelo y de rendimiento del cultivo previamente seleccionados. Este capítulo corresponde a la aplicación de la fase 6 del marco metodológico desarrollado en el capítulo 2. Este capítulo presenta la evaluación de impactos de la AR realizada durante dos años en 9 fincas, donde fueron seleccionados, junto con las agricultoras/es participantes, un campo con manejo regenerativo y un campo cercano con manejo convencional bajo laboreo frecuente (CT). Los campos bajo manejo regenerativo fueron agrupados en base a las prácticas de AR aplicadas, y se diferenciaron 4 tipos de tratamientos regenerativos: 1) laboreo reducido con abono verde (GM), 2) laboreo reducido con enmiendas orgánicas (OA), 3) laboreo reducido con abono verde y enmiendas orgánicas (GM&OA), y 4) no laboreo con cubiertas naturales permanentes y enmiendas orgánicas (NT&OA). Se evaluaron los impactos de la AR con respecto al manejo agrícola convencional comparando las propiedades físicas (densidad aparente y estabilidad agregada), químicas (pH, salinidad, N, P, K total, P disponible y cationes intercambiables) y biológicas (SOC, POC, PON, actividad microbiana) de la calidad del suelo y el estado nutricional de los almendros (N, P y K foliares). Nuestros resultados mostraron que el tratamiento GM mejoró las propiedades físicas del suelo, presentando una mayor estabilidad de agregados. Encontramos que el tratamiento OA mejoró la mayoría de las propiedades químicas y biológicas del suelo, mostrando mayores contenidos de SOC, POC, PON, N, K, P total, P disponible, cationes intercambiables y actividad microbiana. Los tratamientos regenerativos que combinaron cubiertas naturales o abonos verdes con enmiendas orgánicas (GM&OA y NT&OA) exhibieron una mayor restauración general de la calidad del suelo en comparación con los tratamientos con prácticas individuales (GM y OA). El tratamiento NT&OA destacó por presentar las mayores mejorías en la restauración de la calidad del suelo comparado con el manejo convencional. Todos los tratamientos regenerativos mantuvieron un estado nutricional de los almendros similar al manejo convencional. Concluimos que la AR tiene un gran potencial para restaurar la calidad física, química y biológica de los suelos en agroecosistemas de leñosos en el semiárido Mediterráneo sin comprometer el estado nutricional de los cultivos. Es de esperar que los manejos que incluyen múltiples prácticas regenerativas sean más efectivos en la restauración de la calidad del suelo que los manejos con prácticas regenerativas individuales. ; Paralelamente a la evaluación de los impactos de la AR por parte de las investigadoras/es, las agricultoras/es evaluaron los impactos de la AR en sus fincas, utilizando la herramienta de evaluación visual del suelo (Cuaderno de campo), desarrollada conjuntamente en los talleres participativos. El Capítulo 4 presenta los resultados de la evaluación de los impactos de la AR por parte de las agricultoras/es. También presenta las observaciones y la evaluación por parte las/los agricultores, realizadas en el tercer año desde el inicio de la MEP, sobre el proceso de evaluación visual del suelo usando el Cuaderno de Campo, así como sobre el impacto de la MEP en facilitar procesos de participación y aprendizaje en las agricultoras/es participantes. Este capítulo corresponde a la aplicación de las fases 6 y 7 del marco metodológico desarrollado en el Capítulo 2. La monitorización por parte las agricultoras/es mostró que la AR tiene potencial para restaurar agroecosistemas degradados en el semiárido Mediterráneo, aunque las mejoras observadas sobre la calidad del suelo fueron relativamente pequeñas con respecto al manejo convencional, siendo necesario más tiempo y mayores esfuerzos para alcanzar los objetivos de restauración deseados. Las pequeñas mejoras en la calidad del suelo documentadas por las agricultoras/es fueron complementarias a los hallazgos obtenidos por las investigadoras/es usando indicadores técnicos de calidad de suelo. Las agricultoras/es destacaron la MEP como un proceso de aprendizaje que les ayudó a ver sus suelos y sus esfuerzos de restauración de manera diferente, y que facilitó la creación de relaciones de apoyo y el desarrollo de habilidades en ellas/os, los cuales son requisitos fundamentales para fomentar la eficiencia y la adopción de innovaciones agrícolas. Las agricultoras/es confirmaron que la generación de espacios que favorecen el intercambio de conocimientos entre agricultoras/ es, así como las experiencias agrícolas en finca (in situ), son un factor clave para fomentar la experimentación y adopción de innovaciones agrícolas por parte de la comunidad agrícola. Además, las observaciones realizadas por las participantes revelaron la necesidad de involucrar activamente a las agricultoras/es en todas las fases de diseño y toma de decisiones en el desarrollo de herramientas de evaluación visual del suelo con el fin de generar herramientas que satisfagan sus necesidades. Junto con ello, se dedujo que el apoyo del equipo investigador a las agricultoras/ es en las primeras implementaciones de dichas herramientas puede contribuir a mejorar su adopción, facilitando que las usuarias/os consigan los objetivos de restauración deseados. Asimismo, la evaluación del Cuaderno de Campo por parte de las agricultoras/es indicó la necesidad de reforzar la utilidad multipropósito y los beneficios potenciales de registrar de forma sistematizada y colectiva los progresos de restauración, con el fin de aumentar la adopción de estas herramientas por parte de las usuarias/os a las que van dirigidas. La evaluación de la MEP por parte de las agricultoras/es refuerza la importancia de desarrollar comunidades de aprendizaje entre agricultoras/es e investigadoras/es que proporcionen una plataforma para el intercambio de experiencias y de apoyo en el proceso de investigación, lo cual es considerado un factor crucial para favorecer el aprendizaje social y apoyar la adopción de innovaciones agrícolas a largo plazo. Este capítulo concluyó que el éxito de las investigaciones enfocadas a la restauración de agroecosistemas puede incrementar mediante la integración de fases iterativas en las que agricultoras/ es puedan evaluar y ajustar las actividades y los resultados de investigación. Los procesos de MEP, que contribuyen a mejorar el capital social, el aprendizaje social y a generar una mayor comprensión de los esfuerzos de restauración, tienen tanto valor como los propios resultados de restauración sobre el terreno. ; El aprendizaje social es considerado un prerrequisito crucial para la adopción de manejos sostenibles e innovaciones agrícolas adaptados a los diferentes contextos. El objetivo principal de desarrollar una investigación de MEP involucrando a investigadoras/es y agricultoras/es en el altiplano estepario fue permitir el aprendizaje social para lograr una mejor comprensión de los impactos de la AR y así mejorar su adopción. Aunque existen cada vez más investigaciones científicas que afirman que los procesos participativos fomentan el aprendizaje social, este concepto ha sido definido de forma muy diversa, ha sido rara vez evaluado, y ha sido abordado de manera parcial sin cubrir su dimensión cognitiva y su dimensión relacional. Establecer que un proceso participativo ha favorecido el aprendizaje social, implica demostrar que se ha generado una adquisición de conocimientos y que se ha producido un cambio en las percepciones, a nivel individual y a nivel colectivo, de las personas implicadas en el proceso, y que este cambio de percepciones ha sido generado gracias al establecimiento de relaciones sociales, de intercambio de información y experiencias. El Capítulo 5 evalúa cómo la MEP de la AR en el altiplano estepario favoreció el aprendizaje social en las agricultoras/es participantes, mejorando la comprensión de los impactos de la AR al aumentar de manera efectiva el intercambio de conocimientos entre ellas/os, con las investigadoras/es participantes, y con otras personas que forman parte de sus redes sociales. Este capítulo presenta resultados necesarios para probar si la MEP de la AR favoreció el aprendizaje social en las agriculturas/es participantes, evaluando tanto la dimensión social-cognitiva (percepciones) como la dimensión social-relacional (redes sociales) del aprendizaje social. Además, en este capítulo se discute el potencial de la MEP para favorecer la adopción de manejos sostenibles e innovaciones agrícolas a gran escala gracias a fomentar la generación de flujos de información entre las agricultoras/es participantes y la comunidad agrícola de la que forman parte. Utilizamos el mapeo cognitivo difuso (fuzzy cognitive mapping) y el análisis de redes sociales como métodos gráficos semi-cuantitativos para evaluar los cambios de percepciones y de flujos de información compartidos por las agricultoras/ es sobre la AR, antes de empezar la MEP y después de transcurridos tres años de investigación. Nuestros resultados mostraron que la MEP favoreció el aprendizaje social en las agricultoras/es participantes, quienes fortalecieron y ampliaron sus redes sociales de intercambio de información sobre AR, presentando un conocimiento más complejo, común y amplio de los impactos y beneficios de la AR. De esto modo, se demostró que la MEP genera prerrequisitos cruciales para mejorar la adopción de la AR. Este estudio fue uno de los primeros en el ámbito del manejo sostenible de recursos naturales e innovaciones agrícolas que demuestra empíricamente el favorecimiento del aprendizaje social a través de procesos de investigación participativa, proporcionando evidencias tanto en su dimensión social-cognitiva como en su dimensión social-relacional. Nuestros hallazgos tienen una gran relevancia para el diseño de procesos de MEP, como pueden ser los living labs y otras iniciativas de restauración de ecosistemas, que tengan como objetivo apoyar, fortalecer y fomentar la adopción por parte de las comunidades agrícolas de manejos sostenibles e innovaciones agrícolas adaptadas a los diferentes contextos. Las investigaciones de MEP, donde la participación democrática de las/ os participantes y las necesidades de las comunidades agrícolas son consideradas centrales en el proceso de investigación, representan una gran oportunidad para generar procesos inclusivos, atractivos, eficientes y transiciones sólidas hacia agroecosistemas sostenibles y resilientes a largo plazo. ; This research was conducted within the PhD program "Natural Resources and Sustainable Management" in the research team on Agroecology, Food Sovereignty and Commons of the University of Córdoba (Spain), and the Soil and Water Conservation Research Group of the Centre for Applied Soil Science and Biology of the Segura, of the Spanish National Research Council (CEBAS-CSIC), and supported by a PhD fellowship of La Caixa Foundation (ID100010434) (LCF/BQ/ES17/11600008) Chapter 4 - This work was supported by "la Caixa" Foundation (ID100010434) through a PhD fellowship to RLS (LCF/BQ/ES17/11600008), and by the projects DECADE (Séneca Foundation, 20917/PI/18), and XTREME (Spanish Ministry of Science and Innovation PID2019-109381RB-I00/AEI/10.13039/501100011033). Chapter 5 - This work was supported by "la Caixa" Foundation (ID100010434) through a PhD fellowship to RLS (LCF/BQ/ES17/11600008), and by the projects DECADE (Seneca Foundation, 20917/PI/18), XTREME (Ministry of Science and Innovation PID2019-109381RB-I00/AEI/10.13039/501100011033) and COASTAL (EU H2020 grant agreement N° 773782). For the Portuguese co-authors, this work was partially funded by National Funds through FCT - Foundation for Science and Technology under the Project UIDB/05183/2020. ; Chapter 2 - This chapter was published as: Luján Soto, R., Cuéllar Padilla, M., and de Vente, J. 2020. Participatory selection of soil quality indicators for monitoring the impacts of regenerative agriculture on ecosystem services. Ecosystem Services, 45, 101157. https://doi.org/10.1016/j.ecoser.2020.101157Chapter 3 - This chapter was published as: Luján Soto, R., Martínez-Mena, M., Cuéllar Padilla, M., and de Vente, J. 2021. Restoring soil quality of woody agroecosystems in Mediterranean drylands through regenerative agriculture. Agriculture, Ecosystems & Environment, 306, 107191. https://doi.org/10.1016/j.agee.2020.107191Chapter 4 - This chapter is a preprint version adapted from: Luján Soto, R., de Vente, J., and Cuéllar Padilla, M. 2021. Learning from farmers´ experiences with participatory monitoring and evaluation of regenerative agriculture based on visual soil assessment. Journal of Rural Studies (in review)Chapter 5 - This chapter is adapted and published as: Luján Soto, R., Cuéllar Padilla, M., Rivera Méndez, M., PintoCorreia, T., Boix-Fayos, C., and de Vente, J. 2021. Participatory monitoring and evaluation of regenerative agriculture to enable social learning, adoption and out-scaling. Ecology & Society. ; Peer reviewed
Die Inhalte der verlinkten Blogs und Blog Beiträge unterliegen in vielen Fällen keiner redaktionellen Kontrolle.
Warnung zur Verfügbarkeit
Eine dauerhafte Verfügbarkeit ist nicht garantiert und liegt vollumfänglich in den Händen der Herausgeber:innen. Bitte erstellen Sie sich selbständig eine Kopie falls Sie diese Quelle zitieren möchten.
Ned Lebow on Drivers of War, Cultural Theory, and IR of Foxes and Hedgehogs
Drawing on classical political theories, International Relations is dominated by theories that presuppose interests or fear as dominant drivers for foreign policy. Richard Ned Lebow looks further back into the history of ideas to conjure up a more varied set of drives that underpin political action. In this Talk, Lebow, among others, elaborates on the underpinnings of political action, discusses how war drives innovations in IR theorizing in the 20th century, and likens himself to a fox, rather than a hedgehog.
Print version of this Talk (pdf)
What is, according to you, the biggest challenge / principal debate in current IR? What is your position or answer to this challenge / in this debate?
Well, the big challenge in international politics is always how do we keep from destroying one another and that's the negative question. But it is mirrored by a positive question which is, how do we build community and tolerance and peace? And that's not exactly the flip side, but that's always been the big question in IR. And part of that, I think, is how we learn to manage threatening change. Because in my perspective, that's the driving force of conflict: ultimately, both World Wars can be attributed to modernization and its destabilizing consequences. That is also the reason why it is a falsehood to base theory on that little select slice of history during the World Wars, extrapolate it, and try to think its universal. Yet that is what IR theory does: so many theorists, and so many of the people you recently interviewed, are guilty of doing that. So that's the big question and certainly, that's what drove me to study IR in the hope that I could make some small contribution to figuring out some of the answers or partial answers to these questions.
If we turn to what the central debate should be in International Theory, well, I would frame this in two parts: the first should be 'what are the different ways in which we can conceive of international theory and how, by all of us pursuing it the way we feel comfortable with, we can enrich the field without throwing bric-a-brac at each other and find ways of learning from each other?'
A few years ago, I edited a book with Mark Lichbach (Theory and Evidence in Comparative Politics and International Relations) as a rejoinder to King, Keohane and Verba's book, which we found deeply offensive. It has the narrowest framework and then they base their understanding on the Vienna school yet they seem to have forgotten that Hempel and Popper would disavow the positions that King, Keohane and Verba (KKV) are anchoring themselves in as epistemologically primitive. And the very examples they give to illustrate 'good science'—Alvarez and his groupaddressing the problem of dinosaur extinction—they fail to see that what these people did was in fact code on the dependent variable, which is the big no-no for KKV! And the reason why Alvarez et al were taken seriously, was not because they went through the order of research that KKV promoted, but rather because they came up with an explanation for a phenomenon that people have long known about—yet explanations don't figure at all in KKV's take; they had no interest in mechanisms, it was all narrow correlations. It's absurd! So we edited the book, and we invited people who represented different perspectives, but all of whom had evidence and struggled to make sense of the evidence, to talk to one another and to look at the problems they themselves find in their positions and how one could learn broadly from considering this. That's the kind of debate that seems to me is a useful one. Not who is right or wrong, but how can we learn collectively. And secondly, I think maybe we need fewer debates, and more good research.
How did you arrive at where you currently are in your thinking about IR?
I suppose it's a combination of people, books, and events, and being a dog that constantly gnaws on bones and works it through. Very clearly the Second World War and the Cold War were what brought me to the study of IR. I'm sure in their absence, considering the counterfactual, I would have gone into Astrophysics, which was the other field that really interested me.
I think the first concrete influence was as an undergraduate and then as a graduate, being struck by certain individuals whose minds seemed to sparkle; and I admired them for that and they became role models. And I would make myself, intellectually, a little Hans Morgenthau, a little Karl Deutsch; see the world through their eyes, and play with it. I never really wanted to make myself into them, but rather to benefit by seeing what the world was like when seen through their eyes. So in this sense, let me go back and draw on Boswell, Hughes, and Mill for my answer. They all conceived of identity as something that's a process of self-fashioning in which we mix and match the characteristics that we observe in other people. And the purpose of society is to throw up these role models and provide interaction with them so that we can constantly be engaging in self-fashioning. And ultimately, we create something that's novel that other people want to emulate or reject, as the case may be. And I think that mixing and matching, and ultimately creating a synthesis of my own, I developed my own approach to things.
The second element of this is to pick problems that engage me, and stick with them. My first book in IR was about international crises and I worked on this, it must have been 8, possibly even 9 years. I started out initially convinced that deterrence theory made sense but wouldn't fit the historical evidence. Then one day, while playing around, I realized the theory was wrong and by reversing it, I could understand why it didn't work and see there were very different dynamics at play. So working on a problem constantly and going back and forth between theory and empirical findings, you gradually develop your own sense of the field.
It also helps, over the course of an intellectual lifetime, to work on different kinds of problems: I've just finished a book on the politics and ethics of identity; I finished a manuscript up for review on the nature of causation and different takes on cause; and the previous two books were on counterfactuals and the origins of war. And I learned something theoretically and methodologically by throwing myself into these problems and also, in some cases, by going beyond what one would normally consider the domain of IR to look for answers. I've often done philosophy and literature in the identity book. I also go to musical texts: I have a reading of the Mozart Da Ponte Operas as a deliberate thought experiment to test out ancient regime and enlightenment identities under varying circumstances to expose what's wrong with them and to work toward a better approach of Così fantutte. And I read the music, not only the libretti, to get at an answer. Of course, when you've been doing it a long time, it keeps you alive and alert when you look at something new. I'm just finishing my 46th year of University teaching. It's a long time!
Thirdly, there were a few pivotal books. I read George Orwell's 1984 and Aldous Huxley's Brave New World in the early 50s. Both of those were very powerful books. I also read in about 1950 - Life Magazine produced a large volume on WWII and it had fabulous photographs and of course Life was famous, Robert Capa's photographs, and the text by John Dos Passos. A big big book that I read and re-read and that was a powerful influence on me. I'd say the Diary of Anne Frank, when it came out, which was not all that dissimilar but had a different ending from my own war experience, and then in high school I read, or struggled to read—I don't think I understood it—Ideology and Utopia (full text here) by Karl Mannheim, and then I read Politics among Nations and the Twenty Year's Crisis. And both those books made enormous sense to me at the time. But I think the book that over the course of my lifetime has had the most influence on me of anything is Thucydides' The History of the Peloponnesian War (read full text here).
What would a student need to become a specialist in IR or understand the world in a global way?
I am tempted to give you a flippant answer that an expert is somebody from out of town; what used to be with slides would now be with a PowerPoint presentation. I think frankly you need to do two things: you need to be analytically sophisticated and original on the one hand, but to do it well, you have to have an empirical base. There has to be some problem or set of problems that you've rolled up your sleeves, looked at the data, talk to the people who are on the ground doing these things, and you need to go back and forth between that empirical knowledge and conceptual one. That's success as a social scientist.
And traditionally, there's always been another key. You must have one foot in society in which you belong and another foot outside so you can do it as an outsider as well as an insider. That's terribly important. I think, in this sense, that Americans are more parochial than other people. They are good insiders but they are not very good outsiders and they just don't understand the rest of the world and when you read what they write about the rest of the world, you wonder what planet they are living on. If you don't see the rest of the world, you can't look at the America from another perspective. It's like people who take hegemony seriously; it's like believing in Santa Claus, except Santa Claus is benign. To gain a deep experience of the world in itself is a pre-requisite. Do a year abroad in some other culture. Learn a language. Have a relationship with someone from a different culture—you begin to learn the languages and all the rest will come. That's the way to start.
You are most famous to most people for your Cultural Theory of International Relations (2008). What does it comprise and can you say something about its classical roots?
I return to classical theory of conflict and cooperation because I find that in modern theory, all drives of human action have been reduced to appetite, and reason to mere instrumentality. The Greeks, by contrast, believed there were several fundamental drives—drives that affected politics—and while these included appetite, they weren't just appetite. Reason was more than instrumentality; it also had the goal of understanding what led to a happy life; then, next to reason and appetite, the third drive was spirit or self-esteem (the Greek thumos), which is very different and often opposed to appetite. It is about winning the approbation of others to feel good about ourselves. The difference between honor and standing—two variants of self-esteem—is that honor is status achieved within a fixed set of rules, while standing is whenever you achieve status by whatever means.
Now most existing IR theories are either only built on appetites—as liberalism and Marxism—or fear. And for the Greeks fear is not a human drive but a powerful emotion which can become a motive. And when reason loses control over either appetite or spirit, people begin to worry about their own ability to satisfy their appetites, their spirit, or even protect themselves physically. That's when fear becomes a powerful motive. Realism is of course the paradigm developed around fear. I differ in that my theory recognizes multiple motives, that are active to varying degrees at different times. They don't blend the way a solution does in chemistry, but they retain their own characteristics, even if jumbled together. So my theory expects to see quite diverse and often conflicting behavior, whereas other theories only pay attention to state behavior that seems to support their theory, and feel the need to explain away other behavior inconsistent with their theory. I revel in these variations. Second, I vary in describing what derives from these motives as (Weberian) ideal types—which means, something you don't encounter in the real world, but rather, an abstraction, a fictional or analytical description, that helps to make sense of the real world but never maps onto it exactly. So, a fear-based world gives you a very nice description of a foundation of anarchy. But of course this is an ideal-type world. Fear is only one motive. You have go to a place where civil order has broken down, like Somalia or the trenches in WWII, to see fear-based models compete.
Starting from these three motives and the emotion of fear, I argue that each of these generates a very different logic of cooperation, conflict and risk-taking; and each is associated with a different kind of hierarchy. And all of them except fear rely on a different principle of justice. Just to give an example: for actors—whether individuals or states—driven by self-esteem, they tend to be risk prone (because honor has to be won by successfully overcoming ordeals and challenges); it leads to a conflictual logic because you are competing with others for honor; and it can be rule-based (although the rules can brake down and move into fear); and the principle is one of fairness, in contrast to interest or appetite which has a principle of equality. The hierarchy is one of clientelism, where people honor those at the top, which, in return, provides practical benefits for those on the bottom. The Greeks called this hegemonia; the Chinese had a similar system.
But because any actual system is not an ideal type, we have to figure out what that mixture is and we can begin to understand foreign policies. And I try to give numerous examples in the book. And the big turning point, I argue, is modernity, where it becomes more difficult to untangle the motives and their discourses. Because in modernity both Rousseau and Adam Smith try to understand why we want material things, so the two become connected. You could argue that even in Egyptian times they were connected, in the pyramids, which are nothing if not erections of self-esteem. But it becomes more difficult and so, rather than saying, using literary texts, artistic works and political speeches as a way of determining the relationship, I approached the problem differently with the examples of the World Wars, the Cold War, and the Anglo-American Invasion of Iraq. I said let's run a test of seeing how carefully we can explain the origins and the dynamics of these conflicts on the basis of interest, on the basis of fear, on the basis of self-esteem. And I think that's methodologically defensible.
Now the interesting point is that the honor or self-esteem explanation is gone completely from modern IR explanations but does at least just a good a job—if not better—at explaining these conflicts I mention above. There is an important sense—and this is my latest book—in which going to war was the dominant way to get recognized as a great power, and I feel that the example of the war in Iraq illustrates that that principle is on the retreat.
I obviously use Greek thinking as a source here of—again, I wouldn't use the word knowledge—but as a source of insight into human nature and the recurring problems regardless of society. Some of the great writers and thinkers cannot be surpassed as sources of knowledge that we as social scientists are shadows on the cave by comparison. And I find the Greeks particularly interesting for several reasons. One, they had a richer understanding of the psyche that moderns who have adduced everything to appetite and reason to a mere instrumentality, this is, to me, an incredibly narrow, crude way of thinking of the human mind. And, for whatever reason, they were gifted with tragedians who pierced to the core of things. So I find them as a source of inspiration but it's by no way limited to the Greeks. You can pick great authors from any culture, in any century, and read them and learn a lot.
How should we understand your cultural theory of international relations in relation to the 'big' paradigms?
My theory is constructivist, at every level. I can go even further and claim that my theory is the only constructivist theory. Alexander Wendt is not a constructivist. If anything, he's a structural liberal. It did have preexisting identities and has a teleology as he believes a Kantian world is inevitable— that's quite a statement to make! And I hope he's right. On the other hand, I define constructivists in a broader way. Most constructivists start with identities and identities are certainly an important feature of my work, but my theory rests on a different premise, and that is the notion of there being certain core values which are germane to politics, and they vary in relative importance from society to society, and they find expression in different ways. So it is constructivist, I think, in the Weberian sense: we have to understand from within the culture what makes things meaningful. And, in that sense, you could bring in the notion of inter-subjective reality, but I go beyond it, because other values are always present in this mix and therefore there's behavior that appears contradictory that is often misunderstood if you apply the wrong lens to it. So there's a lack of interdisciplinary understanding as well: you have to look at both to see how the world works. So cultural theory is constructivist and it allows us to reframe and expand what constructivism means.
If I apply this constructivist thinking to one of the core principles in our approach to world politics: what is a cause? I start by asking, what does 'cause' mean, in physics? Why physics? Because physics is always the field that political scientists look at, we have 'physics envy', so to speak. And interestingly, in physics, there is no consensus about what cause means. Some physicists think that very notion of cause is unhelpful to what they do. Others are happy with regularities and subscribe to causal thinking. Still others thing that you need to have mechanisms to explain anything. Still others, and here statistical mechanics can be taken as a case in point, invoke Kantian understandings of cause. Within physics there's no argument between people adhering to these different understandings of 'cause', because you should do what works! They don't criticize one another. So if they have this diversity, why shouldn't we? Why shouldn't we develop understandings of cause that are most appropriate to what we do? So I develop an understanding I call 'inefficient causation' (download full paper here), sort of playing off of Aristotle. And it is a constructivist understanding, but it also incorporates elements that are distinctively non-constructivist. And identities are only a small piece of the puzzle.
Is there any sense to make of the way IR has evolved over the 20th century?
I think if you look at some of the central figures, it's quite easy. There are 2 great cohorts of International Relations theorists. Those born in the early years of the 20th century comprise Hans Morgenthau, John Hertz, E.H. Carr, Harold Lasswell, Nicholas Spykman, Frederick Schuman, and Karl Deutsch—who was on my dissertation committee together with Isaiah Berlin and John Hertz. The second cohort is born between about 1939 and 1945, and it comprises Robert Jervis (Theory Talk #12), Joseph Nye (Theory Talk #7), Robert Keohane (Theory Talk #9), Oren Young, Peter Katzenstein (Theory Talk #15), Stephen Krasner (Theory Talk#21), Janice Steinberg… And I'll tell you what I think the reasons are for these groups to emerge at these particular moments: the first cohort lived through World War I. And did so, fortunately, in at an age where they were too young to be combatants for the most part, but they certainly had to deal intellectually and personally with its consequences and then watch the horrors unfold of the 1930s.
And the second, my own, cohort was born at the outset of the Second World War. I think, in that group, I may be the only one of them born in Europe (France). The rest of them were born in the US. And we came of age during the most acute crisis of the cohort. So I was either in university or graduate school during the Berlin crisis, during the Cuba crisis, and certainly had an interest first in the consequences of WWII and how something like this could happen, and then living through the horrors of the Cold War, not knowing if indeed one would live through them. And that created a very strong incentive and focus for our group of people. Now a surprising number of this second group did their graduate studies at Yale: Janice Stein, I, Oren Young, Bruce Russet, Krasner, later all at Yale with Karl Deutsch. The rest, Jervis, Keohane and Krasner at Harvard with Samuel Huntington. I think you have the odd person who's born somewhere in between – so, Ken Waltz (Theory Talk #40), for instance, is younger. He must be a 1920 person, almost exactly in between these two, just as Ernst Haas.
And I wouldn't be surprised now if there is another cohort emerging, the people of around the age of Stefano Guzinni, Jens Bartelson, Patrick Jackson (Theory Talk #44). What ties this third cohort together is that they all watched the end of the Cold War and are coping with its aftermath. So I believe that it's probably two things: the external environment and the extent to which you're in an intellectually nurturing institution. And of course for our cohort, it certainly helped that there were jobs. That was not true of the earlier cohort. Almost all of them, except E.H. Carr, ended up in the US as refugees. Did you know Morgenthau started as an elevator boy in New York? Then he got a job teaching part-time at Brooklyn College because someone fell ill. His wife cleaned other people's apartments to supplement their income. Then he got a job at the University of Kansas City, which was a hellhole, and finally Harold Lasswell got called to Washington for some war work and got Chicago to hire Morgenthau to replace him.
What is the issue with the discipline today if, as you noted before, we fail to ask the most interesting questions and instead focus on method?
Well, it of course depends on which side of the pond you sit. On the American side of the pond, positivist or game-theoretical behaviorist or rationalist modeling approaches dominate the literature; it's just silly, from my perspective. It's based on assumptions which bear no relationship to the real world. People like it because it's intellectually elegant: they don't have to learn any languages, they don't have to read any history, and they can pretend they're scientists discussing universals. Intellectually, it's ridiculous. Bruce Bueno de Mesquita (Theory Talk #31) is a classic case in point. He's made a huge reputation for himself with The War Trap (1981). That book and the corresponding theory are based on a simple assumption, namely, that there's a war trap compelling states into war, because initiators win wars. But just look at the empirical record from 1945 to the present—initiators lose between 80-90% of the wars they start. And that really depends on the definition of victory. If you use the real definition, the Clausewitzian one, you have to ask: do they achieve their political goals through violence? Then the answer is, even fewer "victories". Well, let's cut them some slack, use a more relaxed definition: did they beat the other side militarily? Initiators still lose 78 or 82%—I forget exactly which percentage of their wars. And the profession right now is so ignorant of history that nobody said 'Wait a minute!' the day the book came out. Instead IR scholars all focus on this model and fine-tuning it—it's ridiculous! And well, I don't want to go on with a critique, but this is a serious problem, for it concerns a huge misunderstanding regarding one of the most important problems out there.
But what happens now is this kind of thinking metastasizes throughout the discipline because what students in International Relations or Political Science more generally are taught are calculus, statistics—and I'm not against this, one should learn them; I use them myself when I wear my psychologist hat and do quantitative research and statistical analysis—but they don't learn languages, they don't learn history, they don't learn philosophy. They are so narrow! Much of this of course has to do with the reward structure in the United States. It's clear that the statistical scientists are at the top of the hill. So, economists transform themselves into scientists; but the social scientists copy them because there are clear institutional rewards. If you look at our salaries in comparison to the salaries of anthropologists, historians—then if you sit at the edge of your chair and look over the abyss you might see the humanists down there in terms of what they get. So very clearly, there are strong institutional rewards. Once the positivist crowd got a lock on various foundations and journals, if you want a job, if you want to rise up through the profession, students tell me you have to do this stuff. IR graduate students are bricklayers that get turned out of these universities. That's the tragedy! It's no longer a serious intellectual enterprise. It's not connected to anything terribly meaningful.
And mind you, I must say, while on the other, European, side of the pond there is more diversity (one of the reasons I feel more comfortable here), at the same time there is a strong tendency to go for a certain heavy-handed brand of post-modernism. If you don't start an article with a genuflection to Foucault or De Saussure or Derrida, you don't get published. And by not looking beyond these 20th century thinkers, people in Europe are often given credit for inventing things which were common knowledge for hundreds and hundreds of years. Utterly ridiculous. But in between, there are of course people who are trying to make sense of the world, including many people in the positivist tradition who are doing good quantitative research and trying to address serious problems in the world. The difficulty is that these two extremes are often people who approach IR as a religion and they think that their way of doing research is the only way and they have no respect for others. And that's a kind of arrogance to which, to me, is a violation of what the university is all about.
Ultimately, what is good theory? One approach would be to say that a good theory is one that appears to order a domain in a way that is conceptually rigorous - to the extent that that's even possible - that is original and that raises a series of interesting questions which haven't been asked before, but which are amenable to empirical research and finally it should have normative implications. This is what Hans Morgenthau meant when he said that the purpose of IR theory is not to justify what policymakers did, but to educate them to act in ways that would lead to a better and more peaceful world. And that, I think, is the ultimate goal of IR theory that we should not lose sight of.
You indicated that Isaiah Berlin was on your dissertation committee. He famously tries to explain Tolstoy's philosophy of history (in War and Peace) through the parable of the hedgehog and the fox. If theorists constraining themselves to one drive underpinning policy choices would be hedgehogs, how would you see yourself? A fox or a hedgehog?
I am clearly a fox! I do different things. Whether I do them well is debatable. But I certainly think that I'm a man of many tricks. Of course the distinction also implies not believing in an overarching truth, and indeed, I try hard not to think about truth because I don't think you can get very far when you do. Epistemologically and eclectically, I'm a great believer that we can never really establish a cause, truth, and knowledge. One of the great problems here goes back to Plato who was shocked that craftsmen equated technical ability to produce things with knowledge—Sofia, which is wisdom. And today you have the problem one step up, so another category of knowledge for the Greeks was episteme. Aristotle would describe it as 'conceptual knowledge' or that which might even be represented mathematically. And the people who would be 'expert' in episteme think they have sofia and their claim to being a hedgehog is the same kind of conceit, a form of hubris. Berlin's distinction between hedgehogs and foxes is a very useful and nice concept to play around with.
Yet it's a bit much to reduce Tolstoy to that tension. You could do it as a game but it doesn't do much justice because there is so much else in Tolstoy. He's tilting against the French historians of the 19th century who have erected Napoleon into this strategic genius. And he does a very convincing job of showing that what goes on on the battlefield has nothing whatsoever to do with what Napoleon or anyone else who is wearing a general's ebullience or theorists hat says. And also, and in this sense, one could see him as the beginning of subaltern history of social science, he's telling the story—admittedly about aristocrats, not commoners—but he's telling the story of ordinary people on the battlefield, not the people making the decisions. So the war is in a way a background to the lives of the people, focusing our attention a very humanist way, on people. This, too, is revolutionary for his time.
Professor Richard Ned Lebow Professor of International Political Theory at the Department of War Studies, King's College London and James O. Freedman Presidential Professor Emeritus at Dartmouth College. He is also a Bye-Fellow of Pembroke College, University of Cambridge. He has taught strategy and the National and Naval War Colleges and served as a scholar-in-residence in the Central Intelligence Agency during the Carter administration. He has authored and edited 28 books and nearly 200 peer reviewed articles.
Related links
Read the first chapter of Lebow's The Tragic Vision of Politics (2003) here (pdf) Read Lebow & Kelly's Thucydides and Hegemony: Athens and the United States (Review of International Studies 2001), here (pdf) Read Lebow's Deterrence and Reassurance: Lessons from the Cold War (Global Dialogue 2001) here (pdf) Read Lebow's The Long Peace, the End of the Cold War, and the Failure of Realism (International Organization, 1994) here (pdf) Read Lebow's The Cuban Missile Crisis: Reading the Lessons Correctly (Political Science Quarterly 1983) here (pdf)
