Un viejo proverbio chino señala que "la puerta mejor cerrada es aquella que puede dejarse abierta". Efectivamente la transformación de China durante la segunda mitad del siglo XX grafica este dicho. De manera impensada para muchos, luego de casi tres décadas de férreo control estatal sobre la economía bajo el liderazgo de Mao Zedong, la dirigencia china que lo sucedió en el poder decidió hacia fines de los setenta "abrir una puerta bien cerrada" y emprender un ambicioso proceso de modernización, liberalización y apertura económica. De la mano de Zhou Enlai primero y Deng Xiaoping después, el Estado chino se embarcó en la tarea de modernizar dentro del país su sector agrícola, su estructura productiva, la ciencia y tecnología y la defensa nacional. El interés central detrás de esta transformación radicaba en acortar la brecha de desarrollo existente con los países más avanzados, situación que se reflejaba en el éxito económico de "vecinos" como Japón, Corea del Sur, Taiwán y Hong Kong. Para Deng, China sólo podría convertirse en una gran potencia a través de una política sistemática de modernización, con énfasis en el desarrollo económico y manteniendo la estructura de control político del Partido Comunista (Wilhelmy y Soto, 2005: 52). El desafío a superar consistía en dejar atrás una empobrecida, cerrada y estancada economía planificada y avanzar en la configuración de una economía competitiva. En la opinión del periodista Li Datong (2009), la política de reformas contó a grandes rasgos con dos etapas bien claras. En la primera, que se extendió de 1978 a 1989, el ímpetu de cambio fue puesto en la reducción de la pobreza rural y urbana. En la segunda, iniciada en 1992 con el famoso viaje de Deng al sur del país y culminada en el 2001 con el ingreso de China a la Organización Mundial de Comercio, el gobierno en estrecha alianza con sectores empresariales concentró esfuerzos en impulsar el crecimiento económico.Las principales medidas adoptadas consistieron en: la descolectivización de la agricultura y la autorización del uso privado de las tierras comunales (household responsibility system); el levantamiento de la prohibición para realizar actividades empresariales de índole privada; la apertura por primera vez desde la Revolución de 1948 al ingreso de capitales extranjeros; la creación de zonas económicas especiales y de apertura (existen actualmente una veintena, entre ciudades, provincias y áreas costeras); la privatización de numerosas empresas (a excepción de algunos grandes monopolios vinculados a energía y al sistema bancario); la descentralización del control estatal nacional hacia los gobiernos provinciales; la reducción general de aranceles y barreras comerciales; y el reconocimiento legal en 2005 de la propiedad privada.Estas reformas hicieron posible el denominado "milagro chino", la gran performance económica desatada a partir de 1978. Entre aquel año y el 2006 China mantuvo un promedio anual de crecimiento del 9,7%, tendencia que sólo se interrumpió tras los incidentes de la Plaza de Tiananmen en 1989 y que apenas se redujo en 1997 y 1998 durante la dura crisis asiática (Zhao, 2006: 3). Asimismo, mientras en los objetivos iniciales se esperaba cuadruplicar el PIB para comienzos del siglo XX, el desempeño real arrojó un impresionante crecimiento de trece veces del PIB de 1978 hacia el año 2006. En materia comercial, su comercio exterior se ha quintuplicado en los últimos diez años, mientras que su participación en el comercio mundial en ese mismo período se ha más que duplicado, llegando en 2007 al 9% de las exportaciones y al 6,8% de las importaciones globales. Además, China incrementó su penetración en los mercados de las economías desarrolladas y simultáneamente se transformó en un importante destino de exportación, especialmente para las economías de la región asiática, convirtiéndose en un nuevo eje del comercio mundial –segundo exportador y tercer importador en 2007–, disputando así el papel de Estados Unidos, la Unión Europea y Japón (D'Elía et al., 2008: 67-8). Una de las principales fuentes de esta expansión comercial ha sido el creciente emplazamiento de firmas extranjeras en el país, las que se valen de los bajos costos de producción para sus operaciones. La participación de dichas firmas en las exportaciones chinas aumentó del 10% en 1990 a casi un 60% en 2004 (Blonigen y Ma, 2010: 475). Este fenómeno denominado "processing trade"explica que China se haya convertido en el principal receptor entre los países en desarrollo de inversión extranjera directa por primera vez en 1993 y uno de los tres primeros a nivel mundial entre 2003 y 2005 (Cheng y Ma, 2010: 545). Conjuntamente, el doble éxito comercial y en atracción de capitales apuntaló también las reservas internacionales. Mientras que en 1992 se registraron reservas por 19 mil millones de dólares, equivalente a un 4% del PIB, tan sólo quince años después éstas alcanzaron 1,4 billones, correspondiente al 50% del PIB (Truman, 2008: 169).A nivel doméstico, la principal transformación ha consistido en el establecimiento gradual de una "economía de mercado socialista". Su avance se evidencia en que hacia 1979 la totalidad de las industrias eran estatales o "colectivas" y el Estado controlaba los precios del 97% de los productos en circulación, mientras que hacia fines de la década de los noventa, menos del 30% de las empresas seguían siendo estatales y las fuerzas del mercado fijaban ya el 97% de los precios. Desde el 2001 estos márgenes se han mantenido mayormente constantes. Pero este ascenso económico posee una contracara de obstáculos, desafíos y debilidades bien marcados que pondrán a prueba la potencialidad de crecimiento a futuro. Por un lado, China es todavía un país pobre en términos de su ingreso per capita, estimado en aproximadamente U$S 3.000 anuales, lo que equivale sólo al 10% de los ingresos registrados en Estados Unidos y Europa. Este bajo registro se conjuga con una mayor desigualdad y una aguda concentración de los ingresos, siendo el 90% de la riqueza acaparada por el 1% más rico de la población (Datong, 2009). La razón detrás de éste pasivo social yace en las privatizaciones, la liberalización y el marcado contraste entre el interior del país y las más dinámicas zonas costeras e industriales —el 57% del PIB se produce en el este de China, un 26% en la región central y apenas el 17% en el oeste (D´Elía et al., 2008: 69). Consecuentemente, ello explica que el crecimiento de la economía esté principalmente impulsado por las exportaciones y la inversión más que por el consumo doméstico. Por el otro lado, los problemas ambientales se han vuelto verdaderamente acuciantes de la mano de este crecimiento. China ha reemplazado recientemente a los Estados Unidos como principal emisor mundial de gases de efecto invernadero. A causa del creciente parque automotriz, las industrias contaminantes y las numerosas plantas procesadoras de carbón, la calidad del aire se ha deteriorado en las principales ciudades. Así, por ejemplo, la concentración de partículas tóxicas inhalables en Beijing en el año 2008 superó en un 80% el estándar tolerable fijado por la Organización Mundial de la Salud (Jacobs, 2010). En las zonas rurales, la masificación del uso de fertilizantes y agrotóxicos para apuntalar la productividad de la agricultura ha contaminado buena parte de las cuencas hídricas.En el plano de los desafíos, debe sumarse que China no es una democracia. El sistema de gobierno es esencialmente autoritario, regido por actores que se imponen en contiendas intrapartidistas y burocráticas libradas a puertas cerradas en Beijing (Wilhelmy y Soto, 2005: 53). Lejos de ser China una "sociedad armónica", se han registrado al compás de las transformaciones importantes conflictos sociales con base en diferentes reclamos: mayor democratización, mejores condiciones de vida, reconocimiento de autonomía política en el caso del Tíbet, etc. Desde los años de Deng, la regla ha sido la aplicación de una política de "mano dura" para contener el disenso interno —como se evidenció en la plaza de Tiananmen en 1989. No obstante, este disenso ha ido en ascenso. En septiembre de 2003, Human Rights Watch informó que más de tres millones de personas se movilizaron en distintas protestas en sólo un mes y que, en más de cien casos a lo largo del país, los reclamos escalaron en violentos choques con las fuerzas de seguridad locales y la destrucción de edificios gubernamentales (Becker, 2006: 169). Por tanto, resta ver cómo el sistema político logra adaptarse a las radicales modificaciones sociales en curso y da cabida a nuevos actores en la lucha por el poder. A pesar de estos desafíos por resolver, existe un fuerte consenso mundial sobre el actual proceso de ascenso de China al status de gran potencia. La célebre predicción de Napoleón —"Let China sleep, for when she wakes, she will shake the world"—, parece estar siendo confirmada (Kynge, 2006). En efecto, "China is reemerging as a major power after one hundred and fifty years of being a weak player on the world stage—a brief hiatus in China's long history", de acuerdo con Susan Shirk (2007: 4), máxima responsable en el Departamento de Estado de las relaciones con China durante la administración Clinton. Si se considera su situación estructural, una estimación reciente del poder comprehensivo de China comparada con las otras grandes potencias del sistema internacional arroja los siguientes resultados. Allí se advierte que China es la única potencia con un status fuerte de poder en cada una de las dimensiones contempladas y por tanto la principal competidora estratégica detrás de la superpotencia estadounidense. Pero el nuevo protagonismo chino también se percibe de una manera más dinámica. Crecientemente el país empieza a desempeñar roles críticos en distintos asuntos de interés mundial, desde la no proliferación hasta el cambio climático, además de ser materia de controversia en Occidente en asuntos relacionados con la pérdida de empleos, déficits comerciales y derechos humanos. En la última década, además, China ha combinado su dinamismo económico con políticas pragmáticas de seguridad y defensa y un fuerte activismo diplomático, gracias a lo cual ha empezado a establecer sólidas relaciones no sólo en toda Asia sino también en Europa, África y Sudamérica, aprovechando en buena medida los "espacios" generados por la focalización de los Estados Unidos en las guerras de Afganistán e Irak y la lucha contra el AlQaeda (Gill, 2007: 1).En el caso particular de América Latina, el carácter actual de los vínculos con China se remonta a la finalización de la Guerra Fría. Fue entonces cuando la desideologización de la política exterior del gigante asiático y el auge del proceso de globalización brindaron un marco propicio para una fuerte expansión económica de las relaciones sino-latinoamericanas (Cesarín, 2006: 52). Algunas cifras ilustran el fenómeno. Las exportaciones de América Latina y el Caribe a China aumentaron en forma súbita desde los US$1.500 millones en 1990, a los casi US$3.000 millones en 1995 y US$5.400 millones en 2000, para crecer posteriormente un 42% anual entre 2000 y 2004 hasta llegar a superar los US$21.000 millones en 2004. En 2003, los recursos primarios representaban el 45,5% de la canasta (Davy, 2008: 4). Por su parte, las exportaciones chinas a la región durante la década de los 90 crecieron más de cinco veces, logrando un superávit comercial global que perduró hasta el 2002. Sin embargo, con los países ricos en recursos naturales como Brasil, Argentina, Chile y Perú, la balanza mercantil resultó deficitaria para Beijing (Cheng, 2006).El interés chino en los países del subcontinente se ha vuelto desde entonces más claro: América Latina constituye un importante reservorio de materias primas, alimentos y recursos naturales necesarios para la prosecución de su crecimiento —no debe perderse de vista que China importa el 30% del petróleo que consume, el 45% del mineral de hierro, el 44% de otros metales no ferrosos y una proporción cada vez más alta de productos agrícolas. El patrón de intercambio comercial y de inversiones en los últimos años refleja dicho interés: minería y forestación (Perú y Chile), pesca, agroalimentos y petróleo (Argentina y Venezuela), mineral de hierro y acero (Brasil), producción de alimentos (Brasil, Chile, Argentina y Perú) y minería (Perú, Colombia, Chile). (Cesarín, 2006: 52-3.) En efecto, la relativa bonanza económica latinoamericana de comienzos de siglo —en parte— se debe a la fuerte demanda china de este tipo de bienes y commoditiesque traccionó al alza los precios internacionales. Para algunos, esto representa una importante oportunidad de optimizar los procesos subregionales de integración e impulsar cambios en las estructuras productivas nacionales mediante la participación inversora de firmas chinas (Cesarín, 2005: 3). Pero esta situación, en principio favorable, amerita una reflexión cautelosa en la medida en que "el auge de los commodities encubre los riesgos inherentes de depender de un sector volátil y en gran medida poco calificado para el sostenimiento de un crecimiento económico a largo plazo y la prosperidad" (Davy, 2008: 2). En este sentido, China ofrece a la región oportunidades pero también desafíos: detrás de los cantos de sirena, se esconde el peligro de un comercio asimétrico que conduzca a la reedición de lazos de dependencia y a una inserción internacional de América Latina subordinada a los dictados de una gran potencia distante. Precisamente, el profesor Julio Sevares (2007: 12) ve en la relación económica Latinoamérica-China no una relación Sur-Sur, sino más bien el clásico esquema comercial Norte-Sur y el patrón inversor de tipo extractivo británico del siglo XIX.Con respecto estrictamente al plano político-estratégico, dos cuestiones deben considerarse. La primera es que China resulta para muchos de los liderazgos latinoamericanos un simpático ejemplo de éxito en materia de reformas dado el importante rol estatal en la conducción de la transformación económica. Representa así un exitoso experimento, distinto de las propuestas neoliberales que fracasaron en América Latina (Cesarín, 2010: 8). Y la segunda, es que la irrupción de China en la región plantea interrogantes sobre la eventual reacción de los Estados Unidos ante un eventual socavamiento de influencia en su "patio trasero". Se trata de un escenario que desde comienzos del siglo XXI se sigue con atención en las usinas de pensamiento estratégico en Washington. Allí se distinguen al menos dos posiciones: una, la de los decisores estadounidenses más temerosos que entienden a la nueva presencia china en la región como la movida inicial de una ofensiva diplomática a gran escala de Beijing para desafiar a los Estados Unidos en su propio hemisferio; y la otra perspectiva, más benigna, que percibe los crecientes vínculos como una oportunidad antes que una amenaza y como una manifestación natural de las necesidades energéticas y de recursos del país asiático sin miras explícitas de choque con la superpotencia (Roett y Paz, 2008: 1). Esta última visión es la que acepta la idea del ascenso pacífico ("peaceful rise") que ha publicitado Hu Jintao. De acuerdo con Zheng Bijian, uno de sus principales ideólogos, "China no tiene la intención ni de desafiar ni de subvertir el orden internacional político y económico ya existente (…). No buscamos la hegemonía ni en el pasado, ni ahora, ni nunca jamás en el futuro cuando hayamos alcanzado el desarrollo. Hemos convertido ya en una premisa básica de nuestro Estado la de no pretender nunca la hegemonía" (Bijian, 2005).La reemergencia histórica de China debe por tanto discurrir a través de la integración a las reglas de juego internacionales, a través del multilateralismo, la resolución pacífica de las disputas y la tolerancia hacia el resto de las naciones. En última instancia, la evolución hacia un abierto desafío estratégico entre los Estados Unidos y China o hacia una convivencia respetuosa entre superpotencias, dependerá del factor que prime en la interacción mutua: un juego de suma cero producto de las transformaciones estructurales en el sistema político internacional, o bien un juego de suma positiva resultado de intereses y percepciones convergentes.(1) El presente artículo es un fragmento de un capítulo de libro en elaboración sobre la inserción internacional de la Argentina entre el 2003-2007. *Candidato doctoral, Universidad Nacional General San Martín (UNSAM).Referencias bibliográficasBecker, Jasper (2006): Dragon Rising. An inside look at China today (Washington D.C.: National Geographic). Bijian, Zheng (2005): "Diez puntos de vista sobre el ascenso pacífico de China y sobre las relaciones entre China y Europa", Real Instituto Elcano, disponible en:«http://www.realinstitutoelcano.org/analisis/867/867_DiscursoZheng.pdf».Blonigen, Bruce A. y Alyson C. Ma (2010): "Please Pass the Catch-Up. The Relative Performance of Chinese and Foreign Firms in Chinese Exports", en Feenstra, Robert C. y Shang-Jin Wei: China's Growing Role in World Trade (Chicago and London: The University of Chicago Press).Cesarín, Sergio (2005): "Ejes y estrategias del desarrollo económico chino: enfoques para América Latina y el Caribe", en Cesarín, Sergio y Carlos Moneta: China y América Latina. Nuevos enfoques sobre cooperación y desarrollo. ¿Una segunda ruta de la seda? (Buenos Aires: BID-INTAL).Cesarín, Sergio (2006): "La relación sinolatinoamericana, entre la práctica política y la investigación académica", Nueva Sociedad, N° 203, Mayo/Junio, pp. 48-61.Cheng, Joseph Y. S. (2006): "Latin America in China's Contemporary Foreign Policy", Journal of Contemporary Asia, Vol. 36, No. 4, pp. 500-528.Cheng, Leonard K. y Zihui Ma (2010): "China's Outward Foreign Direct Investment", en Feenstra, Robert C. y Shang-Jin Wei: Op. Cit.Datong, Li (2009): "China's stalled transition", Open Democracy (February 19), disponible en «http://www.opendemocracy.net/article/chinas-stalled-reforms». Accedido 16/09/2010. Davy, Megan (2008): "¿Qué presagia el crecimiento de China para América Latina?",Panorama del Desarrollo Internacional del American Enterprise Institute, N° 2, julio.D´Elía, Carlos, Carlos Galperín y Néstor Stancanelli (2008): "El rol de China en el mundo y su relación con la Argentina", Revista del CEI, N° 13, pp. 67-89.Gill, Bates (2007): Rising Star. China's New Security Diplomacy (Washington D.C.: Brookings Institution Press).Jacobs, Andrews (2010): "In China, Pollution Worsens Despite New Efforts", The New York Times (July 28), disponible en «http://www.nytimes.com/2010/07/29/world/asia/29china.html?_r=1»(accedido 18/9/10). Kynge, James (2006): China Shakes the World: A Titan's Rise and Troubled Future - and the Challenge for America (New York: Houghton Mifflin Harcourt).Roett, Riordan y Guadalupe Paz (eds.) (2008): China's expansion into the Western Hemisphere (Washington D.C.: The Brookings Institution).Sevares, Julio (2007): "¿Cooperación Sur-Sur o dependencia a la vieja usanza?", Nueva Sociedad, N° 207, enero-febrero, pp. 11-22.Shirk, Susan L. (2007): China. Fragile Superpower (New York: Oxford University Press).Truman, Edwin M. (2008): "The Management of China's International Reserves: China and a Sovereign Wealth Fund Scoreboard", en Goldstein, Morris y Nicholas R. Lardy (eds.):Debating China's Exchange Rate Policy (Washington: Peter G. Peterson Institute for International Economics).Wilhelmy von Wolff, Mandfred y Augusto Soto (2005): "El proceso de reformas en China y la política exterior: de Deng Xiaoping a Hu Jintao", en Cesarín, Sergio y Carlos Moneta: Op. Cit.Xuetong, Yan (2006): "The Rise of China and its Power Status", Chinese Journal of International Politics, Vol. 1. Zhao, Min (2006): External Liberalization and the Evolution of China's Exchange System: an Empirical Approach (Final Draft, The World Bank Beijing Office), disponible en «http://siteresources.worldbank.org/INDIAEXTN/Resources/events/359987-1149066 764594/Paper_MinZhao.pdf».
Striking, overtime bans and refusing to carry out certain tasks[1] are collective forms of actions that can arise from workplace disputes. These industrial actions are of fundamental importance: the temporary halt in work production leverages a demand to enforce workers' rights. Despite this, the UK does not recognise the legal right to withdraw labour. Instead, the UK's "right to strike" is said to depend on a complex statutory scheme[2]. This article will analyse a variety of sources, "statutes such as TULRCA 1992, the common law, Convention rights, and relevant case law[3]", to determine whether the UK's "right to strike" "is a classic instance of a 'legislated' right[4]" or if it is merely a "slogan/legal metaphor[5]". [1] Hugh Collins, Aileen McColgan and Keith D Ewing,Labour Law(2nd edn, Cambridge University press 2019) pg.706. [2] Alan Bogg and Ruth Dukes, 'Statutory Interpretation and The Limits of a Human Rights Approach: Royal Mail Group Ltd V Communication Workers Union' (2020) 49(3) Industrial Law Journal pg.478. [3] Ibid, pg.478. [4] Ibid, pg.478. [5] Metrobus v UNITE [2009] EWCA Civ 829 (Maurice Kay LJ). - 'In truth, the "right to strike" in the UK depends for its realisation on a complex statutory scheme. Even in jurisdictions where the right to strike is specified textually in a constitutional document, such a complex right must be operationalised through labour statutes. It is a classic instance of a "legislated" right. Since the enactment of the Human Rights Act, and the evolving jurisprudence of the ECtHR, UK law may now be described as protecting a right to strike albeit one that is pieced together from a variety of sources: statutes such as TULRCA, the common law, Convention rights, and relevant case law.'[1] Does this statement accurately encapsulate the UK law on the 'right to strike'? How do the different sources of law interact and what factors determine the correct balance to be reached between competing interests in regulating industrial action? Use case law, statute, legal commentary and social science material in your answer and provide illustrations to support your analysis. In line with socialism and Professor Beverly Silver's assertions, capitalism is established upon 'two contradictory tendencies': 'crises of profitability and crises of social legitimacy'.[2] This 'inherent labour-capital'[3] struggle is reflected within the UK's hostile regulation of industrial action. The courts' and legislature's ideological approaches towards the collective right to withdraw labour unanimously and substantially favours economic growth above social welfare.[4] Striking, overtime bans, and refusing to carry out certain tasks are collective forms of actions that can arise from workplace disputes.[5] These disputes typically occur because employers are unwilling to negotiate with employees and workers about their working terms or conditions. Undeniably, the duration – and the aftermath – of the collective action results in financial losses to the business and affect innocent third parties (i.e. the general public).[6] Therefore, in order to appease and 'bring the labour under control', the capital would 'have to make concessions [i.e. comply with the strikers' new terms], which provoke crises of profitability'.[7] However, the loss suffered by a business[8] during and after industrial action is justified on two persuasive grounds. The first ground identified by Gwyneth Pitt is the human right aspect.[9] To restrict the right to strike would be akin to the horrific period of slavery,[10] where man had no power to withdraw his labour. This justification is recognising the inequalities in bargaining power between employer and employee.[11] This inequality has been further escalated by the growth of the modern-day unstable gig economy; one in nine UK workers are in precarious work.[12] This form of work has limited protection and much lower salaries.[13] Hence, a subsequent ground for the justification of withdrawal of labour is the equilibrium argument. The power of the employer and their actions can only be matched and questioned by a 'concerted stoppage of work'.[14] Essentially, the right to strike is more than the withdrawal of labour: it is also the encompassing 'right to free expression, association, assembly and power'.[15] Yet there is 'no positive legal right to strike in the UK'.[16] Instead, 'the "right to strike" in the UK depends for its realisation on a complex statutory scheme'.[17] In contrast to its neighbouring European countries' (Spain and Italy) jurisdictions 'where the right to strike is specified textually in a constitutional document', the UK law 'protects a right to strike … from a variety of sources: statutes such as TULRCA, the common law, Convention rights, and relevant case law'.[18] The accuracy of Bogg and Dukes' encapsulation of the UK law on the 'right to strike' and how the different sources of law interact will be subsequently discussed. Common Law Judiciary While Spain[19] and Italy[20] protect the right to strike by suspending the contract of employment during industrial action, this contract is broken under English law.[21] This is because the English common law does not confer a right to strike,[22] hence 'the rigour of the common law applies in the form of a breach of contract on part of the strikers and economic torts … [for] the organisers and their union'.[23] It is tortious and indefensible[24] to induce an individual to breach their contract of employment.[25] This principle was established in Lumley v Gye,[26] and this liability extends to trade unions in the context of industrial action.[27] Additionally, there are two further economic torts trade unions can be held liable for: liability for conspiracy to injure (Quinn v Leathem)[28] and causing loss by unlawful means. UntilOBG Ltd v Allan, Douglas, and others v Hello! Ltd,[29] the 'tort of procuring a breach of contract had been ["blurred"[30] and] extended [to be a wider] tort of unlawful interference with contractual relations'.[31] These torts were later distinguished and separated in the House of Lord's (HoL) judgment of OBG v Allan. While it is not often, the courts are encouraged to distinguish and introduce new torts. The HoL in OBG v Allan subsequently outlined the distinguishing elements between unlawful means and the tort of procuring a breach of contract. The tort of procuring a breach of contract is an accessory liability. Whilst the tort of unlawful means is a 'primary liability that is not dependent on the third party having committed a wrong against the claimant'.[32] Yet, despite the tort differences, the HoL confirmed that the same act could give rise to liability under both unlawful interference and procuring a breach of contract.[33] This clarification and the development of unlawful interferences as a separate liability has notably accommodated employers in holding trade unions liable for more than one tort. The OBG v Allan judgment is significant for discussing industrial action for two notable reasons. The first is that it confirms the judiciary's 'uncontrolled power'[34] in developing and 'defining torts boundaries on a case-to-case basis.[35] This power is 'ensur[ing] that trade unions cannot provide a lawful excuse or justification for their actions'[36]; trade unions are ultimately 'stood naked and unprotected at the altar of the common law'.[37] The insufficiency of protection for trade unions under the common law exhibits the judiciary's biased and hostile ideology towards industrial action.[38] This subsequently aligns with the following observation: the courts favour economic profits. This is discerned by the extent to which the contemporary judiciary extends protection for commercial bodies.[39] The primary function of English tort law was to protect physical integrity and property rights; tort law was never concerned with the protection of economic interests.[40] Nor had the common law ever been historically exercised to 'legitimately control aspects of the economy'[41] and yet OBG v Allan demonstrates the extent to which this has now changed. The judiciary has extensively and needlessly stretched the common law and its torts[42] to protect 'already powerful organisations'.[43] Hence, from the perspective of trade unions and their members, the common law's (inadequate) protection for the 'right to strike' has been, undeniably, very disappointing. Statutes Legislature One of the major problems facing trade unions was the 'exposure of their funds to legal action by employers'[44]; in 1901, Taff Vale Railway Co successfully sued the Amalgamated Society of Railway Servants union for £42,000.[45] This sum is equivalent to £5,196,328.39 today. This verdict, in effect, eliminated 'the strike as a weapon of organized labour'.[46] Naturally, workers turned to political parties for redress. The concern and advocacy for trade union reform accounted for 59% of the winning Liberal party's election manifesto.[47] The Liberal government, led by Prime Minister Henry Campbell-Bannerman, provided unions with wide immunity against any tortious liability arising from trade disputes under The Trade Disputes Act (TDA) 1906. Although this Act did not introduce a 'legislated right' for industrial action,[48] this statute effectively recognised the vulnerability of unions under the common law by 'secur[ing] a [statutory] freedom' instead. [49] The TDA is one of the 'mostimportantpieces oflabour legislationever passed by a British Parliament'[50]; it effectively 'kept the courts at a minimum'[51] and neutralised the most obvious adverse effects of the Taff Vale judgment. The 'sympathetic politicians' were 'periodically reconstructing' the role of the 'class-conscious', profit-favouring judiciary.[52] The outcome of the 1906 general election 'served the unions' interests well'[53] and it continued to for 65 years. The 'long enjoyed'[54] immunity of trade unions for liability in tort was reduced to partial immunity under the Thatcher government (1979-90). There is a 'scale of government ideology' which ranges from 'fully participative' to 'fully authoritative',[55] and the Thatcher government was the undoubtable latter. The Conservative ideology and economists, such as FA Hayek, viewed trade unions as an obstacle to economic growth.[56] This perception was heightened by the Winter of Discontent (1978-79): a period characterised by widespread of strikes in response to the Labour government's wage cap (to maintain falling inflation).[57] Subsequently, Thatcher's government further justified the re-introduction of liability for trade unions upon the succeeding Green Papers: the 1981 Trade Union Immunities[58] and the 1989 Trade Unions and their Members.[59] Both papers outlined concerns regarding democracy, rights, and freedom of trade union members; 'too often in recent years it has seemed that employees have been called out on strike by their unions without proper consultation and sometimes against their express wishes'.[60] Accordingly, the Thatcher government introduced legislation that prior Conservative governments were afeard of passing: the Employment Act 1980, Trade Union Act 1984, and Trade Union Reform and Employment Rights Act 1993. These re-introduced vulnerability and high costs for unions. Under the Employment Rights Act 1980, 'trade-dispute' was re-defined, statutory liabilities were introduced and unions were exposed to injunctions and claims for damages. However, upon complying with the stringent balloting requirements (from secret ballot to the requirement for all ballots to be postal) in the 1984 and 1993 Acts, the dispute would be deemed lawful.[61] It is expensive for unions to comply and evidence the fulfilled balloting requirements, but if lawful union members are statutorily protected from unfair dismissals and injunctions.[62] While this is a brief summary of the Acts, these restrictive measures offer an insight into the Thatcher government's success in exercising its agenda of restricting the lawfulness of industrial action by limiting its previously protected scope and purposes. Subsequently, the process of placing further controls on trade unions continued into the 21st century.[63] The 2015 Conservative government introduced the 'draconian'[64] Trade Union Act 2016 (TUA) – the most significant union legislation since the Employment Act 1980. The TUA introduced a minimum threshold of eligible members to vote in the ballot (at least 50% turnout and 50% voting in favour).[65] Moreover, in the instance the members are engaged in 'important public services',[66] 40% of all members entitled to vote must have voted in support of the industrial action. These stringent procedural requirements have to be strictly followed for a strike to be lawful.[67] Oddly, there was no pressing need to introduce these restrictive measures.[68] There were no significant problems in industrial relations at the time (ie, Winter of Discontent) nor any significant 'pressure from business for further laws on strikes',[69] but the Conservative government justified these 2016 measures through the findings of Bruce Carr QC and Ed Holmes.[70] The Government submitted the Carr Review to indicate a consistent pattern of union bullying workers, and yet Carr himself 'did not contend his findings to be a sufficient basis' for influencing the TUA.[71] Instead, the true motivations behind the government's 2016 legislative programme are observed by the 'striking resemblance'[72] to Ed Holmes Modernising Industrial Relations (MIR) paper.[73] The policy paper daringly questioned the necessity of protecting industrial action by reflecting on the development of employment tribunals and discussing the economic consequences of strikes. The same 'free-market economic theory' that underpinned the MIR's recommendations 'drove' the pragmatically restrictive and economically influenced 2016 statute developments.[74] The substance of today's statute in protecting trade unions 'is far removed and much weaker than the position established in 1906'.[75] Since the Henry Campbell-Bannerman leadership, trade union membership has declined by more than half due to the 'three successive Conservative governments [who] have enacted labour legislation opposed by unions'.[76] It appears the deep-rooted ideology of the political party in power influences the legislative steps for protecting trade unions.[77] Therefore, the extent of the Conservative government's 'authoritarian, class-biased and oppressive'[78] industrial action policies will be exemplified and 'more evident than they are today when a Labour government is elected again'.[79] Judiciary While the likes of Maurice Kay LJ and Lord Neuberger MR 'characterised the statutory immunities as limited exceptions to the common law' to justify interpreting the statute provisions 'strictly against the trade union', the court's overall response to industrial action 'has been more mixed'.[80] The court in Merkur Island Shipping v Laughton[81] developed a three-part test to examine the legality of industrial action. This test encapsulates the substantive and procedural requirements for a lawful strike whilst observing the intertwined and 'uneasy' relationship between the common law and statute.[82] If the industrial action is unlawful at common law, the judiciary asks whether there is a 'prime facie statutory immunity' for the commission of torts.[83] This substantive question considers whether the action was 'in contemplation or furtherance of a trade dispute'[84] before questioning whether the immunity had been procedurally lost by one of the three specified statutory reasons in TULRCA 1992.[85] The union's partial immunity could be lost for minor 'inconsequential breaches of the statutory rules'[86]; there is a series of High Court instances of injunctions being granted to 'ever more powerful and well-resourced employers'[87] owing to invalid strike ballots.[88] The readily available labour injunctions continued to be the "key piece[89]" of suppressing collective action until the minor development in 2011. In RMTv Serco Ltd;ASLEFv London and Birmingham Railway Limited (RMT and ASLEF),[90] the Court of Appeal approved and applied Millett LJ's 1996 observation in London Underground Limited v National Union of Railwaymen, Maritime and Transport Staff:[91] 'the democratic requirement of a secret ballot is not to make life more difficult for trade unions … but for the protection of the Union's own members'.[92] Owing to this proposed democratic aim, the court in RMT and ASLEF confirmed it was 'to interpret the statutory provisions somewhat less stringently'.[93] This interpretation is a stark contrast to Maurice Kay LJ's understanding of parliament's intentions. The court furthered Millett LJ's aim by recommending a neutral, 'without presumptions one way or the other',[94] interpretation of TULRCA. Upon the fact TULRCA is premised on the existing common law framework, the court's 'judicial creativity' could have easily 'outflank[ed] the intentions of Parliament'.[95] Instead of a 'neutral' approach, the courts have the power to mitigate unions disproportionate vulnerability against injunctions, damages, and unfair dismissals by encouraging and favouring social legitimacy. Although, the RMT and ASLEF court 'only indicated a change in emphasis rather than substance'[96] (since unions are still burdened with the challenges of exercising a 'lawful' strike),[97] this judgment enhanced union's ability to resist injunction applications (as observed by Balfour BeattyEngineering Services Limitedv Unitethe Union).[98] The unbiased interpretation encouraged in RMT and ASLEF continues to be the leading approach to interpreting domestic statutes regarding industrial action. ECHR Judiciary Admittedly, the scope of Maurice Kay LJ's strict interpretation was narrowly limited by the European Court of Human Rights (ECtHR).[99] The ECtHR confirmed, in Enerji Yapi-Yol Sen v Turkey,[100] that Article 11 of the European Convention on Human Rights included protection of the right to strike. This Article, and Article 6 of the European Social Charter[101] bestow the right to strike for their member states members and due to the UK Human Rights Act 1998, 'British workers are understood to enjoy a right to strike'.[102] This, unlike the mere domestic statutory immunities, is the only instance of a 'legislated' right to strike in the UK.[103] Under section 3(1) of the Human Rights Act 1998, 'statutory provisions must be read and given effect in a way which is compatible with the Conventionrights'[104] – 'the opportunity to test this line of argument'[105] in the English courts arose in Metrobus Ltd v Unite the Union (Metrobus).[106] The Court of Appeal rejected the Enerji arguments; the Court denied the authority's relevance for the interpretation of UK statutory provisions. This judgment continues to be the leading precedent on the UK's provisions of Article 11,[107] despite the RMT and ASLEF judgment. In RMT and ASLEF, the UK courts acknowledged the 'clearly protected'[108] right to strike under ECHR Article 11. However, the court emphasised the importance of a 'fair balance to be struck between the competing interests of the individual and the community as a whole'.[109] The emphasised interests of the 'community' motivated the court's justification for the ban on secondary action owing to its 'potential to … cause broad disruption within the economy and to affect the delivery of services to the public'.[110] Subsequently, the court confirmed that this ban aligns with Article 11(2) 'on the basis of a wide margin of appreciation accorded to the State'.[111] While the court is correct to recognise their bestowed margin of appreciation, the court rationalised the granting of the injunction, 'which itself cost the union a substantial sum',[112] upon economic factors. This factor is not only 'wholly irrelevant to the specific facts of the application' but it disregarded and postponed 'the exercise of what was acknowledged to be a convention protected right'.[113] The court effectively and 'successfully prevented industrial action on the basis of legal' human rights provisions 'which are intended to benefit workers'.[114] In short, there 'is no point creating rights' or passing human rights legislation if the 'court is not prepared to defend them'.[115] There will continue to be an erosion of human rights protection until there is greater coordination between the domestic courts and the ECtHR. It is credible to conclude that the UK judiciary is more concerned with profitability, self-preservation of UK powers, and 'in appeasing political forces'[116] above the interests of the individuals it and the Convention Rights was established to serve. Legislature The RMT and ASLEF court's 'blessing of a wide margin of appreciation' in the 'encompassment' of Article 11 offered a 'green light for further restrictive legislation on industrial action' by the 'only too happy Government'.[117] Here, Boggs and Ewing detect 'the crude politics of power'.[118] Upon observing the Court of Appeal's reluctance to exercise EU conventions, and the UK courts' developments that continue to be 'very much in line with the political approach of the Conservative government',[119] it materialises that the court and government are not 'looking to open a third (ECtHR) front'.[120] The Government has recently launched an 'independent review' of the Human Rights Act.[121] The review aims to evaluate 'the duty to take into account' ECtHR case law and assess 'whether dialogue between our domestic courts and the ECtHR works effectively and if there is room for improvement'.[122] It is worth highlighting that this 'independent' review will be led by former Court of Appeal Judge, Sir Peter Gross – the same judge who remarked that 'the more that controversial areas are "outsourced" … the greater the challenge for … judicial leadership'.[123] The former judge is a notable advocate for greater domestic judicial leadership.[124] This advocacy hints the likelihood of the review condemning the relevance and precedence of the ECtHR (and Human Rights Act 1998) in 'controversial' matters such as industrial action. This review has the powerful ability to eliminate the only instance of a legislated right to strike in the UK.[125] Ultimately 'The notion of lawful industrial action is restrictive', the procedural requirements are 'onerous' and the consequences of unions liability for unlawful strikes are 'serious'.[126] Nearly two decades after the European Social Charter's review,[127] the UK still does not guarantee the right to strike. The precedent in Metrobus still stands. There continues to be a 'poorly reasoned and barely consistent' series of judgments 'by what looks like a weak, timid'[128] and politically influenced[129] judiciary. The enactment of the 'Human Rights Act and the evolving jurisprudence of the ECtHR'[130] will not prescribe a right to strike in the UK until the Supreme Court or ECtHR rule UK's current provisions as incompatible with Article 11. In truth, 'the right to strike [in the UK] has never been much more than a slogan or a legal metaphor'.[131] This 'slogan' is a regime of immunities that are purposely designed upon an overly complex and expensive statutory system.[132] These immunities are not adequately or proportionately protecting workers, unions, and one in nine vulnerable, precarious workers against the 'pitfalls'[133] of damages, injunctions, and unfair dismissals.[134] This system was successfully underlined with the political agenda of deterring trade disputes; the UK's worker strike total has fallen to its 'lowest level since 1893'.[135] The 'unanimous and hostile'[136] approach of the legislature and the judiciary towards industrial action exhibits the UK's covert 'culture of routinely disregarding'[137] social legitimacy in favour of profits. [1] Alan Bogg and Ruth Dukes, 'Statutory Interpretation and The Limits of a Human Rights Approach: Royal Mail Group Ltd v Communication Workers Union' (2020) 49 ILJ 477, 478. [2] Nicholas Pohl,'Political and Economic Factors Influencing Strike Activity During the Recent Economic Crisis: A Study of The Spanish Case Between 2002 And 2013' (2018) 9 Global Labour Journal 19, 21. [3] ibid, 21. [4] Harry Smith, 'How Far Does UK Labour Law Provide for The Effective Exercise of a Right to Strike?' (2014) 6 The Student Journal of Law accessed 15 December 2020. [5] Hugh Collins, Aileen McColgan and Keith D Ewing,Labour Law(2nd edn, CUP 2019) 706. [6] Gwyneth Pitt,Cases and Materials on Employment Law(1st edn, Pearson Education Limited 2008) 570. [7] Pohl (n 2), 21. [8] Beverly J Silver,Forces of Labor Workers' Movements and Globalization Since 1870(CUP 2003) 17. [9] Pitt (n 6), 570. [10] Manfred Davidmann, 'The Right to Strike' (Solhaam, 1996) accessed 15 December 2020. [11] Adam Smith,An Inquiry into The Nature and Causes of The Wealth of Nations(Cofide 1776). [12] Bethan Staton, 'The Upstart Unions Taking on The Gig Economy and Outsourcing' (Financial Times, 20 January 2020) accessed 16 December 2020 [13] Employment Rights Act 1996,s212. [14] Trade Union and Labour Relations (Consolidation) Act (TULRCA)1992, s246. [15] Brian Smart, 'The Right to Strike and The Right to Work' (1985) 2 Journal of Applied Philosophy 31. [16] 'Industrial Action' (UNISON National) accessed 7 December 2020 [17] Bogg and Dukes (n 1), 478. [18] ibid, 478. [19] Article 18 of the Spanish Constitution and regulated by Royal Decree-Law 17/1977 of 4 March on Labour Relations ('RDLLR') and Article 4.1.e) of the Spanish Workers' Statute. [20] Article 40 of theItalianRepublic Constitution of 1948. [21] Collins, McColgan, and Ewing (n 5), 714. [22] RMT v Serco; ASLEF v London and Birmingham Railway [2011] EWCA Civ 226, [2011] ICR 848 [2]. [23] Metrobus Ltd v Unite the Union [2009] EWCA Civ 829, [2010] ICR 173 [118]. [24] South Wales Miners' Federation v Glamorgan Coal Co [1905] AC 239. [25] Collins, McColgan, and Ewing (n 5), 714. [26] (1853) 118 ER 749. [27] Taff Vale Railway Co vAmalgamated Society ofRailwayServants [1901] AC 426. [28] [1901] AC 495. [29] [2007] UKHL 21, [2008] 1 AC 1. [30] 'House of Lords Overhaul Economic Torts' (Herbert Smith Freehills, 17 May 2007) accessed 9 December 2020 [31] ibid. [32] OBG v Allan (n 29). [33] ibid, [37]. [34] Hazel Carty, 'The Economic Torts and English Law: An Uncertain Future' (2007) 95 Kentucky LJ 849. [35] Lonrho v Fayed [1990] 2 QB 479, 492-93. [36] Collins, McColgan, and Ewing (n 5), 714. [37] ibid, 714. [38] ibid, 849. [39] ibid, 848. [40] ibid, 847. [41] ibid, 847. [42] Cartey (n 34), 847. [43] ibid, 849. [44] Richard Kidner, 'Lessons in Trade Union Law Reform: The Origins and Passage of The Trade Disputes Act 1906' (2018) 2 Legal Studies 37. [45] Taff Vale (n 27). [46] Merriam-Webster,Merriam-Webster's Collegiate Encyclopedia(Merriam-Webster 2000) 1157. [47] Kidner (n 44), 47. [48] Bogg and Dukes (n 1), 478. [49] RMT and ASLEF (n 22) [2]. [50] Keith Ewing, 'The Right to Strike: From the Trade Disputes Act 1906 To A Trade Union Freedom Bill 2006' (Institute of Employment Rights, March 2013) accessed 11 December 2020. [51] The Editors of Encyclopedia Britannica, 'Trade Disputes Act' (Encyclopedia Britannica, 20 July 1998) accessed 11 December 2020. [52] Ewing (n 50). [53] Encyclopedia Britannica (n 51). [54] FA Hayek, 'Trade Union Immunity Under the Law' The Times (London, 21 July 1977) 15 accessed 11 December 2020 [55] Davidmann (n 10). [56] Hayek (n 54). [57] Alex Kitson, '1978-1979: Winter of Discontent' (Libcom.org, 24 January 2007) accessed 11 December 2020. [58] Cmd, 8128, 1981. [59] Cmd 821, 1989. [60] Trade Union Immunities (n 58), para 247. [61] Trade Union Reform and Employment Rights Act 1993, s238A. [62] TULRCA 1992, ss237-38. [63] Michael Ford and Tonia Novitz, 'Legislating for Control: The Trade Union Act 2016' (2020) 45 ILJ 227. [64] Bart Cammaerts, 'The Efforts to Restrict the Freedom to Strike and To Deny A Right to Strike Should Be Resisted Fiercely' (LSE Blogs, 14 September 2015) accessed 11 December 2020. [65] TUA 2016, s226(2)(a) (ii). [66] ibid, s226(2)(e). [67] ibid, s238A. [68] Ford and Novitz (n 63), 291. [69] ibid, 291. [70] ibid, 291. [71] ibid, 291. [72] ibid, 279. [73] Modernising Industrial Relations n.7. [74] Ford and Novitz (n 63), 279. [75] Ewing (n 50). [76] Brian Towers, 'Running the Gauntlet: British Trade Unions Under Thatcher, 1979-1988' (1989) 42 ILR Rev 163. [77] Gareth Thomas and Ian K Smith,Smith & Thomas' Employment Law(9th edn, OUP 2007), 737. [78] Davidmann (n 10). [79] Bogg and Dukes (n 1), 492. [80] Ruth Dukes, 'The Right to Strike Under UK Law: Not Much More Than A Slogan? NURMT v SERCO, ASLEF v London & Birmingham Railway Ltd' (2011) 40 ILJ 302, 309. [81] [1983] ICR 490. [82] Collins, McColgan, and Ewing (n 5), 847. [83] TULRCA 1992, s219. [84] ibid. [85] ibid, ss222, 224, and 226. [86] Dukes (n 80), 309. [87] Kalina Arabadjieva, 'Royal Mail Group Ltd v Communication Workers Union (CWU): Injunctions Preventing Industrial Action and The Right to Strike' (UK Labour Law, 6 March 2020) accessed 12 December 2020. [88] TULRCA 1992, s226. [89] Arabadjieva (n 87). [90] n 22. [91] [1996] ICR 170. [92] ibid, [180]-[182]. [93] Dukes (n 82), 309. [94] RMT and ASLEF (n 22), [2]. [95] Smith (n 4). [96] Ford and Novitz (n 63), 281. [97] Arabadjieva (n 87). [98] [2012] EWHC 267 (QB). [99] Keith Ewing and Alan Bogg, 'The Implications of The RMT Case' (2014) 40 ILJ 221, 222. [100] [2009] ECHR 2251. [101] 'The right to bargain collectively.' [102] Keith Ewing and John Hendy, 'The Dramatic Implications of Demir and Baykara' (2010) 39 ILJ 2. [103] Bogg and Dukes (n 1), 478. [104] ibid. [105] Dukes (n 82), 303. [106] n 23. [107] Dukes (n 82), 310. [108] Ewing and Bogg (n 99), 221. [109] RMT and ASLEF (n 22), [77]. [110] ibid, [82]. [111] ECHR Art 11 (2). [112] Ewing and Bogg (n 99), 251. [113] ibid, 221. [114] Arabadjieva (n 87). [115] Ewing and Bogg (n 99), 223. [116] ibid, 251. [117] Ford and Novitz (n 63), 282. [118] Ewing and Bogg (n 99), 223. [119] Thomas and Smith (n 77), 737. [120] Ewing and Bogg (n 99), 223. [121] Ministry of Justice, 'Government Launches Independent Review of the Human Rights Act' (Gov.uk, 7 December 2020) accessed 15 December 2020. [122] ibid. [123] Jamie Susskind, 'Jamie Susskind Comments on Sir Peter Gross' Lecture on Judicial Leadership' (Littleton Chambers) accessed 15 December 2020. [124] ibid. [125] ECHR Art 11. [126] Ruth Dukes, The Right to Strike Under UK Law: Something More Than A Slogan? Metrobus v Unite The Union [2009] EWCA Civ 829' (2010) 39 ILJ 1, 7. [127] ESC, Report of the Committee of Experts 2002. [128] Ewing and Bogg (n 99), 251. [129] Thomas and Smith (n 77), 737. [130] Bogg and Dukes (n 1), 478. [131] Metrobus (n 23) (Maurice Kay LJ). [132] Bogg and Dukes (n 1), 478. [133] Dukes (n 125), 9. [134] ibid, 7. [135] Richard Partington, 'UK Worker Strike Total Falls to Lowest Level Since 1893' (The Guardian, 30 May 2018) accessed 15 December 2020 [136] Smith (n 4). [137] ibid.
Inhaltsangabe:Problemstellung: Wirtschaftskriminalität wurde in Deutschland als eigenständiges Forschungsobjekt schon Ende des letzten Jahrhunderts diskutiert und thematisiert. Nach dem ersten Weltkrieg interessierten sich verschiedene Fachbereiche für die Erforschung der Phänomene Kriegswirtschaft, Industriespionage und Kreditbetrug. Eine Integration der breiten Öffentlichkeit entstand 1939 durch den Ansatz von Sutherland, der den Begriff white-collar-crime prägte. Dieser Begriff bezeichnete alle kriminalistischen Handlungen, die im Zusammenhang mit einer beruflichen Tätigkeit stehen und einem potentiellen Täter, nicht aber dem eigentlichen Stereotyp eines klassischen Kriminellen, entsprechen. Trotz aller Diskussionen und Forschungen ist und bleibt Wirtschaftskriminalität ein akutes Problem und Bestand unserer Gesellschaft; der kontinuierliche Verfall ethischer Werte und die zunehmende Globalisierung mittels Komplexität der Geschäftsabläufe unterstützen diesen Trend noch zusätzlich. Gerade in heutiger Zeit werden Unternehmen durch wirtschaftkriminelle Handlungen ihrer Mitarbeiter und Dritter immer häufiger tangiert. Dies korreliert mit der Tatsache, dass die Anzahl der gemeldeten und polizeilich verfolgten Straftaten aufgrund höherer Sensibilität und gestiegener Kontrollaktivitäten von Mitarbeitern, unternehmerischer Stabsstellen und Geschäftsführung stark ausgebaut wurden. Bisher ist es den fachwissenschaftlichen Bereichen nicht gelungen, sich auf eine einheitliche Definition der Wirtschaftskriminalität zu einigen. Erste Definitionsansätze stammen aus dem Bereich der Soziologie, die vorhandene gesellschaftliche Faktoren der Täter in den Vordergrund stellen. Seit diesem ersten Versuch einer Definition interpretiert die Literatur den Begriff Wirtschaftskriminalität sehr unterschiedlich, da jeder Autor versucht, bestimmte Merkmale herauszufiltern und zu bewerten, ohne einen übergreifenden Konsens zu finden. Grund hierfür besteht in den eigentlichen Erscheinungsformen von Wirtschaftskriminalität. Sie kann als vielfältig und besonders diffuses und schwer erfassbares Phänomen bezeichnet werden. Daher kann eine einheitliche Definition des Begriffes Wirtschaftskriminalität bis heute nicht abgebildet werden und darf nur als Zusammenfassung von beteiligten Straftaten beschrieben und gleichzeitig als interdisziplinäres Phänomen klassifiziert werden. Unter dem Schlagwort Wirtschaftskriminalität können daher die Straftaten Bestechung, Steuerhinterziehung, Betrug oder der Diebstahl von sensiblen Unternehmensdaten zusammengefasst werden. Weiterhin kann darunter noch der Anlagebetrug, Kreditvermittlungsbetrug, Markenpiraterie und Subventionsbetrug als nicht abschließende Aufzählung verstanden werden. Eine übergreifende Definitionsgemeinsamkeit existiert in der Literatur nur hinsichtlich des Charakters des wirtschaftsbezogenen Deliktes und der Kennzeichnung durch hohe Schadenssummen. Es findet eine Bewertung mittels Indikatoren statt, die u.a. als Verstoß gegen Rechtsnormen, Vertrauensmissbrauch, Verflüchtigung der Opfereigenschaft angesehen werden können und keine direkte Gewaltanwendung darstellen. Deshalb kann argumentiert werden, dass je mehr Indikatoren zu einem Sachverhalt vorliegen, desto stärker die Indizien auf ein Vorliegen von wirtschaftskriminellen Handlungen sind. Gleichwohl existiert in der Literatur keine Einigkeit hinsichtlich der eindeutigen Abgrenzung von Wirtschaftskriminalität, Wirtschaftsstrafsachen, Wirtschaftsstraftaten und Wirtschaftsdelinquenz. Globaldefinitionen aller Begriffe erscheinen unbrauchbar, da die Einzeldelikte zu weit gefasst werden und dann auch u.a. der Ladendienstahl erfasst werden müsste. Bezüglich Wirtschaftskriminalität und Gesamtschadensniveau herrscht unter Experten in der Literatur auch Uneinigkeit, da der Gesamtschaden, der durch wirtschaftskriminelle Handlungen erfolgt, nur geschätzt werden kann. Als Grund hierfür kann die unternehmensinterne Ermittlung von Schadensfällen angesehen werden, da durch Geschäftsführung und Vorstand ein Reputationsschaden befürchtet wird und somit keine Integration von Strafverfolgungsbehörden, inklusive deren Statistikführung, vorgenommen wird. Gleichzeitig bestehen Risiken hinsichtlich des zukünftigen Umsatzniveaus, da bestehende und potentielle Kunden durch Medienpublikationen abgeschreckt werden. Um das Gesamtschadensniveau durch wirtschaftskriminelle Handlungen genauer zu bewerten, versucht die als Dunkelfeldforschung deklarierte Bewertungsmethode das Schadensniveau von den formal bekannt gewordenen Straftaten auf das tatsächliche bestehende Schadenspotential aller wirtschaftskrimineller Delikte abzuleiten, da eine Aufklärung aller möglichen Delikte nur unter Einbeziehung von kriminalistischer Analyse und strikter Beweisführung möglich ist. Man geht von ca. 100 Milliarden Euro pro Jahr Schadenssumme aus und Statistiken und Expertenmeinungen sehen eine weitere Steigerung diesen Ausmaßes. Gleichwohl zeigt das starke Verhältnis von Anzahl und Ausmaß der Wirtschaftkriminalität in der polizeilichen Kriminalstatistik das eigentliche Risiko für Unternehmen und Gesellschaft. Danach haben die registrierten und abgeschlossenen wirtschaftskriminellen Delikte, gemessen an allen Delikten in der PKS, einen wertmäßigen Anteil von 1 bis 2 Prozent und besitzen gleichzeitig ein Gesamtschadensniveau von ca. 60 Prozent, was die Relevanz von Wirtschaftskriminalität nochmals deutlich unterstreicht. Gerade mittelständische Unternehmen bewerten das Risiko von wirtschaftskriminellen Handlungen als überaus hoch, da der langfristige Bestand der eigenen Gesellschaft in Gefahr scheint. Die durch die Wirtschaftsprüfungsgesellschaft PricewaterhouseCoopers jährlich durchgeführten Befragungen und Studien zu Wahrscheinlichkeiten und Schadensniveau wirtschaftskrimineller Handlungen, unterstreichen diese Tatsachen besonders. Diese kommen zum Ergebnis, dass mittlerweile jedes zweite deutsche Unternehmen Opfer von wirtschaftskriminellen Handlungen wird und 2003 eine Schadenshöhe von durchschnittlich 3,4 Millionen Euro für jedes betroffene Unternehmen und ein Gesamtschadensniveau von über 250 Millionen Euro in Deutschland entstand. Gleichwohl wird argumentiert, dass 62 Prozent aller Unternehmen mit mehr als 5.000 Mitarbeitern Opfer von wirtschaftskriminellen Handlungen waren, was das Risiko der geringen Entdeckungswahrscheinlichkeit in größeren Unternehmen unterstreicht. Unternehmensbefragungen zeigen deutlich, dass über 70 Prozent aller befragten Unternehmen Wirtschaftskriminalität als überaus ernsthaftes Problem empfinden und vier von fünf Unternehmen erwarten, dass das Ausmaß wirtschaftskrimineller Handlungen, vor allem im Bereich Korruption, in Zukunft noch weiter steigen wird. So kann das zunehmende Einkommensgefälle, Internationalisierung und ein unterschiedliches Werteverständnis als mögliche Erklärung angesehen werden. Kritisch kann in diesem Zusammenhang der Ansatz der Justiz und vor allem der strafrechtlichen Verfolgungsbehörden bewertet werden. So haben auf der einen Seite Unternehmer überzogene Erwartungen in Bezug auf straf- und zivilrechtliche Unterstützung und Sanktionierung. Auf der anderen Seite arbeiten Verfolgungsbehörden nach Meinung von Literatur und Presse mit zu knappen polizeilichen und justiziellen Ressourcen. Gleichwohl wird argumentiert, dass Strafprozesse im Rahmen von wirtschaftskriminellen Handlungen allein im Interesse der Öffentlichkeit geführt werden und die eigentliche Opferstellung und Schadhaftigkeit nur beiläufig einfließt. Aufgrund einer immer größer werdenden Präsenz und Gesamtproblematik der Wirtschaftskriminalität und speziell Korruption, stehen Gesellschaft, Politik und Justiz vor neuen Herausforderungen. Korruption als fester Bestandteil wirtschaftlicher Systeme in Deutschland: "Korruption ist die Autobahn neben dem Dienstweg". Nach Ansicht von Experten und Literatur kann Korruption und deren Einfluss als fester und selbständiger Bestandteil von Wirtschaftskriminalität und organisiertem Verbrechen angesehen und aufgrund seiner vielfältigen Erscheinungsformen als verbreitetes Krebsgeschwür bzw. durch eine gegebene Sogwirkung als Virusinfektion umschrieben werden. Eine Entwicklungsbetrachtung von Korruption und deren praktische Bedeutung in der Bestechungskriminalität zeigt, dass es sich nicht um eine hochmoderne und aktuelle Erscheinungsform handelt. Der Blick in die Geschichte beweißt, dass es Korruption schon immer in nahezu allen Kulturen und Zeiten gab, ebenso wie Initiativen gegen korrupte Maßnahmen und Leistungen. So erließ Julius Cäsar im Jahre 59 v. Chr. die Lex Iulia de repetundis, die Beamten untersagte, Geldleistungen von Dritten anzunehmen bzw. Getreidewucher und Veruntreuung von öffentlichen Geldern unter Strafe stellte. Dabei konnte schon früh festgestellt werden, dass Korruption und wirtschaftliche Aktivitäten direkt miteinander verbunden sind. Im 16. Jahrhundert widerstand in England der Staatsphilosoph und Kanzler Heinrichs VIII, Sir Thomas Morus, allen Bestechungsversuchen bestehender Unternehmer und wurde dafür später hingerichtet. Er formulierte das Korruptionsphänomen in einem Gebet von 1535 als Einschüchterung des Bösen und suchte nach Mitteln, alle guten und reinen Dinge mittels einer heiligen Seele zu sehen, um alle Dinge in Ordnung zu bringen. Mittlerweile nehmen korrupte Handlungen und Leistungen im eigentlichen Sinne ein modernes Reizthema an, da sowohl Gesellschaft als auch Medien verstärkt nach jenen suchen, die solche Leistungen anbieten oder annehmen. Gerade in den letzten Jahren spiegeln die korrupten Handlungen von Unternehmen einen Zeitzeugenbericht wieder, der die Form der momentan bestehenden Korruptionskonjunktur nur noch deutlicher unterstreicht und im Interesse von Gesellschaft, Wirtschaft und sonstiger Dritter fungiert. Um praktische Beispiele von Korruptionsfällen zu finden, genügt eigentlich nur ein Blick in die Zeitungslektüre Zwischen 1995 und 2001 wurden Bauaufträge an bestimmte Unternehmen verteilt, da der verantwortliche Mitarbeiter der öffentlichen Körperschaft kontinuierlich Bestechungszahlungen durch die Unternehmen erhielt. Als weiteres Beispiel der strukturellen Korruption können Abteilungsleiter einer überregionalen Baumarktkette genannt werden, die von ihren Zulieferern kontinuierlich hochwertige und kostenfreie Personenkraftwagen forderten, damit die Zulieferer noch beliefern durften. Aber auch Beispiele aus der jüngsten Vergangenheit stützen diese These: Aktuell erleben wir eine Korruptionskonjunktur, die vor Jahren nicht annährend vorstellbar gewesen wäre. Im Jahr 2005 waren gleich fünf DAX-Unternehmen, in Korruptionsfälle verwickelt und das Jahr 2006 war ebenfalls von Korruptionsdelikten bei DaimlerChrysler, Siemens, der EnBW oder BMW gekennzeichnet. Wie aber wird sich der Trend für Korruption in den nächsten Jahren entwickeln? Experten der Zukunftsforschung gehen von einer noch größeren Entdeckungswahrscheinlichkeit aus, da Transparenz und Bewusstsein durch die aktuellen Fälle gestiegen sind. Der Anteil an korrupten Handlungen bleibt voraussichtlich in den nächsten Jahren gleich, aber die aufgedeckten Fälle werden zunehmen und für eine zusätzliche Sensibilisierung von Gesellschaft und Politik sorgen. Hinsichtlich der Strukturierung scheint die Zahlung von Korruptionsleistungen in einigen Branchen nicht unüblich zu sein. Gerade in stark wettbewerbsintensiven Märkten entwickeln Korruptionszahlungen eine große Sogwirkung, da sowohl Auftraggeber als auch mögliche Auftragnehmer diese Geschäftspraktiken scheinbar tolerieren. Aufgrund dieser Tatsachen und einer erneut starken Aktualität muss auf die hohe Anzahl von Delikten und deren bestehender Schadensniveaus nicht gesondert hingewiesen werden. Das Bundeskriminalamt präsentiert in seinem jährlichen Lagebild zur Korruptionsentwicklung in Deutschland eine Auswertung von relevanten Straftaten. So wurden im Jahre 2005 von den Bundesländern und dem Bundeskriminalamt 14.689 Korruptionsstraftaten gemeldet, was eine Steigerung von 93 Prozent in Relation zum Vorjahr ausmacht. Das Problembewusstsein hinsichtlich Korruption und deren Auswirkungen auf Gesellschaft und Systeme hat in den letzten Jahren auch die Politik und deren Gesetzgebung beeinflusst. So beschreiben die OECD-Leitsätze für multinationale Unternehmen, dass Unternehmen weder direkt noch indirekt Bestechungsgelder oder sonstige ungerechtfertigte Vorteile anbieten, versprechen, gewähren oder fordern sollen. Auch die deutsche Bundesregierung sieht Korruptionsprävention als zentral politische und gesellschaftliche Aufgabe und erarbeitet deshalb im Moment den Entwurf des zweiten Gesetzes zur Bekämpfung von Korruption. Nichtsdestotrotz erscheint die Frage nach den Ursachen für Korruption durchaus diffus und schwierig und kann genauso wie eine allgemeingültige Definition von Korruption nur mittels unterschiedlicher Verhaltensweisen dargestellt werden. So kommt zum Einen das durchaus niedrige Entdeckungsrisiko durch die Verwendung von Netzwerken oder die soziale Üblichkeit in einigen Branchen zum Tragen. Gleichwohl spielen zum Anderen die finanziellen Anreize und deren Strahlungscharakter in Korruptionsfällen eine übergeordnete Rolle und unterstreichen das materialistische Wertesystem innerhalb einer Gesellschaft, das sich verstärkter am Individual-, als am Gemeinwohl orientiert. Oft unterstreicht das natürlich und biologisch verankerte Streben nach finanziellen Werten auch ein individuelles Fordern nach Einfluss, Macht und Besitztum, die mittels Statussymbole externalisiert werden, um die Zugehörigkeit zu einer gesellschaftlich höheren Schichtebene zu präsentieren. Darüber hinaus wird argumentiert, dass kriminelles Verhalten durch Interaktionen mit heterogenen Gruppen erlernbar ist, wenn Mitglieder dieser Gruppen eine Gesetzesverletzung befürworten und eine Verfolgung von Gesetzen ablehnen. Deshalb wird auch z.T. argumentiert, dass Korruption einen positiven Nutzen stiften kann. Sie dient als Leistungsanreiz für Bürokraten, die Bestechungsleistungen erst dann entgegennehmen, um unsinnige Regulierungen zu umgehen und dem Korrumpeur einen schnelleren Marktzutritt zu bieten. Ein weiteres Argument für Korruption wird bei Ausschreibungsverfahren angesetzt, da Korruptionsleistungen eine Verteilung der Zahlungsströme, nicht aber die Zielorientierung verändern würden. Es wird ausgeführt, dass das Unternehmen mit den Korruptionszahlungen auch gleichzeitig ohne korrupte Handlungen die Ausschreibung gewinnen würde, da die meisten Zahlungsmittel unternehmensintern bestehen. Nichtsdestotrotz bewertet die Literatur das Thema Korruption und dessen Anziehungskraft als rein personenbedingte Frage. Trotz aller rechtlichen, politischen und organisatorischen Kontroll- und Präventionsansätze bleibt der Mensch selbst die Schwachstelle bzw. das eigentliche Risiko. So beantworten 58 Prozent aller Unternehmen mit bekannt gewordenen Korruptionsvorfällen, dass eine höhere Sensibilisierung der Mitarbeiter ein kriminelles Handeln verhindern hätte können, was auf eine menschlich programmierte, abgeleitete Verhaltensschwäche hinweist. Gang der Untersuchung: Ist Korruption ein Bestandteil aller wirtschaftlichen Handlungen und wie versucht die Gesetzgebung und Privatwirtschaft dieses Phänomen zu bewerten? Das ist sicherlich die zentrale Frage bei Geschäftsführung, Korruptionsbeauftragten und Gesellschaft, die mit dem Problem Bestechung täglich durch Medien und Veröffentlichungen tangiert werden. Auch diese Arbeit beschäftigt sich im allgemeinen Teil mit diesem Thema und versucht zu erörtern, wie sich die Begrifflichkeit Korruption definieren lässt, wie sie zu messen und wie sie aus Sicht des privaten Sektors als rechtlicher und steuerrechtlicher Ansatz zu bewerten ist. Ziel des allgemeinen Teils dieser Arbeit ist deshalb eine Darstellung der gegebenen Situation, um das Phänomen Korruption besser zu erörtern und vor allem Theorie und Praxis zu vereinen. Der besondere Teil dieser Arbeit konzentriert sich auf die praktische Anwendbarkeit von Korruptionsfällen und proaktiver Prävention. Hierbei soll ein Szenario eines Korruptionsverdachtes bei einem mittelständischen Unternehmen mittels Meinungen und Ansätze durch Strafverfolgungsbehörden, Rechtsanwälten und weiteren Dritten untersucht und bewertet werden. Weiterhin sollen gefährdete Unternehmensbereiche, Korruptionsnetzwerke und die Sinnhaftigkeit eines möglichen Korruptionsbeauftragten bewertet werden, um Korruptionsprävention als Aufgabe zur Sensibilisierung zu verstehen. Zum Abschluss dieser Arbeit soll eine Zusammenfassung aller beschriebenen Präventionsmaßnahmen beurteilt und auf deren Praxistauglichkeit untersucht werden.Inhaltsverzeichnis:Inhaltsverzeichnis: VorwortIII AbbildungsverzeichnisVI TabellenverzeichnisVI A.Allgemeiner Teil 1.Korruption als Element der Wirtschaftskriminalität1 1.1Problemstellung: Wirtschaftskriminalität1 1.2Korruption als fester Bestandteil wirtschaftlicher Systeme in Deutschland4 1.3Fragestellungen und Gang der Arbeit7 2.Die unterschiedlichen Definitionsformen von Korruption8 2.1Bewertung des Phänomens Korruption8 2.1.1Ökonomischer Definitionsansatz9 2.1.2Soziologischer Definitionsansatz10 2.1.3Politologischer Definitionsansatz11 2.1.4Juristischer Definitionsansatz12 2.1.5Moraltheologischer Definitionsansatz13 2.1.6Ethischer Definitionsansatz unter dem Gesichtspunkt der Staatsräson14 2.2Zusammenfassung der Begrifflichkeit Korruption15 3.Ökonomische Erkenntnisse der Korruption17 3.1Ausmaß und Schäden von Korruption als Element der Wirtschaftkriminalität in Deutschland17 3.2Ansätze der Korruptionsempirie18 3.2.1Datenanalyse polizeilicher Kriminalstatistik18 3.2.2Verständnis von Transparency International20 3.2.2.1Berechnungsansätze des Corruption Perception Index21 3.2.2.2Ergebnisse und Trends der CPI Analyse 200623 3.2.2.3Ergänzung des CPI: Der Bribe Payers Index24 3.3Ökonomische Empirie von Korruption26 3.3.1Korruption und Bruttoinlandsprodukt26 3.3.2Dilemmasituation der Korruption29 3.3.3Statische Korruptionsspieltheorie32 3.3.4Zusammenfassung35 4.Straftaten gegen den freien Wettbewerb36 4.1Strafbarkeit von Korruption in Deutschland36 4.2Korruptionshandlungen im privaten Sektor38 4.3Wettbewerbsbeschränkende Absprachen bei Ausschreibungen40 4.3.1Begriff der Submission41 4.3.2Zweckmäßigkeit von Submissionsverfahren41 4.3.3Beschreibung und Handlungsansatz der Submissionskartelle43 4.3.4Geschütztes Rechtsgut des § 298 StGB44 4.3.5Tatbestand des § 298 StGB46 4.3.6Eingriffnahme von Submissionsverfahren46 4.3.7Zusammenfassung47 4.4Bestechlichkeit und Bestechung im geschäftlichen Verkehr48 4.4.1Geschütztes Rechtsgut des § 299 StGB50 4.4.2Definierte Täterkreise51 4.4.3Tatbestände des § 299 Abs. 1 StGB52 4.4.3.1Handeln im geschäftlichen Verkehr52 4.4.3.2Vorteilhaftigkeit und Sozialadäquanz53 4.4.3.3Eigentliche Handlung54 4.4.3.4Bevorzugung54 4.4.3.5Unlauterbarkeit54 4.4.3.6Vollendung55 4.4.4Tatbestände des § 299 Abs. 2 StGB55 4.4.4.1Handeln im geschäftlichen Verkehr55 4.4.4.2Tathandlung zum Zweck des Wettbewerbs55 4.4.4.3Innergeschäftliche Tathandlung56 4.4.4.4Vollendung56 4.4.5Zusammenfassung56 4.5Wirksamkeit von zivilrechtlichen Rechtsgeschäften58 4.5.1Nichtigkeit nach § 134 BGB58 4.5.2Nichtigkeit nach § 138 Absatz 1 BGB59 4.5.3Nichtigkeit des Hauptvertrages60 4.5.4Ansprüche des Geschädigten61 4.5.4.1Herausgabe des Bestechungsgeldes62 4.5.4.2Schadensersatz gegen den Beauftragten63 4.5.4.3Schadensersatz gegen den Korrumpeur64 4.5.5Zusammenfassung64 5.Korruption und Steuerstrafrecht66 5.1Steuerrechtliche Problemstellung66 5.2Steuerliches Grundgesetz66 5.2.1Abgrenzung und Definition der steuerrechtlichen Norm § 40 AO67 5.2.2Auslegung und Zusammenfassung68 5.3Gewinn auf Basis des Einkommenssteuerrechts68 5.3.1Reglementiertes Abzugsverbot für Bestechungs- und Schmiergelder69 5.3.2Zusammenfassung72 5.4Korruption in Tateinheit mit Steuerhinterziehung73 5.4.1Unternehmerische Sphäre: Schmiergelder außerhalb der Buchführung73 5.4.2Unternehmerische Sphäre: Schmiergelder innerhalb der Buchführung73 5.5Private Sphäre: Schmiergelder als sonstige Einkünfte74 5.6Zusammenfassung74 B.Besonderer Teil 6.Szenario: Analyse von Theorie und Praxis im Falle eines Korruptionsverdachtes in einem mittelständischen Unternehmen76 6.1Einstiegsszenario76 6.2Ansätze der Strafverfolgungsbehörden77 6.2.1Ansätze der Staatsanwaltschaft77 6.2.2Ansätze der Polizei78 6.3Ansätze Rechtanwälte79 6.4Ansätze Dritter80 6.5Zusammenfassung der Verdachtsansätze81 7.Analyse der eigentlichen Korruptionsproblematik83 7.1Gefährdete Abteilungsbereiche und -positionen83 7.2Erkennungsmerkmale der Korruption84 7.2.1Konstellationen des wirtschaftlichen Handelns84 7.2.2Konstellationen des persönlichen Handelns von Mitarbeitern84 7.2.3Analyse von Korruptionsnetzwerken85 7.3Wirkungskraft von Verhaltensrichtlinien87 7.4Die Stellung des Korruptionsbeauftragten88 7.5Einzelanalyse und Fazit zur "gesunden" Prävention89 8.Eigenes Fazit zum Phänomen Korruption und deren Präventionsproblematik94Textprobe:Textprobe: Kapitel 4.5, Wirksamkeit von zivilrechtlichen Rechtsgeschäften: Korruption wird in vielen Unternehmen als bedeutendes Risiko angesehen. Für geschädigte Unternehmen entstehen neben den strafrechtlichen Normen auch zivilrechtliche Ansprüche auf Erfüllung oder Rückabwicklung von Verträgen, Schadensersatz und Unterlassung. Durch die Interaktion mehrerer Beteiligter während des Korruptionsvorganges ist eine umfassende Darstellung der zivilrechtlichen Rechtsfolgen zuerst einmal problematisch. Im Allgemeinen kann man aus klassischer Sicht von einer Dreier-Kombination ausgehen: Korrumpierender, Korrumpierter und dessen Geschäftsherr. Somit muss die eigentliche Handlung in zwei Abschnitte aufgeteilt werden, um die zivilrechtliche Struktur der Rechtsfolgen zu definieren. Zuerst ist deshalb der Vorgang zur Schmiergeldvereinbarung, und danach das sich anschließende Fehlverhalten des Korrumpierten mit seinen haftungsrechtlichen Konsequenzen genauer zu betrachten. Nichtigkeit nach § 134 BGB: Rechtsgeschäfte können ihre rechtliche Wirksamkeit nur entfalten, wenn sie einen zulässigen Inhalt besitzen. Die Vorschrift des § 134 BGB ordnet die zivilrechtliche Nichtigkeit von Rechtsgeschäften an, wenn diese gegen ein gesetzliches Verbot im Rahmen dieser Vorschrift verstoßen. Grundsätzlich richtet sich ein Verbotsgesetz gegen die Geltung von rechtgeschäftlichen Regelungen, deren Inhalt durch einen Satz des positiven Rechts abgelehnt wird. Die Vorschrift des § 134 BGB sagt aber selbst nichts darüber aus, wann ein Vertrag oder ein Rechtsgeschäft verboten ist. Somit dient § 134 BGB als Bindeglied zwischen verschiedenen Rechtsgebieten und ist gleichzeitig ein Mittel zur Herstellung eines widerspruchsfreien Rechtsfolgensystems. Grundsätzlich ist in diesem Zusammenhang zu beachten, ob eine verletzte Norm im Sinne der Vorschrift ein Verbotsgesetz ist und ob die Erforderlichkeit der zivilrechtlichen Nichtigkeit als Rechtsfolge angesetzt werden muss. Korruptionsvereinbarungen und Handlungen in der gewerblichen Wirtschaft berühren mehrere Verbotsvorschriften, so u.a. die strafrechtlichen Gesetze §§ 266, 298, 299, 331 – 335 StGB, welche als Parlamentsgesetze den Ansatz und das Hauptanwendungsgebiet von § 134 BGB erfüllen. Ob Nichtigkeit als Rechtsfolge durch eine Handlung angenommen werden kann, bestimmt sich durch den Ansatzpunkt des eigentlichen Verbotsgesetzes. Man unterscheidet im Allgemeinen, ob der Inhalt des Rechtsgeschäftes oder die Art und Weise des Zustandekommens der relevante Grund für das gesetzliche Verbot ist. Im letzteren Fall wird keine Nichtigkeit angenommen, da sich die Vorschriften nicht gegen den Inhalt und damit den Erfolg des Rechtsgeschäftes richten. Sobald Bestechungsvereinbarungen Inhalt des objektiven Tatbestandes sind, führt dies regelmäßig zur Nichtigkeit nach § 134 BGB, da es sich um ein klassisches Verbotsgesetz handelt. Nichtigkeit nach § 138 Absatz 1 BGB: Grundlage des Vorwurfs zur Sittenwidrigkeit im Sinne des § 138 Abs. 1 BGB ist eine Bewertung hinsichtlich des allgemein herrschenden Sittlichkeitsempfinden. Hintergrund dieser Vorschrift ist, dass es in jeder Gesellschaft eine Vielzahl von Regeln gibt, die eine Ordnung des menschlichen Lebens zugrunde legen. Die im Privatrecht installierte Privatautonomie wird durch die Leitlinien der guten Sitten begrenzt und durch den BGH grundsätzlich als ein Anstandsgefühl aller billig und gerecht Denkenden definiert. In Fällen von Bestechungshandlungen bezieht sich dieser Ansatz auf den Inhalt der bestehenden Vereinbarung, es handelt sich um eine Inhaltssittenwidrigkeit. Bestechungsleistungen werden in Rechtsprechung und Literatur übereinstimmend als sittenwidrig nach § 138 Abs.1 BGB angesehen. Die Rechtsnorm kann in diesem Sinne aber nur angesetzt werden, wenn sich die Nichtigkeit des zu bewerteten Rechtsgeschäftes nicht schon aus §134 BGB i.V.m. einem Verbotsgesetz ergibt. Deshalb kann § 134 BGB als speziellere Norm, die Vorrang zur Generalklausel des § 138 Abs. 1 BGB hat, angesehen werden, da der bloße Verstoß gegen ein gesetzliches Verbot nicht zur Annahme von Sittenwidrigkeit angesehen werden kann. Eine Sittenwidrigkeit ergibt sich im Falle von Korruptionshandlungen u.a. aus der missbräuchlichen Ausnutzung der vorhandenen Vertreterstellung, die zur Erlangung eigener Vorteile genutzt wird. Nichtigkeit des Hauptvertrages: Von einer Schmiergeldvereinbarung spricht man aus Sicht der Literatur, wenn ein Beauftragter oder Vertreter eines Geschäfts- oder Dienstherrn heimlich ein materieller oder immaterieller Vorteil versprochen oder zugewandt wird, damit dieser dem Zuwendenden im Gegenzug einen Vorteil ermöglicht, der ohne die heimliche Zuwendung nicht möglich gewesen wäre. Meistens sind solche Aktivitäten mit einem Abschluss eines Vertrages verbunden, dem sog. Hauptvertrag. Da die zivilrechtliche Nichtigkeit von Bestechungsleistungen über § 134 BGB oder § 138 Abs. 1 BGB bejaht werden kann, ist eine Nichtigkeit des Hauptvertrages, der durch Bestechungshandlungen entstanden ist, nach Ansicht des BGH an drei Voraussetzungen geknüpft. 1. Ein heimlicher Abschluss der Bestechungsvereinbarung zwischen dem Vertreter oder Beauftragten eines Geschäftsherren und einem Dritten. 2. Eine zu Ungunsten des Geschäftsherren wirkende Vertragsausgestaltung. 3. Kausalität zwischen der Bestechungsvereinbarung und der zu Ungunsten des Geschäftsherren wirkenden Ausgestaltung des Hauptvertrages. Ausschlaggebend für die Bewertung einer Korruptionsleistung ist, wie im Strafrecht, die Sozialadäquanz. Grundsätzlich kann das Gewähren von geringfügigen Vorteilen, die im Rahmen einer Verkehrssitte als Höflichkeit oder Gefälligkeit anerkannt sind, vom Tatbestand ausgeschlossen, und deshalb als nicht strafbar angesehen werden. Obwohl die Kommentarliteratur keine Auskunft über einen Schwellenwert für geschenkte Vermögensgegenstände erteilt, ist anzunehmen, dass in Wirtschaftsunternehmen bei kleinen Aufmerksamkeiten, wie z.B. Kugelschreiber oder Kalender, die Sozialadäquanz noch angenommen werden kann. Um dem Problem der oftmals schwierigen Vertragsrückwicklung zu entgehen, hat der BGH im Jahr 1999 deutlich entschieden, dass Verträge, die nicht aufgrund von Korruptionsaktivitäten entstanden sind, als schwebend unwirksam anzusehen sind und der Geschäftsherr nach den Grundsätzen des Missbrauchs der Vertretungsmacht analog § 177 Abs. 1 BGB diese genehmigen muss. Somit kann selbst der Hauptvertrag nach Genehmigung durch den Geschäftsherren gekündigt werden, wenn dieser einen Verstoß gegen Treue und Glauben analog § 242 BGB darstellt. In einem zweiten Urteil zu diesem Sachverhalt sieht der BGH auch eine Genehmigungsfähigkeit für Verträge, die auf Korruptionsvereinbarungen aufgebaut sind und deshalb als nachteilig für den Geschäftsherren ausgelegt werden können. In seinem Urteil von 2000 leitete der BGH auch einen Schadensersatzanspruch für korruptionsbedingte Hauptverträge ab. Danach wurde entschieden, dass der bestechende Vertragspartner gegenüber dem geschädigten Geschäftsherren eine unbedingte Aufklärungspflicht über die gezahlte Korruptionsleistung hat. Mittels dieser Aufklärungspflicht leitet der BGH einen Schadensersatzanspruch zur Aufhebung des Hauptvertrages und weitere, mögliche Leistungen für den Ersatz von entstandenen Schäden, ab. In Bezug auf die mögliche Nachteiligkeit für Geschäftsherren und dem damit verbundene Hauptvertrag schließt der BGH aus zivilprozessualer Hinsicht nach den Beweisgrundsätzen des ersten Anscheins, d.h. wenn erste Anzeichen für den Geschäftsherren auf eine mögliche Benachteiligung gegeben sind. Dieser Ansatz gilt auch für Folgeverträge, die im Rahmen des Hauptvertrages abgeschlossen wurden, aber unabhängig betrachtet werden müssen, da grundsätzlich alle Rechtsgeschäfte keine Verbindung aufweisen und deshalb voneinander unabhängig sind. Eine Ausnahme besteht für Haupt- und Folgeverträge, die aus literarischer Sicht als Einheit und somit als einheitliches Rechtsgeschäft angesehen werden. Ist das Rechtsgeschäft teilbar, könnte nach Willen beider Geschäftspartner der nichtsittenwidrige Vertragsteil weiter bestehen, währenddessen der schadhafte Vertragsteil nicht bewertet gilt. Ansprüche des Geschädigten: Aus zivilrechtlicher Sicht kann der Geschäftsherr, dem heimlich ein Vorteil durch einen Beauftragten oder Vertreter vorenthalten wurde oder überhöhte Preise für Waren und Dienstleistungen bezahlt hat, einen Ersatz geltend machen, der in zwei grundsätzliche Ansprüche gegen die Schadensverursacher münden kann: Die Herausgabe des Bestechungsgeldes von seinem Vertreter geltend machen oder einen Anspruch auf Schadensersatz erheben, da der Vertreter die allgemeinen Nebenpflichten der Informationspflicht und Rücksichtnahme des Arbeitnehmers aus dem arbeitsvertraglichen Rechtsverhältnisses verletzte. Gleichwohl existiert ein Schadensersatzanspruch gegen den Korrumpeur, da dieser entweder im Rahmen eines bestehenden Vertrages den Beauftragten zum Vertragsbruch verleitet hat oder seine Informationspflicht verletzt hat, wenn noch kein Vertrag zwischen Geschäftsherr und Korrumpeur bestanden hat. Beide Ansprüche sollen im Rahmen dieser Arbeit bewertet werden. Herausgabe des Bestechungsgeldes: Die wichtigste Frage im Zusammenhang mit Bestechungshandlungen und den zivilrechtlichen Rechtsfolgen dreht sich um den Herausgabeanspruch des Geschäftsherrn gegen seinen Angestellten in Bezug auf die erhaltenen Bestechungsl
l'Italia è un territorio ricco di testimonianze e bellezze artistiche e archeologiche. Questa tesi va ad inserirsi in un'ottica di conservazione del nostro patrimonio culturale; in questa si vanno ad inserire anche le problematiche di carattere sismico del nostro costruito. In tale ambito di studio è stata focalizzata l'attenzione sulla Certosa di Pisa, un edificio monumentale che costituisce un patrimonio di inestimabile valore e incomparabile bellezza. Il complesso, nato nel 1366, nel corso della sua lunga vita ha visto avvicendarsi periodi fiorenti seguiti da periodi di decadenza, l'ultimo dei quali condusse al definitivo abbandono della Certosa nel 1969 da parte dei suoi monaci. Agli inizi del Novecento, la comunità certosina era ormai ridotta a poche unita e furono costretti a convivere con le istituzioni di passaggio. In questo periodo la Certosa infatti fu occupata dai militari come un ospedale per i prigionieri feriti. Nel 1972, gli ultimi due monaci lasciarono definitivamente la Certosa di Calci, che gradualmente si andò sempre più degradando, al punto che, per la sua sopravvivenza, si decise nel 1979 di destinare alcuni degli spazi dell'ala occidentale del monastero alla realizzazione del Museo di Storia Naturale e del Territorio, inaugurato nel 1986, affidandoli al dipartimento universitario pisano di Scienze della Terra. Questo momento risulta essere molto importante per il mantenimento dell'intero complesso monastico; rimangono però alcune aree attualmente chiuse al pubblico, fortemente degradate, che necessitano di urgente restauro, sia architettonico che strutturale. Si pongono cosi le basi per uno studio e analisi sul tema del recupero, restauro e riqualificazione del Bene, finalizzato a valutare le condizioni di conservazione e la vulnerabilità sismica evidenziando gli elementi di maggiore criticità e fornendo spunti per indagini più approfondite. Tra le aree maggiormente degradate è stata individuata la zona di ambito di studio: il chiostro delle foresterie; Il chiostro delle foresterie, anche detto granducale o del priore, ha avuto una forte trasformazione nel corso tempo. Nel 1384 venne costruito il piano terra del chiostro, andandosi ad inserire in un contesto già delineato e realizzato; La parte superiore fu costruita nel 1471; Nel 1606 cominciarono i lavori di ammodernamento anche nella parte orientale del monastero, con la costruzione della foresteria nuova e di una cisterna. Al piano terra venne realizzata una pilastratura a sostegno del percorso aereo del piano superiore. Questa conformazione, oltre a comportare una diversa organizzazione degli spazi monastici, comporta una nuova distribuzione degli sforzi. Nel 1614 fu eseguito il tamponamento del livello inferiore del chiostro. Nel 1769 sotto il suo priorato fu realizzata la foresteria granducale; per l'esecuzione della foresteria furono demoliti i muri che dividevano una sala ed una camera e costruire tre maschi murari per separare gli spazzi. Venne realizzata la "galleria dei quadri" e una piccola stanza attigua, la cappellina e il terrazzo coperto. Dopo questi lavori si instaurano nuove distribuzioni degli sforzi e un comportamento completamente diverso della fabbrica nei confronti di azioni esterne. Altro problema è stata la realizzazione del terrazzo coperto; essendo un vero e proprio ampliamento della fabbrica realizzato successivamente rispetto alle altre parti del monastero, funziona da "perno" che si oppone alla spinta della parete frontale delle foresterie. Presumibilmente potrebbero essere nati quindi dei cinematismi di rotazione o ribaltamento della facciata laterale che ha come vincolo l'intersezione tra la foresteria nobile e il terrazzo coperto; questo cinematismo potrebbe essere anche parte delle cause delle lesioni nella foresteria granducale localizzate in corrispondenza dell'ammorsamento dei maschi murari di separazione delle sale con la facciata laterale. È stata sviluppata l'analisi dello stato di fatto con la relativa caratterizzazione dei materiali Come strutture verticali sono state individuate le pareti portanti di spessore variabile dai 15 ai 90 cm. Sono presenti due diverse tipologie di muratura; muratura mista in pietre e mattoni e muratura in mattoni pieni; come strutture orizzontali sono presenti solai piani e diversi tipi di volte: volte a crociera, a botte, a padiglione e unghiate. È stato sviluppato anche un rilievo del degrado, il quale ha permesso di individuare le zone più alterate e degradate classificandole. Il Chiostro della Foresteria presenta un esteso degrado su gli elementi costituenti la struttura, sia che siano pareti intonacate, volte a crociera, o colonne in pietra serena. L'intonaco è in buona parte deteriorato con patine, distacchi e mancanze, fino a portare in luce la sottostante struttura. In alcuni casi il degrado è imputabile ad infiltrazioni d'acqua derivanti dalle coperture, mentre in altri punti è dovuto ad interventi di manutenzione realizzati con poca cura, oltre che ad un normale deperimento dei materiali. Il degrado degli ambienti interni, attigui al chiostro, è dovuto principalmente a problemi di umidità ed infiltrazioni di acqua dalle coperture, che stanno provocando evidenti danni sulle superfici affrescate e stuccate delle volte oltre che agire negativamente sulle strutture lignee, provocando marcescenza delle travi. Per tali motivi le zone maggiormente degradate risultano essere quelle prossime alle strutture di copertura. Il degrado si manifesta con macchie di umidità e nei casi più gravi con distacco di intonaco, con efflorescenze ed ossidazioni delle superfici in laterizio, con marcimento dei travicelli e travi. Risulta necessario operare urgenti ristrutturazioni delle coperture per scongiurare maggiori danni, che possono condurre alla perdita definitiva degli affreschi o ad oneri eccessivi per il loro restauro. Questo parte del rilievo, oltre a farci capire quali siano gli interventi più urgenti, ha permesso di individuare possibili meccanismi locali da analizzare. Le Norme Tecniche per le Costruzioni consentono di eseguire per le costruzioni in muratura analisi statiche o dinamiche, lineari o non lineari. L'analisi ritenuta più opportuna per la caratterizzazione della risposta strutturale del complesso architettonico è l'Analisi Dinamica Modale con spettro di risposta. L'analisi dinamica modale dell'edificio è stata eseguita su modello tridimensionale ad elementi finiti ed è stata condotta con l'ausilio del software di calcolo SAP 2000 v.14. Nel modello sono stati distinti e modellati gli elementi costituenti la struttura portante dell'edificio: pareti, pilastri e colonne, orizzontamenti piani e voltati, strutture di copertura e fondazioni. Le pareti in muratura sono state schematizzate con elementi bidimensionali tipo "shell". La modellazione strutturale prevede di rappresentare solamente le porzioni di pareti aventi funzione strutturale, e cioè i maschi murari e le travi di accoppiamento. Gli elementi portanti verticali quali pilastri in mattoni e colonne in pietra sono stati modellati con elementi monodimensionali di tipo "frame", ad ognuno dei quali viene assegnata la sezione e il materiale costituente. Le volte presenti ad ogni piano nel fabbricato hanno geometria molto varia e talvolta complessa, per cui, date le finalità a cui è volta l'analisi, si è preferito fare ricorso alla trattazione delle volte equivalenti proposta da Lagomarsino; sono state rappresentate con elementi piani (shell) di rigidezza equivalente. Le coperture lignee sono state modellate schematizzando gli elementi portanti (travi e travicelli) mediante elementi "frame" di opportuna sezione disposti a rappresentare le orditure (doppie o triple) delle strutture portanti. Infine l'interfaccia terreno-struttura è stata modellata adottando una schematizzazione elastica del suolo alla Winkler con molle di adeguata rigidezza disposte nelle tre direzioni. Come azioni forzanti sono stati inseriti gli spettri di progetto dell'azione sismica in accelerazione orizzontale nelle due direzioni principali x e y. Gli effetti sulla struttura sono stati valutati combinando gli effetti dei primi 150 modi di vibrare con il metodo CQC. I risultati ottenuti dall'analisi dinamica modale mostrano che i primi due modi di vibrare mobilitano una quota rilevante di massa partecipante nelle direzioni x ed y, ed a questi modi sono associate delle forme modali flessionali. Ai modi successivi sono associate forme modali torsionali. Il raggiungimento del'85% di massa partecipante per entrambe le direzioni si ottiene oltre il 100° modo di vibrare. Gli studi svolti sulla struttura in termini di rilievo geometrico, rilievo strutturale ed analisi storico-critica, hanno permesso di acquisire una buona conoscenza del manufatto in esame; Tuttavia, la presenza in molti ambienti di affreschi di notevole pregio storico-artistico ha reso problematica l'esecuzione di saggi necessari a caratterizzare il materiale in opera ed ad identificare la qualità degli ammorsamenti tra pareti; per la natura esclusivamente geometrica delle informazioni in possesso, si dovrebbe rientrare nella classe LC1, tuttavia l'esecuzione di un qualsiasi intervento su una struttura di tale pregio storico, comporterà necessariamente una preventiva campagna di saggi, pertanto in quest'ottica si è scelto di eseguire un'analisi più complessa e porci in classe LC2, adottando il relativo fattore di confidenza pari a 1,20. Le verifiche agli Stati Limite Ultimi sono state effettuate sia in condizione statica che sismica. Le verifiche SLU in condizione statica per carichi gravitazionali ed in assenza di sisma sono state svolte riferendosi alle sollecitazioni derivate dalla combinazione fondamentale; le verifiche SLV (per TR = 712 anni) in condizione sismica sono state effettuate sottoponendo la struttura ad un sisma proveniente sia dalla direzione X che dalla direzione Y, facendo riferimento alle sollecitazioni ricavate dalle combinazioni sismiche. Le verifiche previste per gli Stati Limite Ultimi (sia statici che simici) sono: • pressoflessione nel piano della parete; • pressoflessione fuori piano; • taglio per azioni nel piano della parete (taglio-trazione diagonale e taglio-scorrimento orizzontale). Le verifiche agli SLU eseguite in condizione statica risultano in genere soddisfatte con eccezione di alcuni elementi. La verifica a pressoflessione nel piano può essere ritenuta adeguatamente soddisfatta ad ogni livello della struttura, con alcune singolarità in elementi di piccole dimensioni. Tali punti non sono da ritenersi critici per la sicurezza globale statica. Anche la verifica a pressoflessione fuori piano risulta adeguatamente soddisfatta tranne nei maschi murari che già non soddisfano le limitazioni di snellezza, e risultano quindi maggiormente vulnerabili all'instabilizzazione fuori piano. La verifica a taglio invece presenta un più alto numero di elementi che, in misura maggiore o minore, non verificano le condizioni di scorrimento. Le maggiori criticità si riscontrano nel fronte del chiostro, dove le aperture seriali riducono la sezione netta resistente, ed all'ultimo piano della struttura, dove si localizzano le azioni orizzontali più rilevanti. Le verifiche condotte ad SLV per sisma X e sisma Y mostrano una situazione più gravosa rispetto alla condizione statica. Riferendoci al caso di pressoflessione nel piano si nota che il piano terra e il primo piano riescono a soddisfare adeguatamente le verifiche imposte, in quanto le pareti sono soggette a tensioni normali di una certa entità e momenti sollecitanti non eccessivi. Maggiori problemi si riscontrano al secondo piano dove la combinazione di sforzo normale minore ed elevato momento flettente comporta il non soddisfacimento della verifica. La verifica di pressoflessione fuori piano condotta con il metodo semplificato suggerito da norma mostra in maniera evidente come i maggiori problemi di stabilità fuori piano siano attribuibili agli elementi con elevata snellezza. Inoltre non risultano verificate tutte le pareti dell'ultimo piano poiché, trovandosi a quota elevata rispetto al piano delle fondazioni, su queste agiscono forze sismiche rilevanti. Tuttavia la situazione più critica si instaura nella verifica a taglio delle pareti: la quasi totalità dei maschi murari non riesce a soddisfare le condizioni di scorrimento imposte da norma, sia nel caso di azione sismica proveniente dalla direzione X che dalla direzione Y, denotando una sostanziale inadeguatezza dell'intero complesso ad assorbire le azioni orizzontali generate da un terremoto tipo con periodo di ritorno pari a 712 anni. Le verifiche sui solai piani sono state condotte separatamente rispetto al modello tridimensionale della struttura, facendo ricorso a schemi statici bidimensionali rappresentativi della situazione in esame. Le misure fatte per i solai del lato frontale sono state estese anche per gli altri (attualmente inaccessibili). Sono stati ipotizzati quindi travicelli di dimensione pari a 6x8 cm con interasse di 30 cm, sorretti dalle travi principali di dimensione 20x27cm. Per il travicello è stato adottato uno schema di trave semplicemente appoggiata con carico distribuito, mentre la trave principale è stata schematizzata come trave semplicemente appoggiata con carichi concentrati in corrispondenza dell'appoggio dei travicelli. Per questi schemi sono state effettuate la verifica a flessione deviata, la verifica a taglio e la verifica a deformazione. Le seguenti verifiche risultano generalmente soddisfatte; I travicelli costituenti l'orditura secondaria risultano ovunque verificati, sia in termini di resistenza che di deformabilità. Anche le travi principali soddisfano i requisiti di sicurezza. Tuttavia è da far presente che le verifiche sono state condotte riferendosi alle sezioni degli elementi rilevati in opera supposte interamente reagenti, cioè in condizioni di buono stato di conservazione. Alcuni elementi lignei mostrano un elevato stato di marcescenza a causa delle continue infiltrazioni d'acqua, per cui la sezione resistente dell'elemento risulta notevolmente ridotta. Per questi elementi in avanzato stato di degrado le verifiche condotte non possono essere considerate rappresentative dello stato di fatto. Nelle costruzioni esistenti in muratura il collasso è determinato, più che dalla resistenza ultima della muratura, dalla carenza dei vincoli, da difetti costruttivi, dalla presenza di discontinuità non sempre visibili. Da qui la necessità di affiancare all'analisi sismica globale realizzata con l'ausilio dei software di calcolo, un analisi locale dei possibili meccanismi di collasso. Dall'esame del quadro fessurativo è stato possibile riconoscere meccanismi di ribaltamento composto della facciata; sulle pareti di controvento si individuano lesioni diagonali, con origine in prossimità del fronte e terminanti in corrispondenza delle porte. In corrispondenza delle intersezioni murarie sono presenti lesioni verticali. Il calcolo viene effettuato assumendo lo schema di corpo rigido, e confrontando il valore del momento stabilizzante, dovuto all'azione dei carichi verticali ed alle reazioni esercitate in corrispondenza dei ritegni orizzontali con quello ribaltante dovuto alle azioni orizzontali. Il valore dell'accelerazione orizzontale che porta all'attivazione del meccanismo è di 0.120g, contro un valore di riferimento della PGA (valutata per SLV con TR= 712 anni) di 0.138g. In queste condizioni è quindi possibile l'attivazione di questo meccanismo. L'analisi dello stato di fatto ed i risultati ottenuti dalle verifiche sul fabbricato hanno evidenziato alcune problematiche; saranno quindi indispensabili studi più approfonditi sui materiali degli elementi portanti e sulle loro proprietà meccaniche; si necessita inoltre si indagini inerenti ad una precisa definizione dei carichi gravanti sulla struttura. Lo stato di degrado in cui versa il complesso generato da uno stato di incuria è evidente; Sono presenti infiltrazioni d'acqua in vari punti della struttura; sono pertanto di primaria urgenza provvedimenti volti a consolidare le coperture al fine di non protrarre oltre le perdite subite; in alcune zone infatti sono già in atto i lavori. Dalle analisi svolte seguendo sia un approccio globale, che locale sono emersi elementi di vulnerabilità della struttura; problematiche sono riscontrabili in tutta l'area analizzata; ai piani superiori, dove gli elementi sono soggetti a ridotte compressioni ed elevati momenti flettenti, i maschi risultano eccessivamente snelli e suscettibili ai fenomeni di instabilità fuori piano. Il comportamento nei confronti dell'azione tagliante, in particolar modo nella condizione sismica, risulta abbastanza critico per l'intera struttura. D'altronde questo risultato era prevedibile, essendo questa la maggiore problematica che affligge gli edifici storici in muratura. In relazione alle questioni riscontrate risulta evidente come sia necessario effettuare degli interventi sulle fabbriche al fine di garantirne una migliore risposta strutturale. Un intervento su un edificio tutelato può risultare molto complesso da svolgersi: deve infatti essere in grado di conciliare le esigenze di conservazione con quelle di sicurezza, evitando l'esecuzione di opere invasive; Saranno quindi preferibili interventi di tipo locale che conducano al soddisfacimento dei requisiti richiesti per le azioni simiche.
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"Deutschlands wirtschaftliches und politisches Gewicht verpflichtet uns, im Verbund mit unseren europäischen und transatlantischen Partnern Verantwortung für die Sicherheit Europas zu übernehmen, um gemeinsam Menschenrechte, Freiheit, Demokratie, Rechtsstaatlichkeit und Völkerrecht zu verteidigen" (Angela Merkel: Bundesministerium der Verteidigung 2016, S. 6) Obwohl Angela Merkel nicht mehr Bundeskanzlerin ist, sind die Leitlinien, die im Weißbuch 2016 für die Außen- und Sicherheitspolitik Deutschlands festgelegt wurden, weiterhin elementar – oder nicht? Aber wie lässt sich ihre Aussage im Jahr 2022 verorten? Zeigt Deutschland Verantwortung für die EU, transnationale Partnerschaften und Völkerrecht? In diesem Beitrag soll das Verhältnis zwischen Deutschland und den Vereinten Nationen (VN) in den Blick genommen werden: Mit dem Wegfall des West-Ost-Konflikts, der Dekolonialisierung, dem Beitritt weiterer Staaten und der Veränderung des Krieges hin zu "Neuen Kriegen" (Hippler 2009, S. 3-8) ergeben sich neue Handlungsfelder und Herausforderungen, die die Vereinten Nationen in den Blick nehmen müssen.Je nach Ansicht fällt der größten Weltorganisation eine mehr oder weniger bedeutende Rolle in der internationalen Politik zu (vgl. Gareis & Varwick 2014, S. 295). Allerdings sind maßgeblich die Mitgliedsstaaten für das Gelingen der Vereinten Nationen und für die notwendigen Reformen zuständig, da sie als "klassische intergouvernementale Organisation" (ebd., S. 295) bezeichnet werden können.Die Forschungsfrage lautet daher, wie sich die deutsche Außen- und Sicherheitspolitik international, im Rahmen der VN, verortet. Die deutsche Politik formuliert hierfür Ziele, die noch genauer zu untersuchen sind. Als eine Maßnahme, um die Zielerreichung zu gewährleisten, kann der MINUSMA-Einsatz in Mali angesehen werden, unter deutscher Beteiligung und von den Vereinten Nationen geführt. Es wird herausgearbeitet, inwiefern die deutsche Partizipation als Erfolg angesehen werden kann. Hierfür wird zuerst der theoretische Rahmen der Internationalen Beziehungen - der Grundzustand der Anarchie - erklärt und weitere Prämissen der VN, des VN-Peacekeepings, der historischen Rahmung der deutschen Außen- und Sicherheitspolitik sowie der Einsatz selbst beschrieben, um am Ende zu einer elaborierten Aussage kommen zu können. 1. Theoretische Rahmung – Grundzustand AnarchieGareis und Varwick (2014, S. 67) konstatieren einen allgemeinen Anforderungswunsch an die VN, die eine 'Lücke' in der Ordnung der Internationalen Beziehungen füllen sollen. Aber von welcher 'Lücke' wird hier gesprochen? In der Politikwissenschaft gibt es verschiedene Ansätze, um die Beziehungen zwischen Staaten und das Wirken von internationalen Organisationen zu beschreiben. Die Prämisse bildet der Grundzustand von Anarchie, der wie folgt definiert werden kann: "Unter Anarchie wird in diesem Zusammenhang die für Kooperationschancen folgenreiche Struktur der Herrschaftslosigkeit bzw. der Nichtexistenz einer den Staaten übergeordneten, zentralen Autorität mit Handlungskompetenz verstanden" (Gareis & Varwick 2014, S. 67) Es gibt verschiedene Denkschulen, die den Grundzustand unterschiedlich gewichten und bewerten (vgl. Schimmelfennig, S. 63ff). Darunter sind zum Beispiel der Realismus, der Idealismus, der Institutionalismus und der Konstruktivismus zu nennen (vgl. Gareis & Varwick 2014, S. 71). Um das Verhältnis zwischen den VN und Deutschland erklären zu können, ist es hilfreich, zu überlegen, an welcher Denkschule sich die Sicherheits- und Außenpolitik Deutschlands (schwerpunkt- und situationsbezogen) orientiert. Die Ansätze sind in ihrer Gesamtheit in diesem Beitrag nicht zu würdigen, daher werden einzelne Hauptdifferenzen geklärt, um für die Beantwortung der Forschungsfrage eine Richtlinie geben zu können. Die Beschreibung erfolgt idealtypisch: Im Realismus ist der Grundzustand besonders präsent und hauptsächlich staatliche Akteure sind für die Internationalen Beziehungen verantwortlich. Die Staaten haben ein starkes Eigeninteresse, das sich aus der Unsicherheit des Grundzustandes speist, und handeln nach eigenen Machterhaltungsvorstellungen. "In dieser Sichtweise erfüllen internationale Organisationen lediglich aus der Souveränität und den Interessen ihrer Mitglieder abgeleitete Funktionen" (ebd., S. 68). Damit wären Handlungsfelder und Möglichkeiten eng an die Vorgaben der Staaten gekoppelt. Frieden wird als Sicherheit-Erhalten verstanden und bedeutet, dass die Nationalstaaten durch Machtsicherung ihre Souveränität gewährleisten können. (vgl. ebd., S. 68 & 71) Im Idealismus soll der anarchische Grundzustand durch "Kooperationsformen" (ebd., S. 68) geregelt werden. Die Friedenssicherung läuft über einen stetigen Prozess über eine "universelle Gemeinschaft" (ebd., S. 69), die für alle Vorteile bringen kann. Damit wäre das Ziel, Konflikte nicht mehr mit Gewalt lösen zu müssen, anders als im Realismus, wo Krieg als natürliche Form besteht, durch die normative Regelung des Grundzustandes möglich. Internationale Organisationen können mit ihren Regelungen die Realisierung von Frieden darstellen. Damit sind nicht nur Staaten als Akteure zu sehen und statt Machterhaltungsvorgaben ist das Handeln auf ein Gemeinwohl konzentriert. (vgl. ebd., S. 69 & 71) In der Tradition des Institutionalismus sind internationale Kooperationen deutlich wahrscheinlicher als im Realismus. Außerdem ist ihr Einfluss auf Staaten bedeutend höher einzuschätzen. Demnach helfen sie zum Beispiel, Informationen über andere Staaten zu sammeln und können so beim Aufbau von Vertrauen mitwirken. (vgl. ebd., S. 69f) Die "Interdependenz" (Schimmelfennig 2010, S. 93) zwischen den Staaten wird als hoch angesehen und bedarf internationaler Regelwerke, die die Kooperationsmöglichkeiten regulieren. In diesem Sinne sind Staaten an friedlichen Lösungen interessiert und halten Krieg für nicht gewinnbringend bzw. sehen Machtkonzentration als weniger produktiv an als das Streben nach Gewinnen. Dadurch ist der Grundzustand der Anarchie zwar nicht auflösbar, allerdings soll im Laufe der Zeit eine Zivilisierung stattfinden. (vgl. ebd., S. 90) Der Konstruktivismus sieht den Grundzustand der Anarchie nicht als gegeben, sondern als eine Konstruktion von Wirklichkeit an. Dadurch ist es möglich, diesen Zustand zu verändern / aufzuheben. Damit sind die Akteure selbst für den Grundzustand verantwortlich. (vgl. Gareis & Varwick 2014, S. 70) Damit lautet eine Kernhypothese des Konstruktivismus: "Je größer die Übereinstimmung der Ideen von internationalen Akteuren und je stärker damit Gemeinschaft zwischen ihnen ist, desto höher ist die Wahrscheinlichkeit von Frieden und internationaler Kooperation" (Schimmelfennig 2010, S. 185) Es wären bspw. Staaten gemeint, die eine freundschaftliche Beziehung pflegen und unabhängig von Machtkonzentration Vertrauen aufbauen. (vgl. ebd., S. 184f) In den Denkschulen sind relativ konkrete Vorstellungen gegeben, wie eine internationale Organisation Einfluss und Machtkonzentration entwickeln kann oder sollte oder bereits beinhaltet. Die Vereinten Nationen können auf einen Blick als größte Organisation im internationalen Spektrum angesehen werden, denn sie haben aktuell 193 Mitgliedsstaaten (Stand 2022) (vgl. Die Vereinten Nationen im Überblick: Deutsche Gesellschaft für die Vereinten Nationen e. V., o. J.).2. Die Vereinten Nationen Bevor über die VN auf manche Aspekte schwerpunktmäßig eingegangen werden kann, ist knapp zu klären, was eine internationale Organisation wie die VN darstellt. Hierbei orientiert sich dieser Beitrag an Gareis und Varwicks (2014, S. 295) Konstruktion von einer "klassische[n] intergouvernementale[n] Organisation", deren Reformfähigkeit und Erfolge maßgeblich von den Mitgliedsstaaten abhängen – also auch von Deutschland. Es werden prinzipiell keine Souveränitätsrechte an die Organisation abgegeben, mit der Ausnahme, dass der Sicherheitsrat Zwangsmaßnahmen zur Friedenswahrung durchsetzen kann (vgl. ebd., S. 72).2.1 Grundlegende Kennzeichen der Vereinten Nationen Die Grundlagen der Vereinten Nationen können an zwei Hauptfaktoren exemplarisch aufgezeigt werden: Erstens ist der Friedensbegriff nicht nur als Abwesenheit von Krieg definiert, er schließt vielmehr das Wohlergehen der Menschen in den Staaten ein und geht somit über das Nationalstaats-Denken hinaus (positiver Friedensbegriff). Das zweite Konzept ist das System kollektiver Sicherheit, dadurch soll der erhöhte Druck, von allen Staaten bei einer Aggression automatisch angegriffen oder anderweitig verurteilt zu werden, die Friedensbedrohung reduzieren. (vgl. Gareis & Varwick 2014, S. 19-22 & 87-92) Dass das System der kollektiven Sicherheit nicht bedingt greift oder einigen Herausforderungen unterworfen ist, liegt bspw. an den neuen Kriegsformen (vgl. Hippler 2009, S. 3f). Gleichzeitig kann die aktuelle Invasion Russlands in die Ukraine (vgl. u.a. Russlands Angriff auf die Ukraine: Beckmann 2022) herangezogen werden, dass die Mechanismen bspw. für Supermächte weitere Schwierigkeiten in der Praxis aufzeigen (vgl. Gareis & Varwick 2014, S. 89f). 2.2 Generalversammlung und Sicherheitsrat – wichtigste Gremien der VN Die Vereinten Nationen sind mittlerweile zu einer undurchsichtigen Ansammlung an offiziellen und inoffiziellen Strukturen geworden und sind unter dem Begriff VN-System sehr weit zu fassen (vgl. Gareis & Varwick 2014, S. 21f). Allerdings sind nach wie vor zwei von sechs Hauptorganen hervorzuheben:In der Generalversammlung (GV) sitzen alle Mitgliedsstaaten und sind nach dem Prinzip der Gleichberechtigung mit jeweils einer Stimme ausgestattet. Hauptcharakteristikum ist, dass die Generalversammlung ein Forum für Gespräche bietet und somit als größtes Austauschforum auf der Welt bezeichnet werden kann. In sechs Hauptausschüssen vollzieht sich die meiste Arbeit der Generalversammlung, auf die hier nicht weiter eingegangen werden soll. Entscheidend ist der Unterschied zum Sicherheitsrat: Die GV hat keinen Sanktionskoffer parat und kann lediglich Empfehlungen aussprechen. (vgl. ebd., S. 45-47) Der Sicherheitsrat besteht aktuell aus 15 Mitgliedsstaaten, wobei zwischen ständigen und nichtständigen Mitgliedern differenziert werden muss. Die ständigen Mitglieder sind die sogenannten 'Big Five' und setzen sich aus Frankreich, Großbritannien, USA, Russland und China zusammen. Sie werden nicht wie die nichtständigen Mitgliedsstaaten von der Generalversammlung im Zwei-Jahres-Zyklus gewählt.Verkürzt dargestellt nimmt der Sicherheitsrat Aufgaben wie Friedensmissionen, Ausschüssen o. Ä. wahr. Die ständigen Mitgliedsstaaten haben historisch bedingt ein Veto-Recht, das eine große Rolle spielt und mehrfach zur Lähmung des SR führte. Der Sicherheitsrat ist das mächtigste Hauptorgan der Vereinten Nationen und ist berechtigt, zur Friedenssicherung weitreichende Sanktionen und militärische Maßnahmen zu ergreifen. (vgl. ebd., S. 47-49) 2.3 Das VN-Peacekeeping aus historischer Perspektive Die Geschichte der VN ist überaus vielschichtig und kann hier nur in den Grundzügen wiedergegeben werden. Im Jahr 1945 wurde die Charta von 51 Staaten unterzeichnet. In den ersten Jahren ihrer Arbeit (1945-1954) mussten organisatorische und strukturelle Systeme aufgebaut werden, die im West-Ost-Konflikt zugleich erste Einschränkungen erfuhren. Die erste große Herausforderung des kollektiven Sicherheitssystems betraf den Korea-Krieg: Nordkorea fiel 1950 in Südkorea ein und der Sicherheitsrat wurde durch Russland blockiert. Daraufhin entstand in der Generalversammlung die Uniting for Peace-Resolution, die Empfehlungen und militärische Interventionen beinhaltete, sollte der SR seiner Aufgabe, den Weltfrieden zu sichern, nicht nachkommen. Die erste inoffizielle Blauhelmmission stellt die UNTSO-Mission dar, die die Überwachung eines Waffenstillstandes 1948 zwischen Israel und arabischen Staaten beinhaltete. (vgl. ebd., S. 27-30 & 127) In den darauffolgenden 19 Jahren (1955-1974) verschob sich das Mächtegleichgewicht maßgeblich durch die Dekolonisation und die Entstehung unabhängiger Staaten im Süden. Hervorzuheben ist die Suez-Krise, in der der ägyptische Präsident Gamal Abdel Nasser 1956 den Suez-Kanal verstaatlichte. Großbritannien, Israel und Frankreich gingen ungeachtet der Ablehnung des SR militärisch dagegen vor, verhinderten gleichzeitig mit ihren Vetos eine Deeskalation der Lage. Auf Grundlage der Uniting for Peace-Resolution wurde wieder versucht, den Konflikt auszusetzen und einen Waffenstillstand einzufordern. Die GV beschloss daraufhin die Etablierung der United Nations Emergency Force (UNEF I), um zwischen den Konfliktparteien eine neutrale Zone aufzubauen. Die Blauhelme nahmen hier ein erweitertes Aufgabenspektrum wahr und erhielten bspw. Kontrolle über Hoheitsgebiet. "Damit wurde das wohl bedeutendste Friedenssicherungsinstrument der Vereinten Nationen, die Blauhelmeinsätze, ins Leben gerufen" (ebd., S. 31). (vgl. ebd., S. 27-30 & 128) Im "Nord-Süd-Konflikt (1975-1984)" (ebd., S. 32) versuchten die VN weiterhin, in einigen Konflikten aktiv mit Blauhelmeinsätzen zu vermitteln und zeigten sich angesichts der Invasion der Sowjetunion in Afghanistan (1979) als handlungsunfähig. (vgl. ebd., S. 32f) Die letzte Phase reicht bis heute und beginnt ab dem Jahr 1985. Die Annäherung der beiden Großmächte USA und Sowjetunion und der Zerfall der Sowjetunion ergab Handlungsspielraum im SR. Allerdings entzündete sich auch eine Reihe an neuen Konfliktherden: "Innerhalb von rund 25 Jahren stieg die Zahl der Friedensmissionen von 14 auf nunmehr 68" (ebd., S. 33). Nötige Reformen rückten zuletzt durch den USA geführten Irakkrieg und die Terroranschläge am 11. September vermehrt in den Fokus. (vgl. ebd., S. 33-35) 2.4 Typologisierung und Reformansätze Wie in der historischen Rahmung aufgezeigt, entstand das Peacekeeping, weil das kollektive Sicherheitssystem nicht funktionsfähig war. Die Blauhelmeinsätze sind praxisnahe Formen zur Sicherung des Friedens, die sich zwischen dem Souveränitätsanspruch und den Zielen der VN bewegen. Die Ausgestaltung der Friedensmissionen sind vielfältig: Die VN typologisieren die Einsätze in vier Generationen:In der ersten Generation sind Einsätze hauptsächlich "zur Beobachtung und Überwachung von bereits beschlossenen Friedens- bzw. Waffenstillstandsabkommen […]" (Gareis & Varwick 2014, S. 126) gemeint. Missionen der zweiten Generationen sind durch "ein erweitertes Aufgabenspektrum" (ebd.) ausgezeichnet und meinen Einsätze nach 1988. In der dritten Generation liegt der Fokus nicht nur auf Friedenserhaltung sondern auch auf dessen Erzwingung. Zum Schluss kommen in der vierten Generation nicht-militärische administrative Funktionen hinzu.Jede Generation erforderte Anpassungen und ein mühsames Lernen, sodass die Bilanz des VN-Peacekeeping sehr gemischt ausfällt. Neuere Bestrebungen zielen daher darauf ab, aus den vergangenen Fehlern zu lernen. Zum Beispiel soll das Peacekeeping nur noch mit realistischem Mandat stattfinden und die individuelle, komplexe Konfliktsituation angemessen darstellen. Außerdem ist zu gewährleisten, dass die Blauhelme gut ausgerüstet sind und unter den Aspekten eines robusten Mandats alle neuen Perspektiven der Friedenssicherung wahrnehmen können. Diese beinhalten vereinfacht dargestellt die Konfliktvermeidung, das Konfliktmanagement und die Konfliktnachsorge. (vgl. ebd., S. 124-151) Nachfolgend ist zu klären, inwiefern sich der MINUSMA-Einsatz darin einfügt und welche Rolle Deutschland in dem Entwicklungsprozess des VN-Peacekeeping und des Einsatzes spielt.3. United Nations Multidimensional Integrated Stabilization Mission in Mali (MINUSMA) Der MINUSMA-Einsatz der Vereinten Nationen ist als Peacekeeping-Mission der vierten Generation zu charakterisieren. 3.1 Strukturelle Rahmung des MINUSMA-Einsatzes Das Departement of Peacekeeping Operations (DPKO) ist für die Umsetzung und Planung der Blauhelmmissionen verantwortlich. Mit Stand 2022 sind insgesamt 15 Einsätze zu verzeichnen (DPKO: Deutsche Gesellschaft für die Vereinten Nationen e.V., o. J.). Die Mission in Mali gehört zu den jüngsten Einsätzen und begann im April 2013 (vgl. Gareis & Varwick 2014, S. 141).Sie gründet sich auf die Resolution 2100 (vgl. Security Council Establishes Peacekeeping Force for Mali Effective 1 July: United Nations 2013) vom 25. April und die Resolution 2164 (vgl. Security Council: United Nations 2014) des Sicherheitsrates und hat multidimensional den Schutz der Zivilisten, die Gewährleistung der Menschenrechte, die Etablierung einer Staatsmacht, die Stabilisierung der Region durch den Aufbau eines Sicherheitsapparates und die Aufrechterhaltung der politischen Dialogfähigkeit und Konsultation als Aufgabe formuliert (vgl. MINUSMA Fact Sheet: United Nations 2022).Damit stehen auch militärische Interventionen zur Verfügung und es kann von einem robusten Mandat gesprochen werden, das lediglich als Ausnahme die aktive Terroristenbekämpfung ausschließt (vgl. Mali: Konopka 2022). Stand November 2021 befinden sich insgesamt 18.108 Menschen im Einsatz und davon sind 13.289 dem militärischen Personal zuzuordnen (vgl. MINUSMA Fact Sheet: United Nations 2022). Dazu kommen zivile Einsatzkräfte und bspw. Polizeiausbildende (vgl. ebd.).Die größten teilnehmenden Länder mit militärischem Personal sind mit 1440 Chad, mit 1119 Bangladesch, Ägypten mit 1072 und auf Platz 10 folgt Deutschland mit 531 Angehörigen (vgl. ebd.). Die Verluste an Menschenleben werden bisher auf 260 (Stand 2021) beziffert (vgl. ebd.). Die Finanzierung wird über die Generalversammlung jährlich geregelt und betrug zwischen 2021 und 2022 1.262.194.200 Dollar (vgl. ebd.).Neuere Zahlen der Bundeswehr (Stand Februar 2022) geben an, dass Deutschland mit über tausend Soldatinnen und Soldaten in Mali im Einsatz ist (vgl. Personalzahlen der Bundeswehr: Bundeswehr 2022). Die Zahl stellt sich als irreführend heraus, weil die Bundeswehr alle Beteiligten zusammenzählt, auch die, die bspw. in Nachbarländern an Schlüsselstellen der Infrastruktur beschäftigt sind (vgl. Mali: Konopka 2022).Die aktuelle Resolution der VN (2584) trat am 29. Juni 2021 in Kraft und ist bis zum 30. Juni 2022 gültig (vgl. Mali – MINUSMA: Bundeswehr 2022). Durch das Ablaufen des Mandats in diesem Jahr ist die Forschungsfrage darauffolgend auszuweiten, inwiefern Deutschland sich weiterhin an der Mission beteiligen wird. Zuerst sollte aber kurz auf die Situation Malis eingegangen werden, um zu klären, warum Deutschland und viele weitere Staaten überhaupt intervenieren. 3.2 Mali – eine von Gewalt geplagte Region Die gesamte Komplexität dieser Krisenregion kann hier nicht dargestellt werden. Allerdings sind einige Aspekte zu nennen, um die Verortung und die Herausforderungen des Peacekeepings zu verdeutlichen. In Nordmali begann 2012, um die politische Unabhängigkeit zu gewährleisten, ein gewaltsames Vorgehen gegen die malische Regierung. Als fragiles Bündnis kamen dschihadistische Kämpfende hinzu, die jedoch nach den ersten Eroberungen der nordmalischen Städte 2013 die Oberhand gewannen.Der Süden Malis war ebenfalls von einem Militärputsch geschwächt und die malische Regierung bat um internationale Hilfe. Frankreich folgte der Bitte und eröffnete die Operation Serval. Afrikanische Länder griffen unter der Mission AFISMA ein. Den alliierten Kräften gelang schnell die Rückeroberung der Städte im Norden. Allerdings ging daraus eine asymmetrische Kriegsführung hervor, die die vom Sicherheitsrat legitimierten Einsatztruppen besonders in den Fokus der Attacken der Dschihadisten stellt.Ein Friedensvertrag von 2015 umfasste bspw. nicht alle Konfliktparteien. Im Allgemeinen ist eine Verschlechterung der Gesamtsituation zu verzeichnen, da Dschihadisten mittlerweile versuchen, auch die Nachbarländer Niger und Burkina Faso zu destabilisieren und sich die Gewalt besonders um Zivilisten zentriert. (vgl. Mali: Konopka 2022) Im Zentrum dieses Kapitels soll die asymmetrische Kriegsführung, auch unter dem Aspekt der 'Neuen Kriege' bekannt, und somit die problematische Lage der Mission im Mittelpunkt stehen. Die Kernfrage ist bereits auf das weitere Engagement Deutschlands ausgeweitet worden und ist realitätsnah zu prüfen: In Afghanistan gelang keine Stabilisierung eines afghanischen Staates. Hier kam nach jahrzehntelangen erfolglosen Gefechten die Terrorgruppe Taliban 2021 an die Macht, als allen voran die USA den Rückzug aus der Krisenregion vollzogen (vgl. Nach 20 Jahren: bpb 2021). 4. Die deutsche Außenpolitik – Schwerpunktsetzung VN Die deutsche Sicherheits- und Außenpolitik ist sehr komplex und selbst ein kursorischer Überblick kann hier nicht geleistet werden. Durch die Darstellung diverser Aspekte ist jedoch eine Verortung möglich. 4.1 Historische Perspektive der deutschen Sicherheits- und Außenpolitik Deutschland blickt auf eine bewegte Geschichte zurück. Ab 1945 wurde die Bundesrepublik enormen Veränderungen durch die Besatzungsmächte unterworfen. Während die DDR unter der UdSSR keine wirklich eigene Außenpolitik entwickelte, gelang es Westdeutschland allmählich, politische Spielräume zurückzugewinnen und eigene Ziele zu vertreten (vgl. Gareis 2021, S. 57). In der Zeit vor der Wiedervereinigung sind einige "konstante Handlungsmuster" (ebd., S. 58) zu erkennen, die bis heute ihre Wichtigkeit beibehalten haben. Darunter sind besonders vier Punkte zu nennen:"die Westintegration, durch welche die Bundesrepublik ihren Platz in den europäischen und transatlantischen Strukturen fand und einnahm die Entspannungs- und Ostpolitik, durch die sie ihre friedens- und stabilitätspolitische Handlungsspielräume erweitern konnte die Offenheit für einen breit angelegten, globalen Multilateralismus mit dem Ziel einer verlässlichen rechtlichen Verregelung und Institutionalisierung des Internationalen Systems die selbstgewählte Kultur der Zurückhaltung in machtpolitischen, insbesondere militärischen Angelegenheiten" (ebd., S. 58) Hervorzuheben sind die anfänglichen Bemühungen der deutschen Außenpolitik, um Frankreich von ihrer skeptischen Sichtweise auf die Wiederbewaffnung und Wiederaufnahme der deutschen Souveränität nach dem Zweiten Weltkrieg abzubringen. Die Bemühungen mündeten bspw. 1963 im Élysée-Vertrag, der die enge Partnerschaft merklich vorantrieb und als "deutlicher […] Motor der europäischen Integration" (ebd., S. 65) zu sehen ist.Eine Verankerung in Internationale Beziehungen vollzog sich somit bereits früh mit den Bemühungen Deutschlands, sich in Europa und in die NATO zu integrieren. In den Zeiten vor der Wiedervereinigung konnte Deutschland dennoch nicht gänzlich zu seinem Selbstvertretungsanspruch finden. Die Integration in internationale Organisationen, die die Machtkonzentration des teilnehmenden Landes einschränken können, wurde zwar innenpolitisch heftig diskutiert, kollidierte jedoch mit realen Erweiterungen der Souveränitätsansprüche Deutschlands und formte somit die Erfahrung dieser Ordnungen.Der Multilateralismus ist eine logische Konstante, weil der Wunsch nach Regeln im Internationalen System die eigene Sicherheit erhöhen soll und im Falle Deutschlands auch politische Freiheiten bedeutete. Das Engagement kann als ernsthaft beschrieben werden, weil die Bemühungen auch mit der Erreichung der eigenen Staatssouveränität bspw. in den Vereinten Nationen und dem europäischen Einigungsprozess nicht nachließ – im Gegenteil intensiviert stattfindet. (vgl. ebd., S. 57f & 61-65 & 70f) 4.2 Deutschlands Außen- und Sicherheitspolitik im 21. Jahrhundert - Verortung Im 21. Jahrhundert sind eine neue Vielzahl an nicht-staatlichen Akteuren, weitere Unwägbarkeiten und multidimensionale Problemfelder mit einer höheren Unsicherheit im Internationalen System verbunden, die die Zuverlässigkeit von internationalen Partnern einschränkt. Diese Problematik wird bspw. u. a. durch das Erstarken des Rechtspopulismus, dem Rückgang liberal-demokratischer Regierungen seit 2005, der neuen Risikobewertung und Qualität des transnationalen Terrorismus begründet. (vgl. Gareis 2021, S. 89f) Als aktuelle Referenz kann das Weißbuch 2016 die Sicherheitsinteressen Deutschlands aufzeigen. Darin sind, bedingt bspw. durch die russische Aggression gegenüber der Ukraine, wieder vermehrt nationale Interessen vertreten, die den Schutz der Bürger*innen und die Integrität der Souveränität Deutschlands ins Blickfeld nehmen. Allerdings sind auch internationale Bestrebungen zur vertiefenden Weiterarbeit in der Entwicklungspolitik, dem Völkerrecht und der partnerschaftlichen Zusammenarbeit in allen wichtigen Internationalen Organisationen wie NATO, EU und VN zu nennen. (vgl. Gareis 2021, S. 105)4.2 Deutschland und die Vereinten Nationen Ein ernsthafter Beitrag zur strategischen (Neu-)Kalibrierung der Sicherheits- und Außenpolitik, die in ihren anfänglichen vier Konstanten (s.o.) auch Diskontinuitäten erfuhr, ist die Münchner Sicherheitskonferenz im Jahr 2014 hervorzuheben, in der das Engagement für internationale Organisationsformen, die einen supranationalen Ordnungsrahmen darstellen können - wie die EU, NATO und VN - verstärkt in den Mittelpunkt gestellt worden. Die Konstante der 'Zurückhaltung' bricht also weiter auf und zeigt das "Leitmotiv der aktiven Übernahme größerer Verantwortung für Frieden und Internationale Sicherheit in einem umfassenden Ansatz […]" (Gareis 2021, S. 92) auf. (vgl. ebd., S. 91f) Für Deutschland stellen die Vereinten Nationen das Höchstmaß für Multilateralismus und Institutionalismus dar. Bestrebungen in den VN waren von der Gründung an ein wichtiges Anliegen der Bundesrepublik, um auf die internationale Bühne zurückkehren zu können. Insgesamt kann das Engagement Deutschlands in den VN als hoch angesehen werden: Aktuell ist Deutschland der viertgrößte Beitragszahler, unterhält über 30 VN-Organe im Land und ist um einen ständigen Sitz im Sicherheitsrat bemüht und mindestens durch die häufige Wiederwahl (zuletzt 2019/20 – damit zum sechsten Mal) und eindeutigen Wahlergebnissen um einen nichtständigen Sitz als international anerkannt zu bezeichnen. Das Interesse beider Akteure ist als interdependent zu bezeichnen: Die VN brauchen in diesen schwierigen Zeiten einflussreiche Staaten und Deutschland hingegen internationale Kooperationsmöglichkeiten in vielfältigen Ressorts. (vgl. ebd., S. 193f) Deutschland beteiligte sich gleich nach der Wiedervereinigung an VN-Peacekeeping-Einsätzen – allerdings mit unbewaffneten Zivilkräften. Anfang des 21. Jahrhunderts stellte Deutschland nicht nur zivile sondern auch militärische Einheiten zur Verfügung. Das Engagement kann in ihren Anfängen als bescheiden beschrieben werden. Insgesamt bevorzugt Deutschland vom VN-mandatierte Einsätze, die anschließend von der EU oder NATO ausgeführt werden. Der MINUSMA-Einsatz ist somit eine Ausnahme und der zweitgrößte Auslandseinsatz der Bundeswehr. Der afrikanische Raum ist aufgrund seiner Fluchtbewegungen zu einem wichtigen sicherheitspolitischen Raum geworden. (vgl. ebd., S. 203f) Allerdings sind die Gründe für den Einsatz in Mali weiter auszuführen, da die Argumentation möglicher Fluchtbewegungen Lücken aufweist. (vgl. Mali: Konopka 2020) 5. Deutschland und der MINUSMA-Einsatz In den vorherigen Kapiteln sind die Bezüge der deutschen Sicherheits- und Außenpolitik zu den Vereinten Nationen bereits angeschnitten worden. Als Nächstes ist der MINUSMA-Einsatz aus einer politischen Perspektive unter Einbezug der Ziele Deutschlands zu charakterisieren und ein Ausblick auf das Ergebnis dieser Intervention zu geben. Die Bewertung des Einsatzes ist entscheidend, um den deutschen Einsatz nachzuvollziehen. 5.1 Motive für die Beteiligung am MINUSMA-Einsatz Die Intervention und Beteiligung Deutschlands am MINUSMA-Einsatz scheint sich nicht auf die Bekämpfung von Fluchtursachen zu beschränken (vgl. Mali: Konopka 2020 & Kaim 2021, S. 31). Weitere Motive sind aus Kapitel 4 abzuleiten und könnten, kombiniert aus dem Wunsch humanitäre Hilfe leisten zu wollen und die Position der Vereinten Nationen - und sich selbst im Internationalen System und den Multilateralismus - zu stärken, eine Begründungslage bieten. Sie wirkt jedoch unpräzise und bedarf genauerer Beschreibungen: Wie bereits beschrieben, ist Frankreich bereits 2013 dem Hilfegesuch der malischen Regierung gefolgt und musste anhand der realen Bedingungen ihre Ziele anpassen: Deutschland sollte dem engen Bündnis- und EU-Partner unter die Arme greifen. Die Bundesregierung gab zunächst lediglich unbewaffneten Kapazitäten Platz, ehe das Mandat langsam auf aktuell 1100 Soldat*innen aufgestockt wurde.Deutschland schien dabei die Vertiefung der Kooperation von EU-Staaten wie Frankreich und den Niederlanden als geeignete Gelegenheit. Ebenfalls ließ der Friedensvertrag auf weitere Stabilität im Land hoffen. Außerhalb der Bemühungen um die Partnerschaft ist für den Autor Konopka die Bewerbung Deutschlands für den nichtständigen Sitz im Sicherheitsrat (2019/20) ausschlaggebend gewesen.Die anfängliche Konzentration auf die europäische Mission EUTM Mali ging mit einer deutlichen Ausweitung auf die VN-Peacekeeping-Mission über. Außerdem, so der Autor, wäre Deutschland in der Bringschuld gegenüber den Teilnehmenden gewesen, da die Bundesrepublik in weiteren Missionen kaum bis gar keine Präsenz vorzuweisen hatte (bspw. EUMAM RCA oder EUTM RCA). (vgl. Mali: Konopka 2020) Kaim (2021) von der Stiftung Wissenschaft und Politik spricht von einem typischen Muster der deutschen Auslandseinsatzbereitschaft, erst durch Bündnisanfragen Einsatzkräfte zu mobilisieren. Aus dieser Sicht ist primär der Versuch, einen "europäischen Fußabdruck" (ebd., S. 12) im internationalen System zu hinterlassen, anzusehen. Allerdings wird auch hervorgehoben, wie die Bewerbung um den nichtständigen Sitz im Sicherheitsrat eine Intensivierung der deutschen Sicherheits- und Außenpolitik in den VN und besonders im afrikanischen Raum beinhaltete. (vgl. ebd., S. 12-20) Dadurch sind sechs Hauptmotive auszumachen, davon greifen manche weniger als andere: 1. Die Bündnistreue zu Frankreich 2. Die Ausgangslage durch die Münchner Sicherheitskonferenz (2014) 3. Das erweiterte Engagement Deutschlands in den VN 4. Der Versuch, eine europäische Handlungsfähigkeit zu demonstrieren. 5. Die regionale Sicherheit in Mali zu gewährleisten 6. Terrorismusbekämpfung und die Eindämmung von Fluchtbewegungen (vgl. ebd., S. 27-31) Die Punkte 4, 5 und 6 sind als Hauptmotivlage nachrangig einzusortieren; Punkt 5 wird anhand der deutlichen Zunahme an Instabilität den MINUSMA-Einsatz generell und die deutsche Beteiligung gezielt infrage stellen. 5.2 Bewertung des Einsatzes Die bisherige Bewertung des Einsatzes ist auf Grundlage der festgestellten Motive zu leisten, die eine detaillierte Rahmengebung vorgeben. In die Bewertung fließen themenbedingt erste wichtige Aspekte für das Abschlusskapitel ein. 5.2.1 Die Bündnistreue zu Frankreich Die Unterschiede in der strategischen Bewertung des Einsatzes der beiden Länder zeigt deutlich auf: Während Frankreich mehr militärisches Engagement erwartet und die Terrorbekämpfung in den Fokus stellt, steht die Bundesregierung der Friedenssicherung unter VN-Mandat näher, die die Terroristenbekämpfung explizit ausschließt. Festzuhalten wäre, dass die unterschiedlichen Herangehensweisen in Mali zwischen Frankreich und Deutschland differente Zielvorstellungen aufweisen und das gemeinsame Handeln konterkarieren. (vgl. Kaim 2021, S. 27f) Daraus ist ebenso die Frage zu stellen, ob die Bundesregierung das auslaufende Mandat (vgl. Mali: Konopka 2020) ausweiten, beibehalten oder beenden wird. 5.2.2 Die Ausgangslage durch die Münchner Sicherheitskonferenz Deutschland ist bis heute im MINUSMA-Einsatz tätig (2013-2022) und ist dem Bündnis- und langjährigen EU-Partner Frankreich nachgekommen (vgl. Mali: Konopka 2020). Das Engagement ist bis jetzt ausgeweitet worden und von einer anfänglichen Symboltruppe stehen im direkten Einsatzgebiet in Mali ca. 500 (vgl. MINUSMA Fact Sheet: United Nations 2022) und im erweiterten Einsatz ca. 1000 Soldat*innen (vgl. Personalzahlen der Bundeswehr: Bundeswehr 2022).Die Steigerung der Fachkräfte im MINUSMA-Einsatz ist als Intensivierung zu werten (vgl. Kaim 2021, S. 28). Dies kann als Beleg für die vertiefende Arbeit international angesehen werden, wie es zuvor auf der Münchner Sicherheitskonferenz 2014 skizziert wurde. Allerdings wären andere Erweiterungen der Tätigkeitsfelder im internationalen Raum und besonders in internationalen Organisationen denkbar und beinhalten nicht zwangsläufig die Intensivierung des MINUSMA-Einsatzes – gleichzeitig bietet das Einsatzgebiet ein robustes Mandat, also internationale Legitimierung, die für deutsche Auslandseinsätze mitentscheidend ist und einen multilateralen Raum, den die Sicherheits- und Außenpolitik favorisiert (vgl. ebd.).5.2.3 Das erweiterte Engagement Deutschlands in den VN Politisch und militärisch dürfte die Beteiligung Deutschlands am MINUSMA-Einsatz die Vereinten Nationen stärken (vgl. Kaim 2021, S. 28). Bei dieser Beteiligung ist mitunter auch deutlich, dass Deutschland nicht altruistisch, sondern auch im Sinne der im Kapitel 4.2 festgelegten Interdependenzen für den Erhalt der eigenen Sicherheit im Internationalen System handelt.Die Idee eines ständigen Sitzes im Sicherheitsrat gilt als unwahrscheinlich sowie der Reformvorschlag der 'Gruppe der Vier' (mit deutscher Beteiligung), der von den vielen Vorschlägen zur Veränderung des Sicherheitsrates zwar als angemessen erscheint, aber dennoch u. a. an den Veto-Mächten bisher scheiterte (vgl. Gareis & Varwick 2014, S. 308-311). Somit bleibt Deutschland lediglich die Kandidatur im SR als nichtständiges Mitglied, dem die Bundesregierung mit ähnlicher Argumentation und Engagement vermutlich in der nächstmöglichen Amtszeit nachkommen wird (vgl. Kaim 2021, S. 29). 5.2.4 Der Versuch, eine europäische Handlungsfähigkeit zu demonstrieren Die europäische Handlungsfähigkeit kann bereits unter Punkt 5.2.1 als inkonsequent bezeichnet werden. Außerdem sind europäische Kräfte an eigenen Missionen vor Ort gebunden und stellen im MINUSMA-Einsatz nicht die meisten Einsatzkräfte zur Verfügung (vgl. Kaim 2021, S. 29 & MINUSMA Fact Sheet: United Nations 2022). Von einer geschlossenen oder klaren europäischen Einheit kann nicht gesprochen werden, jedoch von einer klaren Beteiligung Deutschlands am Einsatz. 5.2.5 Die regionale Sicherheit in Mali zu gewährleisten Seit dem Friedensabkommen 2015 hat sich die Lage stetig verschlechtert und stellt die VN-Friedensmission insgesamt infrage. (vgl. Kaim 2021, S. 30) Weitere Problemfelder stellen gerade die Alleingänge der europäischen Länder an der MINUSMA-Mission dar, die bspw. auf die typischen Blauhelme und auf die VN-Farbgebung bei Fahrzeugen verzichten. Außerdem sind europäische Kräfte vornehmlich in als sicher geltende Einsätze gebunden und in anderen Stützpunkten als die restlichen Länder wie bspw. Ägypten untergebracht. (vgl. Mali: Konopka 2020) Das stellt die VN-geführte Friedensmission auch vor interne Probleme und kann die Handlungsfähigkeit sowie Moral der teilnehmenden Länder beeinträchtigen.5.2.6 Terrorismusbekämpfung und die Eindämmung von FluchtbewegungenDie Mission ist unter den Aspekten von Fluchtbewegungen bereits als vernachlässigbar (zumindest für Fluchtbewegungen nach Europa) klassifiziert worden (vgl. Kaim 2021, S. 30f). Außerdem wird wegen der Destabilisierung des Landes sogar mit weiteren Flüchtenden zu rechnen sein. Weiterhin ist die dynamische Situation in Mali undurchsichtig und schwer zu charakterisieren, inwiefern der Terrorismus Deutschland bedroht (vgl. ebd.) und inwiefern Dschihadisten mittlerweile als Hauptproblem angesehen werden können, wenn die malischen Sicherheitskräfte immer mehr in den Fokus von Korruption und Destabilisierung rücken (vgl. Mali: Konopka 2020). 5.3 Ausblick – Bleibt Deutschland im MINUSMA-Einsatz? Die Motive sowie deren Zielerreichung sind größtenteils als Fehlschlag zu werten und stellen als größten Erfolg die Arbeit in der internationalen Organisation, den Vereinten Nationen, heraus. (vgl. Kaim 2021, S. 31f) Dass nicht alle Ziele erreicht werden können, liegt mitunter an der multidimensionalen und dynamischen Situation vor Ort und an der Herausforderung, die den 'Neuen Kriegen' (vgl. Hippler 2009, S. 3-8) und das VN-Peacekeeping in der vierten Generation (vgl. Gareis & Varwick 2014, S. 119-127) kennzeichnen. Somit hängt das Engagement Deutschlands im MINUSMA-Einsatz von vielen Faktoren ab, die bspw. die öffentliche Meinung über Auslandseinsätze und die Beschaffenheit und Einsatzfähigkeit der Bundeswehr nach Etatkürzungen einschließen (vgl. Kaim 2021, S. 32). Wie die Einsatzkosten zeigen (s. Kapitel 3), sind das insgesamt beträchtliche Summen, die die Staatengemeinschaft – und anteilig Deutschland – aufbringen müssen.Während die Stiftung Wissenschaft und Politik noch von größeren Hürden diesbezüglich ausgeht (vgl. ebd.), ist durch den Einmarsch Russlands in die Ukraine ein Paradigmenwechsel mit ungeahnter Tragweite in der deutschen Sicherheits- und Außenpolitik möglich (vgl. Mehrheit unterstützt deutschen Ukraine-Kurs: Tagesschau 2022), der die Fortführung des VN-Peacekeepings neu bewerten wird. 6. Zusammenführung und Interpretation Unter dem Aspekt des VN-Peacekeeping wurden zuerst allgemeine Aspekte umrissen und die Forschungsfrage weiter ausgeweitet. Im Kern geht es um die Frage, wie Deutschland sich im 21. Jahrhundert mit seiner Sicherheits- und Außenpolitik im Internationalen System verortet und inwiefern dies als Erfolg angesehen werden kann. Letzteres ist nur unter bestimmten, einschränkenden Aspekten zu beantworten und ist mithilfe des MINUSMA-Einsatzes zu verorten. Deutschland positioniert sich offen und ernst zu den Vereinten Nationen und folgt dabei historisch gewachsenen Paradigmen und Erfahrungswerten (s. Unterkapitel 4.1): Daraus lassen sich die Bemühungen um einen ständigen oder nichtständigen Sitz im Sicherheitsrat und weiteres internationales Engagement wie im VN-Peacekeeping und somit die Beteiligung in Mali (MINUSMA-Mission) folgerichtig begründen.Deutschland hat ein nationales sicherheitspolitisches Interesse an einer Verregelung des anarchischen Grundzustandes, um die eigene Position darin zu stärken – Unsicherheiten also abzubauen (vgl. Gareis 2021, S. 58). Damit folgt die Politik nicht einer uneingeschränkten Idealismus-Denkschule und zeigt auch zweckrationale Positionen auf. Dennoch ist der MINUSMA-Einsatz in diesem Sinne als Misserfolg zu werten und zeigt besonders in den Bemühungen um Multilateralismus und einer Institutionalisierung des Internationalen Systems, hier in Form der Vereinten Nationen zu interpretieren, erwähnenswerte Erfolge auf (s. Kapitel 5).Die deutsch-französischen Beziehungen hingegen könnten insgesamt unter dem Konstruktivismus Betrachtung finden: Obwohl die strategische Ausrichtung beider Länder nicht immer im selben Verständnis verläuft (s. Kapitel 5), ist sehr wohl ein ernstzunehmender Konflikt zwischen den beiden großen europäischen Staaten nicht anzunehmen und die außerordentliche internationale Kooperation als erwähnenswert anzusehen. Aus der Ausarbeitung tritt ein Dilemma zutage, das wie folgt zu charakterisieren ist: Deutschland als Nationalstaat hat nur begrenzt Ressourcen und Möglichkeiten, die auch interessengeleitet begründet werden müssen. Deswegen ist ein Problem für Deutschland darin zu skizzieren und zu fragen, in welche internationale Organisation sie ihren weiteren Fokus legen wird. VN-mandatierte aber von NATO und EU ausgeführte Friedensmissionen werden bspw. bevorzugt, gleichzeitig wird eine Stärkung der Vereinten Nationen als Ziel formuliert (s. Kapitel 4).Investitionen in allen internationalen Organisationen bringen Deutschland in eine prekäre Situation, wie die Motivlage und die Ausgestaltung des MINUSMA-Einsatzes aufzeigt (s. Unterkapitel 5.2.5). Als Fazit ist festzuhalten, dass der MINUSMA-Einsatz einer oftmals bloßen Rhetorik zur Stärkung multilateraler Beteiligung grundsätzlich entgegenläuft und Deutschland zukünftig als ernstzunehmenden internationalen Akteur kennzeichnen könnte (vgl. Gareis 2021, S. 216). Prinzipiell kann zudem bestätigt werden, dass Deutschland am ehesten seine Fähigkeiten einbringen kann, wenn internationale Legitimation besteht (mit Blick auf das Grundgesetz und der eigenen 'Zurückhaltungs-Konstante'), Bündnis- und beteiligte Partner mit ihren Interessen zumindest kollidieren (vgl. ebd., S. 112) und Multilateralismus als Merkmal auftritt. Daraus lässt sich die Intensivierung in internationale Organisationen ableiten, weil es nachhaltig die Souveränität Deutschlands positiv beeinflussen kann (vgl. ebd.). So kann Gareis (2021, S. 93) zugestimmt werden, wenn er schreibt: "Sicherlich kann auch im Jahr 2020 festgestellt werden, dass Deutschland an seinen Bemühungen um eine Zivilisierung der internationalen Politik durch Regime und Institutionen festhält. Auch ist es seiner Bevorzugung von friedlicher Konfliktbeilegung und Kooperation vor der Machtpolitik sowie schließlich auch seiner grundsätzlichen Bereitschaft zur Übertragung von Souveränitätsrechten weitestgehend treu geblieben – wenngleich die mit dem Zivilmachtkonzept gern verbundene 'Kultur der Zurückhaltung' Ergänzungen durch die Verfolgung stärker nationaler Interessen erfahren hat." Der Ausblick ist jedoch unter der aktuellen Prämisse (s. Unterkapitel 5.3) unter Vorbehalt zu stellen und zeigt deutlich die Unsicherheiten auf, die der Grundzustand der Anarchie treffend formuliert und exemplarisch die angerissene Reformbedürftigkeit der Vereinten Nationen sowie die Handlungsunfähigkeit des Sicherheitsrats hervorhebt. Deutschland wird in jeglichem denkbaren Szenario eine größere Rolle in den Internationalen Beziehungen spielen: "Die Anforderungen an die multilaterale deutsche Außen- und Sicherheitspolitik werden also steigen, und neben dem vielbeschworenen Willen zur Übernahme von 'Verantwortung' wird auch die Bereitschaft zum personellen und finanziellen Engagement wie auch zur Übernahme ungewohnter politischer Risiken wachsen müssen" (Gareis 2021, S. 216) 7. Literatur Beckmann, H. (26.02.2022): Russlands Angriff auf die Ukraine. Europa hat einen neuen Feind. Online: https://www.tagesschau.de/ausland/europa/russland-krieg-europa-101.html [09.03.2022]. Bundesministerium der Verteidigung (2016): Weissbuch 2016. Zur Sicherheitspolitik und zur Zukunft der Bundeswehr. Online: https://www.bmvg.de/resource/blob/13708/015be272f8c0098f1537a491676bfc31/weissbuch2016-barrierefrei-data.pdf [09.03.2022].Bundeswehr (21.02.2022): Personalzahlen der Bundeswehr. Wie lauten die Einsatzzahlen. 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FEMALE REPRESENTATIVE AND RESISTANCE IN OKA RUSMINI'S EARTH DANCE Mita Hati Priyantini English Literature, Faculty of Language and Arts, Surabaya State University. Mitahati@rocketmail.com Mamik Triwedawati SS. M.Pd. English Department, Faculty of Language and Arts, Surabaya State University Abstrak Novel Earth Dance merupakan novel karya Oka Rusmini yang menyuarakan kaum subordinasi seperti wanita maupun queer. Dalam tesis ini, penelitian di lakukan terhadap dua tokoh representatif yakni Telaga sebagai tokoh utama dalam novel dan Kenten sebagai karakter queer. Dengan demikian, dapat di rumuskan tiga masalah yaitu (1) Bagaimana penggambaran representatif wanita dalam novel Earth Dance oleh Oka Rusmini; (2) Bagaimana representatif memimpin perlawanan dalam novel Earth Dance oleh Oka Rusmini; dan (3) Bagaimana dampak dari perlawanan terhadap tokoh-tokoh dalam novel Earth Dance oleh Oka Rusmini. Data dari tesis ini di ambil dari novel sebagai sumber utama dan membaca intensif untuk langkah berikutnya. Untuk menjawab semua masalah, penelitian menggunakan teori Feminisme untuk menggambarkan representatif dan perlawanan perempuan, baik penyebab dan dampakanya. Penelitian kepustakaan di gunakan sebagai data pendukung dalam analisis. Selanjutnya, deskripsi analisis di gunakan untuk menjelaskan hasil analisis. Setelah merumuskan tiga masalah dan langkah penelitian di atas, di temukan bahwa representatif wanita yang melakukan perlawanan di sebabkan karena adanya dominasi laki-laki yang meminggirkan wanita dalam konteks budaya Bali. Namun, pada akhirnya perlawanan wanita tetap mendapatkan hukuman dari para dewa yang harus di terima. Kata Kunci: wanita, representatif dan perlawanan. Abstract Earth Dance is novel by Oka Rusmini which championing the subordinate group such as woman or queer. In this thesis, the study is focused on two representative characters; they are Telaga as the main character and Kenten as a queer character in the novel. Thus, there are three problems which will describe in this study (1) how is female representative depicted in Oka Rusmini's Earth Dance; (2) how is female representative leads to female resistance in Oka Rusmini's Earth dance; and (3) how is the impact of female resistance in Oka Rusmini's Earth Dance characters. The data from this thesis are taken from novel as the main source and intensive reading for the next step. To answer the three problems, the research use theory of Feminism to depict female representative and resistance, whether the cause and impact to the doer. Library research is used as supporting data in analysis. Next is the analysis description used to explain the result of analysis. after the discussion the three problems above, the result is, that female representative did the resistance is because the male domination which subordinate them in the context of Balinese custom. Yet, in the end, these female resistance have to willingly accept their punishment from the gods. Key words : woman, representative and resistance. INTODUCTION The term of women derives from rakta swanita which means women's seed. Balinese custom were originates from Hinduism, in which the concept of Balinese women is contiguous as Hindu women; they are born, lived and are bound with their desa adat. The concept of of unity between men and women is called arddanisvarimurthi in which men and women are described to complete each other. While Balinese custom establish the joint responsibility of a marriage couple for sociopolitical and religious duties, the earlier ethnography of Bali has often associated men as the heads of the households with the role of representing households (Nakatani, 1997:727). Nakatani found that Balinese women have not only double but also triple roles. This research is done on women's roles in her family as a wife and mother, their social roles and a breadwinner in the custom. At the end, she calls Balinese women as wonder women. If super women are demanded to do their house chores as well as their career, 'wonder women' are demanded to do their role in desa adat as one of the characteristic of Balinese women. Bali which is known as the patriarchal system which oppressed women to will under men's dominance. Balinese custom arranged women to submissive to their husband though the women is in a high caste or lower caste status without a protest (Chaitanya, 2010:4-5). For Balinese women, the primary tasks are to produce a good quality children, fostering balance and harmony within family and to work as a family team in society/adat (Suyadnya, 2006:6). In the previous age, Balinese women are work in the house and made songket to earn more money and fulfill the household needs. Married women in Balinese have also roles in maintaining the ritual represented their household. They must take care of preparation and presentation of offering, ceremonial gift-giving and ritual assistance as their main task or they divide the certain task, especially the presentation of offering and gift-giving to their daughter or another female member in the house (Nakatani, 1997:736-737). Through Nakatani's definition of women, that the society prejudice women's main chores are to maintaining the household and take care of their family and it has become obstacles for their career. Most of Oka rusmini's works break taboo to tradition and vividly talking about body and erotic caused much controversy among her family, friends and even society who read her works. They might be disturbed, but she ignored. As an author, she can do something expressing her dissatisfaction, unhappiness and anxiety via the written words. Oka had produced three novel, collection of short stories and poetry, those are, Tarian Bumi (Earth Dance translated into English by Lontar foundation and German as Erdentanz), Putu Menolong Tuhan (Putu Helps His God, translated in English by Vern Cork), Sagra, Pemahat Abad (The Sculptor of the Century, translated in English by Pamela Allen), Tempurung, and Pattiwangi. In every her novels, poetry, and short stories, Oka Rusmini works are ingenious in the sense that focus almost solely on female characters and convey feminine perspective in a consistent and provocative manner. In addition to critiquing the caste system, which in her view is very much shaped and controlled by patriarchal system in Balinese Hindu, Oka depicts competition and tension among her main female characters, and this competition can often be fierce, sometimes even be violent. She explores without reservation the positive as well as the negative qualities of Balinese women from both social groups., but at the same time she never forget to reiterate that patriarchy bears the ultimate responsibility for the social problem related to the caste system. Based on background of the study above, it can be simplify the three problems which emerge as the discussion in this study. How is the female representative depicted in Oka Rusmini's Earth Dance? How does female representative leads to female resistance in Oka Rusmini's Earth Dance? How is the impact of female resistance in Oka Rusmini's Earth Dance characters? In analyzing the data, this study use the theory of feminism. The theory of female resistance contains the definition of female representative which leads to resistance and the impact to the main character in the novel. RESEARCH METHOD In carrying out the study, the library reasearch, which used for literary work deal with this study, is basically descriptive and qualitative research. Most of the data collected from many speech dialogue in Oka Rusmini's Earth Dance as the object analysis which define into twenty chapter in the novel. Earth Dance was firstly published by Indonesia Tera, Magelang, Indonesia in 2000 and was originally serialized in the newspaper Republika, 4 march-8 April 1997. The data is analyzed by using feminism criticism, which is why the librarian research is used as the method. Conducting this analysis will be used to answer the questions in the statement of the problems. The procedure of analysis divided as follows; (1) The first step is to collect data speeches, thoughts, and quotations which have relation to the discussion, (2) Then clasify the data of speeches, thought and quotations to the Telaga and Kenten as the object of analysis, (3) Selecting quotations of the data are finally analyzed by the theories that are mentioned above to describe the concept of female resistance, (4) The ideal characteristic of female resistance begins with the description of female in this novel in order to know what is the impact on Telaga's character as the main character through other characters, (5) Finally, to depict the characterization of Telaga and the impact of female resistance to indicate the significance of resistance in Telaga's personality, the analysis is done by the theories that have been mentioned in preeceding explanation. ANALYSIS The first question will be revealed the main problem that focuse on how female representative in Oka Rusmini's Earth Dance. In this discussion, the female representative divide into three sub-chapters; (1) Physical description of Ida Ayu Telaga Pidada as a brahmana, (2) physical description of Kenten as a lesbian character, and (3) diferentiate of language uses between brahmana and sudra. The second question will be revealed the second problem which focuse on how is female resistance in Oka Rusmini's Earth Dance. The discussion is emerge the main character rebells her own fate as a brahmana and female queer character who ignores the society which determine her as queer. The last question is, how is the impact of female resistance to the main character will be revealed by the discussion which divide into four sub-chapters; (1) punishment for rebel the caste system, (2) Telaga exilled from griya, (3) Telaga changing caste, and (4) Kenten isolated from society. Oka Rusmini's Earth Dance brings up the issues of gender and class-society. Narrated by Ida Ayu Telaga surrounded by four women who shapes Telaga's character and resist from her own custom, which in Telaga's mind was unfair. Telaga is a brahmana woman who feels trapped and unhappy with her own caste and custom. Her mother was a sudra who ambitious to married only to brahmana man. One the issue which cause problematic among woman is physical appearance. It is like that they were race as the most beautiful among others. Physical appearance of main character in Oka Rusmini's Earth Dance Telaga is describe as beauty as a goddess and belongs to brahmana. Made the other girls envy of her. When she was danced oleg, it had always been a public secret that nobody could surpass Ida Ayu Telaga Pidada. Oleg is a dance of love, a dance about delights of romance, about the beauty of courtship (Earth Dance, 2011:13). One of the prominently character named Kenten. She is a best friend of Sekar and also the female queer character. She is a commoner and living only with her mother. Her father was disappeared and doesn't mention in the novel. she was a woman with ten men power and well built phsically strong. Kenten realizes since the begining of her different in desire. Although, she has to play the role of woman, especially in every month when a blood flows between her two legs. She needs to cleanse her body every month. Language system to caste is describes in Oka Rusmini's Earth Dance in some of dialogues and monologue of Telaga's, as in evident in Telaga's speak as third-person narratives below: "Telaga considered him as an idiot, but an idiot who she had to approach with respectful titles: aji – noble father, or ratu – lord. He was a man without character; a man who could be proud of nothing but his masculinity. How could she trust him? As a child, Ida Ayu Telaga Pidada had ashamed to call him her respected father. Telaga's father had an Ida Bagus as a father and Ida Ayu as a mother, so people said his noble blood was of the very highest carat. And so, Telaga had to call this man she hardly knew "Ratu"." (P.17) Through the quotation above is proving that Language uses was strictly adhered by Balinese people. In the past infringement of these rules were harshly punished by fines and even debt slavery. Today, the extreme of language use have been largely abandoned because these sanction can no longer be applied. In Balinese caste system, everything has arranged even in the language uses. The Balinese language is itself a hierarchical, while most words have only one form and is thus insensitie to status; some 1,500 everyday words have two or more lexemes which are hierachically ranked and thus status highly sensitive. The basic rule is that the inferior must uses refined when speaking to a superior caste, whereas superior may use less refined to inferior caste (Howe, 2005:113). In Oka Rusmini's Earth Dance brings up the issues of gender and class-society. Narrated by Ida Ayu Telaga surrounded by four women who shapes Telaga's character and resist from her own custom, which in Telaga's mind was unfair. Telaga is a brahmana woman who feels trapped and unhappy with her own caste and custom. Her mother was a sudra who ambitious to married only to brahmana man. Throughout her entire childhood, Telaga witnesses the oppresive forces of adat and their impact on her mother, wondering if this is what it means to be a noble woman. She can only oppose the practice silently, asking herself many questions while watching the harsh life that her mother has to endure as an ex-sudra woman who has dared to enter the sacred brahmana realm. Telaga's own daily life is mostly confined by the griya walls and the complex rules that regulate her almost every move. Telaga's state of mind with regard to all these restriction is conveyed by free indirect speech. "Unfortunately, she could not enjoy that time for long. Telaga inevitably had to return this borrowed era to Life. She wished she could trick her way back into childhood, even just for a day or two. If only she could, she would grab that time and hide it so Life couldn't find it and ask Telaga for its return. But Telaga could not persuade all-powerful Life to compromise. Life insisted on the following of rigid rules: rules that could not be bent, even slightly." (P.57) The quotation blur's the narrator voice and what occur's in Telaga's mind. The narrator is involved emotionally in Telaga's lament concerning her lost childhood because of her noble status. Telaga is actually complaining about the gods' cruel decision to snatch her childhood so quickly from her, but such complain can only be uttered in the form of a monologue. And moreover, it is softened to the point that it sounds more like nagging than protesting, as if Telaga wants to be sure that it will not offend the gods. Differ from Telaga, Kenten is sudra and the queer character who has different desire for mostly normal women. in Oka Rusmini's Earth Dance who describe as a stubborn woman. No one dared to bother her. Like Luh Sekar, she disdains men, but whereas Luh Sekar is willing to use men to achieve her ambitions, Luh Kenten does not need men and never intends to marry one for any reason. The novel describes her as a lesbian. She feels sexually aroused by looking at Sekar's naked body, but develops an aversion towards her own feminine body. As the result of resistance, female representative in the novel are willingly to receive the consequences of their desire against the rules. The main characters in the novel; Telaga and queer character; Kenten, are the most impacted because of their desire to resistance from the persistent custom which subordinate them. The consequences which had to be submissive by Telaga and Kenten will impact on their entire life. Delueze explain that power do not repression of desire, instead it is the expansion of desire (Colebrook, 2002:91). Ideology is take the concepts of how individual acts against their interest. Colebrook framed that feminity seen in the Jane Austen's or any novelistic composition of character describes on the fabrics, skin colour, gestures, rhythms of speech and body parts – the thiness of waist which it is become the misspresented of ideological stereotypes of woman. Woman is a group of socialy coded affect and intensities that have gone into making up the image of personhood (Colebrook, 2002:93). It is the law of Balinese hinduism if a noble woman who marry man bellow their caste will be exilled from her house. She no longger posses nobility and she cann't posses everything from her former house. Her child will be her husband caste (Avelling, 2006:2). Telaga and Wayan couldn't bear the feelings any longer even they tried harder to ignore it. So, they decide to face every risk which confronts them. Begin with Telaga who exilled from griya and do not allowed to bring anything from her former house. She her child must join to Wayan's caste as a sudra and living with her mother-in-law who opposes her marry to her only son. Yet, because Telaga is no longer a brahmana, she must address everyone in griya with the highest title – Ratu. The worst of it, Wayan found dead in his studio. Telaga had to endure Wayan's mother and sister who since begining didn't accept she coming to their house. Luh Gumbreg who realize that Telaga didn't get blessing from her family before she married with Wayan, ask Telaga to held pattiwangi ritual. The ritual which is remove the noble status from noble woman who marry a commoner. The ritual is also become the reminder for the others noble women to not do the same thing as Telaga. CONCLUSION Oka Rusmini is a Balinese writer who assert Balinese tradition in every her novel. Earth Dance is one of her novel which brings up the issue of female representative who resist against subordination. The main character, Ida Ayu Telaga as the narrator, represent female in high class-caste society who against the people grouping in Hinduism. Divide people into four categories and determine them based those categories. The higher the class-caste, the more they receive privilages and subordinate the lowest caste. While, the queer character – Kenten as a commoner must facing society's judge because her queerness. Both Telaga and Kenten who are representative their female in Balinese society and resist with their own ways. Telaga choose to betray her caste by marrying a commoner – Wayan Sasmita, and receive insult whether from people in griya even her own mother and from Wayan's family. She is no longer a noble woman, instead she is a commoner such her husband. Her child also bear the caste of her husband as a commoner. Through Telaga's action, she unintentionally purify her mother's past mistake by marry a brahmana man. Kenanga who was a pragina is a sudra who ambitious marry only to a brahmana man, after she finally marry Ida Bagus Tugur – Telaga's father, she never living a peace. Ida Bagus Tugur was marry Kenanga only to posses Kenanga's body. Differ from Telaga, Kenten as a female queer resist from her society by ignoring people's jugdements. Kenten is Kenanga's close friend. They become closer because of people in the village consider them as a shame. Since Kenanga was kid, her father caught for joining the Communist party, and since then people judge her as a communist's daughter. Kenten who desire for Kenanga's body could only keeping a secret for herself. No one she could confide in, although everybody in the village knews her intimacy with Kenanga. It can be conclude that female representative in Oka Rusmini's Earth Dance resist from rules that subordinate them. The rules which determine them to be truely woman who submissive to their husband and family. A woman who strong and balance the household. As the consequences of their resistance, they should abandon and willingly receive what destiny determine them according to the Balinese Hinduism law. REFERENCES Andrini, Susi. 2003. "Oka Rusmini's Pen Breaks Tradition". Dalam The Jakarta Post, 24 Januari. Jakarta. Blair, Emily. 2007. Virginia Woolf And The Ninetenth-Century Domestic Novel. New York: New York Press. Colebrook, Claire. 2002. Routledge Critical Thinker: Gilles Delueze. London: Routledge Darma Putra, I Nyoman. 2011. A Literary Mirror: Balinese reflections on modernity and identity in the twentieth century. Nethrlands: KITVL Press. Howe, Leo. 2005. The Canging World of Bali Religion Society and Tourism. Abingdon: Routledge. Morton, Stephen. 2003. Routledge Critical Thinker: Gayatri Cakravorty Spivak. London: Routledge. Homer, Sean. 2005. Routledge Critical Thinker: Jacques Lacan. Abingdon: Routledge McAfee, Noëlle. 2004. Routledge Critical Thinker: Julia Kristeva. London: Routledge Salih, Sara. 2002. Routledge Critical Thinker: Judith Butler. London: Routledge. Thornham, Sue. 2000. Feminist Theory and Cultural Studies: Stories of Unsetted Relation. Terjemahan Asma Bey Mahyudin. Yogyakarta: Jalasutra. Internet Source: Nakatani, A. 1997. Private or Public?: Defining Female Roles in The Balinese Ritual Domain. Southeast Asian Studies, (Online), Vol 34, Nomor 4, (http://repository.kulib.kyotou.ac.jp/dspace/bitstream/2433/56616/1/KJ00000131966.pdf?origin=publication_detail diakses 12 Februari 2014). Wayan Suyadnya, I. 2006. Balinese Women and Identities: Are They Trapped In Tradition, Globalization Or Both?, (Online), (http://qjournal.co.id/new/index.php/paper/1598/balinese-women-and-identities-are-they-trapped-in-traditions-globalization-or-both-, Diakses 12 Februari 2014). Bell, Millicent. 1986. Female Regional Writing: An American Tradition. Revue française d'études américaines, (Online), No. 30, (http://www.jstor.org/stable/20873460, diakses 26 Januari 2014). Zatlin, Phyllis, 1987. Women Novelists in Democratic Spain: Freedom to Express the Female Perspective. Anales de la literatura española contemporánea, (online), Vol. 12, No. 1/2, (http://www.jstor.org/stable/27741803, diakses 26 Januari 2014). Rodgers, Audrey T. 1979. Images of Women: A Female Perspective. College Literature, (online), Vol.6, Nomor 1, (http://www.jstor.org/stable/25111245, diakses 26 Januari 2014). Peacock, Martha M. 1993-94. Geertruydt Roghman and the Female Perspective in 17th-Century Dutch Genre Imagery. Woman's Art Journal, (online), Vol. 14, Nomor 2. (http://www.jstor.org/stable/1358443, diakses 26 Januari 2014). Niehof, A. 1998. The changing lives of Indonesian women; Contained emancipation under pressure, (online), (http://www.kitlv-journals.nl, diakses 12 Februari 2014).
The Chameleon Literary Journal has served as Norwich University's arts and creative writing magazine since 1961. Under the mentorship of its advisor Professor Sean Prentiss, third-year student Lydia Brown analyzed all past publishings in order to understand the extent to which Norwich University students represented LGBTQ+ members, people of color, and women throughout the years. This internship also allowed her to explore the overall history of The Chameleon Literary Journal, including its distinct differences from era to era. As the final product, such findings were accumulated over the course of a single semester and comprised into the following written report. ; Winner of the 2022 Friends of the Kreitzberg Library Award for Outstanding Research in the University Archives category. ; Brown 1 Looking Back on the Representation of LGBTQ+ Members, People of Color, & Women An Analysis of The Chameleon Literary Journal, 1961 — Present Lydia Brown Department of English & Communications, Norwich University EN 415: English Internship Professor Sean Prentiss Fall 2021 Brown 2 Abstract The Chameleon Literary Journal has served as Norwich University's arts and creative writing magazine since 1961. Under the mentorship of its advisor Professor Sean Prentiss, third-year student Lydia Brown analyzed all past publishings in order to understand the extent to which Norwich University students represented LGBTQ+ members, people of color, and women throughout the years. This internship also allowed her to explore the overall history of The Chameleon Literary Journal, including its distinct differences from era to era. As the final product, such findings were accumulated over the course of a single semester and comprised into the following written report. Brown 3 The Chameleon | 1961 - Present Brief Historical Background Founded in 1961, The Chameleon Literary Journal continues to serve as Norwich University's arts and creative writing magazine under a team of student editors. Norwich University undergraduate and graduate students are welcome to submit various pieces for review, such as visual arts, drama, poetry, creative nonfiction, and fiction. Sean Prentiss, a published author and professor of creative writing, was selected to be the advisor of the journal when he arrived on campus in 2012. Since his arrival, he has assisted the journal in becoming multilingual by translating students' creative writing pieces into multiple languages. In addition, three-four creative writing awards are issued annually to writers who distinguish themselves amongst the rest of the student body. Brown 4 Introduction Significance of Representation Representation is a system for unambiguously organizing values, ideas, and conduct — all of which enable communication and social exchange amongst members of a particular group or community. From birth onward, an individual's self-c 1 oncept and values are affected by the surrounding environment. Adolescence is an especially critical period for identity development as the classroom serves as the primary site of socialization, although the American K-12 and college school systems have previously marginalized students who were perceived as different. Women are also encouraged from an early age to adhere to the traditional role of a homemaker, rather than pursue vocational training, higher education, and careers in STEM. As the reader will observe in the following excerpts from The Chameleon Literary Journal, Norwich University is no stranger to marginalization as women were not officially admitted for enrollment prior to the mid-1970s. Telltale signs found in the language used by Norwich student contributors indicate that slurs, stereotypes, and insults used against minorities and women were normalized for much of the Chameleon's history. It was not until the early 2000s that there appears to be a significant social shift within the student body due to the increasing presence of minorities and women on campus. Based on these findings, American society seemed to finally be becoming more inclusive, allowing minority Norwich students to express themselves freely, develop social stability, and gain a sense of acknowledgment through positive identity formation as well as representation. 1 "APA Dictionary of Psychology." American Psychological Association, https://dictionary.apa.org/social-representation. Brown 5 Baby Boomers | 1946 - 1964 Brief Historical Background Following World War II and the Great Depression, a significant spike in birth rates occurred throughout the United States. Approximately 76.4 million babies were born over the course of these nineteen years. Most historians claim that this phenomenon stems from the general population's desire to establish their own families — an undertaking that was previously postponed due to World War II. The Servicemen's Readjustment Act also gave soldiers an additional reason to have larger families as the G.I. Bill granted stipends for college tuition, job-finding assistance, and housing expenses. During this time period, economic growth began to increase and the majority of Americans had an optimistic outlook for the future. This encouraged families to relocate from the sparse countryside to the bustling atmospheres of nearby cities. Once these cities were overcrowded by newcomers, plans for large residential communities were undertaken by housing pioneer William Levitt who created the suburbs as a result.2 However, those with xenophobic tendencies followed quickly relocated to the suburbs as cities became miniature melting pots of integrated immigrants with various political, social, and economic backgrounds. This sparked disputes among the American people as legalized statutes remained persistent in enforcing segregation at both the state and local capacity.3 2 Nohria, Nitin, Anthony Mayo, and Mark Benson. "William Levitt, Levittown and the Creation of American Suburbia." Harvard Business School Case 406-062, December 2005. (Revised March 2010.) 3 The first three years of the Chameleon were released during the Baby Boomers generation but were mostly written by students who were born during the Silent Generation (1928-1945). Brown 6 Baby Boomers Overview of Significant Events • Brown v. Board of Education becomes a landmark Supreme Court case (1954). • Civil Rights Movement begins (1954). • Rosa Parks refuses to give up her seat to a white man on a public bus (1955). • Montgomery Bus Boycott tackles segregation on the public transit system (1955). • Emmett Till, a 14-year-old African American, is lynched in Mississippi (1955). • 1956 Sugar Bowl becomes the first integrated college football game in the South (1956). • Civil Rights Act becomes the first federal civil rights legislation since 1875 (1957). • Little Rock Crisis prevents students from enrolling in a racially segregated school (1957). • Greensboro sit-ins initiate protests regarding the South's policy of segregation (1960). • Nashville sit-ins initiate protests regarding the South's policy of segregation (1960). • Gay Liberation Movement begins (1960). • Alliance for Progress initiates improved economic cooperation with Latin America (1961). • Katherine Johnson assists NASA's 1962 Friendship 7 Mission (1962). • Civil Rights Act establishes federal inspection of voter registration polls (1960). • Children's Crusade addresses segregation within the school system (1963). • Martin Luther King Jr. leads the March on Washington (1963). • Betty Friedan publishes The Feminine Mystique (1963). • President Johnson proposes the Great Society to combat poverty and racial injustice (1963). • Civil Rights Act outlaws discrimination based on race, religion, and sex (1964). Brown 7 Baby Boomers The Chameleon Highlights "A young woman driving a truck!? That was unusual, no doubt about it…Stupid woman, all guts, and no brains! … Maybe you can imagine what went on inside the young man when an officer stopped him and hurriedly said; Never mind, mister, there's nothin' you can do, she's dead, just some dirty n***** woman truck driver" (1963). 4 —- An excerpt from "The Wanderers" by R. Reid The use of profanities towards both people of color and women appears to be a commonality amongst Norwich student contributors from the Chameleon's founding in 1961 through much of the decade. In this short story, "The Wanderers," terms such as stupid and dirty are used to target a woman of color for being a trucker. The author continues to expand the character's description by using calling the woman the N-word. Deriving from the Spanish word negro, the N-word is now considered taboo as its connotation has been predominantly used by white people to demean those of color. Black social identity has been especially damaged by the usage of this word as it severs their overall sense of national belonging. 5 4 Complete usage of the word is censored in respect of the black community. 5 Pryor, Elizabeth Stordeur. "The Etymology of N*****: Resistance, Politics, and the Politics of Freedom in the Antebellum North." Colored Travelers: Mobility and the Fight for Citizenship before the Civil War, 2016, https:// doi.org/10.5149/northcarolina/9781469628578.003.0002. Brown 8 "…I saw everything. The city has been purified, swept clean, and now fosters only the black scars and in glorious moments of the past…You liar! You had to see the city die! You had to see it spill its false entrails out in the rotten streets to be devoured by the cleansing fires. This place is no longer dirty…" (1961). —- An excerpt from "The Dream Monger" by Anonymous In this short story, "The Dream Monger," the phrase cleansing fires reveals itself to be the cause of death and destruction. Like the Holocaust, mass genocides often surround ideologies associated with ethnic cleansing. This allows for a geographical area to become ethnically homogeneous under an establishment of power. In 20th-century America, for example, Anglo- American colonialism constituted the genocide of countless Natives in America and around the world. Such events will never be widely coined as genocide, however, due to the number of those who survived exploitation, disease, malnutrition, and neglect. 6 The term black scars also leads to further speculation that this short story may involve post-slavery events of America's racial segregation system. One of which included the Tulsa race massacre, decimating the Black business ecosystem and killing 6,000 community members. 7 Many other excerpts were found focusing on a more negative portrayal of the BIPOC community and women, although there was no mention of LGBTQ+ members.8 6 Anderson, Gary C. Ethnic Cleansing & the Indian: The Crime That Should Haunt America. University Of Oklahoma Press, 2015. 7 Kapadia, Reshma. "The Tulsa Massacre Left a Lasting Impact on Wealth." Trade Journal, vol. 101, no. 22, 31 May 2021. 8 Many other excerpts were found focusing on a more negative portrayal of the BIPOC community and women during this time. However, there was no mention of LGBTQ+ members. Brown 9 Generation X | 1965 - 1980 Brief Historical Background Those who grew up during this time were accustomed to having a sense of independence from an early age. This was caused by the increased divorce rates throughout the United States, the unique dynamics of single-parent households, and dual-income parents who were not able to spend as much time at home. Most parents found a life-long career in computers, business management, construction, or transportation. Although routinely working long hours, they still managed to find a healthy balance between exhibiting their creative freedoms within the workplace and maintaining personal relationships with their children. Also referred to as latchkey kids, Gen Xers often spent their downtime conversing with friends via email, channel surfing on the television, or playing video games. They also seemed to have a deep interest in musical genres associated with social-tribal identities, including punk rock and heavy metal. This meant that music became an important self-identifying factor, even influencing the type of attire an individual wore on a daily basis. In the 1960s and 1970s, a countercultural movement known as the hippie era catalyzed other self-identifying factors — especially for those who identified as members of the LGBTQ+ community. American writer Allen Ginsberg formed the core of the movement as he openly opposed all military efforts, sexual repression, and capitalism.9 Ginsburg also identified as gay, serving as positive a role model for members of the LGBTQ+ community and allies alike. 10 9 Silos, Jill Katherine. "Everybody Get Together: The Sixties Counterculture & Public Space, 1964-1967." University of New Hampshire Scholars' Repository, 2003. 10 Eleven years of Chameleon issues were released during Generation X but were mostly written by students who were born during the Baby Boomers generation (1946-1964). Brown 10 Generation X Overview of Significant Events • Selma to Montgomery marches promote voting rights for African Americans (1965). • Thurgood Marshall becomes the first African American Supreme Court Justice (1965). • Immigration & Nationality Act outlaws de facto discrimination against immigrants (1965). • Voting Act outlaws racial discrimination in voting (1965). • Malcolm X is assassinated (1965). • Watts Riots occur in light of Marquette Frye's arrest (1965). • Nation Organization for Women is established (1966). • American Indian Movement is founded (1967). • Detroit Riot sheds blood between black residents and the Detroit Police Department (1967). • Martin Luther King Jr. is assassinated (1968). • Fair Housing Act outlaws discrimination regarding housing (1968). • Shirley Chisholm becomes the first black woman elected to Congress (1968). • East Los Angeles Walkouts are organized by Mexican American students (1968). • Stonewall Riots call for LGBTQ+ members to respond to police raids (1969). • Swann v. Charlotte-Mecklenburg becomes a landmark Supreme Court case (1971). • AIM protests against injustice under law enforcement towards Native Americans (1972). • Roe v. Wade becomes a landmark Supreme Court case (1973). • Billie Jean King wins the "Battle of the Sexes" tennis match (1973). • Beverly Johnson becomes the first black model on the cover of Vogue (1974). Brown 11 Generation X Relevance to The Chameleon "The pedestrian Walks, talks, and discriminates On such vital and valid criteria as Color, breeding and religion. Sees sex, and is offended. Grows indignant. Has a firm conviction that freedom of speech sometimes goes too far When it lets Martin Luther King "cause trouble" and "incite" riots" (1965). —- An excerpt from "The Pedestrian" by Jacob Sartz Unlike most pieces of writing from the 1960s publishings, this free verse poem seems to call out the discriminatory tendencies of others. The author especially targets any person whose ideologies are rooted in racism, sexism, and other gateways leading to unequal treatment. By labeling them as the pedestrian, such subtlety creates an effect where anyone can be the principal character and thus the reader may begin to question their own actions. As the author begins to shift towards a more political ambiance, African American activist Martin Luther King Jr. is mentioned. From the pedestrian's perspective, however, King is known to overstep the principle of free speech with the exception of cases where it benefits the white majority. Brown 12 "He had gone through a variety of different girls in the next six years, and he had accumulated an assortment of different names in his address book, including a few of the local sweethearts that he'd called up in dire sexual emergencies… When he had heard that his little "streetlight girl" had been married, he put a check next to her name in the book as he had done for several other old flames that had been put out of commission for one reason or another. He thought of her a little while after that, but closed the book as he had always done" (1970). —- An excerpt from "The Street Light" by Paul LeSage Unlike our example directly above, there are several alarming factors sprinkled throughout this short story, revealing how a man uses the sexual objectification of women to his advantage. The man's use of an address book further proves this implication as the women he has been sexually involved with are jotted down in writing. Visually speaking, the reader may think of a grocery list or an inventory of stock goods when it comes to the address book's description. The man proceeds to check off the women who no longer sexually benefit him all while refusing to use their real names, ultimately dehumanizing them in the process. This allows the reader to further explore the harmful effects of sexual objectification, pushing them to decipher the differences between sex and sexualizing.11 11 Many other excerpts were found focusing on a more negative portrayal of the BIPOC community and women during this time. However, there was no mention of LGBTQ+ members. Brown 13 Generation Y | 1981 - 1996 Brief Historical Background Many of those who were either born into this generation or lived through it prioritized their careers and personal interests above marriage. This means that they were having fewer children than their predecessors. Like Gen Xers, Millenials were known to be tech-savvy with a specific preference to communicate through email or text. MTV brought them further reason to enjoy screen time when the cable channel was launched in 1981. Originally created to showcase music videos, MTV quickly moved to television personalities. Michael Jackson, for example, served as the precedent for television personalities and leading artists, topping the charts throughout the duration of the 1980s. He eventually became one of the most well-loved television personalities who dedicated much of his offscreen time to charitable efforts. Prince, Whitney Houston, Diana Ross, and many others followed closely behind. Based on the increased media representation of minority artists, it's safe to say that this particular time frame allowed for people of color to debut their own music videos for the first time. This urged the public to gravitate towards soul music and R&B, marking the start of this generation's willingness to embrace black creators. Alongside music, technological advances in STEM were budding with breakthroughs. Women paved the way towards many of these breakthroughs under large startups and federal organizations, inspiring younger girls to do the same through higher education. 12 12 Eighteen years of Chameleon issues were released during Generation Y but mostly written by students who were born during Generation X (1965-1976). Brown 14 Generation Y Overview of Significant Events • Asian American/Pacific Islander Heritage Week is implemented in May (1979). • Boston African American National Historic Site is established (1980). • AIDS Epidemic begins, causing numerous deaths in the LGBTQ+ community (1981). • Sandra Day O'Connor is nominated as the first female Supreme Court Justice (1981). • Federation of Survival Schools leads legal education seminars for Native students (1984). • Ellison Onizuka, the first Asian-American in space, dies in the Challenger disaster (1986). • Minneapolis AIM Patrol refocuses on protecting native women in Minneapolis (1987). • Sally K. Ride becomes the first American woman in space (1983). • Susan Kare made typeface contributions to the first Apple Macintosh (1983). • Michael Jordan is named the NBA's "Rookie of the Year " (1985). • Nadia Perlman invents the spanning-tree protocol (1985). • Carole Ann-Marie Gist becomes the first African American to win Miss USA (1990). • Freddie Mercury dies from AIDS (1991). • Rodney King is brutally beaten by LAPD officers (1991). • AIM revives the Sun Dance ceremony in Pipestone, Minnesota (1991). • Los Angeles Riots result in numerous deaths and $1 billion in damage (1992). • Mae Jemison becomes the first African American woman in space (1992). • National Coalition in Sports & Media Forms is established by native leaders (1992). • "Don't Ask, Don't Tell" bars the LGBTQ+ community from military service (1993). Brown 15 Generation Y Relevance to The Chameleon "I slowly adapt myself to another man's world, But I soon realize that my character is a reflection Of a foreign spectrum I see myself through another man's eyes, My words come from another man's mouth, And my ideals are relocated from another man's mind" (1980). —- An excerpt from "A Nostalgic Experience" by Noble Francis Allen America's social construction has continued to uphold whiteness throughout the duration of its history, while people of color must condition themselves to that of the norm. In this case, the author speaks in the first person, signifying their position as the principal character who is faced with having to mirror the way others perceive the world. This implies that the narrator may have had a weakened sense of self-identity at the time this poem was written. Self-identity is an especially important feature as it consists of the traits, characteristics, social relations, and roles that define who one is. An individual's racial and ethnic 13 background is also included within the same realm due to the distinguishment of their given group's cultural values, kinship, and beliefs.14 13 Oyserman, Daphna, and George Smith. "Self, Self-Concept, and Identity." Handbook of Self and Identity, edited by Kristen Elmore, 2nd ed., The Guilford Press, New York, NY, 2012, pp. 69–104. 14 Woo, Bongki, et al. "The Role of Racial/Ethnic Identity in the Association Between Racial Discrimination & Psychiatric Disorders: A Buffer or Exacerbator?" SSM - Population Health, vol. 7, 7 Apr. 2019, p. 100378., https:// doi.org/10.1016/j.ssmph.2019.100378. Brown 16 "Across his back is a deerskin quiver, and in the quiver, there are seven feathered arrows. Gripped in his sweaty palm is an oak bow. A golden-handled sword, whose blade is as long as a man's leg, hangs from his waist. Its once binding shine has been replaced by a thick coat of blood. His skin is the color of golden honey, and his hair is the reflection of yellow sunshine… A woman emerges from the foliage of the wildwood. Warm sunshine gleams off of browned skin. Raven-black hair drops over a slender neck, and ends upon soft shoulders. Unsuspecting almond-eyes gaze wildly at the sky. She is nude. Her breasts are round, full, and tipped with chocolate nipples. A thin waist gives way to broad hips, and eventually slender legs" (1980). —- An excerpt from "A Blind Odin" by Mitchell T. Kubiak This short story, "A Blind Odin," depicts a deep contrast between the description of a man and the description of a woman. The man embodies characteristics associated with a skilled hunter, such as strength and courage. The woman, however, is only described based on her physical features, all of which seem to align with the male gaze. For those who are not familiar with feminist theory, the male gaze is perceived from a masculine heterosexual perspective with aspects of voyeurism, objectification, fetishism, and scopophilia attached.15 Further descriptions of the woman's bodily proportions also suggest clues about the author, although it is crucial for the reader to understand that Norwich University had very few female candidates at the time this short story was written. 16 15 Snow, Edward. "Theorizing the Male Gaze: Some Problems." Representations, vol. 25, 1989, pp. 30–41., https:// doi.org/10.2307/2928465. 16 Many other excerpts were found focusing on both positive and negative portrayals of the BIPOC community and women during this time. However, there was no mention of LGBTQ+ members. Brown 17 Generation Z | 1997 - 2009 Brief Historical Background Gen Zers are the first to experience technological advances from birth onward. Once the majority reached adolescence, it became evident that there was a growing demand for portable devices. Although the first smartphone was released by IBM during the early 1990s, its overall bulkiness and poor battery life were not ideal for communication lines. Apple has since become the most popular phone brand in the United States. It also helped that the company released the iPod, a portable music device with, at the time, the ability to store over 200 songs. The same year also marked the events of several terrorist attacks on September 11th. Two jet airliners shattered the Twin Towers of the World Trade Center in a series of terrorist attacks, killing nearly 3,000 people and injuring twice as many. Those responsible were later identified as members of al-Quaeda, a militant Islamist organization led by Saudi Arabian terrorist Osama bin Laden. Life became all the more difficult for Muslim Americans as they continuously experienced the dangers of Islamophobia on a daily basis. Such dangers surrounded an ongoing spike in hate crimes, ranging from cold-blooded murder to vandalism of places of worship. Even when there was a slight decline in hate crimes years later, Muslim Americans continued to struggle with employment discrimination. Many of those who practiced Islam were either laid off or turned away during the hiring process for reasons directly relating to their religion. By the end of Generation Z, religion no longer served as a determining factor during the hiring process and diversity became a primary focus in the workplace. 17 17 Thirteen years of Chameleon issues were released during Generation Z but were mostly written by students who were born during Generation Y (1977-1995). Brown 18 Generation Z Overview of Significant Events • Gary Locke becomes the first Asian American governor of a mainland state (1996). • Kalpana Chawla boards Columbia as the first woman in space of Indian origin (1997). • Serena Williams wins the U.S. Open Women's Singles Tennis Championship (1999). • Maurice Ashley becomes the world's first black Grandmaster in chess (2000). • Permanent Partners Immigration Act is introduced to Congress (2000). • Equality Mississippi is founded as an LGBT civil rights organization (2000). • Millennium March on Washington raises awareness of LGBT issues (2000). • Elaine Chao is selected as the first Asian American to be Secretary of Labor (2001). • Patriot Act allows the indefinite detention of immigrants and warrantless searches (2001). • Cincinnati-based riots spark unrest following Timothy Thomas' death (2001). • Balbir Singh Sodhi's death is deemed the first fatal act of violence as a result of 9/11 (2001). • Dennis Archer becomes the first African American to be President of the ABA (2002). • Goodridge v. Dept. of Public Health becomes a landmark Supreme Court case (2003). • Grutter v. Bollinger becomes a landmark Supreme Court Case (2003). • Same-sex marriage is first legalized in the state of Massachusetts (2004). • Del Martin and Phyllis Lyon are wed, becoming the first legal same-sex marriage (2004). • Condoleezza Rice is named the first black woman to be Secretary of State (2005). • Nancy Pelosi becomes the first female Speaker of the U.S. House of Representatives (2007). • Barack Obama is elected as the first African American to hold office (2009). Brown 19 Generation Z Relevance to The Chameleon "You called me a fa***t and said no one would love me But I am here to say what goes around comes around And now it's your turn to get knocked down" (2004). —- An excerpt from "The Bastard Son" by James A. Hoffman Now used as a slur in reference to homosexual men and boys, the term fa***t has its own unique origin. The term's former use in the Norwegian dialect was originally emplaced to describe a bundle of firewood. Because these bundles were large in size, the term eventually moved towards describing heavyset women who were often seen as slovenly and thus placing them near the bottom of all social classes. When British English ha 18 d made a far greater influence on the Scandinavian languages, the term was combined with bugger, also known as a person who engages in anal or oral sex. Premodern Europe was known to persecute heretics during this time, including homosexuals, as they did not conform to the belief systems of the Church. 19 This short story, "The Bastard Son," is one of the first positive representations of LGBTQ+ members found in the Chameleon as the narrator gains the courage to speak against negative attitudes and feelings surrounding the LGBTQ+ community. 18 Johansson, Warren. "The Etymology of the Word 'Fa***t'." William Percy. 19 Karras, Ruth Mazo. "The Regulation of 'Sodomy' in the Latin East & West." Speculum, vol. 95, no. 4, 2020, pp. 969–986., https://doi.org/10.1086/710639. Brown 20 Generation Z Relevance to The Chameleon "Mother, you are the greatest woman I know. I have based my life upon yours, all the great things you have done and all the obstacles that you were able to overcome; the thing that I admire most about you is the fact that you were a single mother of four and didn't need a man's help, but I always knew that was a great challenge for me, in this world that is much too different from the one that you grew up. To me, that was the greatest obstacle that you conquered" (2004). —- An excerpt from "Mother's Love" by A.M.T Lebron In this dedication, "Mother's Love," the author retrieves past memories in writing to celebrate their mother. It is not often that Norwich student contributors write about the entailments of motherhood. Although it remains unclear whether the author's mother was divorced, widowed, or remained unmarried, the family has a relentless source of love for one another and proceeds to use their shared affection to overcome challenges. Such challenges include economic hardships and increased states of stress as a single mother often relies on one source of income. There is also reason to believe that those raised in similar households develop a sense of independence resembling that of their mother. Some may even develop additional 20 internal resources that will allow them to construct their own identity far from the gender roles typically seen within the American household. 21 20 Kinser, Amber E. Motherhood & Feminism. Seal Press, 2010. 21 Many other excerpts were found focusing on both positive and negative portrayals of minority communities and women. Brown 21 Generation Alpha | 2010 - Present Brief Historical Background Many of those who are either born into this generation or currently living through it witness technological advances at an accelerating rate to the extent of replacing the previously known means of childhood entertainment with mobile devices and streaming services. The dawning of this generation also brought Instagram, the most frequently preferred social media platform to date. The thought of having children was generally delayed across the United States following the economic crisis of 2008, while young adults reportedly dealt with increasing stress from education debt. Following the economic crisis of 2008, it is not uncommon for young adults to deal with increasing stress from education debt. Many Gen Zers who previously planned on extending their families during this time were also affected as financial worries prevented them from having children. In 2020, the COVID-19 pandemic caused further economic turmoil when small businesses had to close down to prevent the spread of the virus. Those who were employed under larger corporations, however, moved their offices to home. Between dual-career families and remote work, the boundaries separating professional and personal life became blurred. 22 Such challenges have proved that the young faces of Generation Alpha are capable of resilience, utilizing their own diverse backgrounds to tackle the more difficult questions. This includes advocating for fairness in all aspects of society and questioning the validity of gender. 22 Jha, Amrit Kumar. "Understanding Generation Alpha ." OSF Preprints, 20 June 2020. Brown 22 Generation Alpha Overview of Significant Events • Apple's iPad is released, also known as the first touchscreen tablet PC (2010). • President Barack Obama begins his second term (2013). • Defense Against Marriage Act is struck down by the Supreme Court (2013). • Black Lives Matter emerges as a political movement (2013). • Michael Brown is fatally shot by a Ferguson police officer (2014). • Nine African Americans churchgoers are killed during a Bible study in Charleston (2015). • Same-sex marriage is legalized in all 50 states (2015). • Pulse Nightclub shooting causes the deaths of 49 LGBTQ+ members (2016). • Unite the Right, a white supremacist rally, leads to three deaths in Charlottesville (2017). • Me Too movement is relaunched following the Harvey Weinstein accusations (2017). • Director Jon M. Chu breaks box office records with his film Crazy Rich Asians (2018). • California Synagogue shooting causes the injuries of three and the death of one (2019). • President Trump's wall receives $2.5 billion in funds under the Supreme Court (2019). • Kobe Bryant, along with his daughter, dies in a helicopter crash (2020). • Geroge Floyd is murdered by a Minneapolis police officer during an arrest (2020). • Kamala Harris becomes the 49th vice president (2021). • Spa shooting in Atlanta leaves eight dead, with six being of Asian descent (2021). Brown 23 Generation Alpha Relevance to The Chameleon "It had only been four days since I was bought from the Greens. The Green House was known for cutting off the body parts of slaves and letting them bleed out slowly or waiting for them to die of infection. They used to take other slaves to the field and pick different parts to cut off. If they cut off too much and you couldn't work anymore, they'd leave the bodies in the field as an example of what happens when you make mistakes. " (2019). —- An excerpt from "Mixed Voices" by Alain Cropper-Makidi The author moves to educate the reader on a particular building utilized during America's slavery period. Also known as the Green House, the building lay separate from the main house and lodged slaves who were being punished for fieldwork mistakes. Whipping, burning, branding, raping, and imprisoning were some of the most common punishments for slaves. However, the Green House resorted to dismembering the slaves' limbs and allowing them to bleed out. This short story, "Mixed Voices," also addresses that some slaves received educational instruction from the main house's mistress. This was most likely executed in secret as slaves were generally prohibited from reading and writing out of fear that they would forge travel passes and escape. 23 23 "Literacy as Freedom - American Experience." SAAM, Smithsonian American Art Museum, https:// americanexperience.si.edu/wp-content/uploads/2014/09/Literacy-as-Freedom.pdf. Brown 24 "One day You tell me that let's be Together I shake my head Say I'm tired of your lies Rather to get myself alone" (2020). 有⼀天 你对我说我们在⼀起吧 我摇摇头 说我厌倦了你的虚伪 宁愿孤独 —- An excerpt from "Untitled" by Zenghui Zhang Like several others, this poem was both written and translated by a student under Professor Lenny Hu. Since his arrival at Norwich, Professor Hu has assigned his Chinese students the task of writing and translating poetry. This allows them to expand their Chinese literacy and gain a sense of passion for the language itself. As the Norwich language department continues to grow, translations will continue to be included in future Chameleon issues for the benefit of promoting diverse students and staff who already understand or aim to learn beyond that of the English language. Brown 25 Conclusion Sustains & Improves After reviewing all past issues of the Chameleon, it is clear that Norwich's literary journal previously published pieces of writing representing LGBTQ+ members, the BIPOC community, and women in a negative light. This was especially true from 1961 through the late 1990s. Gradually, the Chameleon has begun to positively represent our communities. During our current time period, for example, positive representations have become the primary focus under Professor Sean Prentiss and his team of student editors who have made a conscious effort in improving the Chameleon as a whole. Student writers who distinguish themselves amongst the rest of the student body are oftentimes selected for awards. One of which is the "Be You, Be True Prize" for the best writing by or about the LGBTQ+ community. Additionally, many Norwich University professors currently include culturally sustaining pedagogies within their curricula. Such pedagogies include seeking nontraditional texts, merging language varieties, and encouraging students to explore cultural spaces. To maintain as well as improve such efforts, Norwich University affiliates must remain aware that America's long history of combating minorities often resulted in bloodshed. Although not to the extent of our previous generations, similar events still continue to occur today. Therefore, as one of the most renowned military colleges in the United States, it is our responsibility to protect minority students and ensure that they perceive themselves as valuable members of the community. Without them, the future stands for nothing. Brown 26 References Anderson, Gary C. Ethnic Cleansing & the Indian: The Crime That Should Haunt America. University Of Oklahoma Press, 2015. "APA Dictionary of Psychology." American Psychological Association, https:// dictionary.apa.org/social-representation. Jha, Amrit Kumar. "Understanding Generation Alpha ." OSF Preprints, 20 June 2020. Johanssen, Warren. "The Etymology of the Word F*****." William Percy, pp. 356–359. Kapadia, Reshma. "The Tulsa Massacre Left a Lasting Impact on Wealth." Trade Journal, vol. 101, no. 22, 31 May 2021. Karras, Ruth Mazo. "The Regulation of 'Sodomy' in the Latin East & West." Speculum, vol. 95, no. 4, 2020, pp. 969–986., https://doi.org/10.1086/710639. Kinser, Amber E. Motherhood & Feminism. Seal Press, 2010. "Literacy as Freedom - American Experience." SAAM, Smithsonian American Art Museum, https://americanexperience.si.edu/wp-content/uploads/2014/09/Literacy-as-Freedom.pdf. Nohria, Nitin, Anthony Mayo, and Mark Benson. "William Levitt, Levittown and the Creation of American Suburbia." Harvard Business School Case 406-062, December 2005. (Revised March 2010.) Oyserman, Daphna, and George Smith. "Self, Self-Concept, and Identity." Handbook of Self and Identity, edited by Kristen Elmore, 2nd ed., The Guilford Press, New York, NY, 2012, pp. 69–104. Brown 27 Pryor, Elizabeth Stordeur. "The Etymology of N*****: Resistance, Politics, and the Politics of Freedom in the Antebellum North." Colored Travelers: Mobility and the Fight for Citizenship before the Civil War, 2016, https://doi.org/10.5149/northcarolina/ 9781469628578.003.0002. Silos, Jill Katherine. "Everybody Get Together: The Sixties Counterculture & Public Space, 1964-1967." University of New Hampshire Scholars' Repository, 2003. Snow, Edward. "Theorizing the Male Gaze: Some Problems." Representations, vol. 25, 1989, pp. 30–41., https://doi.org/10.2307/2928465. Tenaglia, Sean. '"Seeing Yourself in the Story:' The Influence of Multicultural Education on Adolescent Identity Formation." The Virginia English Journal, vol. 68, 2018. Woo, Bongki, et al. "The Role of Racial/Ethnic Identity in the Association Between Racial Discrimination & Psychiatric Disorders: A Buffer or Exacerbator?" SSM - Population Health, vol. 7, 7 Apr. 2019, p. 100378., https://doi.org/10.1016/j.ssmph.2019.100378.
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"Da die demokratischen Institutionen und Haltungen weiterhin existieren, merken wir nicht, dass die Demokratie geschwächt und die Macht innerhalb des politischen Systems auf eine kleine Elite aus Politikern und Konzernen übergegangen ist, die eine Politik nach den Wünschen Letzterer betreiben."Dieses drastische Zitat, welches eine dramatische Betrachtung der gegenwärtigen Lage der westlichen Demokratien darstellt, ist nicht etwa aus dem Wahlprogramm einer populistischen Partei entnommen. Ebenso wenig sind es Auszüge aus einer Wutrede von Alice Weidel oder Sarah Wagenknecht. Diese rigorosen Worte stammen vom britischen Sozialwissenschaftler Colin Crouch und fassen weite Teile seiner Postdemokratie-These pointiert zusammen (Crouch 2021, S. 21).Die vermeintliche Nähe zu rechten Verschwörungsmythen und populistischen Narrativen von korrupten Eliten in angeblichen Scheindemokratien rückt Crouch auf den ersten Blick in kein gutes Licht (vgl. Mudde 2020, S. 55 f.). Ist er durch seine Kritik am Zustand der westlichen Demokratien womöglich als latenter Komplize der aufsteigenden Kräfte des rechtsradikalen Spektrums auszumachen?Hinsichtlich der evidenten Defizite in der Entwicklungsrichtung etablierter Demokratien der westlichen Hemisphäre erscheint eine kritische Analyse als durchaus sinnvoll. So bestätigt die Realität durch Wahlergebnisse und zahlreiche Umfragen beispielsweise zunehmend das vielzitierte Phänomen der Politikverdrossenheit sowie das verbreitete Misstrauen der Bürger*innen in Politik und deren Institutionen (vgl. Best et al. 2023, S. 18-21). Daher möchte der vorliegende Beitrag folgenden Fragestellungen nachgehen:Ist die Postdemokratie-These notwendige Kritik an politischen Missständen oder Wasser auf die Mühlen des Rechtspopulismus?Sind die Ausführungen Crouchs damit als Chance oder Gefahr für die Demokratie zu bewerten? Aus Gründen des begrenzten Umfangs beziehen sich die folgenden Ausführungen explizit auf den Rechtspopulismus und klammern den durchaus existierenden Populismus des politisch linken Spektrums aus. Angesichts des fortwährend wachsenden Einflusses politischer Akteur*innen der Neuen Rechten sowie der Verbreitung einschlägiger rechtsradikaler Narrative im öffentlichen Diskurs scheint dieser Fokus aktuell von ungleich größerer Bedeutung zu sein (vgl. Mudde 2020, S. 13-17).Der inhaltliche Gedankengang des Beitrags sei an dieser Stelle knapp skizziert: Die Leitfrage soll aus verschiedenen Perspektiven bearbeitet werden, um den ambivalenten Potenzialen der These Colin Crouchs gerecht zu werden. Dabei wird der schmale Grat zwischen angebrachter Kritik, welche zu einer verbesserten Demokratie beitragen kann, und der Nähe zu rechtspopulistischen Narrativen mit gegenteiliger Wirkung thematisiert.Insbesondere die zentralen Unterscheidungsmerkmale zwischen Crouchs analytischen Ausführungen und rechtspopulistischer Eliten-Kritik sollen anschließend als sinnvolle Abgrenzung herausgearbeitet werden. Dies wird als Schlüssel zu einer gewinnbringenden praktischen Verwertung der Postdemokratie-These betrachtet, um sie als Chance im Sinne einer konstruktiven Kritik an negativen Entwicklungen der westlichen Demokratien fruchtbar werden zu lassen.Colin Crouch: "Postdemokratie"Der britische Politikwissenschaftler und Soziologe Colin Crouch sorgte bereits in den frühen 2000er Jahren mit Veröffentlichungen um seine These der Postdemokratie für internationales Aufsehen. Seine Gegenwartsanalyse beschreibt einige Tendenzen, die insbesondere in den etablierten Demokratien der westlichen Welt zu beobachten sind und durch komplexe Zusammenhänge eine zunehmende Schwächung der Demokratie bedeuten.Gemäß der Wortneuschöpfung mit der bedeutungsschweren Vorsilbe "post" charakterisiert er den aktuellen Zustand als Niedergang der lebhaften Demokratie nach der politischen und gesellschaftlichen Hochphase demokratischer Prozesse. Solch ein vergangener "Augenblick der Demokratie" (Crouch 2021, S. 22) zeichne sich in der Theorie durch die Verwirklichung sämtlicher demokratischer Ideale aus. Insbesondere eine lebendige Zivilgesellschaft partizipiert dabei öffentlich am politischen Prozess, wobei die aktive Beteiligung der gleichberechtigten Bürger*innen über den regelmäßigen Gebrauch des Wahlrechts hinausgeht. Eine angemessene und wirkungsvolle Verbindung zwischen dem Staat und seinen Bürger*innen gewährleistet eine funktionierende Repräsentation der Bevölkerung durch demokratisch legitimierte politische Amtsträger*innen (vgl. Crouch 2021, S. 22 f.).Die neoliberale Vorherrschaft in grundlegenden politischen Entscheidungen und Handlungen seit den 1980er Jahren führte zu wachsender Ungleichheit, die auch im politischen Diskurs spürbar wurde. So dominieren in Folge von ökonomischer Globalisierung und der Entstehung mächtiger Megakonzerne wirtschaftliche Eliten zunehmend den politischen Diskurs sowie durch gezielten Lobbyismus den Raum der politischen Entscheidungsfindung.Demokratische Prozesse werden subtil ausgehöhlt, indem Wirtschaftseliten den Platz von formal gleichberechtigten Bürger*innen als bedeutendste Instanz im demokratischen Raum einnehmen. Dies führe mitunter zu einer folgenschweren einseitigen Zuwendung politischer Akteur*innen hin zu wirtschaftlichen Eliten und deren Interessen der Profitsteigerung, was mit einer symptomatischen Entfremdung der Volksvertreter*innen von der zu repräsentierenden Bevölkerung einhergehe (vgl. Crouch 2021, S. 9 f.; S. 24-26). Der renommierte Philosoph und Soziologe Jürgen Habermas fasst die Zusammenhänge der These bezüglich der vorherrschenden neoliberalen Ideologie pointiert zusammen:"Ich habe den Begriff 'Postdemokratie' nicht erfunden. Aber darunter lassen sich gut die politischen Auswirkungen der sozialen Folgen einer global durchgesetzten neoliberalen Politik bündeln." (Habermas 2022, S. 87)Ein weiterer einschneidender Umbruch ist in der Zivilgesellschaft selbst verortet. So nimmt die herkömmliche Bindung an soziale Klassen und Kirchen als gesellschaftliche und politische Verortung der kollektiven Milieus innerhalb einer Gesellschaft seit Jahrzehnten massiv ab. Damit gehe in vielen Fällen auch ein Raum der politischen Betätigung und Meinungsbildung verloren, was zuweilen zur politischen Orientierungslosigkeit der Bürger*innen führe. Dies erschwere das Aufrechterhalten der Bindung politischer Akteur*innen an deren Basis in vielerlei Hinsicht. Denn nicht zuletzt orientiert sich auch die etablierte Parteienlandschaft an den einst zentralen sozialen Zugehörigkeiten der Bürger*innen (vgl. Crouch 2021, S. 26-30).Rund 20 Jahre nach den ersten einschlägigen Veröffentlichungen erneuerte Crouch seine These mit einigen Ergänzungen und Korrekturen, welche vor dem Hintergrund zeitgeschichtlicher Entwicklungen durch den Abgleich mit der politischen Realität notwendig erschienen. Doch die Kernthese der Postdemokratie blieb grundlegend erhalten (vgl. Crouch 2021, S. 10-17):
Als knapper inhaltlicher Exkurs am Rande der Kernthematik sei an dieser Stelle ein kritischer Vermerk bezüglich relevanter politischer Entwicklungen seit 2020 eingefügt. Nach der Veröffentlichung der Originalausgabe des Buches "Postdemokratie revisited", welches die damals aktualisierte Version der Postdemokratie-These von Colin Crouch hinsichtlich veränderter politischer Umstände enthält, sind einschneidende weltpolitische Ereignisse zu bedeutenden Prägefaktoren der transnationalen und nationalen Politiken geworden.Die Corona-Pandemie und der anhaltende russische Angriffskrieg auf die Ukraine führten zu politischen Entscheidungen, welche mitunter unmittelbar spürbar für große Teile der Bürger*innen waren und dies noch immer sind. Damit einhergehend wurde eine zunehmende Politisierung der Bevölkerung einiger demokratischer Staaten beobachtet (vgl. Beckmann/Deutschlandfunk 2021). In der deutschen Gesellschaft sind zudem seit einigen Wochen zahlreiche Demonstrationen gegen Rechtsextremismus zu verzeichnen, welche vom Soziologen und Protestforscher Dieter Rucht bereits als "größte Protestwelle in der Geschichte der Bundesrepublik" bezeichnet wurden (Fuhr/FAZ.NET 2024).Crouch spricht in diesem Kontext aktuell von einer durchaus verbreiteten Abneigung gegenüber den rechtsextremen Strategien von Hass und Hetze in entwickelten demokratischen Gesellschaften. Diese müsse aktiviert und politisch mobilisiert werden im Sinne einer gestärkten Demokratie gegen rechtsextreme Bestrebungen. Doch könne dies lediglich einhergehend mit ökonomischen Lösungen der wachsenden sozialen Ungleichheit seitens der politischen Akteur*innen nachhaltig wirksam werden (vgl. Hesse/fr.de 2024). Nicht außer Acht zu lassen sind diese zuweilen folgenschweren Ereignisse in der politischen und zeitgeschichtlichen Gesamtschau, wenngleich die zahlreichen raschen politischen sowie demoskopischen Wendungen der vergangenen Jahre in den folgenden Ausführungen nicht umfänglich Berücksichtigung finden können.Relevanz der AnalyseWie bereits das zustimmende Zitat des namhaften zeitgenössischen Philosophen Habermas im vorausgehenden Abschnitt anklingen lässt, treffen Crouchs Ausführungen hinsichtlich zahlreicher analysierter Missstände politischer und gesellschaftlicher Art durchaus zu. So wird die Relevanz der kritischen Gegenwartsanalyse bezüglich einiger Aspekte in Teilen angesichts der Studienergebnisse zum Thema "Demokratievertrauen in Krisenzeiten" der Friedrich-Ebert-Stiftung aus dem Jahr 2023 deutlich.Unter Berücksichtigung der multiplen Krisen der Gegenwart wurden in einer repräsentativen Zufallsstichprobe volljährige wahlberechtigte Deutsche zu Themen befragt, welche die Funktionalität des repräsentativ-demokratischen Systems sowie den gesellschaftlichen Zusammenhalt betreffen (vgl. Best et al. 2023, S. 5 f.). Dabei konnte ermittelt werden, dass etwas mehr als die Hälfte der Befragten unzufrieden ist mit dem gegenwärtigen Funktionieren der Demokratie. Obgleich in der Gegenüberstellung mit der Vorgängerstudie aus dem Jahr 2019 ein leichter Rückgang dieses Prozentsatzes auszumachen ist, muss ein anhaltend hohes Niveau der generellen Unzufriedenheit bezüglich der Funktionalität unseres politischen Systems diagnostiziert werden (vgl. Best et al. 2023, S. 17 f.).Dass der soziale Status der befragten Bürger*innen als einflussreicher Parameter in dieser Frage herausgestellt werden konnte, lässt sich widerspruchsfrei in Crouchs Analyse der zunehmend elitär gestalteten Politik einfügen. Denn es erscheint folgerichtig, dass Menschen aus unteren sozialen Schichten mit vergleichsweise wenig Einkommen häufiger unzufrieden sind mit dem politischen System, in welchem vermehrt die Interessen höherer sozio-ökonomischer Gruppen begünstigt werden (vgl. Crouch 2021, S. 44-47).Außerdem beklagen deutliche Mehrheiten in der Befragung die Undurchschaubarkeit komplexer Politik sowie unzureichende Möglichkeiten der politischen Partizipation, was Crouchs Ausführungen zur Entpolitisierung der Mehrheitsgesellschaft im Zuge der zunehmenden Politikverdrossenheit bestärkt (vgl. Best et al. 2023, S. 18-20). Vor die Wahl verschiedener Regierungsmodelle gestellt, bevorzugt lediglich ein Drittel der Befragten die repräsentative Demokratie, während beinahe die Hälfte zur direkten Demokratie tendiert (vgl. Best et al. 2023, S. 21 f.).Passend dazu ist das Vertrauen in die politischen Institutionen lediglich hinsichtlich der Judikative, dem Bundesverfassungsgericht, bei der großen Mehrheit unter den befragten Bürger*innen in hohem Ausmaß vorhanden. Der eklatant angestiegene Anteil der Menschen ohne jegliches Vertrauen in das Parlament und die Bundesregierung könnte im Sinne Colin Crouchs als Folge der Entfremdung der politischen Akteur*innen vom Großteil der Bevölkerung gekennzeichnet werden (vgl. Best et al. 2023, S. 26-31; Crouch 2021, S. 216 f.).Ein weiterer zentraler Kritikpunkt Crouchs wird sinngemäß durch die Frage nach konkreten Problemen der deutschen Demokratie angesprochen. So sehen über 70 Prozent der Befragten den Einfluss von Lobbygruppen als problematisch an, wobei sich diese Ansicht in vergleichbarer Weise durch alle politischen Lager zieht. Colin Crouchs kritischer Blick bezüglich eines überbordenden Lobbyismus mit unverhältnismäßigem Einfluss im politischen Prozess wird somit durch diese Studie demoskopisch gestützt (vgl. Best et al. 2023, S. 32 f.; Crouch 2021, S. 68 f.).Auch andere wissenschaftliche Veröffentlichungen, wie der aktuelle "Transformationsindex BTI 2024" der Bertelsmann-Stiftung, analysieren einen ähnlichen Zustand der politischen und gesellschaftlichen Lage westlicher Demokratien im Sinne einer akuten Krise des Liberalismus vor dem Hintergrund der neoliberalen Vorherrschaft.Das positive Potential der Postdemokratie-These liegt angesichts der ernstzunehmenden Problematiken in einer möglichen Stärkung der Demokratie durch praktische Konsequenzen auf Grundlage dieser kritischen Befunde. Praktische Ansätze im Bereich der strenger regulierten Lobbyarbeit sowie neue Formen der Bürger*innenbeteiligung sind bereits Teil der politischen Agenda und werden erprobt. Ob diese den Zweck einer erstarkenden Demokratie real erfüllen werden, ist aktuell noch offen. Im besten Falle können gestärkte demokratische Strukturen nicht zuletzt demokratiegefährdende Akteur*innen aus dem rechtspopulistischen und rechtsextremen Spektrum zurückdrängen.Jedoch klingt an dieser Stelle ein Widerspruch an. Denn stärkt nicht gerade Crouchs Framing der Kritik an politischen Eliten und an der Entwicklung des politischen Systems die antidemokratischen radikalen Kräfte am rechten Rand angesichts der vermeintlichen narrativen Überschneidungen?Parallelen zu rechtspopulistischen NarrativenCrouch selbst schreibt in seinem Buch von neuen "Bewegungen […], die ähnliche Klagen über die heutigen Demokratien vorzubringen scheinen, wie ich sie in Postdemokratie geäußert habe, und insbesondere den Vorwurf äußern, dass die Politik von Eliten dominiert werde, während normale Bürger kein Gehör mehr fänden." (Crouch 2021, S. 136).Gemeint sind aufsteigende populistische Gruppierungen und Parteien, wovon jenen aus dem rechtsradikalen Lager aktuell die höchste politische Relevanz beigemessen wird. Um die Leitfrage des Beitrags angemessen multiperspektivisch zu beleuchten, sollen nun die vermeintlichen Gemeinsamkeiten zwischen den Erkenntnissen des britischen Sozialwissenschaftlers und rechtspopulistischen Narrativen herausgestellt sowie kritisch betrachtet werden.Die augenscheinlichste Parallele liegt im Bereich der Elitenkritik, wie Crouch es im angeführten Zitat selbst andeutet. Politische Entscheidungsträger*innen und wirtschaftliche Eliten handeln überwiegend im eigenen Interesse und entfernen sich dabei immer mehr von den Bürger*innen, insbesondere von jenen mit geringem sozialen Status, und deren Anliegen. Diese Analyse Crouchs erinnert an die rechtspopulistische Dichotomie, welche die abgehobene Elite dem normalen Volk gegenüberstellt. Der Wille des Volkes werde gemäß diesem Narrativ von der etablierten Politik bewusst übergangen (vgl. Crouch 2021, S. 41 f.; Mudde 2020, S. 55 f.).Doch bereits in der Formulierung wird ein zentraler Unterschied hinsichtlich der Vorstellung der regierten Bürger*innen deutlich. So wird im rechtspopulistischen Narrativ das Volk als homogene Masse mit einheitlichem Willen angesehen, während Crouch von Bürger*innen mit verschiedenen sozioökonomischen Hintergründen und pluralen Interessen spricht (vgl. Wodak/bpb 2023; Crouch 2021, S. 258 f.).Die Globalisierung als nach wie vor prägende Entwicklung mit Auswirkungen auf alle gesellschaftliche Sphären ist Anhaltspunkt einer weiteren vermeintlichen Schnittmenge. Als hintergründige Ursache für die zunehmende Entfremdung politischer Akteur*innen von weiten Teilen der Bevölkerung sowie für den unverhältnismäßig hohen Einfluss kapitalorientierter Großkonzerne konstatiert Crouch die Globalisierung der Wirtschaft.Des Weiteren führe die Tatsache, dass Wirtschaftspolitik vor diesem Hintergrund weitgehend auf transnationaler Ebene betrieben wird, zu einem Bedeutungsverlust der nationalstaatlichen Politik. Debatten im nationalen Kontext seien somit laut Crouch oftmals als politisch gegenstandslose Scheindebatten zu kennzeichnen (vgl. Crouch 2021, S. 25 f.). Diese Beschneidung des Nationalstaats durch eine zunehmende Globalisierung wird von Akteur*innen der Neuen Rechten im Sinne ihres charakteristischen Nationalismus massiv beklagt. Damit einher geht eine misstrauische bis konsequent ablehnende Haltung gegenüber transnationaler Politik insbesondere bezüglich einschlägiger Institutionen wie der Europäischen Union (vgl. Mudde 2020, S. 56-59; S. 132 f.).Populist*innen gerieren sich grundsätzlich als wahre Stimme des Volkes, welches exklusiv durch sie vertreten werde in einem von eigennützigen Eliten regierten System (vgl. Mudde 2020, S. 46). Hinsichtlich der Postdemokratie-These lässt dies vermuten, dass populistische Bewegungen als basisdemokratischer Stachel im Fleisch der Postdemokratie charakterisiert werden können. Mitunter würde das die massive Abneigung der etablierten Parteien ihnen gegenüber erklären (vgl. Crouch 2021, S. 139-141).An dieser Stelle könnte auf eine zumindest teilweise Zustimmung Colin Crouchs hinsichtlich rechtspopulistischer Narrative geschlossen werden. Im Vorgriff auf die Ausführungen der folgenden Abschnitte sei jedoch vor einer voreiligen Gleichsetzung ohne die notwendige politikwissenschaftliche Differenzierung gewarnt. So weist Crouch selbst deutlich auf die Diskrepanz hin, welche die antidemokratischen Tendenzen rechtspopulistischer Bewegungen zweifellos von einer zukunftsorientierten Kritik an postdemokratischen Problemen trennt (vgl. Crouch 2021, S. 139).GefahrenpotentialIst Crouchs These angesichts der verwandten Anklagen Wasser auf die Mühlen der Rechtspopulist*innen? Trägt die Publizierung seiner massiven Kritikpunkte womöglich zur fortschreitenden Enttabuisierung radikaler Positionen im öffentlichen Diskurs bei?In der aktuellen politischen und gesellschaftlichen Debatte lässt sich eine einflussreiche rechtspopulistische Strategie der Diskursverschiebung beobachten. Einschlägige illiberale Narrative werden hierbei im politischen Diskurs salonfähig durch schrittweises Verrücken der roten Linien, welche das legitime demokratische Meinungsspektrum umgrenzen. Das "Perpetuum mobile des Rechtspopulismus" (Wodak/bpb 2023) lässt in einem schleichenden Prozess xenophobe und diskriminierende Haltungen durch kalkulierte rhetorische Grenzüberschreitungen rechtspopulistischer Akteur*innen zunehmend vertretbar erscheinen.Des Weiteren wird so Einfluss auf die Themensetzung im demokratischen Diskurs genommen, was nicht zuletzt durch die partielle Übernahme seitens ursprünglich gemäßigter konservativer Parteien des politischen Establishments befördert wird. Die beobachtbare Diskursverschiebung stellt eine ernstzunehmende Gefahr für liberale Demokratien dar, wie bereits an autokratischen Entwicklungen in einigen Ländern mit Regierungen des äußerst rechten Spektrums abzulesen ist (vgl. Wodak/bpb 2023).Crouchs Ausführungen bezüglich postdemokratischer Tendenzen bergen insbesondere mit Blick auf die Elitenkritik das Gefahrenpotential einer narrativen Instrumentalisierung durch illiberale Akteur*innen. Doch hinsichtlich eines entscheidenden Aspekts eignet sich die Argumentation Colin Crouchs nur schwerlich als Hilfestellung zur Enttabuisierung rechtsradikaler Positionen. So sind vereinfachende Schuldzuweisungen mitnichten Teil der analytischen Ausführungen Crouchs, und es werden keine Feindbilder unter gesellschaftlichen Minderheiten ausgemacht, was der zentralen Ideologie der äußersten Rechten entgegensteht (vgl. Crouch 2021, S. 143 f.). Vortrag von Ruth Wodak über Rechtsruck und Normalisierung: Die von Crouch geforderte Politisierung der Zivilgesellschaft sollte in diesem Zusammenhang nicht mit der fortschreitenden Polarisierung der Öffentlichkeit einhergehen oder gar gleichgesetzt werden. Dies würde gefährliche aktuelle Tendenzen der gesellschaftlichen Spaltung verstärken und somit den gesellschaftlichen Zusammenhalt zusätzlich gefährden. In jener Hinsicht kann enorme politische und gesellschaftliche Polarisierung Demokratien destabilisieren, wie dies beispielsweise in der US-Amerikanischen Gesellschaft zu beobachten ist (vgl. Crouch 2021, S. 150-154). Unter Berücksichtigung dieses Gesichtspunktes können soziale Bewegungen der äußersten Rechten kaum als anerkennenswerte Belebung der Demokratie gewertet werden, ganz zu schweigen von der antidemokratischen Ideologie, welche dahintersteht (vgl. Mudde 2020, S. 152-155).Crouch selbst geht im Buch in einem eigenen Kapitel auf die "Politik des nostalgischen Pessimismus" (Crouch 2021, S. 136) ein und stellt durch eine eingehende Analyse der populistischen Strategien und Inhalte eine kritische Distanz zu einschlägigen Bewegungen heraus. Insbesondere den Rechtspopulismus heutiger Akteur*innen der Neuen Rechten ergründet der Soziologe als antipluralistisch, antiegalitär und im Kern antidemokratisch, wenngleich diese Ausrichtungen in vielfältiger Weise öffentlich verschleiert werden (vgl. Crouch 2021, S. 169-172).ZwischenfazitDie Postdemokratie-These hat Potenziale für beide politischen Stoßrichtungen, welche in der Leitfrage des Beitrags pointiert gegenübergestellt wurden. Entscheidend sind ein reflektierter Umgang mit den Analysen sowie die gebotene Einordnung der Schlussfolgerungen im jeweiligen politischen Kontext. Zweifelsfrei ist dabei die Maxime zu beachten, niemals den Populismus antidemokratischer Kräfte zu stärken. Gleichermaßen darf die mögliche Angst vor dem schmalen Grat zwischen reflektierter sozialwissenschaftlicher Kritik und rechtspopulistischer Aufwiegelung keinesfalls zur Ignoranz postdemokratischer Missstände führen. Denn im Sinne von Jan-Werner Müllers Definition von Populismus sind "[a]lle Populisten [..] gegen das »Establishment« – aber nicht jeder, der Eliten kritisiert, ist ein Populist." (Müller 2016, S. 18 f.).Um die missbräuchliche argumentative Übernahme von Crouchs These durch demokratiefeindliche Rechtspopulist*innen wirksam zu verhindern, ist eine differenzierte Klarstellung im Sinne der politischen Einordnung von Crouchs Analysen erforderlich.Lösungsansatz: DifferenzierungAls Schlüssel zur fruchtbaren Berücksichtigung von Crouchs These im politikwissenschaftlichen und gesamtgesellschaftlichen Diskurs kann die Differenzierung zur Abgrenzung von rechtspopulistischen Narrativen dienen. Eine deutliche Unterscheidung ist im Sinne Colin Crouchs herauszustellen und in der Argumentation im Kontext der öffentlichen Debatte stets zu beachten, um sich deutlich von rechtspopulistischen Parolen abzugrenzen. So kann einer drohenden Enttabuisierung radikaler Positionen vorgebeugt werden, um diese Gefahr für die liberale Demokratie nicht zusätzlich argumentativ zu stützen. Zentrale Unterscheidungsmerkmale sollen nachfolgend erläutert werden.Rechtspopulistische Bewegungen sind lediglich vordergründig für mehr Demokratie und Mitbestimmung des Volkes. Denn im Kern widersprechen ihre kennzeichnenden Ideologeme liberaldemokratischen Werten, wie insbesondere der Antipluralismus deutlich macht. Die antipluralistische Ideologie steht in enger Verbindung mit dem exklusivistischen Vertretungsanspruch des Volkes und deren homogenen Interessen. Alle Gruppen und Individuen, welche sich aus diversen Gründen nicht diesem normalen Volk zurechnen lassen, werden rhetorisch exkludiert und sind Feindbilder der Rechtspopulist*innen. Dieser xenophobe Antipluralismus veranlasst die grundlegende Einordnung jener Bewegungen als illiberal und antidemokratisch (vgl. Wodak/bpb 2023).Crouch dagegen plädiert für die plurale Interessensvertretung heterogener Gruppen und Individuen als gleichberechtigte Teile einer demokratischen Gesellschaft. Darüber hinaus wird die Emanzipation jeglicher unterdrückter Gruppen innerhalb Crouchs Theorie als erstrebenswerter Moment der Demokratie angesehen, was in diametralem Gegensatz zum ideologischen Antifeminismus und Rassismus sowie zur Queerfeindlichkeit der äußersten Rechten steht (vgl. Crouch 2021, S. 22 f.).Das Verhältnis zum neoliberalen Kapitalismus markiert ebenfalls eine signifikante Differenz zwischen Crouchs Thesen und vorherrschenden Denkweisen der äußersten Rechten. Akteur*innen rechtspopulistischer Politik weisen deutliche antiegalitäre Überzeugungen auf, was programmatisch beispielsweise im angestrebten faktischen Abbau des Sozialstaats ersichtlich wird. Politisch forcierte Umverteilung im Sinne stärkerer sozialer Gerechtigkeit und striktere Regulierung von Lobbyarbeit, wie es von Crouch gefordert wird, steht dieser antiegalitären Haltung entgegen. Der sozialpolitisch im linken Spektrum einzuordnende Soziologe Crouch zeigt sich deutlich kritisch gegenüber neoliberal dominierter Politik und der Macht von Wirtschaftseliten. Als grundlegender zentraler Angriffspunkt der politischen Entwicklungen seit mehreren Jahrzehnten gilt der Neoliberalismus innerhalb seiner gesamten Analyse (vgl. Crouch 2021, S. 143; S. 234-238).Die Art der Beschreibung von Ursachen hinter beklagten Problemen der aktuellen politischen Situation stellt ein weiteres Unterscheidungsmerkmal dar. So weisen rechtspopulistische Narrative zuvörderst liberale Eliten und Migrant*innen als schuldige Sündenböcke aus, wobei diesen Akteur*innen prinzipiell unlautere Absichten unterstellt werden. Die vereinfachende Personifizierung von Schuld fungiert als bedeutender Aspekt der rechtspopulistischen Kommunikationsstrategien (vgl. Mudde 2020, S. 49-56).Die kritische Auseinandersetzung Crouchs mit postdemokratischen Tendenzen hingegen ist geprägt von der Darstellung komplexer Zusammenhänge von multiplen Ursachen. Simple Schuldzuweisungen werden dabei vermieden (vgl. Crouch 2021, S. 9; S. 24-26). Generell unterscheiden sich die Ausführungen Colin Crouchs im Charakter diametral von rechtspopulistischen Narrativen. Die nüchterne sozialwissenschaftliche Analyse beinhaltet die Herausarbeitung komplexer Entwicklungen und Zusammenhänge, während der Rechtspopulismus von allgemeiner Vereinfachung mit personalisierten Schuldzuweisungen und Feindbildern geprägt ist, welche zentrale Bestandteile rechtspopulistischer Kommunikation sind (vgl. Wodak/bpb 2023).FazitZusammenfassend ist zunächst die Relevanz der kritischen Ausführungen Crouchs zu rekapitulieren. Um die Zukunftsvision einer verbesserten Demokratie mit konkreten Maßnahmen anzustreben, ist eine analytische Grundlage bezüglich gegenwärtiger Probleme von Nöten, welche in der Postdemokratie-These gefunden werden kann. Die Ambivalenz der These angesichts einer möglichen Instrumentalisierung durch Populist*innen wurde verdeutlicht, wenngleich keine konkreten Zusammenhänge zwischen Crouchs These und dem Aufstieg der neuen Rechten nachgewiesen werden konnten.Die anschließende Erläuterung der Unterscheidungsmerkmale stellt eine unzweifelhafte Abgrenzung der Postdemokratie-These von der polemischen Ideologie der Rechtspopulist*innen dar. Dies verdeutlicht die aktuelle Notwendigkeit, im gesellschaftlichen Diskurs auf differenzierte Weise Entwicklungen des politischen Systems zu kritisieren, ohne dabei Wasser auf die Mühlen des Rechtspopulismus zu geben. Denn die Gefahr, haltlose rechtspopulistische Parolen durch unangemessene Gleichsetzungen mit sachlichen Gegenwartsanalysen soziologisch aufzuladen und damit substantiell zu überhöhen, ist schließlich nicht zu missachten. Wenn jedoch die sozialwissenschaftlichen Analysen der Postdemokratie-These Crouchs wahrheitsgetreu Eingang in die politische Debatte finden, könnten sie der polemischen Argumentation vom rechten Rand die Substanz entziehen und diese als antidemokratisch entlarven, ohne dabei angezeigte Kritik am Status Quo der etablierten Demokratien auszuklammern.Die Fähigkeit zu einer solchen Differenzierung stellt insbesondere für angehende politische Bildner*innen eine bedeutende Kompetenz dar. Neben der stetigen Arbeit an den eigenen Fähigkeiten in diesem bedeutsamen Bereich kommt Lehrkräften die elementare Aufgabe zu, die Kompetenz der reflektierten Differenzierung an Schüler*innen zu vermitteln. Denn diese ist unerlässlich hinsichtlich der übergeordneten Zielperspektive, sie zu mündigen Bürger*innen als Teil einer lebendigen Demokratie werden zu lassen. Insbesondere angesichts der zunehmenden Polarisierung sämtlicher politischer und gesellschaftlicher Themen, die nicht zuletzt durch den Einfluss von Sozialen Medien und deren einschlägigen Mechanismen gefördert wird, ist dieser Ansatz nicht zu unterschätzen (vgl. Crouch 2021, S. 259 f.).Außerdem sind neue politische und gesellschaftliche Entwicklungen stets mitzudenken, was die Notwendigkeit einer fortwährenden Aktualisierung der sozialwissenschaftlichen Gegenwartsanalyse Colin Crouchs hervorhebt und eine stetige kritische Prüfung der Postdemokratie-These vor dem Hintergrund neuartiger Entwicklungen zweifellos miteinschließt.LiteraturBeckmann, Andreas (2021): Pandemie und Demokratie. Wurde der Kurs in der Corona-Politik ausreichend ausgehandelt? (Deutschlandfunk vom 02.09.2021), https://www.deutschlandfunk.de/pandemie-und-demokratie-wurde-der-kurs-in-der-corona-100.html [25.03.2024].Best, Volker; Decker, Frank; Fischer, Sandra et al. (2023): Demokratievertrauen in Krisenzeiten. Wie blicken die Menschen in Deutschland auf Politik, Institutionen und Gesellschaft? Friedrich-Ebert-Stiftung e.V. (Hrsg.), Bonn.Crouch, Colin (2021): Postdemokratie revisited, Suhrkamp: Berlin.Fuhr, Lukas (2024): Protestforscher Dieter Rucht: "Der Höhepunkt der Demowelle liegt wohl hinter uns" (FAZ.NET vom 16.02.2024), https://www.faz.net/aktuell/politik/inland/demos-gegen-rechtsextremismus-werden-laut-protestforscher-nachlassen-19518795.html#void [20.03.2024].Habermas, Jürgen (2022): Ein neuer Strukturwandel der Öffentlichkeit und die deliberative Politik, Suhrkamp: Berlin.Hesse, Michael (2024): "Im Westen hält die Brandmauer noch": Politologe Colin Crouch über Rechtsextremismus (Frankfurter Rundschau vom 12.02.2024), https://www.fr.de/kultur/gesellschaft/rechtsextremismus-politologe-colin-crouch-im-westen-haelt-die-brandmauer-noch-populismus-92826654.html [20.03.2024].Mudde, Cas (2020): Rechtsaußen. Extreme und radikale Rechte in der heutigen Politik weltweit, Dietz: Bonn.Müller, Jan-Werner (2016): Was ist Populismus?, Suhrkamp: Berlin.Wodak, Ruth (2023): Rechtspopulistische Diskursverschiebungen, in: Aus Politik und Zeitgeschichte (bpb.de vom 20.10.2023), https://www.bpb.de/shop/zeitschriften/apuz/diskurskultur-2023/541849/rechtspopulistische-diskursverschiebungen/ [26.03.2024].
This paper will first define the words and terms applicable to the topic of light infantry that appear in eighteenth-century literature so that there is an understanding of how an eighteenth-century soldier conceived of warfare. After establishing this connection, this paper will follow a chronological chain of events that focuses on the creation of regular light infantry in European armies in Europe and North America from the War of the Austrian Succession (1740-1748) until the beginning of the Revolutionary War (1740-1775), how those events influenced Washington, the first use of light troops during the Revolutionary War, and how the Continental light infantry developed through the war. This paper will not delve into the intricacies of battles because historians have well-examined the few notable battles involving the Continental light infantry. However, this paper will draw from battles the tactics that highlight the regular and irregular methods used by the light infantry and highlight details from campaigns and battles that depict how Washington and other leaders employed the light infantry. This paper argues that Washington recognized that trained, properly equipped, and competently led light infantry was more effective against regular and irregular enemies, rather than other American irregular light troops that often proved ineffective against those same enemies. Washington based his decision first, by drawing from his military experiences on the North American frontier, and second from European theory and practical application of regular light infantry forces in European armies. ; Master of Arts in Military History ; "The Picked Corps of the American Army": The Light Infantry of the Continental ArmyBrian K. GerringA paper submitted in partial fulfillment of the requirements for theMaster of Arts in Military HistoryNorwich UniversityMH 562D Capstone PaperDr. John RocheAugust 23, 2020 Gerring 1This position is only twenty miles from New York island; and was accordingly occupied by the van guard, consisting of light infantry; that is to say, the picked corps of the American army.—Marquis de Chastellux, Travels in North-AmericaThe history of the War of American Independence is replete with studies of military campaigns, leaders, weapons, and tactics. Historians frequently focus on particularmilitary units that have becomeingrained into American folklore concerning the war, such as the minutemenmilitia or Daniel Morgan's riflemen. Even the broadtopicof the Continental Army receives an adequate amount of scholarly consideration. However, one element within the army's structure that does not receive significant attention is the light infantry. Writing in 1900, Henry Johnston noted this absence of research concerning the Continental light infantry, concluding that "our books contain little about them."1In 1926, John Wrightsimilarly noted that the Continental light infantry suffered from scholarly neglect.2There has been minimal scholarly research into the Continental light infantry nearly a century later. When scholars do mention the Continental light infantry, they relegate those forces to a paragraph or two containing some form of exposition.This paper will begin to fill that scholarly voidby providing abroad overview of the history of the Continental light infantry.The inattention from historians towards theContinental light infantry likely stems from the seemingly insignificant role these forces played in the Revolutionary War's overall outcome.While onlybriefly touching on that topic, this paper arguesthat the Continental light infantry did fulfill a unique role for the army during the war. The Continental light infantry wasso unique that John Wright assessed them asthe first elite unit created within the regular American army 1Henry P. Johnston, The Storming of Stony Point (New York: James T. White, 1900), 68.2John W. Wright, "The Corps of Light Infantry in the Continental Army," The American Historical Review31, no. 3 (1926): 461. Gerring 52perception proved that the regular light infantry wassuddenly the preeminentelite force within the Continental Army.Wayne also advocated for a distinct uniform for the light infantry, which again indicatestheir status as elite troops. Contemporary troops considered as elite wore something unique, either headgear or uniforms—the most notable examples were the tall grenadier caps covered in bear fur and leather helmets of the British dragoons and light infantry.252Wayne wrote to Washington,expressing that as the commander of the corps, he should "have it in our power to Introduce Uniformity among the Light Corps belonging to the Respective States, andInfuse a Laudable pride and Emulation into the Whole."253He further concluded that the light infantry should have:an Elegant Uniform & Soldierly appearance—so much so that I would much rather risque my life and Reputation at the Head of the same men in an attack Clothed & Appointed as I could wish, with a Single Charge of Amunition—than to take them as they appear in Common with Sixty Rounds of Cartridges.254However, Washington opposed the outfitting of the light infantry with distinctive uniforms, noting that "the Light Infantry being only considered as detachments from the line ought to bear the uniform of the Regiments from which they are taken."255Despite this, Wayne did order the light infantry under his command to adorn their caps with hair, which was not a regular standard for the army's headgear.256252Cuthbertson's suggestion that light infantry should wear "jackets made from old coats . . . and snug little caps composed from old hats, and the pairing of the coat skirts" is evident in the British light infantry uniforms during the Revolutionary War. Bennett Cuthbertson, Cuthbertson's System for Management for the Complete Interior of a Battalion of Infantry, rev. ed. (Bristol: Rouths and Nelson, 1776), 190-191.253"From Brigadier General Anthony Wayne," July 4, 1779, Fort Montgomery, in PGW, https://rotunda.upress.virginia.edu/founders/GEWN-03-21-02-0289[accessed 28 Jun 2020].254Ibid. 255"To Brigadier General Anthony Wayne," September 14, 1779, West Point, in PGW, https://rotunda.upress.virginia.edu/founders/GEWN-03-22-02-0353[accessed 28 Jun 2020].256Robert Gamble, "The Orderly Book of Captain Robert Gamble[. . .]," in Collections of the Virginia Historical and Philosophical Society[. . .] (Richmond: T. W. White, 1833), 256. Gerring 53Congruent with the light infantry under Wayne in the main army was the light infantry operating with MajorGeneral John Sullivan. Washington tasked Sullivan to engage and destroy most of the Indians of the Six Nations, including any Tory allies and any British troops,in western New Yorkin late spring of 1779. Washington originally devised that a quarter of the troops participating in this campaign would "harrass and distract the enemy, and create diversions, in favor of the principal operation," which are known aspects of lapetite guerre.257However, Washington's later conception of the campaign involved Sullivan operating in the irregular tactics of the Indians, coupled with regular tactics. Washington suggested to Sullivan:as general rules ought to govern your operations—to make rather than receive attacks attended with as much impetuosity, shouting and noise as possible, and to make the troops act in a loose and dispersed a way as is consistent with a proper degree of government concert and mutual support—It should be previously impressed on the upon the minds of the men when ever they have an opportunity, to rush on with the warhoop and fixed bayonet—Nothing will disconcert the Indians more than this.258This reflects that Washington relied on his experiences because he understood howto engage and defeat Indians using proven combat-tested methods. Sullivan began his campaign on June 18, 1779 after months of extensive preparations. During Sullivan's Expedition, there was a designated light corps composed of various troops under the command of BrigadierGeneral Edward Hand.259Some of these troops were regular light infantry companies. Captain Leonard Bleeker—the Major of the Brigade for BrigadierGeneral James Clinton—records that each of the four regular regiments in Clinton's brigadehad 257"To Major General Horatio Gates," March 6, 1779, Middlebrook, in PGW, https://rotunda.upress.virginia.edu/founders/GEWN-03-19-02-0391[accessed 07Jun 2020].258"To Major General John Sullivan," May 31, 1779, Middlebrook, in PGW, https://rotunda.upress.virginia.edu/founders/GEWN-03-20-02-0661[accessed 07Jun 2020].259Dearborn, Journals of Henry Dearborn,164; Adam Hubley to Hand, June 22, 1779, Sunbury, in Linn and Egle, Pennsylvania in the War, 2:11. Gerring 54light infantry companies.260Bleeker notes that these light infantry companies operated in conjunction with riflemen under Hand.261Therefore, these light infantry soldiers operated more in-line with the light troops at Saratoga, which were a combination of riflemen and designated light infantry troops. It is unlikely these light infantry troops receivedthe same training as Wayne's troops because the two bodies of troops were separate from each otherand Wayne was actively conducting operationsduring Sullivan's Expedition. Despite this, Hand's corps did containsome troops with experiencein light operations, such as some remnants of Morgan's Regiment.262During movement, Hand's light corps acted as the forward element, staying a mile in front of Sullivan's troops.263If attacked on the move, the light corps acted as a maneuver element to either surround the enemy or move through the regular troop formation to form a rear-guard.264The light corps routinely operated well in advance and detached from the main force.265Due to their ability to move quickly, Hand's light corps also operated as a quick reaction force.266On one occasion after Sullivan's troops repelled an ambush, the light infantry chased the fleeing Indians three miles.267On August 13, Hand led a portion of the light infantry in advance of the armyoutside the village of Chemung; Indians ambushed this force, and the light 260Leonard Bleeker, The Order Book of Captain Leonard Bleeker, Major of Brigade[. . .] (New York: Joseph Sabin, 1865), 104-105, 128. The Major of the Brigade was the Brigade Inspector, which operated under the auspice of the Continental Army's Inspector General, see Bleeker, Order Book,11-12. The four regiments under Clinton were the 3rd, 4th, 5th New York, and the 7th Massachusetts, see Dearborn, Journals of Henry Dearborn,165n28. 261Bleeker, Order Book, 128.262Richard B. LaCrosse, Revolutionary Rangers: Daniel Morgan's Riflemen and Their Role on the Northern Frontier, 1778-1783(Westminster, MD: Heritage Books, 2007), 46-48, 119.263Dearborn, Journals of Henry Dearborn,165.264Ibid., 166-168.265Linn and Egle, Pennsylvania in the War, 2:17.266Dearborn, Journals of Henry Dearborn,186; Adam Hubley, "Journal of Lieutenant-Colonel Adam Hubley," in Journals of the Military Expedition of Major General John Sullivan, ed. Frederick Cook (Auburn, NY: Knapp, Peck, Thomson, 1887), 150.267Ibid., 178. Gerring 75Martin, James Kirby and Mark Edward Lender. "A Respectable Army:" The Military Origins of the Republic, 1763-1789. 3rd ed. West Sussex: John Wiley and Sons, 2015.Massey, Gregory D. John Laurens and the American Revolution. Columbia: University of South Carolina Press, 2000.Paret, Peter. Yorck and the Era of Prussian Reform, 1807-1815. Princeton: Princeton University Press, 1966.Peterson, Harold L. Arms and Armor in Colonial America, 1526-1783. New York: Bramhall House, 1956.———. The Book of the Continental Soldier. Harrisburg: StackpoleBooks, 1968.Phelps, Glenn A. "The Republican General." In George Washington Reconsidered, edited by Don Higginbotham, 165-197. Charlottesville: University of Virginia Press, 2001.Posey, John Thornton. General Thomas Posey: Son of the American Revolution. East Lansing: Michigan State University Press, 1992.Preston, David L. Braddock's Defeat: The Battle of the Monongahela and the Road to Revolution. Oxford: Oxford University Press, 2015.Prucha, Francis Paul. The Sword of the Republic: The United States Army on the Frontier, 1783-1846. Bloomington: Indiana University Press, 1969.Rogers, H. C. B. The British Army of the Eighteenth Century. London: George Allen and Unwin, 1977.Ross, Steven T. From Flintlock to Rifle: Infantry Tactics, 1740-1866. 2nd ed. London: Frank Cass, 1996.Showalter, Dennis. Frederick the Great: A Military History. London: Pen & Sword Books, 2012.Spring, Matthew H. With Zeal and Bayonets Only: The British Army on Campaign in North America, 1775-1783. Norman: University of Oklahoma Press, 2008.Steele, Ian K. Guerillas and Grenadiers: The Struggle for Canada, 1689-1760. Toronto: Ryerson Press, 1969.Stillé, Charles J. Major-General Anthony Wayne and the Pennsylvania Line in the Continental Army. Philadelphia: J. B. Lippincott, 1893.Strachan, Hew. European Armies and the Conduct of War. London: George Allen and Unwin, 1983. Gerring 76Taaffe, Stephen R. Washington's Revolutionary War Generals. Norman: University of Oklahoma Press, 2019.Urban, William. Bayonets and Scimitars: Arms, Armies and Mercenaries 1700–1789. London: Frontline Books, 2013.Urwin, Gregory J. W. The United States Infantry: An Illustrated History 1775-1918. New York: Sterling Publishing, 1991.Ward, Harry M. When Fate Summons: A Biography of Richard Butler, 1743-1791. Bethesda: Academica Press, 2014.Wright, Robert K. The Continental Army. Washington, DC: Center of Military History United States Army, 1983.Wulff, Matt. Ranger: North American Frontier Soldier. Westminster, MD: Heritage Books, 2008.Secondary Sources: JournalsBirtle, Andrew J. "The Origins of the Legion of the United States." The Journal of Military History67, no. 4 (2003): 1249-1262.Buchan, Bruce."Pandours, Partisans, and Petite Guerre: The Two Dimensions of Enlightenment Discourse on War." Intellectual History Review23, no. 3 (2013):329-347.Carroll, Brian D. 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"The Partisan's Metamorphosis: From Freelance Military Entrepreneur to German Freedom Fighter, 1740 to 1815." War in History17, no. 1 (2010): 6-36.Robson, Eric. "British Light Infantry in the Mid-Eighteenth Century: The Effect of American Conditions." The Army Quarterly43 (1952): 209-222.Russell, Peter E. "Redcoats in the Wilderness: British Officers and Irregular Warfare in Europe and America, 1740 to 1760." The William and Mary Quarterly 35, no. 4 (1978): 629-652.Sanborn, Paul J. "The Battle of Brandywine: An Intelligence Evaluation of General George Washington's Tactical Operations During the Battle Along the Brandywine, 11 September 1777." American Intelligence Journal16, no. 2/3 (1995): 69-80.Selig, Robert A. "Light Infantry Lessons from America? Johann Ewald's Experiences in the American Revolutionary War as Depicted in his Abhandlung über den Kleinen Krieg (1785)." Studies in Eighteenth-Century Culture 23 (1994): 111-129.Spaulding, Oliver L. "The Military Studies of George Washington." The American Historical Review29, no. 4 (1924): 675-680.Starkey, Armstrong. "Paoli to Stony Point: Military Ethics and Weaponry During the American Revolution." The Journal of Military History58, no. 1 (1994): 7-27.Williams, Glenn T. "The Battle of Newtown, 29 September 1779: An Aggressive Attack Carried Out with Audacity." On Point12, no. 2 (2006): 8-15. Gerring 78Wright, John W. "The Corps of Light Infantry in the Continental Army." The American Historical Review31, no. 3 (1926): 454-461.York, Neil L. "Pennsylvania Rifle: Revolutionary Weapon in a Conventional War?" The Pennsylvania Magazine of History and Biography103, no. 3 (1979): 302-324.Web SitesNeville, Gabriel. "The "B Team" of 1777: Maxwell's Light Infantry." Journal of the American Revolution. Last modified April 10, 2018. https://allthingsliberty.com/2018/04/the-b-team-of-1777-maxwells-light-infantry/.
This guide accompanies the following article: Christopher R. Freed, 'In the Spirit of Selden Bacon: The Sociology of Drinking and Drug Problems', Sociology Compass 4/10 (2010): 856–868, 10.1111/j.1751‐9020.2010.00325.x.Author's introductionIn 1943, the sociologist Selden Bacon proposed studying drinking behavior from a 'sociologic' perspective. Since then a problem‐oriented approach – a sociology of problem drinking and problem drug use, not a sociology of drinking and drug use behavior – has dominated the literature on alcohol and other drugs. However, the literature reveals a sociology of drinking and drug problems in the spirit of the research that Bacon proposed. The sociology of drinking and drug problems exposes the considerable influence of 'sociologic' factors on problem drinking and problem drug use and, in particular, that problem drinking and problem drug use are not caused exclusively by biologic traits. However, more research needs to analyze the normal use of alcohol and other drugs to better understand the connection between substance use and social life.Author recommends Bacon, Selden D. 1943. 'Sociology and the Problems of Alcohol: Foundations for a Sociologic Study of Drinking Behavior.'Quarterly Journal of Studies on Alcohol 4 : 402–45. In this seminal article, Bacon proposes a research plan for the 'sociologic' study of drinking behavior. Bacon urges sociologists to examine the functions of alcohol consumption; the manner and method by which alcohol is consumed, including where, when, and with whom; and drinking norms, sanctions, and sanctioning agents. Bacon also recommends that sociologists who study alcohol consider race, socio‐economic status, and occupation, social and cultural mores and institutional demands, social change, and how drinking comportment, habits, customs, and roles are learned. Becker, Howard S. 1953. 'Becoming a Marihuana User.'American Journal of Sociology 59: 235–42. Becker argues that regular marijuana use is a learned behavior. Based on 50 interviews with musicians, laborers, and white‐collar professionals who use marijuana, Becker suggests that novice marijuana users do not continue to use marijuana unless they learn from experienced users: (i) how to properly smoke marijuana, (ii) how to recognize its effects, and (iii) how to enjoy those effects. Fingarette, Herbert. 1988. Heavy Drinking: The Myth of Alcoholism as a Disease. Berkeley, CA: University of California Press. Fingarette proposes that Americans have been so inundated with the idea that alcoholism is a disease that they overlook personal and scientific observations that indicate heavy drinkers can control their alcohol consumption. Heavy drinking is not a disease, Fingarette states, but a 'central activity' in the lives of some drinkers: heavy drinkers organize their daily life around drinking and look for settings that promise and promote heavy drinking. Heavy drinking, similar to all central activities, carries momentum and becomes a difficult pattern to break. Levine, Harry G. 1978. 'The Discovery of Addiction: Changing Conceptions of Habitual Drunkenness in America.'Journal of Studies on Alcohol 39: 143–74. In this classic article, Levine argues that the mid‐19th century development of market capitalism and middle‐class society in America led to the discovery of addiction. Rapid social change and related social problems prompted medical professionals, religious leaders, and the American public to regard alcohol as inherently addicting and alcohol consumption as dangerous for society. Levine also traces the historical evolution of ideas concerning the cause and nature of alcohol addiction. Lindesmith, Alfred R. 1968. Addiction and Opiates, Rev. edn. Chicago, IL: Aldine Publishing Company. Lindesmith finds that opiate users experience addiction only if they learn by observation or experience how to recognize opiate withdrawal, link withdrawal to their opiate use, and then use opiates again to relieve their withdrawal distress. According to Lindesmith, persons who do not become 'enlightened' about the symptoms of opiate withdrawal do not become addicted to opiates. MacAndrew, Craig and Robert B. Edgerton. 1969. Drunken Comportment: A Social Explanation. Chicago, IL: Aldine Publishing Company. MacAndrew and Edgerton question the conventional wisdom that drinkers lose control when they consume alcohol. MacAndrew and Edgerton acknowledge that alcohol affects drinkers pharmacologically, but they also provide a wealth of anthropological evidence that reveals drunken comportment is 'societally sanctioned.' Cultural norms and values socialize individuals how to behave during different drinking situations. Pittman, David J. and Charles R. Snyder. (eds) 1962. Society, Culture, and Drinking Patterns. New York, NY: John Wiley & Sons, Inc. This volume consists of some of the most influential analyses of alcohol consumption and alcoholism in the social science literature, organized under five different themes: (i) the anthropology of drinking, (ii) modern setting, (iii) social structure and subcultures, (iv) the origin and patterns of alcoholism, and (v) responsive movements and systems of control. Reinarman, Craig and Harry G. Levine. (eds) 1997. Crack in America: Demon Drugs and Social Justice. Berkeley, CA: University of California Press. Reinarman and Levine bring together essays about the crack scare in America that occurred during the late 1980s and the early 1990s. This important work in the sociology of alcohol and other drugs covers four broad areas: (i) myths and realities, (ii) crack in comparable societies, (iii) the price of repression, and (iv) punitive prohibition and harm reduction. Waldorf, Dan, Craig Reinarman, and Sheigla Murphy. 1991. Cocaine Changes: The Experience of Using and Quitting. Philadelphia, PA: Temple University Press. Waldorf, Reinarman, and Murphy suggest that a 'stake in conventional life'– a family, finances, a job, and social status, for example – helps heavy cocaine users control their use or even quit using cocaine. Health problems and diminishing pleasure from cocaine also help control use. Whatever cocaine users value and prioritize in their lives can be more powerful than the pharmacological effects of cocaine.Online materialsRutgers Center of Alcohol Studies Library http://alcoholstudies.rutgers.edu/library/index.html The Rutgers Center of Alcohol Studies Library holds a wide‐ranging collection of resources on the medical, psychological, and social aspects of alcohol and other drug use and abuse. The library's Alcohol Studies Database provides searchable access to over 80,000 works on alcohol and other drugs, including audio–visual materials. The Alcohol History Database covers alcohol‐related subjects from the 18th, 19th, and 20th centuries (Rutgers, The State University of New Jersey 2009).Alcohol Research Group Library, Public Health Institute http://www.arg.org/resources/library.php The Alcohol Research Group Library contains almost 70,000 works on alcohol and other drugs from social, cultural, and legal perspectives. The library also holds items related to treatment and prevention (Public Health Institute 2010).The New York Academy of Medicine Library http://www.nyam.org/library/ The New York Academy of Medicine Library houses a medical collection of over 550,000 works, a portion of which will soon be directly available online. The library's historical collection consists of resources from as early as 1700 BC on the history of medicine, public health, and other health care fields. Researchers and the general public can search most of these materials through the library's online catalog (The New York Academy of Medicine 2010).The Chester H. Kirk Collection, Brown University Library http://dl.lib.brown.edu/libweb/collections/kirk/index.php The Chester H. Kirk Collection consists of works on alcoholism and Alcoholics Anonymous. Related collections at the Brown University Library include: the Robert Holbrook Smith Collection of Books, Manuscripts and Memorabilia, the Rutgers Anti‐Saloon League Collection of Temperance and Addiction Studies Periodicals, the Archives of the National Council on Alcoholism and Drug Dependence, Inc., the Ernest Kurtz Collection on Alcoholism, and the Clarence Snyder Alcoholics Anonymous Collection. These collections are searchable through Josiah, the online catalog of Brown University Library (Brown University Library 2010).Division on Addictions, Cambridge Health Alliance, a teaching affiliate of Harvard Medical School http://www.divisiononaddictions.org/ The Division on Addictions provides researchers, policy advocates, and the public with information about addiction to alcohol, drugs, and gambling. Through its Library and Archives portal, the Division offers access to scholarly articles authored by its staff and to the weekly BASIS, the Brief Addiction Science Information Source, a web‐based publication that summarizes and analyzes the latest scientific research on various addiction‐related topics. Other resources of the Division include Expressions of Addiction, a photographic essay that documents individuals during different stages of addiction (Division on Addictions 2010).Alcohol and Drugs History Society http://historyofalcoholanddrugs.typepad.com/ The Alcohol and Drugs History Society provides scholarly and popular information about the history of alcohol and other drugs. Its website consists of interest categories that range in subject from alcohol, to inhalants, to tea. The Alcohol and Drugs History Society website also provides access to back issues of The Social History of Alcohol and Drugs: An Interdisciplinary Journal, the official publication of the Alcohol and Drugs History Society (Alcohol and Drugs History Society 2010).Sample syllabusWeeks 1 and 2: IntroductionBacon, Selden D. 1943. 'Sociology and the Problems of Alcohol: Foundations for a Sociologic Study of Drinking Behavior.'Quarterly Journal of Studies on Alcohol 4: 402–45.Freed, Christopher R. 2010. 'In the Spirit of Selden Bacon: The Sociology of Drinking and Drug Problems.'Sociology Compass 4: 856–68.Reinarman, Craig and Harry G. Levine. 1997. 'Crack in Context: America's Latest Demon Drug.' Pp. 1–17 and 'The Crack Attack: Politics and Media in the Crack Scare.' Pp. 18–51 in Crack in America: Demon Drugs and Social Justice, edited by Craig Reinarman and Harry G. Levine. Berkeley, CA: University of California Press.Week 3: Different people, different 'genussmittel'Schivelbusch, Wolfgang. 1992. 'Preface.' Pp. xiii–xiv,'Spices, or the Dawn of the Modern Age.' Pp. 3–14, 'Coffee and the Protestant Ethic.' Pp. 15–84, and 'Chocolate, Catholicism, Ancien Regime.' Pp. 85–95 in Tastes of Paradise: A Social History of Spices, Stimulants, and Intoxicants, translated by David Jacobson. New York, NY: Vintage Books.Weeks 4 and 5: Constructing and deconstructing the disease concept of alcoholismLevine, Harry G. 1978. 'The Discovery of Addiction: Changing Conceptions of Habitual Drunkenness in America.'Journal of Studies on Alcohol 39: 143–74.Kurtz, Ernest. 1979. 'Beginnings: November 1934–June 1935. The Limitations of the Drinking Alcoholic.' Pp. 7–36 in Not‐God: A History of Alcoholics Anonymous. Center City, MN: Hazelden.Seeley, John R. 1962. 'Alcoholism is a Disease: Implications for Social Policy.' Pp. 586–93 in Society, Culture, and Drinking Patterns, edited by David J. Pittman and Charles R. Snyder. New York, NY: John Wiley & Sons, Inc.Rudy, David R. 1986. 'A Typology of Careers.' Pp. 55–69 in Becoming Alcoholic: Alcoholics Anonymous and the Reality of Alcoholism. Carbondale, IL: Southern Illinois University Press.Fingarette, Herbert. 1988. 'What Science Now Knows, but the Public Doesn't.' Pp. 1–9, 'Can Alcoholics Control Their Drinking?' Pp. 31–47, and 'Understanding Heavy Drinking as a Way of Life.' Pp. 99–113 in Heavy Drinking: The Myth of Alcoholism as a Disease. Berkeley, CA: University of California Press.Week 6: Pharmacological fallacy: The socio‐cultural effectMacAndrew, Craig and Robert B. Edgerton. 1969. 'The Conventional Wisdom.' Pp. 1–12 and 'Drunkenness as Time Out: An Alternative Solution to the Problem of Drunken Changes‐for‐the‐Worse.' Pp. 83–99 in Drunken Comportment: A Social Explanation. Chicago, IL: Aldine Publishing Company.Morgan, John P. and Lynn Zimmer. 1997. 'The Social Pharmacology of Smokeable Cocaine: Not All It's Cracked Up to Be.' Pp. 131–70 in Crack in America: Demon Drugs and Social Justice, edited by Craig Reinarman and Harry G. Levine. Berkeley, CA: University of California Press.Week 7: Using and quittingLindesmith, Alfred R. 1968. 'The Nature of Addiction.' Pp. 69–96 in Addiction and Opiates. Rev. edn. Chicago, IL: Aldine Publishing Company.Becker, Howard S. 1953. 'Becoming a Marihuana User.'American Journal of Sociology 59: 235–42.Schaler, Jeffrey A. 2000. 'Do Drug Addicts Lose It?' Pp. 21–36 in Addiction Is a Choice. Chicago, IL: Open Court.Waldorf, Dan, Craig Reinarman, and Sheigla Murphy. 1991. 'Making Sense of Cessation: A Synthesis.' Pp. 218–41 in Cocaine Changes: The Experience of Using and Quitting. Philadelphia. PA: Temple University Press.Week 8: The medical treatment of addictionWhite, William L. 2003. 'The History of 'Medicinal Specifics' as Addiction Cures in the United States.'Addiction 98: 261–67.Armstrong, Elizabeth M. 2003. 'Medical‐Moral Authority and the Redefinition of Risk in the Twentieth Century.' Pp. 189–212 in Conceiving Risk, Bearing Responsibility: Fetal Alcohol Syndrome & the Diagnosis of Moral Disorder. Baltimore, MD: The Johns Hopkins University Press.Freed, Christopher R. 2007. 'Addiction Medicine and Addiction Psychiatry in America: The Impact of Physicians in Recovery on the Medical Treatment of Addiction.'Contemporary Drug Problems 34: 111–35.Freed, Christopher R. 2010. 'Addiction Medicine and Addiction Psychiatry in America: Commonalities in the Medical Treatment of Addiction.'Contemporary Drug Problems 37: 139–63.Week 9: The origins, consequences, and value of punitive prohibitionReinarman, Craig and Harry G. Levine. 1997. 'Punitive Prohibition in America.' Pp. 321–33, Siegel, Loren. 1997. 'The Pregnancy Police Fight the War on Drugs.' Pp. 249–59, and Reinarman, Craig and Harry G. Levine. 1997. 'The Cultural Contradictions of Punitive Prohibition.' Pp. 334–44 in Crack in America: Demon Drugs and Social Justice, edited by Craig Reinarman and Harry G. Levine. Berkeley, CA: University of California Press.Levine, Harry G. 2002. 'The Secret of Worldwide Drug Prohibition: The Varieties and Uses of Drug Prohibition.'The Independent Review 7: 165–80.Week 10: Drug, set, and settingZinberg, Norman E. 1984. 'Preface.' Pp. vii–xiii in Drug, Set, and Setting: The Basis for Controlled Intoxicant Use. New Haven, CT: Yale University Press.Zinberg, Norman E. 1972. 'Heroin Use in Vietnam and the United States: A Contrast and a Critique.'Archives of General Psychiatry 26: 486–88.Shaffer, Howard J. 1996. 'Understanding the Means and Objects of Addiction: Technology, the Internet, and Gambling.'Journal of Gambling Studies 12: 461–69.Room, Robin. 2003. 'The Cultural Framing of Addiction.'Janus Head 6: 221–34.Focus topics/questions
Distinguish the sociological perspective of alcoholism and addiction from the medical model of alcoholism and addiction. Describe the social construction of the disease concept of addiction. List some of the social factors that cause and contribute to chronic alcohol and drug use. How can the sociological perspective on alcoholism and addiction help individuals who suffer from chronic alcohol and drug use? Should social and behavioral scientists conduct more research on normal alcohol and drug use? What contribution would this research make to the extant literature on drinking and drug problems?
Project ideaAlcoholics Anonymous (AA) has profoundly influenced modern conceptions of chronic alcohol and drug use. Ask students to observe one or more local and 'open' AA meetings during Weeks 4 and 5. 'Open' AA meetings are available to anyone interested in AA whereas 'closed' meetings are reserved for members of the organization. AA World Services, Inc. provides a searchable listing of local meetings in the United States and Canada at http://www.aa.org/lang/en/meeting_finder.cfm?origpage=29. For AA meetings in other countries, see http://www.aa.org/lang/en/aa_international.cfm?origpage=31.Ask students to report on their observations, as related to the assigned readings and class discussions during Weeks 4 and 5, in one of several different oral or written formats. In framing this project, instructors should consider whether students will need approval from an Institutional Review Board to fulfil the assignment, bearing in mind that students have an ethical obligation to preserve the anonymity of the AA members who attend the meeting or meetings that they observe.ReferencesAlcohol and Drugs History Society. 2010. 'Alcohol and Drugs History Society: Online Home of The Social History of Alcohol and Drugs.' Alcohol and Drugs History Society. Retrieved August 28, 2010 (http://historyofalcoholanddrugs.typepad.com/).Brown University Library. 2010. 'Alcohol and Addiction Studies: A Guide to Resources at Brown.' Providence, RI: Brown University Library. Retrieved August 18, 2010 (http://dl.lib.brown.edu/libweb/collections/kirk/index.php).Division on Addictions. 2010. 'About the Division on Addictions.' Medford, MA: Division on Addictions. Retrieved August 30, 2010 (http://www.divisiononaddictions.org/).Public Health Institute. 2010. 'Resources.' Emeryville, CA: Public Health Institute. Retrieved September 5, 2010 (http://www.arg.org/resources/library.php).Rutgers, The State University of New Jersey. 2009. 'Center of Alcohol Studies Information Services.' Piscataway, NJ: Rutgers, The State University of New Jersey. Retrieved September 1, 2010 (http://alcoholstudies.rutgers.edu/library/index.html).The New York Academy of Medicine. 2010. 'About Us.' New York, NY: The New York Academy of Medicine. Retrieved September 8, 2010 (http://www.nyam.org/library/).
Daseinsvorstellungen, Wertungen und Verhaltensweisen bezüglich Universität und Studium, Wissenschaft und Forschung, Rolle des Akademikers, Beruf und Arbeit, Geschlechterrolle, Gesellschaft und soziale Ungleichheit, politische Partizipation und Kultur, allgemeine Orientierungen und Werthaltungen, Selbstbild, moralisch-soziale Konflikte. Ausbildungs- und Berufswahl, Studienverlauf und Berufseinstieg. Studiensituation, Studierverhalten und Berufserfahrungen.
Themen: 1. Welle: Fachwahl und Studiensituation: Studienwahlmotive; Präferenz für neigungsorientiertes oder an späteren Berufschancen orientiertes Studium; Informiertheit über ausgewählte Fragen des Hochschulstudiums; Art der Studienfinanzierung; Dauer der jeweiligen Wohnsituation während des Studiums; präferierte Wohnform; Anzahl der Hochschulen, an denen studiert wurde; Anzahl der Auslandssemester; Anzahl der Fachsemester bis zum Studienabschluss; Auswahlkriterien für die derzeit besuchte Universität; Beschreibung der Kontakthäufigkeit zu Studenten des eigenen Faches bzw. anderer Fächer, zu Assistenten, Professoren und Personen im zukünftigen Berufsfeld sowie zu Personen ohne akademische Ausbildung; Zufriedenheit mit dem Kontakten zu Kommilitonen und Lehrenden.
Familiärer Hintergrund: Familienstand; Anzahl eigener Kinder; soziale Herkunft: Schulbildung, Ausbildungsfachrichtung und berufliche Stellung der Eltern; Schichtzugehörigkeit der Eltern; Selbsteinschätzung der Schichtzugehörigkeit in zehn Jahren; Universitätsbesuch der Großväter; Geschwisterzahl; Universitätsbesuch von Geschwistern.
Anforderungen und Möglichkeiten im Studium: Charakterisierung des eigenen Hauptstudienfaches und der gestellten Anforderungen; Bewertung dieser Anforderungen; Charakterisierung von Lehrenden und Studierenden des eigenen Fachbereichs; Fachcharakterisierung (spezielle Ausrichtung, elitärer Anspruch, politische Rivalitäten unter den Studenten, Strenge in Prüfungen, hoher intellektueller Anspruch, Benachteiligung weiblicher Studierender, gute Beziehungen zwischen Studenten und Lehrenden).
Lernen und Arbeiten: aufgewendete Stunden für den Besuch von Lehrveranstaltungen; zusätzlicher wöchentlicher Zeitaufwand für das Studium; Intensität des Studierens in verschiedenen Phasen des Studiums; mehr Fachliteratur gelesen als empfohlen; kritisches Lesen; eigene Interessenschwerpunkte gesetzt; Entwicklung eigener Gedanken zur Problemlösung; Versuch, Forschungsergebnisse nachzuvollziehen; eigene Untersuchung durchgeführt; Inanspruchnahme der Studienberatung des Faches; Übereinstimmung des Studiums mit eigenen Interessen und Neigungen; Anzahl zusätzlich besuchter fachfremder Lehrveranstaltungen im sozialwissenschaftlichen, geisteswissenschaftlichen und naturwissenschaftlichen Bereich; Interesse für Mathematik, Naturwissenschaft, Medizin, Sprachen, Geschichte, Literatur/Philosophie, Wirtschaft, Soziologie/Politikwissenschaft, Pädagogik/Psychologie, Technik, künstlerisch-musischer Bereich (Skalometer); Lernmotivation (Skala: gemeinsames Lernen, erfolgversprechende Perspektive, neuer Stoff, praktische Anwendbarkeit des Gelernten, selbstbestimmtes Lernen, vor Prüfungen, lernen ohne Druck, Anerkennung durch Lehrende); Charakterisierung des eigenen Verhaltens anhand von Gegensatzpaaren (Problemlösungssicherheit bei neuen und bei komplizierten Aufgaben, Prüfungsangst, Nervosität bei Gesprächen mit Lehrenden und in Prüfungssituationen); Lern- und Leistungsorientierung; Durchschnittsnote des Abiturzeugnisses und der Zwischenprüfung bzw. des Vordiploms; Zufriedenheit mit den bisherigen Noten im Studium; Einschätzung der Chancen auf einen guten Studienabschluss; Wichtigkeit der Prüfungsergebnisse für die beruflichen Chancen; Gedanken an Hauptfachwechsel oder Studienabbruch; erneute Entscheidung für das gleiche Studium, ein anderes Fach oder eine andere Ausbildung und Art dieser Ausbildungsfächer; empfundene persönliche Belastung durch: Leistungsanforderungen im Studium, finanzielle Situation, unsichere Berufsaussichten, Anonymität an der Hochschule, bevorstehende Prüfungen, Wohnsituation, die Situation als Student generell); empfundene Benachteiligung von Frauen an der Universität; Interesse an hochschulpolitischen Fragen; Interesse für ausgewählte Hochschulgruppen; erfahrene Förderung der eigenen Persönlichkeit im Studium in ausgewählten Bereichen; Einschätzung der Nützlichkeit für die persönliche Entwicklung und die Verbesserung von Berufsaussichten von: Hochschulwechsel, Forschungspraktika, Auslandsstudium, Spezialisierung, fachübergreifendes Studium, Anwendung theoretischen Wissens auf Alltagsprobleme, praktische Arbeitserfahrung außerhalb der Hochschule, hochschulpolitisches Engagement, schneller Studienabschluss; praktische Erfahrungen im zukünftigen Beruf vor bzw. während des Studiums; Einfluss dieser Erfahrungen auf die Berufswahl; Nutzen des Hochschulstudiums für den späteren Beruf; Vergleich von zukünftigem Beruf und Studium hinsichtlich verlangter Fähigkeiten; geplante Promotion, Zweitstudium, Referendariat, Trainee bzw. Berufstätigkeit nach dem ersten Studienabschluss; Zuversicht oder Befürchtungen für die Zeit nach dem Studium; Charakterisierung der Gesellschaft der BRD, der Universität sowie des zukünftigen Berufsfeldes anhand von Eigenschaften (human, fortschrittlich, autoritär, reformbedürftig, unbeweglich, leistungsfähig und anonym).
Beruf: Entscheidung über eigene zukünftige Berufswahl getroffen; angestrebter Tätigkeitsbereich; Zeitpunkt dieser Entscheidung; Informiertheit über ausgewählte Aspekte der zukünftigen Berufstätigkeit; Berufsaussichten; berufliche Wertvorstellungen (Skala); erwartete Übereinstimmung dieser Wertvorstellungen mit dem zukünftigen Beruf; Erwartungen an den zukünftigen Beruf (Arbeitszufriedenheit, Möglichkeit anderen zu helfen, Verwirklichung eigener Ideen, wissenschaftliche Tätigkeit, hohes Einkommen, gute Aufstiegsmöglichkeiten); erwartetes Anfangsgehalt und monatliches Bruttogehalt nach zehn Jahren Berufstätigkeit; erwartete Anforderungen an Berufsanfänger im künftigen Berufsfeld; erwartetes Zurechtkommen im voraussichtlichen Beruf; erwartete Schwierigkeiten zu Berufsbeginn (Skala); Einstellung zur Rolle der Frau zwischen Familie und Beruf; Eignungsvergleich von Frau und Mann hinsichtlich: Aufgaben mit eigenen Ideen, berufliche Führungspositionen, Eingehen auf andere Menschen, politische Betätigung, wissenschaftliche Forschung; Einschätzung gesellschaftlicher Gleichstellung bzw. Benachteiligung der Frau in Ausbildung, Beruf, Politik, Führungspositionen sowie in der Familie; Beurteilung von Wertvorstellung und Einstellung anhand von Gegensatzpaaren zu: Emotionen als Schwäche, Bestrafung bei Gesetzesverstößen, Meinungsfreiheit, impulsivem Handeln, Wahrheitsfindung durch Identifikation, Menschen sind grundsätzlich gut; gefestigte Wertvorstellungen über: Zusammenleben der Menschen, drängende soziale Probleme der Gesellschaft, politische Ziele, Bereiche eigener Leistungsfähigkeit, persönlicher Einsatz, gesellschaftlicher Erfolg, Ziele und Aufgaben der Wissenschaft, Bedeutung von Bildung; Beurteilung der eigenen Kompetenz hinsichtlich ausgewählter gesellschaftlicher Probleme im Vergleich zur Gesamtbevölkerung (Skala: Parteienbeurteilung, Vorteile und Nachteile der Marktwirtschaft, Lage der dritten Welt und der Entwicklungsländer, Erklären und Lösen der Probleme der Jugendkriminalität, Notwendigkeit und Grenzen der Meinungsfreiheit in der Demokratie, wichtigste Reformen im Bildungswesen, Rolle der Wissenschaftler für menschliche und gesellschaftliche Entwicklung, Humanisierung der Arbeitswelt, Möglichkeit und Folgen der Gleichberechtigung, Möglichkeiten eigene politische Interessen zu vertreten); Zweck wissenschaftlichen Denkens und Arbeitens: gesicherte Wahrheit versus Interpretationen der Wirklichkeit, eigene Erkenntnis versus praktische Problemlösung; Rangfolge der wichtigsten Aufgabengebiete der Wissenschaft (technischer Fortschritt und Wohlstand, gegen Unterdrückung arbeiten, geistige Aufklärung und kulturelle Entwicklung); Einstellung zur Wissenschaft und zu Wissenschaftlern (Skala: Gesellschaftsentwicklung hängt vom wissenschaftlichen Fortschritt ab, wissenschaftliche Forschungsergebnisse hauptsächlich zugunsten der Wirtschaft, Forschungsergebnisse auch Laien vermitteln zeichnet guten Wissenschaftler aus, zu großer Einfluss auf das tägliche Leben, hauptsächlich Wissenschaftler profitieren von wissenschaftlicher Forschung, Wissenschaftler stehen gesellschaftlichen Tatbeständen kritisch gegenüber, wichtigste Wissenschaften sind die Naturwissenschaften, Wissenschaftler können frei ihre Forschungsthemen bestimmen); Forderungen an Wissenschaftler und die Wissenschaft (Skala); tatsächliche und gewünschte Wichtigkeit ausgewählter Aufgaben der Universität; Akademiker haben besondere Verantwortung gegenüber der Allgemeinheit aufgrund ihrer Universitätsausbildung; besondere Eigenschaften und Fähigkeiten unterscheiden Akademiker von Nicht-Akademikern; Vergleich ausgewählter Eigenschaften von Akademikern im Vergleich zu Nicht-Akademikern; Beurteilung der Ganztags-Berufstätigkeit einer verheirateten und finanziell abgesicherten Mutter bei Unterbringung ihres einjährigen Kindes bei einer Tagesmutter; Einstellung zu ausgewählten Motiven für sowie gegen das Verhalten der Mutter; Einschätzung der vorgenannten Problematik als rechtliches, familiäres, moralisches, finanzielles oder gesellschaftliches Problem; Beurteilung des Verhaltens eines Arztes, der einer todkranken Patientin auf deren Wunsch Sterbehilfe leistet; Einstellung zu ausgewählten Gründen für bzw. gegen das Verhalten des Arztes; Beurteilung von Sterbehilfe als rechtliches, religiöses, moralisches, humanitäres, wissenschaftliches oder gesellschaftliches Problem.
Gesellschaft: Bewertung der sozialen Unterschiede in der BRD als groß sowie als ungerecht; Einschätzung der Schichtanteile der deutschen Bevölkerung anhand von vier Skizzen; Verringerung der sozialen Unterschiede im Land ist möglich; Einstellung zur Verringerung sozialer Unterschiede; perzipierte Möglichkeit der Abschaffung der sozialen Unterschiede; Gründe gegen die Abschaffung der sozialen Unterschiede (Skala); Einstellung zu ausgewählten gesellschaftspolitischen Aussagen: soziale Unterschiede führen zu Konflikten zwischen Oben und Unten in der Gesellschaft, Erfolg durch individuellen Aufstieg statt Solidarität der unteren Schichten, Abhängigkeit der individuellen politischen Meinung von der gesellschaftlichen Stellung, Wettbewerb zerstört Solidarität, faire Chance für gesellschaftlichen Aufstieg in der BRD, ohne Wettbewerb kein gesellschaftlicher Fortschritt, Widerspruch zwischen Wirtschaft und Gesellschaft, ohne Wettbewerb keine Leistung, rechtliche Benachteiligung der sozialen Unterschicht; Entwicklung der gesellschaftlichen Aufstiegschancen in der BRD; Wichtigkeit ausgewählter Faktoren für gesellschaftlichen Erfolg; Vergleich von Akademikern und Nicht-Akademikern im Bezug auf höheres Einkommen, höheres Ansehen und größeren politischen Einfluss; Rechtfertigung von höherem Einkommen, höherem Ansehen und größerem politischen Einfluss von Akademikern im Vergleich zu Nicht-Akademikern; Beurteilung der nachfolgenden Aussagen: Forderung nach bildungs- sowie leistungsabhängiger Entlohnung, gleiches Einkommen für alle; Forderung nach Aktionen (z.B. Streiks) der sozial Benachteiligten, der Wert eines Menschen an seiner Leistung bemessen, Reformen lösen keine Probleme, Demokratisierung aller Lebensbereiche, gewaltfreie Durchsetzung von Reformen; Machtverteilung in der BRD (Gruppen, Elite, Großkapital); derzeitig verwirklichte gesellschaftliche Ziele in der BRD (materieller Wohlstand, soziale Gleichheit, individuelle Freiheit, sozialer Frieden, demokratische Mitbestimmung, soziale Sicherheit); individuelle Freiheit versus soziale Gleichheit, soziale Gleichheit versus materieller Wohlstand, materieller Wohlstand versus individuelle Freiheit; Meinung zum Verhältnis der Ziele Freiheit und Gleichheit.
Politik: Politikinteresse (international, national, lokal, studentische Politik); Art der eigenen politischen Partizipation; Einstellung zur politischen Partizipation (Skala: derzeitige Möglichkeiten sind zufriedenstellend, Gleichgültigkeit gegenüber Politik ist verantwortungslos, Normalbürger hat nicht genug Gelegenheit zu politischer Einflussnahme, politische Aktivität ist Privatsache, Neigung zum politischen Protest bei Fehlentscheidungen, Politiker sind unfair und unehrlich, keine Beurteilung komplexer politischer Probleme möglich); politische Selbsteinschätzung links/rechts im Vergleich zu den Mitbürgern, den Kommilitonen und den Eltern sowie im Vergleich zu vor 2 Jahren; Einstellung zu politischen Zielen (Bewahren der Familie, harte Bestrafung der Kriminalität, Stabilität der sozialen und wirtschaftlichen Verhältnisse, volle Mitbestimmung der Arbeitnehmer, Förderung technologischer Entwicklung, Festlegung einer Einkommenshöchstgrenze, Gleichstellung der Frau, Abschaffung des Privateigentums an Industrieunternehmen und Banken, gleiche Bildungschancen durch Reform des Schulwesens, Sicherung der freien Marktwirtschaft); Einstellung zu Toleranz und wissenschaftlichem Denken: Experten ohne eindeutige Antwort fehlt es an Kompetenz, Dankbarkeit für ruhiges, geregeltes Leben, Präferenz für Menschen mit gleicher Meinung, alle sollten gleiche Werte annehmen, schematisches Leben kostet Lebensfreude, Interesse an unkonventionellen Menschen, Ja-/Nein-Antworten sind zu einfach, Präferenz für Aufgabenstellungen, die Kreativität zulassen.
Lebensbereiche und Selbstbild: Wichtigkeit ausgewählter Lebensbereiche; Wichtigkeit ausgewählter Erziehungsziele; Selbstcharakterisierung anhand einer Eigenschaftenliste (Selbstbild); Einschätzung der Chancen auf Selbstbestimmung oder Abhängigkeit von gesellschaftlichen Anforderungen; persönliche Eigenschaften oder Zufälligkeiten als lebensbestimmend (externe Kontrolle); Einfluss des Hochschulstudiums auf die eigene Einstellung zur Politik, Wissenschaft, die eigene Zukunft, die Gesellschaft, sich selbst und Religion; Beeinflussung der eigenen Orientierung durch die Hochschullehrer, Kommilitonen, Lehrinhalt des Fachstudiums, Fachinhalte anderer Studiengebiete bzw. durch das studentische Leben allgemein; empfundener Gruppendruck an der eigenen Universität; Freude am Studentendasein.
Zusätzlich verkodet wurde: Verständnisprobleme beim Ausfüllen des Fragebogens; problemtische Antwortvorgaben; Unsicherheit bei der Beantwortung der Fragen; Diskussion mit anderen über die Fragen.
Demographie: Alter (Geburtsjahr); Geschlecht; erstes und zweites Hauptfach; erstes und zweites Nebenfach; Tätigkeit nach dem Abitur (Bundeswehr, Ersatzdienst, Direktstudium; anderes Studium und Studienart; Semesterzahl; Studienabschluss; andere Ausbildung und Art dieser Ausbildung; Ausbildungsdauer; Ausbildungsabschluss; Berufstätigkeit und Dauer der Berufstätigkeit; Jahr des Abiturs; Hochschulsemester; Fachsemester.
2. Welle: Derzeitige Tätigkeit; Beendigung des Hauptstudiums; Anzahl der Fachsemester bis zum Abschluss; Promotionsabsicht; Wechsel des Hauptfachs nach dem Wintersemester 1979/80; erstes und zweites Hauptfach; retrospektiv gesehen: erneute Entscheidung für das gleiche Studium, ein anderes Fach oder eine andere Ausbildung und Art dieser Ausbildungsfächer; Durchschnittsnote der Hauptprüfung bzw. des Diploms; Zufriedenheit mit dem Ergebnis der Abschlussprüfung; erfahrene Förderung der eigenen Persönlichkeit im Studium in ausgewählten Bereichen; retrospektive Zufriedenheit mit der Art des Aufbaus des Fachstudiums; Einschätzung der Nützlichkeit für die persönliche Entwicklung und die Verbesserung von Berufsaussichten, durch: Hochschulwechsel, Forschungspraktika, Auslandsstudium, Spezialisierung, fachübergreifendes Studium, Anwendung theoretischen Wissens auf Alltagsprobleme, praktische Arbeitserfahrung außerhalb der Hochschule, hochschulpolitisches Engagement, schnellen Studienabschluss.
Beruf: Sicherheit der bereits getroffenen Berufswahl; angestrebte Tätigkeitsbereiche; Einschätzung der Berufsaussichten; geschätzte Anzahl weiterer Studiensemester; empfundene persönliche Belastung durch: die eigene finanzielle Situation, unsichere Berufsaussichten, Leistungsanforderungen im Studium, bevorstehende Prüfungen, Anonymität an der Hochschule, Wohnsituation, die Situation als Student generell; Art der Beschäftigung; Art des Arbeitsverhältnisses; derzeitige Tätigkeit entspricht dem angestrebten Beruf; Tätigkeitsbereich; Dauer der jetzigen Tätigkeit; Berufs- oder Stellenwechsel seit Studienabschluss; Arbeitslosigkeit seit Abgang von der Hochschule und Arbeitslosigkeitsdauer; Schwierigkeiten beim Übergang in den Beruf; Möglichkeit einer besseren beruflichen Stellung in 5 Jahren (Karriereerwartung); persönliche Schwierigkeiten durch die Berufstätigkeit (Lebensweise als Berufstätiger, Kollegen, Vorgesetzte, Leistungsanforderungen, Einbringen eigener Interessen, veränderte Arbeitsweise, Vereinbarkeit von Beruf und Familie); Vergleich der Anforderungen im Studium und im Beruf (Kreativität, Fleiß, Kritikfähigkeit, Selbständigkeit, Selbstbewusstsein und Durchsetzungsfähigkeit, Kooperationsfähigkeit, Verantwortungsbereitschaft, Anpassungsfähigkeit und Zuverlässigkeit); berufliche Anforderungen und deren Bewertung durch den Befragten; allgemeine Bewertung des eigenen Berufseinstiegs; Charakterisierung der derzeitigen Berufstätigkeit hinsichtlich: Arbeitszufriedenheit, Möglichkeit anderen zu helfen, Verwirklichung eigener Ideen, wissenschaftliche Tätigkeit, hohes Einkommen, gute Aufstiegsmöglichkeiten, Arbeitsplatzsicherheit, Arbeitsbelastung, Anwendung fachlicher Fähigkeiten); Nutzen des Studiums für den Beruf; Änderung der Berufspläne in den letzen zwei Jahren; Zuversicht oder Befürchtungen für die berufliche Zukunft; Einschätzung des Arbeitslosigkeitsrisikos von Absolventen der eigenen Fachrichtung; vermutete Benachteiligung von Frauen bei der Anstellung im eigenen Berufsfeld; Präferenz für neigungsorientiertes oder an späteren Berufschancen orientiertes Studium; Höhe des monatlichen Bruttogehalts einschließlich BAföG; erwartetes monatliches Bruttogehalt nach zehn Jahren Berufstätigkeit.
Berufliche Wertvorstellungen (Skala); erwartete Übereinstimmung dieser Wertvorstellungen mit dem zukünftigen Beruf; Charakterisierung des eigenen Verhaltens anhand von Gegensatzpaaren (Bewältigung neuer und komplizierter Aufgaben, Prüfungsangst, Gespräche mit Lehrenden, Prüfungssituation); Charakterisierung der Gesellschaft der BRD, der Universität sowie des eigenen Berufsfeldes anhand von Eigenschaften (human, fortschrittlich, autoritär, reformbedürftig, unbeweglich, leistungsfähig und anonym); Schichtzugehörigkeit der Eltern und Selbsteinschätzung der Schichtzugehörigkeit in zehn Jahren (Oben-Unten-Skala); Einstellung zur Vereinbarkeit von Familie und Beruf für Frauen; Eignungsvergleich von Frau und Mann hinsichtlich: Aufgaben mit eigenen Ideen, berufliche Führungspositionen, Eingehen auf andere Menschen, politische Betätigung, wissenschaftliche Forschung; gesellschaftliche Gleichstellung bzw. Benachteiligung der Frau in der Hochschule, in anderen Ausbildungen, im Beruf, in der Politik, in Führungspositionen sowie in der Familie; Bewertung von Aussagen anhand von Gegensatzpaaren zu: Emotionen als Indikator für Schwäche, Bestrafung bei Gesetzesverstößen, Meinungsfreiheit, impulsivem Handeln, Wahrheitsfindung durch Identifikation, Menschen sind grundsätzlich gut; Unsicherheit bzw. feste Vorstellungen über: wichtigste Werte für das Zusammenleben der Menschen, drängende soziale Probleme der Gesellschaft, Unterstützung politischer Ziele, Bereiche eigener Leistungsfähigkeit, persönlicher Einsatz im Leben, Kriterien für gesellschaftlichen Erfolg, Ziele wissenschaftlichen Arbeitens; Bedeutung von Lernen und Bildung für den Einzelnen, Anforderungen im Berufsleben, Rolle der Akademiker in der Gesellschaft; Beurteilung der eigenen Kompetenz hinsichtlich der Bewertung ausgewählter gesellschaftlicher Fragestellungen im Vergleich zur Gesamtbevölkerung (Skala: politische Ziele der Parteien in der BRD beurteilen, Vorteile und Nachteile der Marktwirtschaft, Lage der dritten Welt und der Entwicklungsländer, Erklären und Lösen der Probleme der Jugendkriminalität, Notwendigkeit und Grenzen der Meinungsfreiheit in der Demokratie, wichtigste Reformen im Bildungswesen, Rolle der Wissenschaft für die menschliche und gesellschaftliche Entwicklung, Humanisierung der Arbeitswelt, Möglichkeit und Folgen der Gleichberechtigung, Möglichkeiten eigene politische Interessen zu vertreten); Selbstcharakterisierung hinsichtlich: breites Allgemeinwissen, kritisch und problembewusst, logisches und analytisches Denken, ordentliches und pünktliches Arbeiten, Bevorzugung verantwortungsbewusster Aufgaben, Fähigkeit eine leitende Position einzunehmen.
Wissenschaft und Akademiker: Zweck wissenschaftlichen Denkens und Arbeitens: gesicherte Wahrheit versus Interpretationen der Wirklichkeit, Grundlagenforschung versus praktische Problemlösung; Einstellung zur Wissenschaft und zu Wissenschaftlern (Skala: Gesellschaftsentwicklung hängt vom wissenschaftlichen Fortschritt ab, wissenschaftliche Forschungsergebnisse hauptsächlich zugunsten der Wirtschaft, Forschungsergebnisse auch Laien vermitteln zeichnet guten Wissenschaftler aus, zu großer Einfluss auf das tägliche Leben, hauptsächlich Wissenschaftler profitieren von wissenschaftlicher Forschung, Wissenschaftler stehen gesellschaftlichen Tatbeständen kritisch gegenüber, wichtigste Wissenschaften sind die Naturwissenschaften, Wissenschaftler können frei ihre Forschungsthemen bestimmen); Aussagen der Wissenschaftler sind zu widersprüchlich um gesellschaftlich hilfreich zu sein; Rangfolge der wichtigsten Aufgabengebiete der Wissenschaft (Wohlstand durch technischen Fortschritt, gegen Unterdrückung arbeiten, geistige und kulturelle Entwicklung); Forderungen an Wissenschaftler und die Wissenschaft (Skala); tatsächliche und gewünschte Wichtigkeit ausgewählter Aufgaben der Universität; Einstellung zu Toleranz und wissenschaftlichem Denken: Experten ohne eindeutige Antwort fehlt es an Kompetenz, Interesse an unkonventionellen Menschen, Präferenz für Menschen mit gleicher Meinung, Ja-/Nein-Antworten sind zu einfach, schematisches Leben kostet Lebensfreude, Wunsch nach ruhigem, geregeltem Leben, alle sollten gleiche Werte annehmen, Präferenz für Aufgabenstellungen, die Kreativität zulassen; besondere Verantwortung Akademiker gegenüber der Allgemeinheit aufgrund ihrer Universitätsausbildung; besondere Eigenschaften und Fähigkeiten unterscheiden Akademiker von Nicht-Akademikern; Vergleich ausgewählter Eigenschaften von Akademikern im Vergleich zu Nicht-Akademikern (Selbstbild); Vorbereitung von Akademikern im Vergleich zu Nicht-Akademikern für ausgewählte Aufgaben: Formulierung gesellschaftlicher Ziele, Beurteilung politischer Ereignisse und Verhältnisse, Entwicklung neuer Ideen, Führungspositionen einnehmen, Meistern schwieriger Situationen im Beruf, Aufklärung der Bevölkerung über sozialpolitische Entwicklungen; Rolle der Frau: Beurteilung der Ganztags-Berufstätigkeit einer verheirateten und finanziell abgesicherten Mutter bei Unterbringung ihres einjährigen Kindes bei einer Tagesmutter; Beurteilung dieses Verhaltens fällt leicht oder schwer; Einstellung zu ausgewählten Gründen für sowie gegen das Verhalten der Mutter; Beurteilung des Verhaltens eines Arztes, der einer todkranken Patientin auf deren Wunsch Sterbehilfe leistet; Beurteilung dieses Verhaltens fällt leicht oder schwer; Einstellung zu ausgewählten Gründen für bzw. gegen das Verhalten des Arztes.
Gesellschaft: Bewertung der sozialen Unterschiede in der BRD als groß sowie als ungerecht; Einschätzung der Schichtanteile in der deutschen Bevölkerung anhand von vier Skizzen; perzipierte Chance zur Verringerung der sozialen Unterschiede; Einstellung zu einer Verringerung sozialer Unterschiede; Abschaffung der sozialen Unterschiede im Land wird als möglich eingeschätzt; Einstellung zu ausgewählten Gründen gegen die Abschaffung der sozialen Unterschiede (Skala); Einstellung zu ausgewählten gesellschaftspolitischen Aussagen: soziale Unterschiede führen zu Konflikten zwischen Oben und Unten in der Gesellschaft, Erfolg durch individuellen Aufstieg statt Solidarität der unteren Schichten, Abhängigkeit der politischen Meinung von der gesellschaftlichen Stellung, Wettbewerb zerstört Solidarität, faire Chance für gesellschaftlichen Aufstieg in der BRD, ohne Wettbewerb kein gesellschaftlicher Fortschritt, Widerspruch zwischen Wirtschaft und Gesellschaft, ohne Wettbewerb keine Leistung, rechtliche Benachteiligung der sozialen Unterschicht; Entwicklung der gesellschaftlichen Aufstiegschancen in der BRD; Wichtigkeit ausgewählter Faktoren für gesellschaftlichen Erfolg; Vergleich von Akademikern und Nicht-Akademikern im Bezug auf Einkommen, Ansehen und politischen Einfluss; höheres Einkommen, höheres Ansehen und größerer politischer Einfluss von Akademikern im Vergleich zu Nicht-Akademikern sind gerechtfertigt; Beurteilung der Aussagen: Forderung nach bildungs- sowie leistungsabhängiger Entlohnung, gleiches Einkommen für alle, direkte Aktionen (z.B. Streiks) der sozial Benachteiligten, den Wert eines Menschen an seiner Leistung bemessen, Reformen lösen keine Probleme, Demokratisierung aller Lebensbereiche, gewaltfreie Durchsetzung von Reformen; Machtverteilung in der BRD (Gruppen, Elite, Großkapital); derzeitige Verwirklichung gesellschaftlicher Ziele in der BRD (materieller Wohlstand, soziale Gleichheit, individuelle Freiheit, sozialer Frieden, demokratische Mitbestimmung, soziale Sicherheit); Abwägung der Gegensätze: individuelle Freiheit versus soziale Gleichheit, soziale Gleichheit versus materieller Wohlstand, materieller Wohlstand versus individuelle Freiheit; Meinung zum Verhältnis der Ziele Freiheit und Gleichheit.
Politik: Politikinteresse (international, national, lokal, Hochschulpolitik); Art der selbst praktizierten politischen Partizipation; Einstellung zur politischen Partizipation (Skala: derzeitige Möglichkeiten sind zufriedenstellend, Gleichgültigkeit gegenüber Politik ist verantwortungslos, Normalbürger hat nicht genug Gelegenheit zu politischer Einflussnahme, politische Aktivität ist Privatsache, Neigung zum politischen Protest bei Fehlentscheidungen, Politiker sind unfair und unehrlich, keine Beurteilung komplexer politischer Probleme möglich); politische Selbsteinschätzung auf einem Links-Rechts-Kontinuum im Vergleich zur Allgemeinheit im Land, den Kollegen, den Eltern sowie im Vergleich zu der Zeit vor zwei Jahren; Einstellung zu politischen Zielen (Bewahren der Familie, harte Bestrafung der Kriminalität, Stabilität der sozialen und wirtschaftlichen Verhältnisse, volle Mitbestimmung der Arbeitnehmer, Förderung technologischer Entwicklung, Festlegung einer Einkommenshöchstgrenze, Gleichstellung der Frau, Abschaffung des Privateigentums an Industrieunternehmen und Banken, gleiche Bildungschancen durch Reform des Schulwesens, Sicherung der freien Marktwirtschaft und des privaten Unternehmertums, Erhöhung der Verteidigung und der militärischen Anstrengungen sowie Priorität des Umweltschutzes vor wirtschaftlichem Wachstum); Wichtigkeit ausgewählter Erziehungsziele.
Lebensbereiche und Selbstbild: Wichtigkeit ausgewählter Lebensbereiche; Selbstcharakterisierung anhand einer Eigenschaftsliste; Einschätzung der Chance auf Selbstbestimmung oder Abhängigkeit von gesellschaftlichen Anforderungen; persönlichen Eigenschaften oder Zufälligkeiten als lebensbestimmend (externe Kontrolle); Einfluss des Hochschulstudiums auf die eigene Einstellung zu Politik, Wissenschaft, die eigene Zukunft, die Gesellschaft, sich selbst und Religion; Beeinflussung der eigenen Orientierungen durch die Hochschullehrer, Kommilitonen, Lehrinhaltes des Fachstudiums, Fachinhalte anderer Studiengebiete bzw. durch das studentische Leben allgemein; Freude am Studentendasein; Forschungsbericht über dieses Projekt bereits gelesen; Beurteilung des Forschungsberichts.
Demographie: Familienstand; Anzahl der Kinder.
Zusätzlich verkodet wurde: Interviewnummer.
3. Welle: Beendigung des Hauptstudiums; Anzahl der Fachsemester bis zum Abschluss; derzeitige Tätigkeit; Promotionspläne; Studium und Studienzeit; Hauptfachwechsel nach dem Wintersemester 1981/1982; Zweit- oder Aufbaustudium beendet; erstes bzw. zweites Hauptfach; erneute Entscheidung für das gleiche Studium, ein anderes Fach oder eine andere Ausbildung aus der Rückschau und Art der dann bevorzugten Ausbildungsfächer; Durchschnittsnote der Abschlussprüfung bzw. des Diploms; Zufriedenheit mit dem Ergebnis der Abschlussprüfung; erfahrene Förderung der eigenen Persönlichkeit im Studium in ausgewählten Bereichen; Einschätzung der Nützlichkeit für die persönliche Entwicklung und die Verbesserung von Berufsaussichten durch: Hochschulwechsel, Forschungspraktika, Auslandsstudium, Spezialisierung, fachübergreifendes Studium , Anwendung theoretischen Wissens auf Alltagsprobleme, praktische Arbeitserfahrung außerhalb der Hochschule, hochschulpolitisches Engagement, schneller Studienabschluss; Selbstkritik zum eigenen Studienverlauf; Sicherheit der Entscheidung über die eigene zukünftige Berufswahl; angestrebter Tätigkeitsbereich; Einschätzung der Berufsaussichten; persönliche Belastung durch die eigene finanzielle Lage bzw. unsichere Berufsaussichten; voraussichtliche restliche Semesterzahl; Beschäftigungsstatus (Vollzeit, Teilzeit oder Gelegenheitstätigkeit) und Art des Befristungsverhältnisses; derzeitige Tätigkeit entspricht dem angestrebten Beruf; Tätigkeitsbereich; Tätigkeitsdauer; Berufs- oder Stellenwechsel seit Studienabschluss; arbeitslos bzw. arbeitssuchend seit Ende des Hochschulstudiums und Arbeitslosigkeitsdauer; Erfahrungen beim Übergang in den Beruf; Zeitraum vom Examen bis zur ersten Stelle in Monaten; Anzahl der Bewerbungen bis zur ersten Stelle; Möglichkeit einer besseren beruflichen Stellung in 5 Jahren (Karriereerwartung); Vergleich der Anforderungen im Studium und im Beruf (Kreativität, Fleiß, Kritikfähigkeit, Selbständigkeit, Selbstbewusstsein und Durchsetzungsfähigkeit, Kooperationsfähigkeit, Verantwortungsbereitschaft, Anpassungsfähigkeit, Zuverlässigkeit); berufliche Anforderungen und deren Bewertung durch den Befragten; persönliche Schwierigkeiten bei der Anpassung an die Berufstätigkeit (Lebensweise als Berufstätiger, Kollegen, Vorgesetzte, Leistungsanforderungen, Einbringen eigener Interessen, veränderte Arbeitsweise, Vereinbarkeit von Beruf und Familie); leichter oder schwerer Berufseinstieg; Nutzen des Studiums für den Beruf; Änderung der Berufspläne in den letzten zwei Jahren; Zuversicht; Befürchtungen für die berufliche Zukunft; Einschätzung des Arbeitslosigkeitsrisikos von Absolventen der eigenen Fachrichtung; Benachteiligung von Frauen bei der Anstellung im eigenen Beruf; Präferenz für neigungsorientiertes oder an späteren Berufschancen orientiertem Studium; Höhe des monatlichen Bruttogehalts und erwartetes monatliches Bruttoeinkommen nach zehn Jahren Berufstätigkeit; berufliche Wertvorstellungen; erwartete Übereinstimmung dieser Wertvorstellungen mit dem Beruf; Charakterisierung der derzeitigen bzw. zukünftigen Berufstätigkeit hinsichtlich: Arbeitszufriedenheit, Möglichkeit anderen zu helfen, Verwirklichung eigener Ideen, wissenschaftliche Tätigkeit, hohes Einkommen, gute Aufstiegsmöglichkeiten, Arbeitsplatzsicherheit, Arbeitsbelastung, Anwendbarkeit fachlicher Fähigkeiten); Charakterisierung der Gesellschaft der BRD, der Universität sowie des eigenen Berufsfeldes anhand von Eigenschaften (human, fortschrittlich, autoritär, reformbedürftig, unbeweglich, leistungsfähig und anonym); Schichtzugehörigkeit der Eltern; Selbsteinschätzung der Schichtzugehörigkeit in zehn Jahren (Oben-Unten-Skala); Einstellung zur Vereinbarkeit von Familie und Beruf für Frauen; Eignungsvergleich von Frau und Mann hinsichtlich: Aufgaben mit eigenen Ideen, berufliche Führungspositionen, Eingehen auf andere Menschen, politische Betätigung, wissenschaftliche Forschung; Einschätzung der gesellschaftlichen Gleichstellung bzw. Benachteiligung der Frau in der Hochschule, in der Ausbildung, Berufswelt, Politik, Führungspositionen sowie in der Familie; Bewertung von Aussagen anhand von Gegensatzpaaren: Emotionen als Indikator für Schwäche, Bestrafung bei Gesetzesverstößen, Meinungsfreiheit, impulsivem Handeln, Wahrheitsfindung durch Identifikation, Menschen sind grundsätzlich gut; Unsicherheit bzw. feste Vorstellungen über: wichtigste Werte für das Zusammenleben der Menschen, drängende soziale Probleme der Gesellschaft, Unterstützung politischer Ziele, Bereiche eigener Leistungsfähigkeit, persönlicher Einsatz im Leben, Kriterien für gesellschaftlichen Erfolg, Ziele wissenschaftlichen Denkens, Bedeutung von Bildung für den Einzelnen, Anforderungen im Berufsleben, Rolle von Akademikern in der Gesellschaft; Beurteilung der eigenen Kompetenz hinsichtlich der Bewertung ausgewählter gesellschaftlicher Fragestellungen im Vergleich zur Gesamtbevölkerung (Skala: politische Ziele der Parteien in der BRD, Vorteile und Nachteile der Marktwirtschaft, Lage der dritten Welt und der Entwicklungsländer, Erklären und Lösen der Probleme der Jugendkriminalität, Notwendigkeit und Grenzen der Meinungsfreiheit in der Demokratie, wichtigste Reformen im Bildungswesen, Rolle der Wissenschaft für die menschliche und gesellschaftliche Entwicklung, Humanisierung der Arbeitswelt, Möglichkeit und Folgen der Gleichberechtigung, Möglichkeiten eigene politische Interessen zu vertreten); Selbstcharakterisierung: breites Allgemeinwissen, kritisch und problembewusst, logisches und analytisches Denken, ordentliches und pünktliches Arbeiten, Bevorzugung verantwortungsbewusster Aufgaben, Fähigkeit zu einer leitenden Position.
Wissenschaft und Akademiker: Zweck wissenschaftlichen Denkens und Arbeitens: gesicherte Wahrheit versus Interpretationen der Wirklichkeit, Grundlagenforschung versus praktische Problemlösung; Einstellung zur Wissenschaft und zu Wissenschaftlern (Skala: Gesellschaftsentwicklung hängt vom wissenschaftlichen Fortschritt ab, wissenschaftliche Forschungsergebnisse hauptsächlich zugunsten der Wirtschaft, zu großer Einfluss auf das tägliche Leben, widersprüchliche Aussagen von Wissenschaftlern sind wenig hilfreich für gesellschaftliche Entwicklung); Forderung nach Orientierung der wissenschaftlichen Forschung an: Sammlung objektiver Daten, Konzentration auf Theorien und Hypothesen, die objektiv überprüfbar sind bzw. auf direkte Erfahrung und unmittelbare Einsicht; Rangfolge der wichtigsten Aufgabengebiete der Wissenschaft (Wohlstand durch technischen Fortschritt, gegen Unterdrückung arbeiten, geistige und kulturelle Entwicklung); Forderungen an Wissenschaftler und die Wissenschaft (Skala); tatsächliche und gewünschte Wichtigkeit ausgewählter Aufgaben der Universität; Einstellung zu Toleranz und wissenschaftlichem Denken: Experten ohne eindeutige Antwort fehlt es an Kompetenz, Interesse an unventionellen Menschen, Präferenz für Menschen mit gleicher Meinung, Ja-/Nein-Antworten sind zu einfach, schematisches Leben kostet Lebensfreude, Wunsch nach ruhigem, geregeltem Leben, alle sollten gleiche Werte annehmen; Präferenz für Aufgabenstellungen, die Kreativität zulassen; besondere Verantwortung von Akademikern gegenüber der Allgemeinheit aufgrund ihrer Universitätsausbildung; besondere Eigenschaften und Fähigkeiten unterscheiden Akademiker von Nicht-Akademikern; Vergleich ausgewählter Eigenschaften von Akademikern im Vergleich zu Nicht-Akademikern (Selbstbild); Vorbereitung von Akademikern im Vergleich zu Nicht-Akademikern für ausgewählte Aufgaben: Formulierung gesellschaftlicher Ziele, Beurteilung politischer Ereignisse und Verhältnisse, Entwicklung neuer Ideen, Führungspositionen einnehmen, Meistern schwieriger Situationen im Beruf, Aufklärung der Bevölkerung über sozialpolitische Entwicklungen; Beurteilung der Ganztags-Berufstätigkeit einer verheirateten und finanziell abgesicherten Mutter bei Unterbringung ihres einjährigen Kindes bei einer Tagesmutter; Einstellung zu ausgewählten Gründen für sowie gegen das Verhalten der Mutter; Einschätzung der vorgenannten Problematik als rechtliches, familiäres, moralisches, finanzielles oder gesellschaftliches Problem; Beurteilung des Verhaltens eines Arztes, der einer todkranken Patientin auf deren Wunsch Sterbehilfe leistet; Einstellung zu ausgewählten Gründen für bzw. gegen das Verhalten des Arztes; Beurteilung von Sterbehilfe als rechtliches, religiöses, moralisches, humanitäres, wissenschaftliches oder gesellschaftliches Problem.
Gesellschaft: Bewertung der sozialen Unterschiede in der BRD als groß sowie als ungerecht; Einschätzung der Schichtanteile der deutschen Bevölkerung anhand von vier Skizzen; perzipierte Chance zur Verringerung der sozialen Unterschiede; Einstellung zu einer Verringerung sozialer Unterschiede; Abschaffung der sozialen Unterschiede im Land ist möglich; Einstellung zu ausgewählten Gründen gegen die Abschaffung der sozialen Unterschiede (Skala); Einstellung zu ausgewählten gesellschaftspolitischen Aussagen: soziale Unterschiede führen zu Konflikten zwischen Oben und Unten in der Gesellschaft, Erfolg durch individuellen Aufstieg statt Solidarität der unteren Schichten, Abhängigkeit der politischen Meinung von der gesellschaftlichen Stellung, Wettbewerb zerstört Solidarität, faire Chance für gesellschaftlichen Aufstieg in der BRD, ohne Wettbewerb kein gesellschaftlicher Fortschritt, Widerspruch zwischen Wirtschaft und Gesellschaft, ohne Wettbewerb keine Leistung, rechtliche Benachteiligung der sozialen Unterschicht; Einkommen richtet sich vor allem nach Leistung; Entwicklung der gesellschaftlichen Aufstiegschancen in der BRD; Wichtigkeit ausgewählter Faktoren für gesellschaftlichen Erfolg; Vergleich von Akademikern und Nicht-Akademikern im Bezug auf höheres Einkommen, höheres Ansehen und größeren politischen Einfluss; höheres Einkommen, höheres Ansehen und größerer politischer Einfluss von Akademikern im Vergleich zu Nicht-Akademikern sind gerechtfertigt; Beurteilung der Aussagen: Forderung nach bildungs- sowie leistungsabhängiger Entlohnung; gleiches Einkommen für alle; direkte Aktionen (z.B. Streiks) der sozial Benachteiligten; den Wert eines Menschen an seiner Leistung bemessen, Reformen lösen keine Probleme; gewaltfreie Durchsetzung von Reformen; Machtverteilung in der BRD (Gruppen, Elite, Großkapital); perzipierte Verwirklichung gesellschaftlicher Ziele in der BRD (materieller Wohlstand, soziale Gleichheit, individuelle Freiheit, sozialer Frieden, demokratische Mitbestimmung, soziale Sicherheit); Abwägen der Gegensätze: individuelle Freiheit versus soziale Gleichheit, soziale Gleichheit versus materieller Wohlstand, materieller Wohlstand versus individuelle Freiheit; Meinung zum Verhältnis der Ziele Freiheit und Gleichheit.
Politik: Politikinteresse (international, nationalpolitisch, lokalpolitisch, studentische Politik); Art der selbst praktizierten politischen Partizipation; Einstellung zur politischen Partizipation (Skala: derzeitige Möglichkeiten sind zufriedenstellend, Gleichgültigkeit gegenüber Politik ist verantwortungslos, Normalbürger hat nicht genug Gelegenheit zu politischer Einflussnahme, politische Aktivität ist Privatsache, Neigung zum politischen Protest bei Fehlentscheidungen, Politiker sind unfair und unehrlich, keine Beurteilung komplexer politischer Probleme möglich); politische Selbsteinschätzung auf einem Links-Rechts-Kontinuum im Vergleich mit der Allgemeinheit im Land und den Kollegen sowie im Vergleich zu vor zwei Jahren; Einstellung zu politischen Zielen (Bewahren der Familie, harte Bestrafung der Kriminalität, Stabilität der sozialen und wirtschaftlichen Verhältnisse, volle Mitbestimmung der Arbeitnehmer, Förderung technologischer Entwicklung, Festlegung einer Einkommenshöchstgrenze, Gleichstellung der Frau, Abschaffung des Privateigentums an Industrieunternehmen, gleiche Bildungschancen durch Reform des Schulwesens, Sicherung der freien Marktwirtschaft, Erhöhung der Verteidigungskraft und der militärischen Anstrengungen, Priorität von Umweltschutz vor Wirtschaftswachstum).
Lebensbereiche und Selbstbild: Erziehungsziele; Wichtigkeit ausgewählter Lebensbereiche; Selbstcharakterisierung anhand einer Eigenschaftsliste (Selbstbild); Charakterisierung des eigenen Verhaltens anhand von Gegensatzpaaren (Bewältigung neuer und komplizierter Aufgaben, Prüfungsangst, Gespräche mit Lehrenden, Prüfungssituation); Einschätzung der Chancen auf Selbstbestimmung sowie Abhängigkeit von gesellschaftlichen Anforderungen, persönlichen Eigenschaften oder Zufälligkeiten als lebensbestimmend (externe Kontrolle); Einfluss des Hochschulstudiums auf die eigene Einstellung zur Politik, Wissenschaft, die eigene Zukunft, die Gesellschaft, sich selbst und Religion; Beeinflussung der eigenen Orientierungen durch die Hochschullehrer, Kommilitonen, Lehrinhaltes des Fachstudiums, Fachinhalte anderer Studiengebiete durch das studentische Leben allgemein und durch die Berufserfahrung; Freude am Studentendasein; Forschungsbericht über dieses Projekt bereits gelesen.
DON RIGOBERTO'S SEXUAL FANTASY IN MARIO VARGAS LLOSA IN PRAISE OF THE STEPMOTHER Dinda Anisa Larasati English Department, Language and Arts Faculty, State University of Surabaya dinda_kdy@yahoo.com Drs. Much. Khoiri M.Si. English Department, Language and Arts Faculty, State University of Surabaya much_choiri@yahoo.com Abstract Sexuality is seen as sinful thing which influences Christian to behave and act based on the society role. Some people tend to repress their sexual fantasy because sexual fantasy is a genre that can lend itself very easily to the sexual elements of life, the depraved, the debauched, or the downright saucy and controversial. The aim of this study is to describe how Don Rigoberto's sexual fantasy depicted in Mario Vargas Llosa In Praise of the Stepmotherand and to reveal how Don Rigoberto's sexual fantasy can impact on his wife. The data are in the form of quotation, fragments, and dialogues or monologues that indicated the thoughts and action concerning form of sexual fantasy.The data is applying the theory of fantasy by Jacques Lacan and supported with Baron. This study also uses the concept of anxiety and psychological trauma. Initially, Don Rigoberto obsessed with three things: Physical Hygiene, sex with his wife, and erotic paintings. He devotes a day a week for the care of a different member or organ.His love life with Lucrecia in a world more imaginary than real, of what he wishes she were than what she really is. He always lost in his dream which is imagined erotically things from some media and those can support his sexual fantasy. Don Rigoberto forced his wife (to have) sex with another man which can be deeply shocking for her. Those facts are proof that Don Rigoberto get his satisfaction from his obsession. Keywords: sexuality, fantasy, desire, anxiety, psychological trauma Abstrak Seksualitas dipandang sebagai hal yang berdosa yang mempengaruhi Kristen untuk bersikapdanbertindak berdasarkan peran masyarakat. Beberapa orang cenderung untuk menekan fantasi seksual mereka karena fantasi seksual adalah genre yang dapat menjatuhkan diri seseorang ke dalam unsur-unsurseksualkehidupan, buruk, yang tidak bermoral, dan kontroversial. Tujuan dari skripsi ini adalah untuk menggambarkan bagaimana fantasi seksual Don Rigoberto yang digambarkan di Mario Vargas Llosa In Praise of the Stepmother dan mengungkapkan bagaimana fantasi seksual Don Rigoberto yang berdampak pada istrinya. Di dalam data tersebut terdapat kutipan, fragmen, dan dialog atau monolog yang menunjukkan pemikiran dan tindakan mengenai bentukfantasi. Untuk data seksual menerapkan teori fantasi dari Jacques Lacan dan didukung dengan Baron. Analisis ini juga menggunakan konsep anxiety dan psychological trauma. Pada awalnya, Don Rigoberto terobsesi dengan tiga hal: Fisik higienis, seks dengan istrinya, dan lukisan erotis. Dia menjadikan satu hari dalam seminggu untuk melakukan perawatan pada anggota atau organ badan yang berbeda. Kehidupan cintanya dengan Lucrecia di dunia lebih kepada imajinasi daripada kenyataan, apa yang dia ingin adalah berada dari apa yang sebenarnya dia. Dia selalu terjebak dalam mimpinya, yaitu dengan membayangkan hal-hal erotis dari beberapa media dan mereka dapat mendukung fantasi seksualnya. Don Rigoberto memaksa istrinya untuk berhubungan seks dengan laki-laki lain dan hal itu sangat mengejutkan istrinya.Faktanya adalah bukti bahwa Don Rigoberto mendapatkan kepuasan melalui obsesinya. Kata kunci: sexuality, fantasy, desire, anxiety, psychological trauma Introduction Human cannot be separated with needs. There are three basic drives such as eating, sleeping, and sex. As a normal human being, sexuality is given from the beginning ourselves. Nietzche asserts that "we are not only rational out being, but we are also full of desire, with the drives and hidden longing, which formed, our ideas and views about the world" (O'Donnel, 2008: 41).In reality, sexuality describes a huge range of activities. This is half of dialectic, anything can be sex because sex has whatever meaning human experience moment by moment, and sex hasan infinite range of meanings because the scope of activities that can properly be called sexual is so vast. Lisa Downing says that sexuality is something that we ourselves create-it is our own creation, and much more than the discovery of secret side of our desire. Sex is not fatally, it is possible to creative life (Downing 2008:104). Sex can make people different. It means that sex is created because of love, relationship, and perhaps necesity or situation. Sex is not taboo anymore in this modern era, but sex can help viability in science. In psychoanalyticterms, sexuality plays an enormously influential rolein psychological development.From a veryearly age, how people experience their bodies in relation to the physical world as well as to the internal stimuli and feelings their bodies generate profoundly effects how they view the world and themselves.In particular,conscious and unconscious fantasies are about human's bodies and sexuality influence the development of stable patterns of sexual identity, and with that,sexual behaviors.(http://psychoanalysis101.org/psycho-sexual-development/). Sexual fantasies play a central role in mental life, despite – or rather: because of – the fact that they in particular meet the fate of repression, which is why Freud calls them "the weak spot in our psychical organization" (Freud, 1911: 223). This repression creates the psychic disposition towards neurosis in man, the conflict between unconscious desires and conscious control. That sexuality is actually the weak spot in man's psychical organization is proven by the fact that many (predominantly male) users of the Internet cannot resist the temptation to seek sexual pleasure via the computer screen. Sex is still the biggest business on the net, offering such a massive electronic hallucination of gratifying objects. In Praise of the Stepmother with Mario Vargas Llosa as the author, Mario Vargas Llosa, which reached worldwide recognition with his novels Pantoja and the Special Aunt Julia and the Scriptwriter, The War of the Worlds.In Praise of the Stepmother, made a foray into a genre that is emerging in many of his works, the erotic. Sex in the novels may offend, amuse, or worse. As this study has come toexpect of VargasLlosa as the author of this novel, he uses a precisely structured form to present the distinct components of his story. Structure can be invaded or skewed which is an interesting way to make point innocence and morality are strong themes which are compound in unusual ways. In Praise of the Stepmother with Mario Vargas Llosa as the author, Mario Vargas Llosa, which reached worldwide recognition with his novels Pantoja and the Special Aunt Julia and the Scriptwriter, The War of the Worlds.In Praise of the Stepmother, made a foray into a genre that is emerging in many of his works, the erotic. Sex in the novels may offend, amuse, or worse. As this study has come toexpect of VargasLlosa as the author of this novel, he uses a precisely structured form to present the distinct components of his story. Structure can be invaded or skewed which is an interesting way to make point innocence and morality are strong themes which are compound in unusual ways. Mario Vargas Llosa was born in Arequipa, the second city of Peru, in March 1936.In 1958 he travelled to Paristhanks to a prize won in a short story competition,and on his return to Lima he completed his higher education and received a grant to transfer to theUniversity of Madrid. A few months after arriving in the capital of Spain,he left his studies for the doctorate and settled in Paris, where he was to stay for seven years.In 1963 he published his first great novel, "La ciudad y los perros", with which he won several literary prizes, among them the "BibliotecaBreve" and "La Crítica".It has currently been translated into more than twenty languages. His second major work wastobe"La Casa Verde",published in 1966, the same year he moved to London, wherehewould teach at the university and contribute frequently to newspapers and magazines.Afterwritingone of his fundamental novels, "Conversación en la catedral", VargasLlosatravelled to Barcelona in 1970, where he was to stay for almost five years until in 1974 he put an end to his European exile and returned to Peru with the intention, for the first time, of settling down there. In 1973, his novel Pantaleóny lasvisitadoras, which was adapted for the cinema two years later, had come out.In 1975 he began a seriesof projects related with the cinema and in March of that year he was elected as numerary member of the Peruvian Academy of the Spanish Language. Two months later, he was appointed as president of Pen Club International, a post which he would hold until 1979. Mario Vargas Llosa began his political activity in 1987, due to the nationalization of thefinancial system in Peru. As candidate for the presidency of his country in 1989 with the centre-right coalition Frente Democrático, he was finally defeated in the ballot by Alberto Fujimori. Apart from the works mentioned above, the following works may be highlighted among the output of Mario Vargas Llosa: the novels "La tía Julia y el escribidor" (1977), "La Guerra del fin del mundo" (1981), "Historia de Mayta" (1984), "Quiénmató a Palomino Molero?" (1986), "El hablador" (1987) and "Elogio de la madrastra" (1988); in his facet as a playwright he has written "La señorita de Tacna" (1981), "Kathie y el hipopótamo" (1984) and "La Chunga" (1986) and as an essayist he has published important works such as "GarcíaMárquez: historia de un deicidio" (1971) and "La orgíaperpetua:Flauberty Madame Bovary" (1975)."In Praise Of The Stepmother" (1988). Mario VargasLlosa was a conservative candidate (Fredemo, the Democratic Front) for the Peruvian presidency in 1990.The development of his political convictions, from a sympathizer of Cuban revolution to the liberal right, has astonished his critics and has made it impossible to approach his work from a single point of view. Sabine Koellmann has noted that the publication of Vargas Llosa's La Fiesta del Chivo (2000, The Feast of the Goat) confirmed, "thatpolitics is one of the most persistent 'demons' which, according to his theory, provoke his creativity." (Vargas Llosa's Fiction & the Demons of Politics, 2002) Vargas Llosa was defeated by Alberto Fujimori, an agricultural engineer of Japanese descent, also a political novice, but who had a more straightforward agenda to present to the voters. Anunexpected twist in the plot of this political play occurred in 2000, when President Fujimori escaped to his ancestral homeland Japan after a corruption scandal. From 1991 to 1992 Mario Vargas Llosa worked as a visiting professorat Florida International University, Miami and Wissdens chafts kolleg, Berlin. In addition to the Nobel Prize, the author has received many other honors. Among other distinctions, he has received the "Ramón Godoy Lallana" Journalism Prize, the LiteraryPrize of the Italo-American Institute, the "Pablo Iglesias "LiteraturePrize, the "Hemingway"Prize, the Gold Medal of the Americas and the Max Schmidheiny Foundation Liberty Prize. Already a classic due to the scope and quality of his work, he is one of the Spanish-American writers who has most consistently and determinedly brought theresources of the 20th century literary avant-garde inour language. In Praise of the Stepmother is one literary work by Mario Vargas Llosa. In this novel, there are found many expressions by the characters Don Rigoberto is an art connoisseur and erotic explorer night by night as well as man obsessively devoted to the care of his own body. Lucrecia as a second wife of Don Rigoberto, she is a beautiful and passionate woman, and then his son Alfonso, known as Fonchito.The first character introduced to us in the novel In Praise of the Stepmother, Vargas Llosa takes on an expedition through the mind of Don Rigoberto, day by day an insurance executive, by night a pornographer and sexual enthusiast. Don Rigoberto is a member of Lima's well-heeled bourgeois society. He is the kind of man one sees at board meetings and cocktail parties. But by night Don Rigoberto sheds his conventional skin to pursue his true passions: erotic art and sexual fantasy. Rigoberto's love for Lucrecia is an addiction of her body parts, a revere or an objectification of her physical persona. This way of looking at love and people and considers women as their property, rather than primarily enjoying her body is part of her. He loves her as a compilation of body parts. In the novel In Praise of the Stepmother signals the historical endpoint to the popularity of the 1960s liberationist sexuality, especially female sexuality as a carrier of a symbolic charge of social freedom. This novel is a thought-provoking fantasia on innocence, sex, and art. It opens with a portrayal of a liberated sexual woman, Lucrecia, who is adored by her husband, Rigoberto. Don Rigoberto's and Lucrecia's erotic exploits which are modeled after paintings that are actually printed in the book. Through this story, Mario Vargas Llosa explores the ideas of the erotic imagination. Rigoberto creates erotic fantasies, the erotic and sexual lives of Rigoberto and Lucrecia, much of which is driven by Rigoberto's fantasies formulated from paintings. In this Story, Fonchito seems to corrupt innocence, live a harmonious sexual fantasy with her stepmother. Nothing inhibits them or stops them. Dona Lucrecia and stepson Fonchito are revealed in every detail. There is erotic novel. Sexual Fantasy of Rigoberto, a harmonious sexual fantasy of Alfonso to his stepmother, and sexual attraction Lucrecia to Alfonso. Sexual Fantasy is chosen where this study is taken because of the interesting case and the impact which make the wife had anxiety and psychological trauma. From the reading, the study can be interested in focus on the sexual fantasy experienced by the main character. In the novel In Praise of the Stepmother, this study would like to learn more, how Don Rigoberto's sexual fantasy. What are the activities of Don Rigoberto's Sexual Fantasy, what are the factors,the causes and the theory, which is matching discuss those cases istheory of Fantasy of Jacques Lacan, supported theory fantasy of Baron. Many kinds of Sexuality, there are Sexualization, Sexual health and Reproduction. Sexual identity, sensuality and intimacy. Sensuality involves human's level of awareness, acceptance and enjoyment of men's own or others bodies. In the circle of sexuality, fantasy is part of sensuality. Sensuality is match with Don Rigoberto's Sexual Fantasy. In the novelIn Praise of the Stepmother, Many statements which can prove that Don Rigoberto have an extreme sexual fantasy. One night, he said that Lucrecia is his fantasy not his wife. He imagined that Lucrecia is Venus, a person who is his fantasies. For the tittle of my thesis is "Don Rigoberto's Sexual Fantasy.DonRigoberto has an extreme sexual fantasy, he obsesses of three things: Personal Hygiene, sex with Lucrecia, and erotic paintings. His sexual fantasy actually impact on his wife, according to me that's so interesting.Because of those, thus this study directed to more examine about Don Rigoberto's sexual fantasy. In analyzing Don Rigoberto's sexual fantasy and Don Rigoberto's sexual fantasy impact on his wife, it is used some related concept and two theories. In this thesis, the problem statement is divided into two. The first problem statement deals with Don Rigoberto's sexual fantasy reflected in this novel. While the second problem deals with How does Don Rigoberto's sexual fantasy impact on his wife in Mario Vargas Llosa"In Praise of the Stepmother. Those problems can be analysed by using the theory fantasy of Jacques Lacan, supported with Baron and also using concept of anxiety and psychological trauma. The first statement is how Don Rigoberto's sexual fantasy reflected in In Praise of the Stepmother. This statement will use theory fantasy of Jacques Lacan and suppoeted with theory fantasy of Baron. Through fantasy, the subject attempts to sustain the illusion of unity with the other and ignore his or her own division. Fantasy originates in "auto-eroticism" and the hallucinatory satisfaction of the drive. Fantasies are the way in which subjects, structure or organize their desire: it is the support of desire. Then the second statement isHow does Don Rigoberto's sexual fantasy impact on his wife in Mario Vargas Llosa"In Praise of the Stepmother. This statement will also apply the theoryof fantasy of Jacques Lacan and also apply the concept of anxiety and psychological trauma. Actually, there are two impacts of Don Rigoberto's sexual fantasy. Methods Research methodolgy that used in this analysis here must be qualified as an applying in literary appreciation. The thesis is regarded as a descriptive-qualitative study and uses a library research.The data obtained to answer research question study. This study uses novel of Mario Vargas Llosaentitled In Praise of the Stepmother that published in 1988 as the data source of this study. The datas are in the form of direct and indirect speech of the characters, dialogues, epilogues and quotations which indicate and represent aspect of infidelity and love and will which is experienced by the main character. This thesis is using the library method in collecting the data. It does not use the statistic method. That is why it is not served in numbering or tables. Library research used an approach in analyzing this study. The kind of library research which is used here is intensive or closely reading to search quotations or phrases. It also used to analyze the literary elements both intrinsic and extrinsic. The references are taken from library and contributing ideas about this study from internet that support the idea of analyzing. Some steps of how the data is analyzed will be described as follows: Classification based on the statement of the problems. This classification is used to avoid the broad discussion. There are two classifications in this study. They are sexual fantasy and the main factor that lead to his sexual fantasy. Describing Don Rigoberto's sexual fantasywhich is stated from the quotations or statements by using theory of fantasy to be applied to the data.Describing Don Rigoberto's sexual fantasy impact on his wife which is stated from the quotations or statements by using theory of fantasy and the concept of anxiety and psychological trauma will to be applied to the data. RESULT 3.1 Reflection of Don Rigoberto's Sexual Fantasy Based on theory of fantasy of Baron, fantasy can be a kind of activity that permits the subject to escape, however briefly from the stresses and boredom of the subject's life. Schaefer and Millman support this theory by stating that fantasies provide "a strong feeling of satisfaction in comparison to the bedroom of everyday activities" as an escape of the continued failure of difficulties in their everyday life". (Baron, 1995: 31-32) Fantasy is used as an escape from responsibility or a harsh home or work situation. Then the person needs to begin to pray for favor on the job or at home, asking God to open hearts to each other's needs and binding out demonic forces. We have had great reports from this kind of prayer. Then as the stress is lifted and the relationships are made stronger, the desire to escape lifts as well. The fantasies are no longer a problem. 3.1.1.1 Fantasy escape Don Rigoberto from stresses and boredom of his life Don Rigoberto is the dull though the prosperous manager of a Lima insurance company. His life represented in the eyes of others, that routine existence as the general manager of an insurance company, he has many activities. Well-earned that he stress or bored with some of his activities as an insurance executive. He had found in his solitary hygienic practiced and all in the love of his wife appeared to him to be sufficient compensation for his normalcy. He creates erotic fantasies, and Lucrecia lives out the character she has been chosen to be. "Just a pinch of wisdom to use as a momentary antidote to the frustrations and annoyances that seasoned existence. He thought: Fantasy gnaws life away, Thank God" (Llosa, 1988: 104) From the statement above, Rigoberto seems like indeed the power of wisdom can be used as a momentary antidote to the frustrations and annoyances that seasoned existence, but it just can be a momentary antidote now the make frustrations and annoyances gnaws away. As a manager of a Lima insurance company, it is definitely that he has 1many activities so he needs something which can release him from the frustrations and annoyances. The word "Fantasy gnaws life away, Thank God", it shows that Don Rigoberto thinks that fantasy helped him out of the frustrations and annoyances thing which is part of being an insurance executive. He was thankful, fantasy make he enjoyed or even suspected as happiness. There is proof that Fantasy can escape from the stresses and boredom of life "[.] as though happy to rid itself of the policies and the detritus of the day's bussiness.Ever since, in the most secret decision of his life-- so secret that probably not even Lucrecia would ever be privy to it in its entirity-he had resolved to be perfect for a brief fragment of each day. (Llosa, 1988: 54) Rigoberto is obsessed with Personal Hygiene, he assumes that is the part of his sexual fantasy to get pleasure. According to him, the nightly ritual can as a though happy to a rid himself from detritus bussiness day. He had resolved to be perfect for a brief fragment of each day through nightly ritual. 3.2 Don Rigoberto's Sexual Fantasy impact on his wife In the novel In Praise of the Stepmother, Don Rigoberto focuses so completely on hisrich fantasy life - a fantasy life,multiplyed by his reproductions of smutty nudes by the likes of Titian and Jordaens (left), that he doesn't notice the risks that cause Dona Lucrecia anxiety. In this novel, there is no communication between Don Rigoberto and Dona Lucrecia about sexual fantasy, Don Rigoberto's intend for his wife disrupts into his fantasies—at times he is too impaired by sorrow and desire to go on. "The queen sometimes awakens at night, overcome with terror in my arms, for in her sleep the shadow of the Ethiopian has once again burst into flame on top of her." (Llosa, 1988: 20) This quotation above describes that Lucrecia feels anxiety, she always pictured events that foregoing Don Rigoberto forced Dona Lucrecia sex with Atlas, Don Rigoberto assumes that Atlas is the best endowed of his Ethiopian slaves. It can be explained through this statement : "One night-I was drunk-I summoned Atlas, the best endowed of my Ethiopian slaves, to my apartments, merely to confirm that this was so. I had Lucrecia bow down before him and ordered him to mount her.Intimated by my presence, or because it was too great a test of his strength, he was unable to do so. Again and again I saw him approach her resolutely, push, pant, and withdraw in defeat" (Llosa, 1988: 15) Fantasy is 'that thing is what can satisfy me' – objectivation of desire.This line of thought on perverse fantasy, that fixates desire onto a certain object and thus screens off from its infinity, make the interpretations understandable From the quotation above Don Rigoberto was fantasized and forced his wife into having sex with Atlas. There looks Rigoberto so rude to treat his wife, he made his wife as an object because he wanted to prove whether Atlas, the best endowed of my Ethiopian slaves can equals him and he merely to confirm that this was so. The Fantasy that is shown by Don Rigoberto occurs when he decided his wife sex with Atlas. Don Rigoberto feels satisfied and relieved after that incident. Because of that incident, he discovered that no one can equal him. Butitis notperceivedby Lucrecia, she feels not enjoy. "In order to fulfill my part of the offer, we were obliged to act with the greatest discretion. That episode with Atlas, the slave, had been deeply shocking to my wife. (Llosa, 1988: 19) In the statement above, He has also realized that the episode with Atlas makes Dona Lucrecia shock. In contrast, Don Rigoberto does not appreciate his wife. He just concerned with his fantasy and never regards Dona Lucrecia's pleasure. There is no communication between Don Rigoberto and Dona Lucrecia about sexual fantasy, Rigoberto just concerned with his fantasy and Dona Lucrecia only silent to face it. She did not attempt to revolt or reject command from her husband She never stated that she does not enjoy it. She feels anxiety until it can be said that she have psychological trauma. Lucrecia always awakens at night just because it was too painful for her. For Lucrecia it would be a deeply shocking. In the chapter twelve, Labyrinth of Love.Lucrecia expresses her feelings that she felt as fortunate victim, she just an inspiration. Until there show that she fantasized with herself "I know this because I have been the fortunate victim; the inpiration, the actress as well [.]. Myself, erupting and overflowing beneath your attentive libertine gaze of a male who has officiated with competence and is now contemplating and philoshopizing (Llosa,1988: 118) It shows that Dona Lucrecia feels that she just an actress who serve her husband for being another person, not being herself while they having sex. She was erupted and overflows, she wants to vent all her anxiety. Until she actually made masturbation to gained the power of magic, mystery and bodily enjoyment. "That woman is what I am, slave and master, you offering. Slit open like a turtledove by love's knife: I: cracked apart and pulsing. I:slow masturbation. I: flow of musk. I: labyrinth and sensation. I: magic ovary, semen, blood, and morning dew.That is my face for you, at the hour of the senses. I am that when, for you, I shed my everyday skin and my feast-day one. That may perhaps be my soul. Yours." (Llosa, 1988: 119) In the statement above, it is clear that Lucrecia uncomfortable with the sexual fantasy of his husband. She even feels the pleasure through masturbation. Because throughon masturbation, she could be herself, not as an actress or inspiration of her husband. Conclusions This last chapter is drawn to sun up the results of the analysis, which is presented in the form of summary. In this chapter, the conclusion will be divided into two, in line with the statement of problem. The first conclusion in terms of Don Rigoberto's sexual fantasy. For the second conclusion is Don Rigoberto's sexual fantasy impact on his wife. From the analysis that has been in the previous chapter, it can be conclude in the first conclusion that Don Rigoberto obsessed with three things, they are personal hygiene, sex with his wife and erotic paintings. Based on Don Rigoberto's it is found out that there are many habits and factors which are espouse his sexual fantasy. Besides, his character is his sexual fantasy done for his pleasure and cause of his desire. As aLima manager insurance, Rigoberto definitely has many activities, multiple frustrations and annoyances. So, the fantasy can help to escape him from that. In this study also reveal that Fantasy can make Rigoberto to be wise. He had rediscovered that wisdom all by himself, on his own and at his own risk. He did many habits like imagining erotically things about the media then sets the intent of those media into his mind.He reduces his wife as an object. He determines himselfbecome someone who is in the media, he proud of person in the paintings which can inflame his subject's imaginings then he changes himself as that person. In the novel In Praise of the Stepmother learn of the erotic and sexual lives of Rigoberto and Lucrecia, and which is driven by Rigoberto's fantasies formulated from paintings and other media. He showers her with affection, but the reader is left wondering if he truly knows her, or if he has created an illusion of her. Don Rigoberto's Sexual Fantasy happened because of any media, and he enjoyed his sexual fantasy by any media, like painting, poet and tried to take it into his mind, then reveal to his wife. His love life with Lucrecia in a world more imaginary than real, of what he wishes she were than what she really is. Don Rigoberto assumes that his wife is like another person who is in his mind, not the realism of his wife's self. He always lost in his dream which is imagined erotically things from some media and those can support his sexual fantasy. Don Rigoberto is compulsive about his personal cleanliness and his bodily functions. He appreciates them as impressive and necessary. He devotes a day a week for the care of a different member or organ: Monday, hands; Tuesday, feet; Wednesday, ears; Thursday, nose; Friday, hair; Saturday, eyes; Sunday, skin. Don Rigoberto is a sensualist of the highest order and, nightly, he and his wife have erotic heights. He did nightly ritual,all of those are the parts of his sexual fantasy. The pictures and roses of the painting are as an inspiration for him while having sex with his wife. Sexual fantasy can have a profound impact on a person's emotions. Sexual fantasy is articulated with anxiety and it is closest proximity to the psychological traumatic real, Lucrecia always be object of Rigoberto's sexual fantasy, she forced sex with Atlas, the best endowed of Ethiopian slaves. It shows that Don Rigoberto never worried about Lucrecia's anxiety. He actually lets Lucrecia having sex with another man, just for create pleasure Dona Lucrecia as his wife feel that she just an actress who serve her husband for being another person, not being herself while they having sex. She actually made masturbation to gained the power of magic, mystery and bodily enjoyment. She also did sexual attraction to her stepson, Fonchito. Because while having sex with her stepson, she feels splendid orgasm she is to be herself, she felt the pleasure and comfort thats he never got while having sex with Rigoberto, with Foncho, she feels that he is innocence and not seems like Rigoberto who makes she is an object imagination of anyone and object for him to get sexual satisfaction and pleasure. Don Rigoberto can do sexual fantasy to his wife because of his desire, he obsessed of personal hygiene,erotic paintings, then he makes his wife become the object of his fantasy and he wants to get pleasure which can alter his mood to be happy. The act of Don Rigoberto that forced his wife with another man can be classified as sexual violence which is the cause of psychological trauma. So, with the sexual fantasy of Don Rigoberto can impact Lucrecia has psychological trauma. Refferences Allen, Richard. 1995. Projecting Illusion. Film Spectatorship and the Impression of Reality. Cambridge: Cambridge University Press. 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Fiction and fantasy: No-nonsense therapy for six sexual malfunctions. Psychology Today, pp. 77-86. Kartono, Kartini and Dadi Gulo. 1987. Kamus Psikologi. Bandung: Pionir Jaya. Lacan, Jacques. 1994. The Seminar, Book III .1955-1956. The Psychoses, ed. by Jacques Alain Miller,trans. by Russell Grigg. New York: Norton. Lacan,Jacques. 1978. Four Fundamental Concepts Of Psychoanalysis. New York: W. W. Norton & Company. Lacan, Jacques. 2005. Routledge Critical Thinkers Book. New York: Routledge. Laplanche, J.1986. Fantasy and the Origins of Sexuality, London: Routledge. Le Séminaire XIII: L'objet de la psychanalyse. 1965-1966. Unpublished transcript. Le Séminaire XIV: La logique du fantasme 1966-1967. Unpublished transcript. Meadows, Robert J. 2004. Understanding Violence and Victimization Third Edition. New Jersey: Prentice Hall. Miller, Jacques-Alain. 1999. Les six paradigms de la jouissance. La CauseFreudienne, 42: 7-29. Nobus, Dany. 2002. Jacques Lacan and the Freudian Practice of Psychoanalysis. Taylor & Francis e-Library. Nusselder, André. 2006. Interface Fantasy. Amsterdam. F&N Eigen Beheer. Pp 117. O'Donnell, Kevin. 2008. Postmodernisme. 1st ed. Yogyakarta: Kanisius. Reich, W. 1942. The discovery of the orgone: The function of the orgasm. New York: Noonsday. Rogers, Dorothy. 1969. Child Psychology. Belmont, California. Wadsworth Publishing Company,Inc Singer, J. L. 1966. Daydreaming: An Introduction to the experimental study of inner experience, New York: Random House. Singer, J.L. 1968. Research applications of the projective methods: In A. Rabin (Ed.), Projective techniques in personality assessment. New York: Springer. Suryabrata, Sumadi. 2002. Pengembangan Alat Ukur Psikologis,Yogyakarta: Penerbit Andi Yogyakarta. ---. The Seminar, Book X. 1962-1963. Anxiety, ed. By Jacques Lacan, trans. by Cormac Gallagher. French: Unedited manuscript. ---. The Seminar, Book XI. 1981. The Four Fundamental Concepts of Psycho-Analysis, ed. by Jacques Alain Miller, trans. by Alan Sheridan. New York: Norton. ---. The Seminar, Book XX 1972-1973, Encore, ed. by Jacques Alain Miller, trans. by Bruce Fink. New York: Norton. Vargas Llosa, Mario. 1988. In Praise Of The Stepmother. New York: Picador. Wagman, M. 1967. Sex differences in types of daydreams. Journal of Personality and Social Psychology, 7, 329-332. Wilson, G.D. 1997. Gender Differences in Sexual Fantasy: An Evolutionary Analysis. Person. Individ. Diff, 22, 27-31. Žižek, S. 1992. Looking Awry. Cambridge Massachusetts: MIT Press. Internet Sources . http://classiclit.about.com/od/literaryterms/g/aa_whatisliter.html http://psychoanalysis101.org/psycho-sexual-development/html http://www2.ucsc.edu/dreams/Library/hall_1953b.html http://www.sparknotes.com/psychology/psych101/motivation/section3.html http://www.bartleby.com/288/5.html http://www.personalityresearch.org/papers/plaut.html
This guide accompanies the following article: Christine V. Wood, 'The Sociologies of Knowledge, Science, and Intellectuals: Distinctive Traditions and Overlapping Perspectives', Sociology Compass 4/10 (2010): 909–923, 10.1111/j.1751‐9020.2010.00328.x.It offers a list of texts that one could use in developing a course in the sociology of scientific knowledge, in the sociology of knowledge in general, or in a more specialized course on the field of scholarly production, experts and intellectuals, and the social organization of the academic profession and research sciences.Author's introductionFew review and teaching materials exist that collect the diverse research exploring the social and institutional context in which scholarly and scientific ideas are generated, legitimated, and diffused. By zeroing in on the social 'field' or 'arena' of scholarly production, which may include the sciences, humanities, and social sciences, sociologists are better able to delineate the distinct analytic traditions that have emerged in studying various orderings of certified knowledge – whether philosophical, humanistic, social scientific, or scientific – and their producers. Despite obvious overlaps, the sociologies of knowledge, science, and intellectuals owe their origins as sociological sub‐fields to distinctive theoretical and even methodological traditions. Considering intellectuals and experts as social groups working in specific social contexts, institutions, and making different kinds of claims to knowledge is different from studying the gestation of ideas and their content, whether these ideas are values, beliefs, assumptions, or scientific and academic theories. Within the sociology of knowledge, studies of the production of academic knowledge is a separate body of literature from studies of social cognition, collective memory, or the internalization of norms and values, and so some distinctions are necessary. In some sense, the sociology of knowledge as a grand project that could subsume the study of scientific knowledge and the study of intellectuals as a social class or group and of the academic professions. But many scholars draw boundaries between the sociologies of knowledge and science, owing to the empirical distinctions between an area of inquiry that subsumes the study of broad orderings of knowledge and a field that focuses on the distinct status and situation of natural and hard science in modern life – its content, institutional contexts, organization, normative structures, political conflicts, and applications. Depending on their research interests, scholars have drawn boundaries within the sub‐fields of science studies, for instance by delineating between the 'political' sociology of science and the 'historical' sociology of science, or by focusing on the interactions between political and social movements and science and academia. Depending on the interests of the professor and the degree of specialization of a course, this guide offers a list of texts that one could use in developing a course in the sociology of scientific knowledge, in the sociology of knowledge in general, or in a more specialized course on the field of scholarly production, experts and intellectuals, and the social organization of the academic profession and research sciences.Author recommendsFollowing a chronology of sociological work on knowledge, science, and intellectuals, from the classical, 19th‐Century theory of Karl Marx and Max Weber through the early and mid‐20th‐Century is to trace a neat trajectory of sociological theory in its various incarnations – foundational, functionalist, structural, institutional, political, historical, and cultural. Many classical essays in the sociology of knowledge and science are dispersed among larger texts devoted to the essays of key sociological thinkers. Within the sociology of knowledge or science, numerous volumes exist that detail foundational and specialized approaches in the field.For a primer in the modern sociologist's treatment of science as a social institution, an excellent collection is Robert Merton's The Sociology of Science: Theoretical and Empirical Investigations, a compendium of essays from the thinker on science in modern societies, with attention paid to scientific institutions as they developed from the 17th‐Century through the 20th‐Centuries. What is most remarkable about Merton's collection of essays is that it sets the framework for many core themes that would later be elaborated by sociologists on questions of science, including the relationship of science to other institutions and conflicts among scientists over the prioritization of some programs of research and discovery over others. In a thesis that explored the 'interdependence' of science and other institutional spheres in seventeenth century England, where modern science was just beginning, Merton explored the 'interdependence' of science and other institutional spheres, occupational, religious, economic, and militaristic. Aside from this essentially 'macro' view of science, Merton also wrote on the 'Normative Structures of Science', where he discussed a conflict between the governing ethos of science and the attitudes of others across institutional and social spheres. He wrote that a tenet in science is that all scientists should in their research ignore all considerations other than the advance of knowledge, the justification being that consideration of the practical or social uses of the knowledge increases the possibility for bias and error. Merton claimed that this attitude had furnished a basis of revolt against science – once the applications of the science are discovered, those authorities or groups who disapprove of that application will turn their antipathy toward the science itself. Finally, in an essay on 'Priorities in Scientific Discovery', Merton laid the groundwork for the 'functionalist' perspective of science. He argued that science operates with governing norms of priority and originality, which places pressure on scientists to assert their claims as original. When science as an institution is working efficiently, those who have best fulfilled their roles as scientists will have made genuinely original contributions to the common stock of knowledge, and are afforded rightful esteem and recognition. The focus on the judgment of originality and credibility in science has sparked a wave of new scholarship, which I outline in the course syllabus and essay.Given the status of 'science and technology studies' as an ever expanding interdisciplinary field, several recent volumes collect contemporary essays in the social studies of science. A notable volume that contains diverse theoretical and methodological writings in the social studies of science is the Handbook of Science and Technology Studies, edited by Edward J. Hackett, Olga Amsterdamska, Michael Lynch, and Judy Wajcman (Cambridge, MA: MIT Press, 2007). Emphases on the political dimensions of scientific knowledge production are currently receiving a great deal of attention, with diverse research exploring the politics of nuclear proliferation, environmental justice movements, and the politics of gender and sexual difference in scientific and medical research. The New Political Sociology of Science: Institutions, Networks, and Power, edited by Scott Frickel and Kelly Moore, provides a good introduction (Madison, WI: University of Wisconsin Press, 2006). Other edited volumes are useful as introductory texts to core essays and readings in the sociology of knowledge. A nice volume that contains overlapping research in the sociologies of knowledge and science is Society & Knowledge: Contemporary Perspectives in the Sociology of Knowledge & Science, edited by Volker Meja and Nico Stehr (Transaction Publishers, 2005).Sample syllabusSince the sociologies of knowledge and science are such broad areas of research, the sample syllabus takes into account analysis of knowledge production in the sciences, social sciences, and humanities as well as the study of intellectuals as a group. For those that find the focus broad, recommended readings allow those with more interest in science and technology studies or in the study of expert communities to zero‐in on specific bodies of literature. This course could be framed broadly as a course on the social contexts of knowledge production – science, knowledge, and modern research and academic vocations. A basic goal of the class is to encourage students to think more reflexively about science and about their own work as social scientists, while also to promote ongoing research on the ever changing social contexts of the academic professions and knowledge production in the sciences, social sciences, and humanities.This 10 week outline introduces theoretical texts and some exemplary case studies.Week 1: Introduction:This session is an introduction to the sociological study of knowledge production, science, and intellectuals as a group. The class should discuss short pieces as foundational texts, which may include Gramsci's essay writing on intellectuals in Selections from the Prison Notebooks (New York: International Publishers, 1971); excerpts from Karl Mannheim's Ideology and Utopia: An Introduction to the Sociology of Knowledge (New York: Harcourt Brace Jovanovich, 1985), particularly those portions that deal with the social function of the intellectual and the 'classless intellectual'; Max Weber's essay 'Science as a Vocation' (Pp. 129–156 in From Max Weber: Essays in Sociology, edited by H. Gerth and C. W. Mills, New York: Oxford University Press, 1958); and some more contemporary piece, perhaps Merton's essay 'Paradigm for the Sociology of Knowledge', a clarifying, comprehensive essay on the myriad topics that could be subsumed under the sociology of knowledge (in The Sociology of Science: Theoretical and Empirical Investigations, Chicago: University of Chicago Press, 1973). Given the breadth of Merton's essay, which does not deal exclusively with scholarly and scientific knowledge, class discussion should devote attention to the distinctions among approaches that deal with intellectuals as a group, the social contexts of science, and the content of ideas.Week 2: Classical foundations:The second week should involve a more detailed emphasis on theoretical foundations in the sociology of knowledge and science. Though Weber's essay on 'Science as a Vocation' has been introduced in the first week, the discussion should center more intensely on how the classical scholars handled questions about knowledge and intellectuals. Using Merton's essay to frame the classical theorists' take on science and knowledge, a comparison of the perspectives of Marx and Weber on knowledge and intellectuals should make for a lively discussion. Excerpts from Marx's The German Ideology provide a good introduction to Marx's views on the way the content of ideas are linked to material life. In Marx's critique of the writings in political economy of his day, he argues that the content, form, and method of the writing on utilitarianism from the prominent bourgeois thinkers of the day were linked to concrete social and economic developments in Europe. To contrast Marx's take that the content of political and economic writing reflected social and economic developments, Weber provides a more nuanced analysis of how the class interests of intellectuals influences the content of their ideas in his writing on how certain types of intellectuals influenced the ideological and ethical doctrines of major world religions, by advocating ideas that conformed to but were not directly influenced by their occupational class interests. Important to this discussion is to compare and contrast Marx and Weber and the extent to which each sees social class as shaping ideas.Weeks 3–4: Social structure, function, and institutions:The next several sessions deal with the various approaches to science and technology, knowledge, and intellectuals to emerge in the middle of the 20th‐Century. The first set of discussions should be on social structure and function – essentially, in discussion how sociologists' have understood the influence of social structure on knowledge production and how scholars have theorized on the function or 'role' of scientists and intellectuals in the promotion of the social order. Again, Robert Merton provides a touchstone example of a 'functionalist' perspective on science, and a good example is his essay on 'Priorities of Scientific Discovery' (The Sociology of Science: Theoretical and Empirical Investigations, Chicago: University of Chicago Press, 1973). An exemplary text and enjoyable read is Florian Znaniecki's Social Role of the Man of Knowledge (New Brunswick, NJ: Transaction Books, [1940] 1986). C. Wright Mills's Sociology and Pragmatism: The Higher Learning in America is an exemplary and oft‐overlooked text on the growth of pragmatism and modern American sociology, a model of research design and a prescient analysis of how occupational and economic conditions, the changing demographic of the American university, and the content and function of elective curricula influenced the development of new areas of research in philosophy and the growth of modern sociology (New York: Oxford University Press, 1969). This text could also be used to discuss the importance of institutional conditions in shaping academic disciplines and knowledge production. Key texts on the importance of institutions as portals and venues of intellectual activity and the social importance of scientists and intellectuals as institutional and bureaucratic actors include Lewis Coser's Men of Ideas: A Sociologist's View (New York: Free Press, 1965) and Edward Shils's (1972) collection of essays, The Intellectuals and the Powers, and Other Essays (Chicago: University of Chicago Press).Weeks 5–6: Politics and reflexivity:Alvin W. Gouldner's The Coming Crisis of Western Sociology is a good introduction to a reflexive approach to knowledge production in the social sciences (New York: Avon, 1970). Gouldner analyzed the 'presuppositions' of two generations of social theorists, comparing the early 20th‐Century sociological preoccupations with social order with the more conflict‐laden approaches of the New Left generation. The book makes a rather convincing case about how scholars' relations to resources and politics form the subtext of social theory. Other examples of the 'politics' of knowledge production and the social situation of the observer or abound, particularly in feminist theory, beginning with Dorothy Smith's now‐dated essay 'Women's Perspective as a Radical Critique of Sociology' (Pp. 21–34 in The Feminist Standpoint Theory Reader: Intellectual and Political Controversies, edited by S. Harding, New York: Routledge, 2004). A good way to trace the intellectual trajectory of feminist critiques of science and knowledge is by assigning selections from The Feminist Standpoint Theory Reader. These texts will provide something of an antidote or contrast to the social structural or 'functional' perspectives. Also fitting for these discussion are a couple of texts that revived the analyses of the influence of intellectuals' social class position on the content of ideas. Erik Olin Wright (1978) focused on intellectuals in late capitalism and György Konrad and Ivan Szelenyi (1979) analyzed the social position of intellectuals under Eastern European state socialism, in both cases melding political sociology with the sociology of knowledge. Discussions of the texts featured in these 2 weeks should provoke students to discuss whether the main imperative of the sociology of knowledge – the analysis of the social and material, or at least contextual, backdrop to knowledge claims – is in itself reflexive.Weeks 7–8: Fields, new institutional analysis, social movements, and networks:Among the most popular recent approaches in the sociology of knowledge are field analysis, network analysis, and new institutional approaches. Each of these could be said to be in some sense 'macro' as the focus is on how broader contexts and relationships influence the content and flow of ideas. Bourdieu's Homo Academicus is a study of the relationships of status among French university professors and includes rigorous analyses of scholars' career and family backgrounds as well as the relationships of academic disciplines to authorities in the university and the state (Stanford, CA: Stanford University Press, 1988). Examples of how institutional conditions shape the development, structure, and composition of academic disciplines and departments have emerged in recent years, the most notable examples being Charles Camic's essay (published in 1995 in Social Research) on how local institutional conditions and interdisciplinary interaction influenced the development of distinct analytic traditions in three early sociology departments and Mario Small's essay (published in 1999 in Theory and Society) on how local institutional factors influenced differences in the content and structure of new African‐American studies programs. Excellent examples of the influence that social movements and collective action have on the formation of new academic disciplines include Fabio Rojas's From Black Power to Black Studies: How a Radical Social Movement Became an Academic Discipline (Baltimore, MD: Johns Hopkins University Press, 2007) and Scott Frickel's Chemical Consequences: Environmental Mutagens, Scientist Activism, and the Rise of Genetic Toxicology (New Brunswick, NJ: Rutgers University Press, 2004). Finally, Randall Collins's mammoth The Sociology of Philosophies: A Global Theory of Intellectual Change outlines a vast network analysis of philosophical production across historical periods (Cambridge, MA: Harvard University Press, 2000). The book is big, and an idea is to have students read the theoretical sections that explain the logic of a network analysis of philosophical production, and then to have students select individual chapters to read and present to the class.Week 9: Culture and micro‐sociological analysis:With the rise in importance of the sociology of culture in recent years, interested scholars have applied some of the research techniques developed in culture studies to analyze knowledge production. An exemplary study in this area is Karin Knorr‐Cetina's Epistemic Culture: How the Sciences Make Knowledge, which is a micro‐sociological account of how scientists in high‐energy particle physics and molecular biology labs conduct their research (Cambridge, MA: Harvard University Press, 1999). If students are interested in the contexts of scientific knowledge production and laboratory life, students might compare Knorr‐Cetina's analysis with earlier studies of the interactions of actors and artifacts in science labs, beginning with the work of Bruno Latour, perhaps starting with Science in Action: How to Follow Scientists and Engineers through Society (Cambridge, MA: Harvard University Press, 1987).Week 10: Using approaches in the sociology of science to analyze other kinds of knowledge production:At the 'cutting edge' of research in the sociology of knowledge are attempts by scholars to adapt, or utilize, the theories and methods developed in science studies to analyze knowledge production in the social sciences and humanities. A good essay that draws on the work of Knorr‐Cetina is Gregoire Mallard's 'Interpreters of the Literary Canon and their Technical Instruments: The Case of Balzac Criticism', published in the American Sociological Review in 2005. A more recent example examines how social science and humanities professors evaluate knowledge, borrowing from research in the social studies of science on consensus, evaluation, and credibility: Michele Lamont's How Professors Think: Inside the Curious World of Academic Judgment (Cambridge, MA: Harvard University Press, 2009). Students should assess how convincingly a research area that originated in social studies of science, like studies of how knowledge is prioritized and judged as 'original' or the use of technical instruments in the humanities, applies to knowledge contexts outside of the hard sciences.Focus questions
In what ways can the methods and theories of the sociology of science be adapted to analyze knowledge production in other areas, including the humanities and the social sciences? What sorts of processes and knowledge claims are specific to science? What makes an analysis reflexive? Is analyzing the material or institutional conditions that shape ideas or scientific production inherently critical or reflexive? Among the more recently popularized theoretical and methodological approaches to intellectual life, like Bourdieu's 'field' analysis of the French university and Collins's network analysis of philosophy, which is likely to be most transposable across diverse scientific and academic settings?
Why did Wilsonian ideals influence AEF actions in the First World War, and how did that affect the United States' involvement in the nation's first large-scale coalition operation? Wilsonian ideals influenced the AEF's actions in the First World War because most American leaders and soldiers shared Wilson's concepts of Progressivism and believed that the United States should play a role in saving Europe. Even if some did not agree with Wilson's politics, most doughboys shared his ideas of American Exceptionalism, and these views affected United States involvement in the nation's first large-scale coalition operation. In merging the two topic areas of Wilson's ideologies and AEF involvement in the war, this essay will attempt to answer how the American doughboy found motivation in the same principles that guided President Wilson. ; Master of Arts in Military History ; Week 11 Final Paper Wilsonianism in the First World War: Progressivism, American Exceptionalism, and the AEF Doughboy Brian P. Bailes A paper submitted in partial fulfillment of the requirements for the Master of Arts in Military History Norwich University MH 562B Dr. John Broom August 16, 2020 Bailes 2 While the duration of American Expeditionary Forces (AEF) involvement in First World War combat operations remained short compared to the armies of the European powers, the experience had a lasting impact on the United States' status as a global power. President Woodrow Wilson's mediation in the European affair throughout American neutrality, his integration of the AEF into Allied operations, and his contribution to the post-war peace process cast him as a central figure of the conflict as well as a harbinger of United States interventionist foreign policy. Through the more than a century since the end of the war, historians have analyzed and debated various facets of United States belligerency. Historians have explored President Wilson's ideologies and the decision making that ultimately led to him making his April 1917 appeal to Congress for American belligerency. Additionally, historians have expanded on AEF actions in Europe and argued how General Pershing's adamancy on maintaining an independent American command created tension with the Allied leaders. Historians have not connected these two topics to analyze how a reader can conceptually link Wilson's ideas and doughboy exploits in Europe. Why did Wilsonian ideals influence AEF actions in the First World War, and how did that affect the United States' involvement in the nation's first large-scale coalition operation? Throughout the historiography of United States involvement in the First World War, specific themes reoccur as significant areas of consensus. The historiography presents two primary arguments in which historians agree. Historians agree that Wilson's peace objectives drastically differed from those of the Allies, and historians agree that these differences motivated Wilson's decisions regarding how the United States would enter the war. Historians also agree that friction existed between General Pershing and the Allied Commanders once the AEF arrived in Europe and began combat operations. These two commonalities in the historiography remain Bailes 3 relatively constant throughout the past 50 years of historical research, and even when portraying more positive sentiments expressed between AEF and Allied soldiers, historians still note some tension between Pershing and the Allied commanders. Historians agree that Wilson's peace objectives differed significantly from those of the Allies. David Woodford argues that the gap between British imperial interests and Wilson's peace objectives affected the alliance between the United States and England throughout the war.1 William Widenor argues that Wilson failed in achieving his goals during the Versailles Peace Settlement because he attempted to make too many concessions for enduring peace, and he claims that Wilson grew at odds with the Allied leaders at the peace conference.2 George Egerton argues that British policymakers were closely monitoring the dispute within the United States Senate during the Treaty of Versailles conference, and he suggests that British leadership remained skeptical of Wilson's League of Nations.3 Historians capture Wilson's opposing peace aims throughout the European conflict, and they seemingly agree on how these aims influenced Wilson's policies and actions. Some historians cite the most significant gap in peace aims as existing between the United States and France. David Stevenson argues that French leaders were continually at odds with Wilson throughout the war as the French war aims focused much more on their national security, which they saw as requiring the destruction of Imperial Germany.4 Stevenson points out that while Wilson's peace aims differed from England as well as France, many French objectives 1 David R. Woodward, Trial by Friendship: Anglo-American Relations, 1917-1918 (Lexington: The University Press of Kentucky, 1993), 7-25, 35-43, 77-80, 125-9, 208-20. 2 William C. Widenor, "The United States and the Versailles Peace Settlement," Modern American Diplomacy, eds. John M. Carroll and George C. Herring (Lanham: SR Books, 1996), 46-59. 3 George W. Egerton, "Britain and the 'Great Betrayal': Anglo-American Relations and the Struggle for United States Ratification of the Treaty of Versailles, 1919-1920," The Historical Journal 21, no. 4 (December 1978): 885-911, https://www.jstor.org/stable/2638973. 4 David Stevenson, "French War Aims and the American Challenge, 1914-1918," The Historical Journal 22, no. 4 (December 1979): 877-894, https://www.jstor.org/stable/2638691. Bailes 4 were more aggressive against Germany as they involved reclaiming land lost to Germany in previous wars, specifically the 1870 Franco-Prussian War.5 Stevenson highlights the fact that Wilson could not get French officials to see the "two Germanys" concept that prevailed in American thinking at the time. While the American public generally saw two Germanys – the autocratic ruling party dominated by the Prussian elite and the German people living under that oppressive regime – Stevenson argues that France only saw Imperial Germany as a total enemy.6 Robert Bruce explains that during the post-war occupation period, the American doughboys perceived Frenchmen as distrustful and hateful toward German soldiers, and this sullied the alliance between France and the United States.7 In line with Wilson's ideology, historians cite Wilson's desire for Europe to achieve a "peace without victory" as he attempted to serve as a mediator during the United States period of neutrality. These historians ultimately conclude that Wilson believed any of the European powers achieving their aims through victory would lead to a continuation of balance of power politics in Europe. They argue that Wilson thought merely putting an end to the fighting would be the only way to achieve lasting peace. Ross Gregory argues that Wilson acted as a persistent mediator throughout the war as he strove for a "peace without victory."8 Arthur Link explains that Wilson believed a "peace without victory" and a "draw in Europe" proved the best solution for establishing a new system to replace the broken power structure in Europe.9 Ross Kennedy portrays Wilson as advocating the United States as a neutral mediator striving for a "peace 5 Stevenson, 884, 892-4. 6 Stevenson, 885. 7 Robert B. Bruce, A Fraternity of Arms: America & France in the Great War (Lawrence: The University Press of Kansas, 2003), 286-95. 8 Ross Gregory, The Origins of American Intervention in the First World War (New York: W.W. Norton & Company, Inc., 1971), 115-6. 9 Arthur Link, "Entry into World War I," Progress, War, and Reaction: 1900-1933, eds. Davis R.B. Ross, Alden T. Vaughan, and John B. Duff (New York: Thomas Y. Crowell Company, Inc., 1970), 141. Bailes 5 without victory" before the U.S. entered the war, then as an advocate of "just peace" after they entered the war.10 Kennedy argues that Wilson blamed the international system that led to power politics and wanted to have a separate voice in the peace process to shape a new diplomatic and global political order.11 Historians point to Wilson's ideology as a reason for his differing peace objectives, and historians point to Wilson's Christian faith as a significant motivation for his progressive philosophy. Lloyd Ambrosius highlights Wilson's four tenets of national self-determination, open-door economic globalization, collective security, and progressive history as the framework in which he envisioned a global order shaped by American democratic ideals that would bring the world to peace.12 Ambrosius examines Wilson's embrace of "American Exceptionalism" and looks at how his Anglo-American bias clouded his vision and prevented him from seeing the various cultural factors throughout the world.13 Ronald Pestritto examines Wilson's progressive form of history while arguing that Wilson saw democracy emerging within society as a phenomenon only natural to specific groups of people, and he only saw a few civilizations as "progressed."14 Pestritto notes Wilson's Christian inspiration, referencing early manuscripts written by Wilson titled "Christ's Army" and "Christian Progress."15 William Appleman Williams argues that Wilson maintained a Calvinist idealism that intensified the existing doctrine 10 Ross A. Kennedy, "Woodrow Wilson, World War I, and American National Security," Diplomatic History 25, no. 1 (Winter 2001): 15, 29, https://doi.org/10.1111/0145-2096.00247. 11 Kennedy, "Woodrow Wilson, World War I, and American National Security," 2-3. 12 Lloyd E. Ambrosius, Wilsonianism: Woodrow Wilson and His Legacy in American Foreign Relations (New York: Palgrave Macmillan, 2002), 2-47. 13 Ambrosius, Wilsonianism, 125-34; Lloyd E. Ambrosius, Woodrow Wilson and American Internationalism (New York: Cambridge University Press, 2017), 33-49; Lloyd E. Ambrosius, "World War I and the Paradox of Wilsonianism," The Journal of the Gilded Age and Progressive Era 17 (2018): 5-22, https://doi.org/10.1017/S1537781417000548. 14 Ronald J. Pestritto, Woodrow Wilson and the Roots of Modern Liberalism (Lanham: Rowman & Littlefield Publishers, Inc., 2005), 6-61. 15 Pestritto, Woodrow Wilson and the Roots of Modern Liberalism, 23, 40. Bailes 6 based on God's supposed ordination of American influence and expansion in the world.16 Richard Gamble explains that Wilson's vision and rhetoric nested with many of the Christian messages of progressive religious leaders in the United States during the First World War who saw the war as a Christian crusade to spread American ideals.17 Historians seem in unanimous agreement that Wilson's separate peace aims formed the primary impetus for him seeking an independent American presence in the war effort. David Esposito argues that Wilson wanted to have an American presence in the war because he realized that to establish a dominant American voice in the post-war peace talks, the United States needed to make a significant contribution to Allied victory.18 Edward Coffman details the United States' experiences in the First World War by explaining Wilson's desire to gain an independent voice in the peace process.19 David Trask maintains that Wilson wanted to "remain somewhat detached from the Allies" in defeating Imperial Germany to provide Wilson leverage so that he could directly influence the post-war peace process.20 Arthur Link explains that Wilson did see the benefit of not joining the Entente but keeping the United States independent of "any political commitments" with the Allies as providing a chance to ensure an American presence at the peace conference.21 Thomas Knock argues that Wilson faulted the "balance of power" politics of Europe and saw the United States as the actor to save Europe and create a new system of 16 William Appleman Williams, The Tragedy of American Diplomacy (New York: W.W. Norton & Company, 1959; New York: W.W. Norton & Company, 2009), 67-112. Page references are to the 2009 edition. 17 Richard M. Gamble, The War for Righteousness: Progressive Christianity, the Great War, and the Rise of the Messianic Nation (Wilmington: ISI Books, 2003), 22-3, 86-208, 254-5. 18 David M. Esposito, "Woodrow Wilson and the Origins of the AEF," Presidential Studies Quarterly 19 no. 1 (Winter 1989): 127-38, https://www.jstor.org/stable/40574570. 19 Edward M. Coffman, The War to End All Wars: The American Military Experience in World War I (Lexington: The University Press of Kentucky, 1968), 5-8. 20 David F. Trask, The AEF & Coalition Warmaking, 1917-1918 (Lawrence: The University Press of Kansas, 1993), 2-6. 21 Link, "Entry into World War I," 141. Bailes 7 diplomacy.22 Overall, historians agree that President Wilson desired very different peace outcomes for a post-war Europe, and this influenced him as he made decisions regarding United States actions throughout the war. In addition to the agreement that Wilson's peace aims differed from the Allies, historians also agree that once the United States did enter the war and the AEF arrived in Europe, friction quickly developed between General Pershing and the Allied commanders. David Trask argues many instances of "increasing friction" existed between Pershing and the French and British command. Trask includes a case where the Allies "attempted to bypass Pershing" by working directly with Wilson even though Wilson had appointed Pershing as Commander in Chief of the AEF.23 Trask argues that Pershing believed that the preceding few years of trench warfare had "deprived the French and even the British of offensive spirit," and he maintains that with Pershing's "open warfare" tactics, his methods of training drastically differed from the Allies.24 Michael Adas cites disagreement between Pershing and the Allied commanders immediately after Pershing arrived in France due to Pershing's unwillingness to listen to the experienced French and British leaders as they tried to suggest ways to employ the AEF.25 Adas argues that Pershing's desire to pursue "open warfare" did not take into account the realities of trench warfare and resulted in costly casualties.26 Russell Weigley cites frequent tensions between Pershing and the Allied commanders, including an example in September of 1918 in which AEF 22 Thomas J. Knock, To End All Wars: Woodrow Wilson and the Quest For a New World Order (New York: Oxford University Press, 1992; Princeton: Princeton University Press, 2019), 30-69. 23 Trask, AEF & Coalition Warmaking, 38-9. 24 Trask, AEF & Coalition Warmaking, 19. 25 Michael Adas, "Ambivalent Ally: American Military Intervention and the Endgame and Legacy of World War I," Diplomatic History 38 no. 4 (September 2014): 705-7, http://doi.org/10.1093/dh.dhu032. 26 Adas, "Ambivalent Ally," 710. Bailes 8 "traffic congestion" caused a significant disturbance in a visit from Georges Clemenceau.27 Weigley explains that Pershing's belief in "open warfare" would not work due to the enormous American divisions built for the trenches, arguing that Pershing would need "smaller, maneuverable divisions" if he wanted his open warfare to work.28 All historians agree that the issue of AEF amalgamation with the French and British forces served as the primary reason for the friction between the military leaders. David Woodford cites the notion that AEF amalgamation would "undermin[e] the significance of the American military role." Hence, Pershing remained adamant in his stance not to let the Allies use American soldiers to fight under French or British flags.29 Woodward notes that Pershing felt his AEF superior to the Allies as he "believed that the Americans had almost nothing to learn from French and British officers."30 Woodford explains that war aims and peace objectives formed the basis of a fractured Anglo-American relationship that finally crumbled during the peace conference.31 Mitchell Yockelson argues that despite tension between Pershing and the Allied leaders regarding the question of amalgamation, the 27th and 30th Divisions contributed significantly to the Allied effort under British command. Yockelson highlights a fascinating illustration of Pershing's stubbornness in noting that Pershing did not follow the exploits of these divisions even though they proved instrumental in the offensive against the Hindenburg Line.32 As an enduring theme throughout the amalgamation debate, historians point to Pershing's desire for the United States to deliver the decisive blow against Germany with an independent 27 Russell F. Weigley, "Strategy and Total War in the United States: Pershing and the American Military Tradition," Great War, Total War: Combat and Mobilization on the Western Front, 1914-1918, eds. Roger Chickering and Stig Förster (New York: Cambridge University Press, 2000), 333. 28 Weigley, "Pershing and the American Military Tradition," 341-2. 29 Woodward, Trial by Friendship, 57-8. 30 Woodward, 88. 31 Woodward, 7-80, 112-220. 32 Mitchell A. Yockelson, Borrowed Soldiers: Americans Under British Command, 1918 (Norman: University of Oklahoma Press, 2008), 92-228. Bailes 9 American army. Allan Millett argues that Wilson gave Pershing the explicit directive to keep the AEF separate from the Allies and allowed Pershing the freedom to make decisions on how to integrate the AEF.33 Millett cites Pershing's initial plan to use an AEF offensive on Metz as the critical blow that would decide the war and establish an American contribution to defeating Imperial Germany. Pershing would not have his AEF ready to carry out this offensive until 1919, and his stubbornness in dealing with the requests for amalgamation in the interim "frustrated the Allies."34 Bullitt Lowry narrates Pershing's attempt to shape the post-war peace terms by arguing that Pershing wanted to force Germany into an "unconditional surrender." While Lowry concludes that Pershing's effort to influence the political realm failed, he believed that the only way to "guarantee victory" would be to crush Germany in battle.35 David Woodward argues that Pershing believed that the AEF would decide the war by becoming "the dominant role in the war against Germany."36 Woodward cites Pershing's ideas regarding "the aggressive American rifleman, whose tradition of marksmanship and frontier warfare" could rid the Western Front of trench warfare and execute a great offensive against Germany.37 Historians cite the notion throughout the ranks of the AEF that the United States should remain independent from the Allies, and historians point to the fact that many doughboys saw themselves as superior soldiers to the Allies. Robert H. Zieger argues that "virtually the entire military establishment" agreed with Pershing's desire to have an independent American 33 Allan R. Millett, "Over Where? The AEF and the American Strategy for Victory, 1917-1918," Against All Enemies: Interpretations of American Military History from Colonial Times to the Present, eds. Kenneth J. Hagan and William R. Roberts (Westport: Greenwood Press, Inc., 1986), 237. 34 Millett, "Over Where?," 239. 35 Bullitt Lowry, "Pershing and the Armistice," The Journal of American History 55 no. 2, (September 1968): 281-291, https://www.jstor.org/stable/1899558. 36 Woodward, Trial by Friendship, 81. 37 Woodward, 89, 207. Bailes 10 command.38 Still, Zieger does note that this separate American command relied heavily on the Allies for logistics support, and the AEF "misunderstood the military dynamics of the Western Front."39 Richard Faulkner argues that Pershing's doctrine rested on his belief that the "superior American rifle marksmanship, aggressiveness, and skilled maneuvering" could win the fight for the Allies.40 Faulkner argues that American soldiers saw themselves as intervening in the war effort to help the failing French and British, taunting their British partners by claiming AEF stands for "After England Failed." He devotes a chapter named as such to explain the AEF belief in the superiority of the American fighting man.41 Harold Winton argues that Pershing believed that the United States soldier was superior to his European counterpart.42 Jennifer Keene argues that issues such as the treatment of African-American soldiers and disagreements about which nation contributed the most to the Allied victory created rifts between the two allies.43 In her full text, Keene narrates AEF interactions with their French Allies, and she claims that doughboys saw themselves as superior fighters who could help turn the tide of war.44 Michael Neiberg explains that United States citizens and soldiers came away from the conflict with the belief in the "inherent superiority" of the American system over that of Europe.45 38 Robert H. Zieger, America's Great War: World War I and the American Experience (Oxford: Rowman & Littlefield Publishers, Inc., 2000), 92-102. 39 Zieger, America's Great War, 96. 40 Faulkner, Pershing's Crusaders: The American Soldier in World War I (Lawrence: University Press of Kansas, 2017), 285. 41 Faulkner, 281-304. 42 Harold Winton, "Toward an American Philosophy of Command," The Journal of Military History 64, no. 4 (October 2000): 1059, https://www.jstor.org/stable/2677266. 43 Jennifer D. Keene, "Uneasy Alliances: French Military Intelligence and the American Army During the First World War," Intelligence and National Security 13, no. 1 (January 2008): 18-36, https://doi.org/10.1080/02684529808432461. 44 Jennifer D. Keene, Doughboys, the Great War, and the Remaking of America (Baltimore: The Johns Hopkins University Press, 2001), 105-11. 45 Michael S. Neiberg, The Path to War: How The First World War Created Modern America (New York: Oxford University Press, 2016), 23. Bailes 11 Even when historians convey a more positive relationship between the AEF and their Allied counterparts, they still address the tension between Pershing and Allied leadership. Robert Bruce portrays a much more positive partnership between the doughboy and his French ally. Bruce documents Marshal Joseph Joffre's visit to the United States after Congress declared war against Germany to muster American support for the French. By comparing France's visit to Britain's, Bruce argues that Joffre established the framework for an intimate Franco-American partnership.46 Bruce maintains that the French respected the American soldier and viewed the entry of the AEF into the war as the saving grace of the Allies. Bruce narrates a bond between doughboys and French troops that increased as they trained and fought together.47 Despite this positive portrayal by Bruce of the French and AEF bond, Bruce still highlights the tension in Pershing's interactions with French commanders as well as noting the general perception amongst French commanders that Pershing thought "he knew everything there was to know about modern warfare."48 Bruce adds that different peace aims and post-war sentiments towards Germany created disagreements amongst American and French soldiers that fractured the relationship built during the war.49 Of note, Bruce suggests that the doughboys harbored what they saw as a "perceived lack of aggressiveness in the French."50 After synthesizing the historiography, the question remains regarding how these two arguments can be linked. Why did Wilsonian ideals influence AEF actions in the First World War, and how did that affect the United States' involvement in the nation's first large-scale 46 Robert B. Bruce, "America Embraces France: Marshal Joseph Joffre and the French Mission to the United States, April-May 1917," Journal of Military History 66 no. 2 (April 2002): 407-441, http://doi.org/10.2307/3093066; Bruce, A Fraternity of Arms, 32-59. 47 Bruce, A Fraternity of Arms, 86-121. 48 Bruce, A Fraternity of Arms, 128, 143. 49 Bruce, A Fraternity of Arms, 286-95. 50 Bruce, A Fraternity of Arms, 122. Bailes 12 coalition operation? Wilsonian ideals influenced the AEF's actions in the First World War because most American leaders and soldiers shared Wilson's concepts of Progressivism and believed that the United States should play a role in saving Europe. Even if some did not agree with Wilson's politics, most doughboys shared his ideas of American Exceptionalism, and these views affected United States involvement in the nation's first large-scale coalition operation. In merging the two topic areas of Wilson's ideologies and AEF involvement in the war, this essay will attempt to answer how the American doughboy found motivation in the same principles that guided President Wilson. Perhaps a reader will identify that the AEF demonstrated trends in Europe that highlight an "American way of war" that still resonates in United States coalition operations today. When President Wilson brought the United States into the First World War in April of 1917, he sold it as an effort to make the world safe for democracy. In Wilson's war address to Congress, Wilson called Imperial Germany's resumption of their unrestricted submarine campaign "warfare against mankind."51 Wilson maintained that Imperial Germany had given the United States no other choice but to declare war when they resumed their submarine attacks on merchant ships in the early spring of 1917. Still, Wilson furthered his justification for war by appealing to the broader ideal of fighting to defeat the Imperial German autocracy. Wilson described the "selfish and autocratic power" against which a free people needed to wage war.52 Later in his address, Wilson stated that he found hope in what he saw as the restoration of power to the people demonstrated in the Russian Revolution. Wilson saw a pre-Lenin revolution as 51 Woodrow Wilson, "Address to a Joint Session of Congress Calling for a Declaration of War" in "President Wilson," Essential Writings and Speeches of the Scholar-President, ed. Mario R. DiNunzio (New York: NYU Press, 2006): 399, https://www.jstor.org/stable/j.ctt9qfgbg.15. 52 Wilson, "Declaration of War," 400. Bailes 13 bringing democracy to the people of Russia, and it opened the door for the realization that the Allies fought because "the world must be made safe for democracy."53 Arthur Link comments on Wilson's initial optimism on hearing of the Russian Revolution overthrowing Czar rule.54 While the Russian Revolution took a different turn in the following years, the initial news of the Russian people revolting against the Czar gave Wilson confidence that democracy could spread in Europe since now the Allies truly represented a democratic system. Wilson had spent the first years of the war trying to mediate peace in Europe through United States neutrality, and he tried to negotiate an end to the fighting without a victory for any of the imperial belligerents. Wilson did not see a lasting peace coming to Europe if any of the imperial powers achieved their peace objectives, so he attempted to mediate a truce. Kendrick Clements narrates how Wilson's desire to keep the United States neutral grew at odds with his economic support for the Allies. War for the United States rose to be more likely as Imperial Germany became increasingly aggravated with the United States for supplying aid to France and Britain while professing neutrality.55 Fraser Harbutt argues that at the initial outbreak of war in Europe, leaders as well as citizens of the United States concerned themselves with the economic impacts of the war primarily, and the United States benefited economically by supporting the Allies, specifically in the steel trade.56 Imperial Germany's resumption of unrestricted submarine warfare, as well as the capture of Germany's Zimmerman Telegram in January 1917, soliciting an alliance with Mexico, prompted Wilson to support waging war on Imperial Germany. Now American entry into the conflict presented Wilson with some new options for shaping the post- 53 Wilson, "Declaration of War," 401-2. 54 Link, "Entry into World War I," 122-3. 55 Kendrick A. Clements, "Woodrow Wilson and World War I," Presidential Studies Quarterly 34, no. 1 (March 2004: 62-82, https://www.jstor.org/stable/27552564. 56 Fraser J. Harbutt, "War, Peace, and Commerce: The American Reaction to the Outbreak of World War I in Europe 1914," An Improbable War? The Outbreak of World War I and European Political Culture Before 1914, eds. Holger Afflerbach and David Stevenson (New York: Berghahn Books, 2007), 320-1. Bailes 14 war world. Thomas Knock describes how even though the United States entry into the war meant the essential failure of Wilson's "Peace Without Victory," the international community had seemingly bought into Wilson's concept of "collective security."57 In the previous few years of American neutrality, Wilson had advocated for creating a collection of democratic nation-states to band together to prevent war, and by 1917 the international community seemed interested. Wilson would use American belligerency to shape his new world order for peace. Russia's withdrawal from the war in March of 1918 made the need for a United States presence all the more significant for the Allies. The American soldier would be a crusader of sorts, attempting to cure Europe of the diplomacy of old that had brought her to destruction. The European July crisis of 1914 that erupted in a full-scale war the following month proved to be the culmination of decades of the European balance of power diplomacy that led to rival alliances and an armament race between the feuding dynasties.58 European power politics had dominated the continent for centuries, which inevitably escalated into a world war, and the United States soldier would have the opportunity to save the nations from which most of their ancestors had descended. Michael Neiberg argues that by 1917, the American people felt an obligation to enter the war to save Europe. While the people of the United States supported neutrality initially, Neiberg explains that public opinion swayed over time toward a desire to save Europe from the terror of Imperial Germany.59 The United States Secretary of War from 1916-1921, Newton Baker, published a text almost two decades after the armistice in which he maintained that the United States went to war to stop Imperial Germany and make the world safe for democracy. Baker took issue with the 57 Knock, To End All Wars, 115. 58 James Joll and Gordon Martel, The Origins of the First World War, 3rd ed. (New York: Routledge, 2013), 9-291. 59 Neiberg, The Path to War, 7-8, 31-3, 235. Bailes 15 historians of the 20s and 30s who claimed that economic interest influenced the United States entry into the war, and he argued they ignored the necessity of U.S. involvement to stop Germany. Baker explained that the American public remained overwhelmingly critical of the German autocracy and desired to intervene to save the European people.60 Private Alexander Clay of the AEF's 33rd Division demonstrated this sense of duty as he wrote regarding his 1918 deployment to France. As Clay's ship passed the Statue of Liberty while leaving the New York harbor, he thought to himself of the French leader Lafayette's role in securing United States victory during the American Revolution. He wrote that the AEF went to France to "repay the debt of our gratitude to your country for your country's alliance with our country in obtaining liberty from an oppressor England."61 For the United States to effectively reshape the world, there needed to be an independent American command that would ensure the United States contributed to the victory over Imperial Germany, which would give Wilson his seat at the post-war peace talks. In a January 22, 1917 address to the Senate in which he articulated his vision for peace in Europe, Wilson claimed that the warring European nations could not shape a lasting peace. While Wilson still did not advocate for United States intervention at this point, he did state that to achieve peace "[i]t will be absolutely necessary that a force be created as a guarantor of the permanency of the settlement so much greater than the force of any nation now engaged or any alliance hitherto formed or projected that no nation, no probable combination of nations could face or withstand it."62 In this speech, Wilson advocated for a "peace without victory" because he did not envision a peaceful 60 Newton D. Baker, Why We Went to War (New York: Harper & Brothers, 1936), 4-10, 20, 160-3. 61 Private Alexander Clay in American Voices of World War I: Primary Source Documents, 1917-1920, ed. Martic Marix Evans (Chicago: Fitzroy Dearborn Publishers, 2001; New York: Routledge, 2013), 19, Kindle. 62 Woodrow Wilson, "Essential Terms for Peace in Europe" in "President Wilson," Essential Writings and Speeches of the Scholar-President, 393. Bailes 16 outcome if any of the imperial powers achieved victorious peace terms.63 Wilson reiterated his stance that the United States should play a decisive role in shaping post-war Europe and ensuring that "American principles" guided the rest of the world.64 When the United States declared war against Imperial Germany a few months after this speech, it essentially put Wilson's vision into motion. Diplomatic historian William Widenor argues that Wilson realized that the United States needed to participate in the war "rather than as an onlooker" to achieve his visions for peace.65 Widenor notes Wilson's desire for the United States to enter the war as an "associate" to the Entente as opposed to an "ally," and Widenor maintains that Wilson desired to change the world and "democratize and also, unfortunately, to Americanize it."66 The late international historian Elisabeth Glaser captures the Wilson administration's balancing between maintaining an economic relationship with the Entente powers while attempting to remain "an independent arbiter in the conflict."67 Wilson appointed General Pershing to lead the American effort, and Wilson gave him the simple instruction to keep the American Expeditionary Forces as a command separate from the Allies. In 1928, the Army War College published The Genesis of the American First Army, which documented the details surrounding how the War Department created an independent army of the United States. The text includes a caption from Secretary of War Baker's memorandum to Pershing. Baker informed Pershing of Wilson's order to "cooperate with the forces of the other countries employed against the enemy; but in so doing the underlying idea must be kept in view that the forces of the United States are a separate and distinct component of 63 Wilson, "Essential Terms for Peace in Europe," 394. 64 Wilson, 396-7. 65 William C. Widenor, "The United States and the Versailles Peace Settlement," 42. 66 Widenor, 42-3. 67 Elisabeth Glaser, "Better Late than Never: The American Economic War Effort, 1917-1918," Great War, Total War: Combat and Mobilization on the Western Front, 1914-1918, eds. Roger Chickering and Stig Förster (New York: Cambridge University Press, 2000), 390. Bailes 17 the combined forces, the identity of which must be preserved."68 The President did give Pershing the authority to decide how the AEF would integrate into Allied operations. Upon Pershing's June 13, 1917 arrival in Paris, he began making decisions regarding AEF employment as it pertained to logistics, training, and an initial American area of operations on the Western Front. With a plan of achieving a force of 1,328,448 men in France by the end of 1918, Pershing needed to ensure his troops were able to build combat power and prepare for war while simultaneously ensuring that he maintained a distinct American command.69 The following 17 months of conflict with American boots on the ground in Europe saw significant political and diplomatic friction between Pershing and the Allied commanders. Pershing attempted to keep his AEF intact while satisfying Allied requests for American soldiers to replace French and British casualties, especially when Germany launched their Spring 1918 offensives. Pershing described in his memoirs that the French and British requested American soldiers to fill their gaps on the front lines when they had each sent diplomatic missions to America shortly after the United States entered the war. Pershing maintained his adamancy against the United States "becoming a recruiting agency for either the French or British," and he recounted that the War Department retained his position as well.70 While Allied leaders ostensibly supported having an independent American army participate in the war effort, the need to replace casualties in the trenches proved to be their immediate concern. Russia withdrawing from the conflict allowed Germany to reinforce their strength on the Western Front and mount a series of offensives. Germany knew they had a limited window of time for victory 68 Army War College (U.S.) Historical Section, The Genesis of the American First Army (Army War College, 1928), Reprints from the collection of the University of Michigan Library (Coppell, TX, 2020), 2. 69 The Genesis of the American First Army, 2-9. 70 John J. Pershing, My Experiences in the World War, vol. 1 (New York: Frederick A. Stokes Company, 1931), 30-3. Bailes 18 with the United States continuing to build combat power, so they surged in the early months of 1918. Pershing faced a strategic dilemma of trying to support the Allies and get his troops in the fight while simultaneously attempting to build an independent American army. Ultimately, Pershing gave the Allies some of his army divisions as much needed replacements, and he made an effort to ensure that these divisions remained as intact as possible. Pershing endeavored to organize these divisions under a U.S. corps level command, but this corps command proved mostly administrative rather than tactical.71 By the time Pershing activated his independent American First Army, it only spent a few months in combat. The temporarily amalgamated doughboys Pershing gave to the Allies to meet their requests had contributed more to the defeat of Imperial Germany than Pershing's independent army. Mostly because Pershing had interspersed his divisions throughout the French and British fronts to meet the Allied requests for replacements, the American First Army did not activate until August of 1918. The September 20-25 Meuse-Argonne offensive would be the first significant operation for Pershing's independent army.72 David Trask concludes his critique of Pershing by recognizing the contribution that the American soldier played in providing manpower to the Allies. Trask commends the bravery of the American doughboy, but he argues that the amalgamated U.S. divisions contributed more to victory than the American First Army.73 In a similar vein, Mitchell Yockelson contends that the 27th and 30th Divisions who remained under British command throughout the war benefited over the rest of the AEF from extensive training led by the experienced British troops, and they contributed significantly to the Allied 71 The Genesis of the American First Army, 9-46. 72 John J. Pershing, Final Report of Gen. John J. Pershing: Commander-in-Chief American Expeditionary Forces. (Washington: Government Printing Office, 1919), 37-8; The Genesis of the American First Army, 45-58. 73 Trask, The AEF & Coalition Warmaking, 174-7. Bailes 19 victory.74 Pershing detailed his plans to capitalize on the initiative gained with his Meuse-Argonne offensive to deliver his decisive blow against Germany. The November 11 armistice came before he could achieve his grand vision.75 While the American doughboy played a critical role in providing an Allied victory over Imperial Germany, Pershing never realized his concept of an independent American command autonomously crushing the German army. The American soldier contributed most significantly to the Allied victory by taking part in offensives planned and conducted under the control of French and British Generals. Understanding American motivation during the war effort requires understanding the Progressive Movement taking place in the early-twentieth-century United States. Michael McGerr writes a detailed account of the cause and effect of the Progressive Movement. McGerr describes the wealth disparity brought about by Victorian society and the Gilded Age, and the class conflict emerging from this gave birth to a social and political movement that attempted to enact massive change in the American system.76 McGerr claims that the Progressive Movement attempted such major reform that no social or political action since has tried "anything as ambitious" due to the adverse reactions of such massive change.77 The Progressive Movement engulfed American society and brought about changes in family structures, race relations, and governmental powers. Herbert Croly illustrated the drive for monumental change rooted in the Progressive Movement with his text Progressive Democracy. In his narrative, Croly advocated for a complete overhaul of the American system to achieve freedom and alleviate wealth disparity. Croly saw governmental reform as the method for spreading democracy to all 74 Yockelson, Borrowed Soldiers, 213-23. 75 Pershing, My Experiences in the World War, vol. 2, 355-87. 76 McGerr, A Fierce Discontent, 3-146. 77 McGerr, 315-9. Bailes 20 citizens.78 In describing American public opinion during the time of United States entry into World War I, David Kennedy argues that for those Americans who championed progressive ideals, "the war's opportunities were not to be pursued in the kingdom of commerce but in the realm of the spirit."79 While the United States maintained a formidable economic link with the Allies throughout American neutrality, Wilson appealed to American ideals to garner public support for the war. United States entry into the war did not come as the natural development of the Progressive Movement. Still, the American public's reason for supporting the war certainly borrowed progressive sentiments. Wilson championed progressive initiatives that had ingrained themselves in the national mood of early-twentieth-century America. Wilson ran for President in 1912 on the principles he codified the following year in his text The New Freedom. Wilson argued that the Jefferson era of United States democracy had long ended. Wilson maintained that because of the new complexities found in American society, a "reconstruction in the United States" needed to occur to achieve real economic and social freedom.80 Ronald Pestritto articulates Wilson's vision for a governmental system as it relates to a society's history and progress. According to Wilson, the method of government that works for people depends on how far that population has progressed. In that manner, the government should always change to reflect the progression of its people best.81 Pestritto argues that a major theme found in Wilson's 1908 text Constitutional Government in the United States rests in the idea that: [T]here are four stages through which all governments pass: (1) government is the master and people are its subjects; (2) government remains the master, not through 78 Herbert Croly, Progressive Democracy (New York: Macmillan, 1914; New Brunswick: Transaction Publishers; Second printing 2006), 25, 103-18. 79 David M. Kennedy, Over Here: The First World War and American Society (New York: Oxford University Press, 1980; New York: Oxford University Press, 2004), 39. 80 Woodrow Wilson, The New Freedom: A Call for the Emancipation of the Generous Energies of a People (New York and Garden City: Doubleday, Page & Company, 1913), www.philosophical.space/303/Wilson.pdf. 81 Pestritto, Woodrow Wilson and the Roots of Modern Liberalism, 34-42. Bailes 21 force but by its fitness to lead; (3) a stage of agitation, when leaders of the people rise up to challenge the government for power; and (4) the final stage, where the people become fully self-conscious and have leaders of their own choosing.82 Wilson epitomized the Progressive Movement's ideals regarding the government adapting to the changes of the people to create a more representative system of government. He would appeal to these principles in advocating for United States intervention in Europe. An underlying sentiment existed within the Progressive Movement that sought to bring about massive change, and this energy extended into the war effort. Lloyd Ambrosius explains the rise of the United States as an imperial power during the Gilded Age and Progressive Era. The outcome of the American Civil War created a more powerful central government, and economic growth during the following decades allowed more opportunity for global expansion.83 As the United States extended its global presence, the ideals that formed the nation began to influence foreign policy. David Kennedy writes about the shift in prominent progressives toward support of the war effort. Kennedy references John Dewey as a significant advocate for utilizing the war to satisfy progressive initiatives. According to Kennedy, progressives found appeal in Wilson's reasons for American belligerency in Europe as "a war for democracy, a war to end war, a war to protect liberalism, a war against militarism, a war to redeem barbarous Europe, a crusade."84 Michael McGerr states that the First World War "brought the extraordinary culmination of the Progressive Movement."85 Regardless of the typical progressive view of war, progressives could find merit in Wilson's justification for United States involvement. 82 Pestritto, 37. 83 Ambrosius, Woodrow Wilson and American Internationalism, 26-32. 84 Kennedy, Over Here: The First World War and American Society, 50-3. 85 McGerr, A Fierce Discontent, 280. Bailes 22 Even though a vast segment of the United States population did not support going to war in Europe, the notion of saving Europe still permeated throughout American society. In a series of essays published in the July 1917 edition of The Annals of the American Academy of Political and Social Science, multiple thinkers of the time expressed the necessity of the United States entering the war to save Europe. Miles Dawson argued the importance of the United States' mission in the war by documenting the five "fundamentals" that made the United States unique, and he explained the importance of spreading those principles globally. Dawson advocated for the spreading of American ideals throughout the rest of the world.86 George Kirchwey argued that the United States must go to war to defeat Imperial Germany and secure peace. Kirchwey suggested that the war was a fight against an autocratic empire and a crusade to make the world safe for democracy. Kirchwey maintained that the United States needed to lead the effort in creating a world order for peace.87 Samuel Dutton saw the purpose of the United States as transcending party lines. Dutton suggested that the aim of defeating autocratic Imperial Germany needed to be a united American mission.88 Emily Greene Balch wrote that the United States "enters the war on grounds of the highest idealism, as the champion of democracy and world order."89 Walter Lippman argued that once the United States entered the war, they were obligated to fight to make the world safe for democracy. Lippman placed the blame for the war squarely on Germany and their aggression in Belgium and unrestricted submarine warfare. Similar to Wilson in his war address, Lippman drew parallels to the Russian Revolution and the 86 Miles M. Dawson, "The Significance of Our Mission in This War," The Annals of the American Academy of Political and Social Science 72 (July 1917): 10-13, http://www.jstor.com/stable/1013639. 87 George W. Kirchwey, "Pax Americana," Annals, 40-48, http://www.jstor.com/stable/1013645. 88 Samuel Dutton, "The United States and the War," Annals, 13-19, http://www.jstor.com/stable/1013640. 89 Emily Greene Balch, "The War in Its Relation to Democracy and World Order," Annals, 28-31, https://www.jstor.org/stable/1013643 Bailes 23 importance of it signaling that the Allies truly represented democracy.90 Wilson's reasons for war had found a voice in the academic circles of the United States, and they nested well with the progressive message. Wilson's goals for peace illustrate how Progressive initiatives manifested into the global sphere. In his August 18, 1914 address advocating for the American population to remain neutral during the European conflict, Wilson maintained that the United States held a responsibility "to play a part of impartial mediation and speak the counsels of peace and accommodation, not as a partisan, but as a friend."91 Similarly, when addressing the Senate over two years later communicating his persistent intent of mediating peace in Europe through American neutrality, Wilson criticized the demands for peace submitted by the Entente that sought revenge over Imperial Germany rather than a lasting peace. Wilson instructed that "peace must be followed by some definite concert of power which will make it virtually impossible that any such catastrophe should ever overwhelm us again."92 In line with his progressive ideology, Wilson believed in United States intervention in the European conflict that would fundamentally improve their diplomatic system entirely. The United States would intervene in Europe to not only end the conflict but restructure the political climate in a more peaceful, progressive manner. Kendrick Clements argues that Wilson's economic and diplomatic decisions throughout United States neutrality drew him into the war gradually as he continued to side with the Allies. Wilson attempted to maintain his ideals for peace as the United States continued to get closer to belligerency.93 When the United States entry into the war proved virtually inevitable, Wilson 90 Walter Lippman, "The World Conflict in Its Relation to American Democracy," Annals, 1-10, https://www.jstor.org/stable/1013638. 91 Woodrow Wilson, "An Appeal for Neutrality in World War I," 390. 92 Woodrow Wilson, "Essential Terms for Peace in Europe," 392. 93 Clements, "Woodrow Wilson and World War I," 63-81. Bailes 24 ensured that the reasons for fighting aligned with the progressive energy that moved within American society. A religious vigor inspired military action that can be seen as a product of the Progressive Movement as well. Richard Gamble narrates the origin of the opinion that the United States represented a light for the rest of the world, and he describes how this concept brought the nation into the war. Gamble argues that these Christian ideals drove the political climate as Wilson's vision echoed the religious sentiment, and they prompted men to fight.94 Gamble describes the "social gospel" movement that had energized progressive Christians in the United States as extending into the international realm. The same energy that had influenced Christians to enact domestic change had transcended into a desire to improve the world, and Wilson ensured these sentiments carried over into United States foreign policy.95 Ronald Pestritto argues Wilson's religious conviction and explains that Wilson linked his faith with his duty to help shape the rest of the world. Pestritto explains the belief that "America was a key battleground in the victory of good over evil."96 Richard Gamble's mention of literature such as Washington Gladden's 1886 "Applied Christianity" highlights the popular message of progressive faith that nests with Pestritto's argument.97 Wilson illustrated the linkage of religion and progressive reform when he spoke in Denver, Colorado, in a 1911 build-up to his run for the Presidency. Wilson commented that "liberty is a spiritual conception, and when men take up arms to set other men free, there is something sacred and holy in the warfare."98 Wilson went on to champion the necessity of finding truth in the Bible's message, and he concluded by warning against believing "that 94 Gamble, The War for Righteousness, 5-87. 95 Gamble, 69-87. 96 Pestritto, Woodrow Wilson and the Roots of Modern Liberalism, 40-3. 97 Gamble, The War for Righteousness, 49-67. 98 Woodrow Wilson, "The Bible and Progress" in "On Religion," Essential Writings and Speeches of the Scholar-President, https://www.jstor.org/stable/j.ctt9qfgbg.7, 54. Bailes 25 progress can be divorced from religion."99 To Wilson, Christianity taught the spiritual duty of working toward social progress, and most progressive men of faith believed in these same sentiments which carried over toward United States actions in France. At the core of this Progressive energy and Wilson's peace aims were the sentiments surrounding an idea of American Exceptionalism. Many of the same ideas found in the religious aspect of the need to work for social progression catered to a sense of American Exceptionalism. In the same May 7, 1911 address in Denver, Colorado, Wilson spoke of the greatness of the United States as a direct correlation to the religious zeal and Biblical principles with which the founders had established the nation. According to Wilson, "America has all along claimed the distinction of setting this example to the civilized world."100 Wilson believed that the United States should serve as the model of Christian values for the rest of the world as "America was born to exemplify that devotion to the elements of righteousness which are derived from the revelations of Holy Scripture."101 In his text In Search of the City on a Hill, Richard Gamble describes how the United States narrative utilized an interpretation of divine providence to create an image of a nation built on religious principles that should serve as an example for the rest of the world.102 Lloyd Ambrosius describes the prevalent belief in the early twentieth-century United States that considered the United States a "providential nation" as citizens attempted to justify global expansion.103 If the United States existed as a providential manifestation of God's will, then that could rationalize the spread of the American system into the international realm. 99 Wilson, "The Bible and Progress," 53-9. 100 Wilson, 56. 101 Wilson, 59. 102 Richard M. Gamble, In Search of the City on a Hill: The Making and Unmakng of an American Myth (London: Continuum International Publishng Group, 2012), 6-119. 103 Ambrosius, Woodrow Wilson and Ameriam Internationalism, 33. Bailes 26 Men of faith found a divine message in the need for the United States to intercede in the global sphere to mold the world in her image. Wilson's brand of progressive history nested well with his idea of American Exceptionalism. Lloyd Ambrosius explains Wilson's fundamental belief that "primitive peoples moved toward greater maturity over the generations."104 Wilson applied this to the history of the United States. As Ronald Perstritto describes, Wilson believed that "the history of human progress is the history of the progress of freedom."105 As people progressed, they, in turn, developed a governmental system that allowed for more representation for its citizens. According to Ambrosius, Wilson believed that "the United States represented the culmination of progressive historical development."106 The American people had achieved real progression in Wilson's historical model, and democracy achieved through the American Revolution solidified his theory. Wilson certainly made this point evident in his writings regarding history. Wilson suggests that "the history of the United States demonstrates the spiritual aspects of political development."107 The United States embodied the ideal form of Wilson's progressive history. Wilson saw it as the responsibility of the United States to spread its exceptional personification of progressive history with the rest of the world. Wilson acknowledged his views on the uniqueness of the United States in his New Freedom. While arguing for progressive reform in the states, Wilson stated that "[t]he reason that America was set up was that she might be different from all the nations of the world."108 Indeed, Wilson believed in the providential nature of the United States, and he desired to shape the rest of the world. 104 Ambrosius, Woodrow Wilson and American Internationalism, 236. 105 Pestritto, Woodrow Wilson and the Roots of Modern Liberalism, 37. 106 Ambrosius, Woodrow Wilson and American Internationalism, 236. 107 Woodrow Wilson, "The Historian," Essential Writings and Speeches of the Scholar-President, 216, https://www.jstor.org/stable/j.ctt9qfgbg.10. 108 Wilson, The New Freedom, 16. Bailes 27 Early in the war during the period of United States neutrality, Wilson's reasons for remaining neutral stemmed from his belief in the exceptional nature of the American system and his desire for the United States to stay clear of European affairs. Even in American neutrality, Wilson still sought to mediate a peace in Europe because he perceived a chance to spread the democracy of the United States to Europe. Wilson believed that he needed to mediate in the European conflict because "mere terms of peace between the belligerents will not satisfy even the belligerents themselves," and he questioned whether the Entente and Central powers fought "for a just and secure peace, or only for a new balance of power."109 Wilson's peace aims were in sharp contrast to the Allied leaders, which illustrated his emphasis that the United States should mold a post-war Europe, and this tied directly to American Exceptionalism. While the British leadership concerned themselves with imperial interests, the French sought revenge on Germany from the 1870 Franco-Prussian War. Wilson made it clear in his war address that the United States had "no quarrel with the German people."110 Wilson's vision for a post-war world remained focused on a lasting peace rather than what he perceived as selfish imperial gains or senseless revenge. American Exceptionalism formed the foundation for the interventionist foreign policy of the Progressive Era, and it profoundly motivated Wilson as well as the bulk of American society. Diplomatic historian William Appleman Williams details the rise of the United States as a global power. Williams argues that most Americans in the early twentieth-century United States agreed not only with "Wilson's nationalistic outlook," but they also agreed that the nation should serve as an example for the rest of the world.111 As mentioned previously, Miles Dawson contributed 109 Woodrow Wilson, "Essential Terms for Peace in Europe," 393. 110 Woodrow Wilson, "Declaration of War," 401. 111 Williams, The Tragedy of American Diplomacy, 86. Bailes 28 to the July 1917 The Annals of the American Academy of Political and Social Science to voice the justification of United States intervention in France. In his text, Dawson defined the five uniquely American fundamentals as: 1. The inalienable right of every man to life, liberty and the pursuit of happiness – not as a mere dead saying, but as a living reality. 2. The right of local self-government, within territories possessing or entitled to claim such right, embracing every power of government not expressly granted to the union. 3. The guaranty to each state of a forum for the redress of grievances of one state against another with full power to enforce the verdict of that forum. 4. The guaranty of a republican form of government to each constituent state. 5. The right and duty to maintain the union.112 To thinkers like Dawson, this unique set of traits not only provided United States citizens with a system of government that separated them from the rest of the world, but it inherently gave them a duty to spread the American ideology to the rest of the world. Fundamentally, the idea that the world should take the lead from the United States exemplified the broad theme of American Exceptionalism inspiring AEF actions in the war. With Progressivism and American Exceptionalism at the root of the war effort, the citizen-soldier of the AEF found inspiration in the same rhetoric. Nelson Lloyd described the "melting-pots" of the army cantonment areas in which soldiers who were born outside of the United States "have become true Americans. They have learned the language of America and the ideals of America and have turned willing soldiers in her cause."113 Michael Neiberg argues that a lasting legacy of United States involvement in the war became a unified American mission superseding any cultural allegiance, and "disagreements would no longer be based on ethnicity 112 Dawson, "The Significance of Our Mission in This War," 11. 113 Newson Lloyd, How We Went to War (New York: Charles Scribner's Sons, 1922), 58, https://archive.org/details/howwewenttowar00lloyrich/page/n7/mode/2up. Bailes 29 or religion."114 United States entry into the war gave the American citizen-soldier a reason for fighting to preserve a democratic system in Europe, and Wilson's belief that the United States would play a central role became widespread amongst the ranks of the AEF. Lieutenant Willard Hill of the Transport Division and 94th Aero Pursuit Squadron claimed when hearing of the United States entry into the war "that this war is not over yet and that the U.S. troops will play a very decisive factor."115 The purpose of United States entry into the war inspired an idealism that would unify soldiers and champion a belief that the AEF would save Europe from the autocracy of Imperial Germany. Private Willard Newton of the 105th Engineers, 30th Division, exclaimed his joy during the September offensives by stating, "[a]t last we are at the beginning of a real battle between Prussianism and Democracy! And we are to fight on the side of Democracy that the world may forever be free from the Prussian peril!"116 The sentiments of these soldiers expressed a voice that echoed Wilson's desire to utilize an American army to bring peace to Europe, and Pershing dutifully followed his instructions. Pershing's stubbornness in not giving in to the Allies' request to amalgamate troops remained the most significant source of friction between him and the Allied military leaders. Still, Pershing's belief that the doughboy remained a superior warrior to the French and British soldier intensified Pershing's negative feelings toward his Allied counterparts. Pershing did not hide his views regarding coalitions when he wrote early in his memoirs that "[h]istory is replete with the failures of coalitions and seemed to be repeating itself in the World War."117 Russell Weigley argues that Pershing believed "that only by fighting under American command would 114 Michael S. Neiberg, "Blinking Eyes Began to Open: Legacies from America's Road to the Great War, 1914-1917," Diplomatic History 38, no. 4 (2014): 812, https://doi:10.1093/dh/dhu023. 115 Lieutenant Willard D. Hill (Cleburne, Texas) in American Voices of World War I, 47. 116 Private Willard Newton (Gibson, North Carolina) in American Voices of World War I, 140. 117 Pershing, My Experiences in the World War, vol. 1, 34. Bailes 30 American soldiers retain the morale they needed to fight well."118 This assertion proved incorrect as those American doughboys who fought under French and British command performed extraordinarily.119 David Trask maintains that Pershing's "presumption that the American troops were superior to others in the war helps explain his stubborn insistence on an independent army even during the greatest crisis of the war."120 Although the German Spring Offensives of 1918 put the Allies in desperate need of replacements, Pershing held his ground in resisting amalgamation. He only agreed to temporary amalgamation after much deliberation. Pershing's plan required maintaining a separate and distinct American force if the United States was to play a critical role in defeating Imperial Germany. This plan did not always synchronize with General Foch's overall plan for the Allied strategy for defeating Imperial Germany. Mitchell Yockelson describes an instance in late September 1918 in which a newly established AEF officers' school near Pershing's headquarters pulled a bulk of American officers from the front lines, which "affected the AEF First Army divisions that were about to attack in the Meuse-Argonne operation."121 United States political leadership back home undoubtedly noticed the friction between Pershing and the Allied leaders. David Woodward mentioned that at one point, Wilson and Secretary Baker intervened to plead with Pershing to be more accommodating to the Allies. According to Woodward, "Pershing proved as immovable as ever when it came to wholesale amalgamation and introducing Americans to trench warfare before he deemed them ready for combat."122 118 Weigley, "Pershing and the U.S. Military Tradition," 335. 119 Weigley, 335. 120 Trask, The AEF & Coalition Warmaking, 61. 121 Yockelson, Borrowed Soldiers, 127. 122 Woodward, Trial by Friendship, 168-9. Bailes 31 Pershing's doctrine of "open warfare" proved predicated on a firm belief in the exceptional quality of the American fighting man. In his memoirs, Pershing documented his view that the results of the Battle of the Marne had placed the opposing forces in a trench defensive that had taken away their aggression and ability to fight an offensive battle. Pershing maintained that "victory could not be won by the costly process of attrition, but it must be won by driving the enemy out into the open and engaging him in a war of movement."123 Sergeant-major James Block of the 59th Infantry, 4th Division, wrote after an offensive near Belleau Wood that his troops "had proven to ourselves that we were the Hun's master, even in our present untrained condition. The Hun could not stand before us and battle man to man."124 David Trask argues that Pershing's reliance on the rifle and bayonet under his open warfare doctrine limited the AEF's ability to adapt to the combined arms fight as quickly as did the French and British.125 In his Final Report, Pershing praised the Allied training system that prepared his inexperienced troops for combat on the Western Front. Although he admitted that his soldiers needed to learn from the experiences of the combat tested French and British, he stated that "[t]he long period of trench warfare had so impressed itself upon the French and British that they had almost entirely dispensed with training for open warfare."126 Pershing relied heavily on his infantrymen, and he saw the rifle and the bayonet as the superior weapon. He did not factor advances in the machine gun, tanks, and artillery to integrate all lethal assets onto the battlefield. According to Richard Faulkner, Pershing planned on using his troops – who he believed were 123 Pershing, 151-4. 124 Sergeant-major James W. Block (Marquette, Michigan) in American Voices of World War I, 108. 125 Trask, The AEF & Coalition Warmaking, 19. 126 Pershing, Final Report, 13-5. Bailes 32 better suited for offensive warfare – to "force the Germans from their trenches into open terrain where the Allies' greater resources would then destroy the unprotected enemy army."127 Perhaps nothing exhibited Pershing's obtuse attitude toward his Allied counterparts more than his desire to beat the French in seizing Sedan from the Germans. Pershing outlined his wishes that his "troops should capture Sedan, which the French had lost in a decisive battle in 1870."128 Russell Weigley comments on Pershing's intent "to try to snatch from the French army the honor of recapturing the historic fortress city of Sedan, where the Emperor Napoleon III had surrendered to the Prussians on September 1-2, 1870."129 Sergeant-major Block described the fierce German resistance during the late September Allied offensives. Still, he claimed that "[o]nce the Americans penetrated that line, their advance northward would be comparatively easy. Sedan would fall next."130 The AEF performed well during the offensives in early November, and the crumbling Imperial German army made Sedan easily attainable for either Pershing's Second Army or the Franco-American armies.131 David Trask points out the diplomatic issue that would ensue if Pershing were to "deprive the French army of this honor."132 The new commander of the American First Army, General Liggett, ultimately did not carry out the attack, which undoubtably prevented a political and diplomatic disaster.133 Russell Weigley maintains that Liggett changed plans after "the offended French" updated him of Pershing's plans on November 7.134 The idea that Pershing wished to take away French retribution by giving 127 Faulkner, Pershing's Crusaders, 285. 128 Pershing, My Experiences in the World War, vol. 2, 381. 129 Weigley, "Pershing and the U.S. Military Tradition," 342. 130 Sergeant-major Block in American Voices of World War I, 135. 131 Bruce, A Fraternity of Arms, 282-3. 132 Trask, The AEF & Coalition Warmaking, 174. 133 Trask, 174, 134 Weigley, 343. Bailes 33 his troops a decisive victory and morale boost demonstrated his disconnect from the sentiments of his Allied counterparts. Pershing's belief in the superiority of the American soldier to his French and British counterpart extended to the lower ranks of the AEF. While perhaps sensationalizing his account, Scout Corporal Edward Radcliffe of the 109th Infantry, 28th Division wrote regarding actions around St Agnon "that the French of the 10th or 6th army had fallen back, their officers being shot by our men when they ordered them to retreat."135 In a post-World War I survey, Sergeant Donald Drake Kyler of the 16th Infantry, 1st Division answered a question about what he learned about America and Americans from the war. Sergeant Kyler stated that "Americans are inclined to brag about their systems and accomplishments which may or not be superior to those of other peoples or cultures."136 In many of the accounts of AEF actions in Europe, General Pershing and his doughboys showcased American Exceptionalism. Richard Faulkner devotes a chapter of his text to argue that most of the AEF doughboys perceived inferiority in the French way of life compared to the United States. The majority of white AEF soldiers came away from the war, believing that, in terms of technology as well as general health and welfare, American society remained superior to that of France and England.137 Faulkner makes note that "with the notable exception of the African Americans, the soldiers generally believed that their society was markedly superior to anything they encountered in Europe."138 Sergeant-major Block wrote a letter home to his parents during the post-war occupation period. He wrote of the perception that "Paris makes up for the backwardness of the rest of France."139 135 Corporal Edward Radcliffe in American Voices of World War I, 94. 136 Sergeant Donald Drake Kyler (Fort Thomas, Kentucky) in American Voices of World War I, 196. 137 Faulkner, Pershing's Crusaders, 188-93. 138 Faulkner, 189. 139 Sergeant-major Block in American Voices of World War I, 191. Bailes 34 While the bond formed between the French and British soldiers and the AEF doughboy proved strong, there still seemed to be a sentiment of American superiority amongst the AEF ranks. Tasker H. Bliss, who served as Army Chief of Staff from September 1917 to May 1918, documented the challenge of absent unified Allied command in a 1922 essay. Bliss wrote a detailed piece in which he criticized the lack of a unified Allied mission while praising General Foch and championing his eventual selection as "Allied Commander-in-Chief."140 Bliss condemned the Allied leaders for waiting so long before establishing any sort of unified command, and he argued that for the first years of the war, they fought for their national goals only. Bliss maintained that this hindered United States integration into the war effort as well.141 Charles Pettit wrote an account of his time on the Western Front. Initially serving in the British army, Pettit joined the AEF once they arrived and concluded his 42 months of combat with the Rainbow Division. Pettit commented that "[w]e know why the French and English didn't win the War. They was waiting for us."142 Robert Bruce expands on the relationship between the American and French soldiers during the post-war occupation period. The doughboys believed that the Allied victory had eliminated the threat of autocratic Imperial Germany. At the same time, the French soldiers still demonstrated distrust of the German for fear of a future war. According to Bruce, "Americans did not want to hear about the need to prepare for a future war with Germany. They believed that victory in the Great War and the conversion of Germany to a democracy was enough to end the menace; Americans were unwilling to do more."143 For the AEF doughboy, the United States' actions in the war had saved Europe from the threat of the 140 Tasker H. Bliss, "The Evolution of the Unified Command," Foreign Affairs 1, no. 2 (December 1922): 1-30, https://www.jstor.org/stable/20028211. 141 Bliss, 7-30. 142 Charles A. Pettit in Echoes From Over There: By the Men of the Army and Marine Corps who Fought in France, eds. Craig Hamilton and Louise Corbin (New York City: The Soldiers' Publishing Company, 1919), 107-9. 143 Bruce, A Fraternity of Arms, 289. Bailes 35 Imperial German autocracy. United States' involvement in its first large-scale coalition operation had solidified the dominance of the American soldier and the system for which he fought. The American doughboy contributed significantly to the Allied victory over Imperial Germany. Without American boots on the ground in France, Imperial Germany may have defeated the Allies. Allan Millett argues that Pershing's independent army did not achieve all that Pershing had hoped. Still, Millett maintains that an accurate assessment of the war would be that the "Allies might have lost the war without the American Expeditionary Forces."144 With the Russian withdrawal from the war and Germany's surge in the Western Front in the Spring of 1918, the Allies desperately needed more boots on the ground. AEF actions in Cantigny, Belleau Wood, and the attack on the Hindenburg line proved the value of the doughboys to the Allied victory over Imperial Germany and the Central Powers. Acknowledging the contribution of the American soldier to the Allied victory should remain a critical focus of any study of United States involvement in the war. While the presence of American troops on the ground benefited the Allies and did give Wilson his seat at the post-war peace talks, Pershing did not realize his grand vision of an independent American army crushing Imperial Germany. Bullitt Lowry documents Pershing's desire to capitalize on increasing the United States combat power to continue pressing a weakening German army and deliver a crushing blow.145 The Germans signed the armistice before Pershing could make this happen. While Wilson gained his seat at the peace conference and Pershing did not get his chance to win a tactical victory, the French and British still received their original desires and delivered Germany "harsh armistice terms."146 144 Millett, "Over Where?," 251. 145 Lowry, "Pershing and the Armistice," 286-91. 146 Lowry, 291. Bailes 36 With the eventual collapse of the League of Nations, Wilson never achieved his vision of a new world order for peace. Still, the United States government had established its importance and commenced its entry into the realm of global powers. United States involvement in the First World War helped solidify a national identity as well as establish an American presence on the international stage. Theodore Roosevelt Jr. wrote a letter on May 15, 1919, in which he documented the benefit of the war and what he saw as "Americanizing and democratizing" the soldiers through military service.147 Roosevelt commented that through service in support of the war effort, "love of the men for their country has been deepened, that their sense of real democracy has been sharpened and steadied and that insofar as any possible bad effect goes, the men are more than ever ready and determined to see order and fair play for all."148 In a similar vein, Italian born AEF Sergeant Morini wrote that the war provided him a chance "to make good on my Americanism."149 To Morini, fighting in the war provided him with "the right to the name Yankee all right."150 While the United States' efforts in the war were in support of the Allies, the war became a chance for the nation to claim its identity. A country that had been torn apart by civil war half a century before utilized the war effort to continue to unify and recover its self-proclaimed providence. The war ostensibly became an effort to Americanize its own citizens. The historiography of United States involvement in the First World War presents various arguments. Some historians such as David Trask and Russell Weigley remain critical of General Pershing and his decision making. While some scholarly history shows a narrative less scathing of Pershing, most of the description found in popular history showcases valiant actions of 147 Theodore Roosevelt in Echoes From Over There, 95. 148 Roosevelt, 95. 149 Sergeant Morini in Echoes From Over There, 115. 150 Morini, 115. Bailes 37 Pershing and his efforts in maneuvering the American Expeditionary Forces to achieve victory for the Allies against Imperial Germany. The fact remains that while the doughboys contributed significantly to the Allied victory, they helped the most when they were not fighting Pershing's fight. In his Final Report, Pershing highlights the benefit that the Allies provided to the American forces. In terms of training as well as logistics, the Allies provided the doughboys with the resources they needed to defeat Imperial Germany and the Central Powers effectively.151 Pershing recognized what the Allies had supplied him and his men, but his stubbornness and arrogance still clouded his vision to a degree. While Pershing did build a trusting relationship with the Allied commanders, and his troops were efficient, he did not always operate per their same vision. At times, Pershing's desire to maintain an independent American army superseded his desire to enable the Allied strategy. Pershing strived to meet Wilson's intent of keeping a distinct American command. The question remains if, in carrying out his President's instructions, Pershing prolonged the war and delayed the defeat of the Central Powers. Secondary and primary source literature from the First World War showcases both Wilson's peace aims – which were shaped by his ideology – as well as General Pershing and AEF actions while attempting to remain an independent command in the war. When war broke out in August 1914 in Europe, Wilson tried to mediate a peace while maintaining United States neutrality. When continued trade with the Allies brought the United States into the war in April of 1917, he seized the chance to shape a new world order by establishing an independent American command to defeat Imperial Germany. Primarily because of the Progressive Movement in the United States and the concepts surrounding American Exceptionalism, the American soldier embraced Wilson's ideologies for fighting and fought valiantly to defeat the 151 Pershing, Final Report, 90. Bailes 38 Imperial German autocracy. The Progressive Movement had established itself in American society by the time the citizen-soldier went to war in France, and the principles of American Exceptionalism permeated in virtually every facet of American culture. The American doughboy carried both of these concepts with him to France. Despite Pershing not attaining his decisive blow against the German army, and Wilson not achieving his vision for a new world order, the United States still met a significant amount of Wilson's original intent for entering the war. Wilson's ideologies influenced how the AEF fought in France. As the First World War shaped the United States standing as a global power, it also demonstrated the critical nature of maintaining relationships with coalition partners. Hew Strachan begins the conclusion to his history of the war by stating that "[t]he First World War was a coalition war."152 The American doughboy established a positive relationship with his French and British counterparts. The ability of the American soldier to learn from the experiences of the combat tested Allies, to adapt to the rigors of trench warfare, and to perform well in battle fighting beside his international partners shows the success of the AEF's performance in the nation's first large-scale coalition operation. Despite these successes, the AEF doughboy exhibited American Exceptionalism in the First World War. As the United States built its presence in the international realm over the following century, and the need for maintaining partnerships with allied nations continued to increase, the precedent set by the AEF in the nation's first large-scale coalition operation would be essential. 152 Hew Strachan, The First World War (New York: Viking Penguin, a member of Penguin Group, 2004; New York: Penguin Group, 2013), 303. Bailes 39 Bibliography Secondary Sources Adas, Michael. "Ambivalent Ally: American Military Intervention and the Endgame and Legacy of World War I." Diplomatic History 38 no. 4 (September 2014): 700-712, http://doi.org/10.1093/dh.dhu032. Ambrosius, Lloyd E. Wilsonianism: Woodrow Wilson and His Legacy in American Foreign Relations. New York: Palgrave Macmillan, 2002. Ambrosius, Lloyd E. Woodrow Wilson and American Internationalism. New York: Cambridge University Press, 2017. Ambrosius, Lloyd E. "World War I and the Paradox of Wilsonianism." 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