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This essay discusses the relation between urban spaces and street festival as an example of a creative industry. To begin with, several terms are presented as part of a theoretical approach to fully understand the concept of street festivals, then two cases studies of street festivals will be presented and analysed: The Iberoamerican Theatre Festival of Bogotá and Rock al Parque Festival both from Bogotá, Colombia. The essay has a chapter dedicated to the relationship between festivals and economic development. ; Cultura y desarrollo; Esfera pública; Festival Iberoamericano de Teatro; Festivales callejeros; Habermas; Rock al Parque ; 1 An Act of Faith: Two Cases Studies Of Street Festivals As Examples Of Development. ANDRÉS GUILLERMO CHAUR1 Course Title: Theories of the Culture Industry: work, creativity and precariousness Course Code: CU71015A Date: 13 January 2014 1 Beneficiario COLFUTURO 2013 2 3 «Culture is the be all and end all of development» L.S. Senghor, poet (Senegal, 1906-2001) Introduction This essay discusses the relation between urban spaces and street festival as an example of a creative industry. To begin with, several terms are presented as part of a theoretical approach to fully understand the concept of street festivals, then two cases studies of street festivals will be presented and analysed: The Iberoamerican Theatre Festival of Bogotá and Rock al Parque Festival both from Bogotá, Colombia. The essay has a chapter dedicated to the relationship between festivals and economic development. It is important to mention that the starter point of this essay was precisely to give an introductory background of the importance that has have those two case studies in the development of the city. It is not a secret that Colombia has suffered a period of violence and instability since the second part of the XX century so at first glance it is curious to study and research about an almost contradictory topic such as Culture in a "war country". But at the same time, the "beauty" of this study relies precisely in its contradictory nature: How a country with those characteristics can hold two of the most important and respected free theatre festivals and music festivals in all Latin America? This essay will try to explain that culture when it's conceived with some specific characteristics will bring democracy and peace. A series of deep and abstract concepts will be discussed. This essay was thought just as an introduction and approximation to the topic of public and private, public sphere, culture and development just to mention some examples. Same with authors and thinkers used to elaborate the structure of this study. Once again it should be taken as an approximation rather than a full and elaborated research. The aim is to structure a series of ideas and concepts around one thesis: Those festivals have helped to make Bogotá a better city thus that is the main point of the relation between urban spaces and creativity: It fosters a better understanding of a society overall. At the end of the essay, in the appendix section, some photos are presented to visually recreate the two festivals, its dimensions and its importance. Although, like every 4 transcendental event, in order to understand the magnitude of The Iberoamerican Theatre Festival and the Rock al Parque Festival one have to experience in person. Cities as spaces for the public To fully understand the concept of "Public Realm" and "Public Sphere", one has to address the theory of the city and its relation with the concept of public and private. The concept of "city" has had many meanings through time. There are different ways to approach the concept; however, for the nature of this essay an urban sociological perspective will be approached. Mumford (1937) states the city as a space undoubtedly bonded with the development of human potential: "a city is an expression of the human spirits, and they exist to nurture human personality"2. Weber (1921), one of the founders of modern sociology sees a city in terms of connectivity and settlement between commuters, in that way, the concept of a city, according to Weber, is about the networking, the political and economic participation and the organization among communities. Landry (2013) defines the city as "a complex organism and in constant movement with perspectives, opinions and priorities about what is right often clashing"3. Simmel (1950) explained the correlation of man and the scenarios created by the capitalism and modern society called "The Metropolis". There is always a struggle between the man (individual) and his society (public): "The deepest problem of modern life arises out of the attempt by the individual to preserve his autonomy and individuality in the face of the overwhelming social forces of a historical heritage, external culture and technique of life"4. Simmel's concept of a city as a place where modern man struggle to find his individuality within "overwhelming social forces" is key to understand the theory of the city, specifically one attached with the words: Public -Private. Sennett (1996) in his book "The Fall of the 2 Mumford, L., 1937. What is a city?. In: Scoutt, S and Stoutt, F. ed. 2011. The city reader. Taylor and Francis. pp.91-96. 3 Landry,C. 2013. Civic Urbanity: Looking at the city afresh (PDF). Hangzhou International Congress, "Culture: Key to Sustainable Development", 15-17 May 2013, Hangzhou, China. Available at: http://www.unesco.org/new/fileadmin/MULTIMEDIA/HQ/CLT/images/Charles_Landry_Hangzhou_Congress.pdf (Accessed 12 January 2013). 4 Simmel,G. 1950. The Metropolis and Mental Life. In Miles, M; Hall, T and Borden, I. The City Cultures Reader. Ed. 2000. pp. 12-19. 5 public man" gives an account of the city as the scenario where those 2 concepts are correlated. He starts explaining the meaning of public and private. Although its historical background, coming from the Greeks and the idea of Oikos and Polis as the Private and Public respectively, Sennett comments that "the public" in modern times, started to develop in the eighteen century that is as a direct consequence of the industrial revolution and the liberalism ideas coming from The Enlightenment. "Public came to mean a life passed outside the life of family and close friends. In the public region diverse, complex social groups were to be brought into ineluctable contact the focus of this public life was the city"5 The public life is also the ground to understand modern democracy and public political institution. Sennett, citing Hanna Arendt's book The Human Condition shows how the public life in cities can be a scenario where ideas and opinions are discussed and debated. "Private circumstances have no place in the public realm". 6 Arendt even manifests that cities are "democracy's homes"7 This notion of public started to be more evident when places to meet strangers (people from outside the private sphere) within the city started to grow up. Examples of those "places" are the coffee houses and salons (Habermas will mention those examples to explain his theory of public sphere). Those spaces are called "Public Realm" by Sennett. Public Realm, in other words, are spaces where strangers meet. This encounter is characterized by "anonymity". In "The Conscience of The Eye" Sennett (1992) also says that anonymity is the power of modern cities: "The power of the city lies in its diversity; in the presence of difference people have at least the possibility to step outside themselves (.) The city can give them experiences of otherness"8 The concept of Teatro Mundi is an interesting way to look at the public sphere. According to Sennett, "Teatro Mundi" are spaces full of vitality, differences and disorder. Places where the differences connect and all citizens participate: "Society is a theatre and people are actors". This essay will discuss Teatro Mundi in detail in the chapter related to street festivals. . 5 Sennett, R. 2003. The Fall of Public Man. Penguin, New Edition. 6 Sennett, R. 2008. Reflections on the Public Realm in Bridge, G and Watson, S. A companion of the City. Blackwell Publishers. pp. 380-387. 7 Sennett, R. 2008. The Public Realm. (online) Richard Sennet Website. Available at: http://www.richardsennett.com/site/SENN/Templates/General2.aspx?pageid=16 (Accessed 13 January 2014) 8 Sennett, R. 1992. The Conscience of the Eye: The Design and Social Life of Cities. W.W Norton & Company. 6 In the next chapter, this essay will discuss in-depth different theories about the public realm specially the ideas of Habermas about the public sphere and his theory of action communicative. Habermas and the Public Sphere Even though the previous chapter gave an account of the concepts of private-public, it is important to highlight them according to the theory of Habermas. Recognized as one of the most influential sociologist and philosopher of our times, Habermas theories of the public sphere (phrase from the German Öffentlichkeit), and modern democracy as well as his theory of action communicative have been enormously influential for modern sociology9. Firstly Habermas' thought is marked in the tradition of the Frankfurt School. His first mayor publication "The Structural Transformation of the Public Sphere" argues that instrumental rationality is implicit in the Public Sphere. However, Habermas took distance from the classical notion of the critical theory when argues that participation in the public sphere (he exemplified the coffee shops and the salons in Paris and London in the XVIII century) is free and autonomous in order to shape a common good: "The public sphere consisted in voluntary associations of private citizens united in a common aim, to make use of their own reason in unconstrained discussion between equals"10(Later on, Habermas is going to present how mass media eroded individuality and declined the public sphere). It is important to mention the dichotomy of the words public-private for Habermas. Although different, both are dependents to each other. In that way the private sphere and the public sphere instead of being exclusive are inclusive. Susen (2011) defines the public sphere, taking into account Habermas' theory, as: "The socialized expression of individuals' reciprocally constituted autonomy: individuals are autonomous not in isolation from but in relation to one another, that is, in relation to a public of autonomous beings".11 9Finlayson, J .2005. "Habermas, a very short introduction". Oxford University Press. 10 Habermas,J. 1991. The Structural Transformation Of The Public Sphere. MIT Press. 11 Susen, S. 2001. Critical Notes on Habermas's theory of the public sphere. (online). City University of London. Available at: http://tinyurl.com/lhy4j4z. (Accessed 13 January 2014). 7 Several questions came to mind: How this socialization is constructed? What does an autonomous individual mean? And how can individual reach autonomy? For Habermas, the answer relies on a rational communicative action. The aim of the public sphere is to create a consensus through the active participation of all individuals involved. This consensus is created by a rational approach of the language: "The public sphere is a collective realm in which individuals' cognitive ability to take on the role of critical and responsible actors is indicative of society's coordinative capacity to transform itself into an emancipatory project shaped by the normative force of communicative rationality"12. Rationality in terms of Habermas does not consist in knowledge per se but "how speaking and acting subjects acquire and use knowledge"13. This type of rationality is different from the instrumental rationality from the Enlightenment, widely criticized by the Frankfurt School, since it is "practical, epistemological and more important, intersubjective"14. The public sphere, considering the above, not only describes the space where the encounter occurs but moreover, the public sphere has within itself an emancipator and a transformative component. Some critics find Habermas ideas "too utopian and idealistic"15. The next chapter the link between Habermas and Sennett notion of Public Realm in the city will be tracked. The Open City Sennett takes Habermas as a mayor inspiration for constructing his idea of the Public Realm in the city. According to Sennett (2008), Habermas does not tie the public sphere to any particular place, such as a town centre for instance. Even new technological media as the 12 Ibid. 13 Hahn, L. 2000. Perspective On Habermas. Open Court Publishing. 14 Susen, S. 2001. Critical Notes on Habermas's theory of the public sphere. (online). City University of London. Available at: http://tinyurl.com/lhy4j4z. (Accessed 13 January 2014). 15 Ibid. 8 Internet could be seen as an example of public sphere: "In today's cities, an internet cafe would be more likely to excite him than Trafalgar Square" 16 The place where strangers meet, as Sennett defines Public Realm, could be anywhere: An event, a medium, etc. that encourages communication between strangers. Eventually, Sennett argues, cities that promote those types of encounters are called cities with open systems and on the contrary, cities that lack a real public realm or just promote the privatization of spaces are called cities with closed systems. Based on sociologist Jane Jacobs(1961) and her book "The death and life of great American cities"17, Sennett(2006) imagines a city with a closed system with two attributes: Equilibrium and Integration18. Equilibrium is related with balance, with harmony and with a static idea of conceiving a city. Public Spaces as spaces full of differences, dissents and disorders are not part or are reduced in a closed system. By integration, Sennett means that everything is connected and is part of a greater and unique vision. Thus, everything that is not part of that unique vision is expelled and rejected: "The logic of integration is to diminish in value things that don't fit in (.) Closed system cities refuse to evolve and has paralysed urbanism", concludes Sennett. Opposing a closed system, the open system is all about diversity and finding a place for differences, dissents and disorders. It is about complexity, about how a place adapts itself to the always changing community and its processes. Sennett lists three elements of an open city: Passage territories, incomplete form and development narratives. Passages territories means to diffuse boundaries and different territories within the cities; incomplete form is regarding "empty spaces" so the public can interact in it. Development narratives means to allow dissident voices to express and to fully participate. Wirth (1938) summarize the above by saying: "The juxtaposition of divergent personalities and modes of life tends to produce a relativistic perspective and a sense of toleration of differences"19 Taking into consideration the above characteristics of an open city, one can say that an open city is a place for democracy, "not in the legal sense but in the physical experience" says 16 Sennett, R. 2008. Reflections on the Public Realm in Bridge, G and Watson, S. A companion of the City. Blackwell Publishers. pp. 380-387. 17 Jacobs, J .1961. The death and life of great American cities. Random House, New York. 18 Sennett, R 2006. The Open City. (online). Urban Age- LSE. Available at: http://esteticartografias07.files.wordpress.com/2008/07/berlin_richard_sennett_2006-the_open_city1.pdf. (Accessed 13 January 2014) 19 Wirth, L .1938. Urbanism as a Way of Life. (online) Chicago Journals. Available at: http://www.jstor.org/stable/2768119 (Accessed 13 January 2014). 9 Sennett 20. This thesis is important to understand the importance of public spaces in construction of a fully democratic society and thus is connected to the idea of development and equality. ¿What are examples of an open system? Can one give an account of a public sphere? The next chapter will give an account of the relationship between the street festivals and the public sphere, understanding them as a significance example of public realm. Street Festivals and the Public Sphere To begin with, Street Festivals or Urban Festivals as any other cultural event placed in the public sphere are related of what Durkheim called "collective effervescence". As Durkheim pointed out when a group gathers to perform a "religious ritual" experiences a sense of encounter and unity, "leading participants to a high degree of collective emotional excitement or delirium"21. However as Sassatelli(2011) adds, although Festivals are also part of a collective delirium, taking all participant apart from the everyday life, they are also places where the social encounter is made of "polyvalent performances, rather than unified signifiers of a consensual collective conscience"22 Sassatelli complements that street festivals contrasted with museums: By its living dimension as well as its unrestrained sensory experience. Sennett (1992) also talks about spaces "full of live" as narrative spaces where every dweller constructs a disorder and kaleidoscope meaning of the public. This could lead to the erosion of the boundaries of high and low culture in the sense of the Frankfurt School understood the "cultural industries". namely they turn into instances of communication and instances of production of collective meanings and desires. 20 Sennett, R 2006. The Open City. (online). Urban Age- LSE. Available at: http://esteticartografias07.files.wordpress.com/2008/07/berlin_richard_sennett_2006-the_open_city1.pdf. (Accessed 13 January 2014) 21 Durkheim, E .2008. The Elementary Forms of Religious Life. Oxford Paperbacks. 22 Sassatelli, M. 2011. Urban Festivals and the Cultural Public Sphere: Cosmopolitanism between Ethics and Aesthetics in Delanty, G; Giorgi L and Sassatelli, M. Festivals and the Cultural Public Sphere. Routledge. Pp 12-19 10 If Habermas, the notion of the "Public Sphere" is related as the area where rational individuals communicate to each other to discuss their social problems; nowadays as McGuian(2011) argues, there are different ways to look at the public sphere, not only inside a rational communicative system as Habermas states, but from other types of communication that also create a sense of public sphere. One of those "public spheres" is the cultural public sphere, namely a sphere within the public where different modes of communications, for instance "affective-aesthetics and emotional are articulated with the public and the private"23 "The public sphere nowadays operates though various channels and circuits of mass popular culture and entertainment facilitated the routinely mediated aesthetic and emotional reflections on how we live and imagine the good life (.) festivals are the aestheticization of politics as the ground for festivals is the democratization of an independent thought by the spectators transformed into active actors". . Although McGuian theorized the cultural public sphere for the mass media and populism culture, undoubtedly street festivals share that conception in an emotional and aesthetic way of "come together as a public" and to transcend the private sphere into a societal integration as Habermas explained. Fabiani (2011) explained as well: 24 Street Festivals are also part of the Sennett's idea of "Teatro Mundi". Spaces operated in an open system, where strangers meet through a "rhetorical way, acting in order to be 23Mc Guian, J. 2011. The Cultural Public Sphere- a critical measure of public culture? in Delanty, G; Giorgi L and Sassatelli, M. Festivals and the Cultural Public Sphere. Routledge. Pp 79-92. 24 Fabiani, J. 2011. Festivals, local and global: Critical interventions and the cultural public sphere. in Delanty, G; Giorgi L and Sassatelli, M. Festivals and the Cultural Public Sphere. Routledge. Pp 92-108 Involvement rather than contemplation Instances of communication and community building Erosion of the boundaries between high and low culture Construction of Identity Produce meanings and desires Box 1. Characteristics of Street Festivals according to Sassatelli(2011). 11 credible" 25 In the next chapter, this essay will discuss the implications of street festivals in the sustainable development of a city. Different approaches coming from the research of the UNESCO on the relationship between culture and development as well as the studies of the creative class by Michael Florida and the Creative cities by Michael Landry. . People act as in they were in a "role playing" to create a sense of "equality", even if they do not share their same social class, race, sexual orientation, etc. Street Festivals have this "communicative power" of involve everyone together. Street Festivals as mechanism for sustainable development How could we connect street festivals as examples of the cultural public sphere with the idea of development? In other words, is there any connection between street festivals, understood as a cultural manifestation, and sustainable development? This chapter will introduce the concept of "Culture for Development"26 In the last few decades, UNESCO programs have been focused in how culture should be at the centre of economic development in developed and especially in developing countries. One of the last attempts to foster that was the Hangzou Congress in 2013 in China. The final conclusion was: "Placing Culture at the Heart of Sustainable Development Policies"; a term coined by UNESCO in a variety of its programs wide world specially for developing nations and will give an account of the link between that term and street festivals as examples of a cultural industry. 27 25 Sennett, R. 2008. Reflections on the Public Realm in Bridge, G and Watson, S. A companion of the City. Blackwell Publishers. pp. 380-387. and described 9 main ideas to do so: Integrate culture within all development policies and Programmes; Mobilize culture and mutual understanding to foster peace and reconciliation; Ensure cultural rights for all to promote inclusive social development; Leverage culture for poverty reduction and inclusive economic development; Build on culture to promote environmental sustainability; Strengthen resilience to disasters and combat climate change through culture value; safeguard and transmit culture to future generations; Harness culture 26 Culture and Development. 2013. UNESCO- Culture. (Online) Available at: http://www.unesco.org/new/en/culture/themes/culture-and-development (Accessed 13 January 2014) 27 UNESCO. 2013. The Hangzhou Declaration. UNESCO- Culture. (Online). Available at: http://www.unesco.org/new/en/culture/themes/culture-and-development/hangzhou-congress/ (Accessed 13 January 2014). 12 as a resource for achieving sustainable urban development and management; Capitalize on culture to foster innovative and sustainable models of cooperation. 28 Landry (2008) also talks about the benefits of cultural industries in a city and how the creativity of those industries will foster economic development and social cohesion: "Culture can also strengthen social cohesion, increase personal confidence and improve life skills, improve people's mental and physical well-being, strengthen people's ability to act as democratic citizens and develop new training and employment routes".29 Florida (2003) shows the relationship between creativeness and development. His theory of human capital, called creative capital theory, shows how by fostering tolerance, high education levels and social adaptation to changes, a social class can help to develop their communities. This creative class and its idea of create "new forms of meanings"30 The bond between the cultural public sphere with democracy and the idea of an Open City, explained before, is also a seminal part of how through cultural manifestations, a society can develop and tackle social problems. are attached to the idea of UNESCO's Culture for development program. Case Studies: The Iberoamerican Theatre Festival of Bogotá and the "Rock al Parque" Festival This essay will present two cases studies of street festivals and its relation with the city and its sustainable development: The Iberoamerican Theatre Festival of Bogota (Festival Iberoamericano de Teatro de Bogotá) and The Rock al Parque Festival. Both represent two major fields in the cultural industries in Bogotá such as the performative arts and the music. 28 Ibid 29 Landry, C. 2008. The Creative City: A toolkit for Urban Innovators. Earthscan Editions. 30 Florida, M (2003). Cities and the creative class. (Online). Available at: http://uv.vuchorsens.dk/r/KAZ/Undervisning%202012-2013/GEOLOGI/B%C3%A6redygtighed/Befolkning%20og%20b%C3%A6redygtighed/GetFile.pdf (Accessed 13 January 2014). 13 Firstly the chapter will introduce a context of each festival and then discuss around 5 main axes how the two festivals help to development in specific ways. Iberoamerican Theatre Festival of Bogotá Declared in December 2013 as "cultural heritage of Colombia"31, The Ibero-American Theatre Festival of Bogotá is a biannual cultural event held in Bogotá and organized by the Fundación Teatro Nacional (National Theatre Foundation) an NGO dedicated to theatre with private and public funding. It is considered as one of the most important theatre festival in Latin America and the most significant cultural event in Colombia32 The history of the festival is in every sense "quixotic": Launched in 1988 when the country was immersed in drug-related violence and when the public institutions and the general idea of democracy were at crisis, Ramiro Osorio, a renowned cultural entrepreneur and Fanny Mikey, considered one of the icons of theatre and culture in Colombia, created the theatre Festival as a "Act of Faith" in order to promote culture as an answer to defeat the prevailing violence of those years. . It is important to mention somehow the significant role of the National Theatre Foundation in the conformation and development of the theatre in Colombia. Founded in 1981 by Fanny Mikey, an Argentinean émigré, with the play "El Rehén" nowadays has three major venues with a wide programme throughout the year as well as an art college a social programme for deprived communities and an international tours of their plays33 The first Ibero-American theatre festival, held from 25th march to 3th of April 1988, gathered 59 theatres companies from 21 countries with an estimated of no more than 100.000 spectators. In 2012, 26 years later, the festival had more than 3 million spectators and 200 theatres companies from 32 countries and 5 continents. 34 31El Espectador. 2013. Festival de Teatro de Bogotá, declarado patrimonio cultural de la Nación. El Espectador, (Online) (Last updated 11December 2013). Available at: . http://www.elespectador.com/noticias/bogota/festival-de-teatro-de-bogota-declarado-patrimonio-cultu-articulo-463508. (Accessed: 13 January 2014). 32 Cepeda, A .2010. FESTIVAL IBEROAMERICANO DE TEATRO DE BOGOTÁ- IMPACTO Y SUPERVIVENCIA. Instituto Complutense de CC Musicales. 33 Ibid 34 Ibid 14 The conception of the festival as a "carnival of the city" relies on the stress in the use of the public space: There are plays presented in the streets, plazas and parks from all over the city: From slums to rich areas covering all significance area of the city. In 2012, the festival presents 218 street plays in 4 major parks (Simón Bolívar, Tunal, Nacional y Plaza de Bolívar) 7 public spaces for street plays, 4 community centres, 2 big parades starting from the north of Bogota (Calle 80) until the Bolivar's Square, the biggest plaza in Bogotá. The Festival was in 11 out of the 21 districts of Bogota. In average, around 2, 5 millions of spectators participate in the festival. 35 "Rock al Parque" Festival In March 2012, Bogotá was chosen by the UNESCO as Creative City of Music along with European cities such as Bologna (Italy), Ghent (Belgium), Sevilla (Spain) and Glasgow (Scotland).36 This recognition is part of the strategy of the secretary of culture of Bogotá of positioning the city as a major culture hub in Latin-American especially in the music field. In recent years and after the creation of the central roadmaps namely the "Políticas Culturales Distritales 2004-2016"37 The link between urban public spaces and public festivals as cultural policies is more visible in the "Festivales al Parque" (Park Festivals) which consists in five annual free music festivals held in different times of the year and performed in important free venues and public parks. They are managed and executed by the Institute for arts in Bogotá (A sub division of the Secretary of Culture of Bogotá) "IDARTES". and the "Plan Decenal de Cultura 2011-2021" the music field and their relation with public spaces have being an important core of the cultural policies in Bogotá. There are 5 "festivales al parque" dedicated to the 5 most popular rhythms that conformed the music scene in the city: Hip Hop, Jazz, Colombia (traditional music) and Rock. Created in different years, the "Festivales al Parque" conforms a local identity and a cultural highlight of the city. 35 Ibid 36 Cultura y Entretenimiento. 2012. Bogotá fue declarada capital mundial de la música. EL TIEMPO. (Online). Available at: http://www.eltiempo.com/entretenimiento/musica/ARTICULO-WEB-NEW_NOTA_INTERIOR-11842506.html (Accessed 13 January 2014) 37 IDARTES. 2004. Políticas Culturales Distritales (Online) Available at: http://www.culturarecreacionydeporte.gov.co/sites/default/files/politicas_culturales_distritales_2004-2016.pdf (Accessed 13 January 2014). 15 The pioneer and the biggest in terms of audience of the "Festivales al Parque" is "Rock al Parque" a 3 days rock festival created in 1995 and hosted in the biggest public park of the city, Parque Simón Bolivar; it was organized by musicians Mario Duarte and Julio Correal as a strategy to create a bond between citizens of different socio economic background with the public space during the Antanas Mockus' mayor. The XVIII edition of the festival in 2012 congregated more than 70.000 people per day, making the Festival, the biggest public rock festival in Latin America in terms of audience38. Places for sustainable development: conclusions studies. Although each festival has its own characteristics a study conducted by Obgregón (2007) shows 5 main conclusions that "Rock al Parque" festival has brought to the city. In a similar study done for the Iberoamerican Theatre Festival, Cepeda (2010) also concluded that the festival helped the city in similar ways of the five elements of Obregon. Those five elements also share the same roots of the elements of Culture for Development by the UNESCO. This is an interesting discovery that shows how festivals if they are organized inside the language of Open City -Teatro Mundi (Sennett) and in the Cultural Public Sphere all share similar benefits: 38 Obregon, J. 2007. Desconfianza, civilidad y estética. Universidad Nacional de Colombia. Improve the image of the city Create a sense of identity Help to build an audience Visibilization of a minority group Tolerance and social cohesion. Box 2. Five mains benefit of the Iberoamerican Theatre Festival and Rock al Parque Festival to Bogotá. 16 1. Improve the image of the city Both festivals improve the image of the city, for both its inhabitants and foreigners audiences. Leguizamón, Moreno and Tibazisco(2013) have argued the relation between the festivals and the local economy especially in the touristic field: "Bogotá is a touristic destiny who takes advantage of its public festivals as an important opportunity to retain tourists interested in performing arts because they visit the city only one time. This advantage depends on quality improvements which tourist perceived around touristic products and services offered like: security, hospitality, environmental practices, mobility and connectivity."39 UNESCO (2001) has also states how cultural tourism has increased in recent years: In 2010, international tourism generated 919 billion dollars in export earnings. Emerging and developing countries accounted for 47 per cent of world international tourism arrivals and 36.9 per cent of world international tourism receipts in 2010. Cultural tourism presently accounts for 40 per cent of world tourism revenues. Taking into account the statistics of the monitoring centre for culture of IDARTES conducted in 2011 the percentage of tourist that visited the city exclusively to assist to "Rock al Parque" Festival were 16,16% compared to 6,03% in 199740. 2. Create a sense of identity Wyss (2012) states that for 17 days, "the Iberoamerican Theatre Festival transformed a chaotic metropolis like Bogotá (more than 8 million inhabitants) into a cultural Mecca", The general director of the Festival, Ana Marta de Pizarro also argues than the festival is "the carnival of the city, crime rates are significantly reduced and the general atmosphere of the dwellers is of great joy and party"41 39 Leguizamon, M; Moreno, E and Tobavizco N. 2013. Impacto turístico del Festival Iberoamericano de Teatro de Bogotá. (online) Available: . http://www.pasosonline.org/Publicados/11113/PS0113_06.pdf (Accessed 13 January 2014) 40 IDARTES. 2011. Observatorio de Culturas. (online) Available at: http://www.culturarecreacionydeporte.gov.co/observatorio/medAlparque.html. (Accessed 13 January 2014). 41 Wyss, J. 2010. Bogota theater festival: a bright mask for a once grim city. (Online) Available at: http://carpetbagbrigade.files.wordpress.com/2012/09/miami-herald-dios-callings-english1.pdf. (Accessed 13 January 2014) 17 Similar to Wyss, Obregon citing Cante(2007), says that the idea of Rock al Parque has brought a sense of "social cohesion through the construction of an identity of tolerance and coexistence. It creates a civil culture in the city"42. 3. Help to build an audience Obregon (2007) and Cepeda (2010) states that one of the most important benefits of Rock al Parque and the Iberoamerican Theatre Festival is that those events have helped to build an audience in music and performative arts respectively. In the case of Rock al Parque, the event helped to massify a genre that wasn't part of the mainstream in Colombia as Rock. According to IDARTES (2011), almost 60% of the audience that assisted to the Festival in 2011 has been to a different free rock concert. Almost 80% has already assisted to more than two versions of Rock Al Parque. Cepeda (2010) concludes that the Iberoamerican Theatre Festival has collaborate to "enrich the theatre market in the city and to put it in one of the top in Latin America". 65% of the public, who assisted to the Festival in 2010, has seen a play regularly outside the Festival, according to the study. 4. Visibilization of a minority group This point is connected to the last conclusion. By building an audience, the festivals helped to make visible an audience. In Rock al Parque an "underground culture" as the rock scene, stigmatized before as "antisocial, started to have a better image in the community. IDARTES (2011) indicates that 60% of the audience of Rock al Parque has been to a Rock Concert without any kind of stigmatization43. 5. Tolerance and social cohesion Another important point about the two festivals is regarding the social cohesion and zero violence culture that promotes. Cepeda (2010) is very emphatic describing the impact of the Iberoamerican Theatre Festival with the violence and crime rates in the city: 42 Obregon, J.2007. Desconfianza, civilidad y estética. Universidad Nacional de Colombia. 43 IDARTES. 2011. Observatorio de Culturas. (online) Available at: http://www.culturarecreacionydeporte.gov.co/observatorio/medAlparque.html. (Accessed 13 January 2014). 18 "The festival has contributed since its beginning to the peace process in Colombia. This festival dared to make public performatives acts in the streets when the crimes rates were really high. Those events had an amazing and significative success. One could say that in the 17 days of the festival, crimes and violence stops. Police informs that the crime rates during those two weeks are the lowest of the year."44 93,48% of the spectators of the 2011 "Rock al Parque" felt that the event help to promote a non-violence culture. Still, both festivals shares the unique values of the "Teatro Mundi": Every spectator is equal, no matter his race, gender, social class, etc. The rates of zero violent deaths in the history of both festivals are also an example of how those events are truly places for democracy and peace. Conclusion As it has been seen through the different chapters that conform this essay, the benefits of creating public cultural events in urban spaces bring, undoubtedly a notion of democracy and development. Although Habermas did not specifically discuss street festivals and public festivals in urban spaces as examples of his theory of both public sphere and the theory of communicative action, the essay helped to shape a theoretical background to such events according to Habermas's notions. In the end, the link between Cultural Public Spaces and the UNESCO definition of Culture for Development was an interesting discovery that is worthwhile to keep researching. As mentioned in the introduction, the aim of the essay was to create a structure to understand the Iberoamerican Theatre Festival and the Rock al Parque Festival as examples of cultural public sphere and based on that give an account of the relationship between those spaces and the idea of development. Culture and Cultural manifestations are always moving and changing as society itself. Street Festivals are manifestations that definitely have to be fully addressed. All the rich variety of characteristics that those kinds of events possesses as the essay presented, make them a unique type of cultural products. Could culture transform a society? Definitely. Not only culture transformed society but improves it. Bogota is a better city, with more possibilities with events like the ones studied. In the future, and as part of a cultural policies plan, More events such those, should be created. This is the only recommendation of this essay toward the future, taking into account 44 Cepeda, A .2010. FESTIVAL IBEROAMERICANO DE TEATRO DE BOGOTÁ- IMPACTO Y SUPERVIVENCIA. Instituto Complutense de CC Musicales. 19 that the existing legislation "protect" the two festivals, that in the end, are part of the cultural heritage of the city and the nation. 20 Appendix Photos a. Iberoamerican Theatre Festival45 45 All photos: Humar, Z., 2012. En fotos, Bogotá y su fiesta de las mil caras. [electronic print] Available at: http://www.bbc.co.uk/mundo/video_fotos/2012/04/120405_fotos_galeria_festival_teatro_bogota_aw.shtml [Accessed 12 January 2013]. 21 22 b. Rock al Parque Festival46 46 All photos: Lopez, J., 2013. Bogotá Rock al Parque. [electronic print] Available at: http://tinyurl.com/oabvlmt [Accessed 12 January 2013]. 23 24 Bibliography • Cepeda, A. 2010. 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CRITICAL DISCOURSE ANALYSIS OF RACISM IN DJANGO UNCHAINED MOVIE Tiara Magda Amelia English Literature Study Program, Faculty of Languages and Arts, Surabaya State University Tyara_46@hotmail.com Widyastuti, S.S., M.Pd. English Literature Study Program, Faculty of Languages and Arts, Surabaya State University Wid_unesa@yahoo.com Abstrak Rasisme masih muncul seperti halnya membandingakan antara ras orang jawa dan ras cina. Rasisme muncul karena dalam masyrakat, ada yang memiliki kekuasaan banyak ataupun sedikit. Jadi, dalam jurnal yang berjudul "Analisa Wacana Kritis Rasisme pada film Django Unchained" akan berfokus pada (1) tipe rasisme apa yang muncul pada pengucapan orang kulit putih sebagai grup yang dominan dan (2) bagaimana kekuasaan bisa mengontrol masyarakat yang di lakukan oleh orang kulit putih sebagai grup dominan. Analisa Wacana Kritis mempunyai hubungan istilah dengan kekuasaan, kesinambungan dan dominasi. Jadi, Analisa Wacana Kritis merupakan teori yang tepat untuk menganalisa tutur kata. Jurnal ini menggunakan metode qualitative untuk memberi penjelasan yang lebih jelas melalui teory Van Djik. Jurnal ini berfokus pada rasisme di film Django Unchained. "Django Unchained" berisi tentang rasisme yang dilakuakan orang kulit putih sebagi dominan grup. Jurnal ini berfokus pada tutur kata rasis yang dilakukan oleh orang kulit putih. Hasil dari jurnal ini yaitu ditemukan tutur kata yang mengandung representative, expressive, commisive and directives. Orang kulit putih menggunakan dasar kekuasaan mereka dan juga menggunakan kekuasaan akses dan discourse, dan pengontrol pikiran untuk mengontrol masyarakat. Selain menggunakan kekuasaan, orang kulit putih juga sosial dan kesadaran manipulasi untuk memanipulasi masyarakat. Keywords: rasisme, analisa wacana kritis, kontrol, kekuasaan dan manipulasi Abstract Racism still appears such as comparing race between javanesse and chinesse people. Racism appears because of having less or more power in society. So, this journal which title "Critical Discourse Analysis of Racism in Django Unchained Movie" will be focused on (1) in what way white people as dominant group show their racism and (2) how power can control society which is done by white people as dominant group. Critical Discourse Analysis has a great deal with the names of power, inequality and dominant. So, Critical Discourse Analysis is a good scholar to analyse the utterances. This study uses qualitative method in order to get clearer explanation through Van Djik's theory. This study focuses on racism in society in "Django Unchained" movie. "Django Unchained" movie contains of racism which is done by white people as dominant group. Thus, this data focuses on the utterances of dominant group as exerciser of racism. Here, the result of this study is white people as the dominant group utter racism in representative, expressive, commisive and directives. They also use the base of power rosurces, access and discourse and mind control to control over society. Besides using power, they also use social and cognition manipulation to manipulate society. Kata Kunci: racism, critical discourse analysis, control, power and manipulation INTRODUCTION Racism is not abstract systems of social inequality and dominance. Power abuse can be defined as dominance, for example in terms of the violation of norms and human social rights. Racist can be defined as ideology of racial thinking of people who have more power to do their belief in society. Fiske (1994) says racist discourse is in the media consists of a list of words, images and texts that threaded together, produce an understanding of the world and position and status of people of color in that world. Changing nature is the most complex aspect in racist. The racist behaviour can see by insulting, harrasing each other in the school, workplace or in public, doing racial graffiti, and similar aggressive anti-social acts. However, the beliefs and behaviours of social deviants are not limited in individual racism. Racism can be seen by how people act each other by their behaviour and talk. For example mocking, saying bad thing to other people, threatening or the other else by using their utterances. Yule (1996) says speech act is action which is done via utterances. According to Searle (1979) there are five kinds of classification speech act, they are : Declaration Declaration is the word which can change the world by using utterance. In declaration usually use expression of "I bet", " I declare", "I resign". For example : " I baptise this boy Michel Meyer". Representative Representative is type of speech act which is contain of believe. The statement consist of assertions (someone who say something clearly without any hestitation), conclusions (someone who has say everything all of the conversation, he or she conclude his conversation by saying "so" or "it means that" or "it can be said"), and description (someone who wants to describe something for example describe person, personality, events, news etc). Expressive Expressive is type of speech act which is about speaker's feel. The statement is like pleasure (someone who feels happy or exciting, joy ), pain ( someone who feels hurt by somebody else, the words which are usually used "hurt" and "sick" "pain"), like (someone who love or pond of something) , dislike (someone who does not like something and the words are usually used "dislike", "hate", "can not stand", "can not bear"), or sorrow (someone who is in bad condition or uncomfort zone ). The word of expressive such as: happy, sad, upset, love, like, hate, fear, and so on. For example "being rich is wonderful". Directives Directive is type of speech act which want to someone do something. Usually the word of directives contains of requesting, (using question words such as who, what, why, which, whose, and how), commanding is about how to people give a command to someone to do something, usually in imperative sentence like "open the door!"), inviting (a person who wants to invite someone to join or attend his or her event), forbiding (usually to ask someone not to do the harm thing), suggesting (the word, usually use in suggesting is should or ought to). Commisive Commisive is type of speech act which speaker wants to commit himself to some future actions. Like promising (the word which is used in promising is "promise", "will"), threatening (threatening is like someone who wants to say something rude and harm to person, it has impact to the future), refusing (the word which is usually appeared in refusing sentence is "no", it is like person who does not want to do something of accept a thing). For example : "I will pick up you tomorrow". Critical Discourse Analysis Critical Discourse Analysis (CDA) deals with social power abuse, dominance, inequality and the way these are reproduced by the social group member through text and talk (Van Djik, 1998a). Wodak and Meyer (2001) say that Critical Discourse Analysis is the term of language as social practice. CDA focuses on between discourse and society, the social problem is about rising inequality in the society. Moreover Fairclough (1941) explains more about CDA that CDA not only shows how to investigate language which has relationship with power , but also shows the discursive nature of much contemporary social and cultural change.In CDA, language is not the most powerful part but language can reach power which is done by powerful people who use power to maintain society for their interest. That is why CDA often chooses the perspective of those who suffer (powerless group), and critically analyses the language use of those in power, who are responsible for the existence of inequalities. Power Critical Discourse Analysis deals with power abuse. The meaning of power is, according to Max Webber in Empowerment and Community Planning, power as probability that someone follow somebody's will, eventhough his will resistance to it in social relationship. In addition, Robert Dahl (1961) argues that power is exercised which done by individuals who are prevented from doing what they want prefer to do in community. Access and Discourse The dominance can control society because they have the base resources. These are the base resources of power such as wealth, income, good job, status, knowledge and education. Social power has relation with access and discourse. In this case the language users or communicator or speaker can have more or less in the use special discourse or may be in specific communicative events and contexts. It means that the speaker have more or less to control and access the discourse. Mind Control Influencing mind, somehow influence readers and hearers in news report, political propaganda, advertising, religious sermons, corporate directives or scholarly articles. They influence by knowledge, affecting opinion or changing attitudes. In specific context, the hearers or reader who given knowledge and belief reject, disbelieve, or otherwise mentally act in opposition to the intentions of powerful speaker or writer. The powerful speakers or writers have relative freedom to use discourse in their own interest. There are points of discursive mind control is a form of power and dominance if such control is in the interest of the powerful and if the recipients have 'no alternatives', i.e., no other sources (speakers, writers), no other discourses, no other option but to listen or read, and no relevant other beliefs to evaluate such discourses. Eventhough, the speaker or writer has many freedom, in other hand in the recepients are many coercion. The status of powerful writer and speaker is the function of properties of text and talk. The powerful speaker may be lied to, manipulated, persuaded to influence in their interest. The "victims" who have lack of knowledge or lack of power resources, they can not detect lies and manipulation from powerful people. For example journalist or writers have enough experience to influence society by message in their mind idea. They know how to change opinion and knowledge of readers. It is notion of changing people's mind. They change opinion and knowledge by emphasizing specific topic (headline and summaries in newspaper). They may influence mental model structure include discourse comprehension. Manipulation Influencing people's mind by controlling their action and attitudes needs persuasion and manipulation way to do it. But in Critical Discourse Analysis, manipulation needed to require as further theoritical analysis (Van Djik, 2006). Besides using power to control society, some speakers do manipulation to affect people's opinion and belief. Manipulation is a form of talk in conversation or interaction among people, manipulation deals with power abuse. Manipulation is illegitimate notion because, manipulation not only consist of power but also power abuse which is done by dominance. Thus, manipulation has negative sense rather than persuasion. Pictures, photo, movie or other media are exercised of manipulation by influencing the "victim". Manipulation in Society Power dimension in society takes apart to involve control people who exercise over other. In exercising control over other, manipulation needs social actor to satisfy personal and social criteria which can influence other. The group membership can define their power by their position, profession, and material. For example, parent can manipulate their children because of their power and authority in the family and professors can manipulate their student because of position and their knowledge. Everyday, in society, people may practice the kind of social manipulation in their group rather than personal Cognition Manipulation Manipulating people, it can be called manipulating their mind. People's mind is about people's belief like their knowledge, opinion and ideology which reflect to their actions. The mind is very complex process. So, it needs real time and action to apply it efficiently. The manipulator will decrease understanding their explanation while speaking, by speaking faster, less clearly and speaking with complex sentence, difficult word and confused topic. So, the hearer will get no idea what manipulator say or get a weak understanding from manipulator. In the one hand, the dominant group will facilitate their understanding with their interest in their information while doing manipulation. It is mean that the context model of the speaker has a clear plan to hamper the understanding. This research uses 2 research questions. They are in what type of speech act white people as dominant people show their racist utterances and how white people control society by using their power. the puposes of this study is to describe and show white people do racism and to describe how white people control society by using their power. all of the research questions are about in "Django Unchained" movie. METODE This research uses descriptive qualitative. The differentiate qualitative and quantitative is qualitative concerned with how and why something is, while quantitative focused on how much or how many (Litosseliti, 2010). The use of qualitative method is to analyse in what type utterances which contain of racism utter by white people as dominant group, second to analyse how white people as dominant group control society by using their power. The data is taken from the movie of "Django Unchained", the source of data is taken from utterances in "Django Unchained" movie. The data is movie which contain of racism. The movie is directed by Quentin Taratino. Data collection techniques are done by observation. In this case, the writer using non-participation technique in which the writer observes the data through taking notes of the object and without making interview or questionnaire as what Wray, Trott, Bloomer, Reay, & Butler (1998) had said that observing data is consisting of recordings, transcriptions, and notes relating to your subject's behaviour and language (spoken and or written). In this study, the data are from the utterances which contain of racism and power in "Django Unchained" movie will be observed. By doing observation, the use of transcription is important to support the utterances of data. According to Miles and Huberman, they defined analysis as consisting of three current flows of activity: data reduction, data display, and conclusion drawing or verification (1994). In this data analysis, the writer also uses these three activities. Data Reduction. In this research, the writer reduced the data that she does not focused on and need. There are so many conversations that produced by the characters in this "Django Unchained" movie. In this case the writer reduced the conversation which does not contain of power and racism. Data Display After reducing the data, analysing will be the next step. The analysis will be display as in data display. The data is displayed by using two tables in first and second research question. The tables are used when collecting the data. The first (1) contains of scene, utterances, utterances of racism and types of speech act. The writer identifies the appearing racism in that movie. The racism utterances are like how white people behave to black people with racism behaviour such as mocking insulting, harrasing each other, doing racial act, and similar aggressive anti-social acts. After indentifying the writer will analyze appearing racism by using what types of speech act which related to utterances of the conversation. The table (2) contains of scene, utterances, power and manipulation. The writer tries to analyze how white people as dominant group controls society. The dominance group is white people who have more power than black people. So, the dominance group's conversation will analyze in concept how power can control society. After knowing conversation which contain of power, the writer will analyze how and which power of white people use to control the society. After that analyze the power by using manipulation way is taken from Van Djik. Table 3.1 Speech act of racism utterances by white people. No. Scene Utterances Utterances of Racism Types of Speech act Table 3.2 The use of power and manipulation by white people. No. Scene Utterances Power Manipulation Conclusion Drawing and Verification No. RACISM KIND OF SPEECH ACT R1 Poor devils Representative In data analysis technique, the data are obtained through several steps based on the research questions. Finally, after doing reducing and displaying data, the researcher can be drawn and verified by using theory which used are power and manipulation, racism by Van Djik. RESULTS AND DISCUSSION Table of Racism R2 It's against the law for niggers to ride horses in this territory. Representative R3 They ain't never seen no nigger on a horse before. Expressive R4 Not on my property. Not around my niggers, he can't. Expressive R5 your fancy-pants nigger Expressive R6 Get that nigger outta here Directives R7 your loveliest black creatures Directives Table of Power No. UTTERANCES POWER MANIPULATION P1 Mr. Bennet : You and your Jimmie rode from Texas to Tennessee to buy one of my nigger gals? No appointment, no nothin'? Access and dsicourse - P2 Mr. Bennet : Betina, sugar, could you take Django there and take him around the grounds here and show him all the pretty stuff. Betina : As you please, Big Daddy. Access and dsicourse - P3 Mr. Monsieur Candie : - No, no, no, no, no. no beggin'. No playin' on my soft heart. I done paid $500 for you. When I pay $500, then I expectto get five fights out of a nigger, - 'fore he roll over and play dead. Black people : sir. . Mr. Monsieur Candie : Mr. Stonesipher?, Let Marsha and her bitches, send D'Artagnan to nigger heaven. Access and dsicourse - P4 Mr. Monsieur Candie : One more moment, doctor! Dr. King Schultz : What? Mr. Monsieur Candie : It's a custom here in the South. once a business deal is concluded that the two parties shake hands. It implies good faith. Dr. King Schultz : - I'm not from the South. Mr. Monsieur Candie : - But you are. in my house, doctor. - So I'm afraid I must insist. Dr. King Schultz : -insist. On what? That I shake your hand? Access and dsicourse Social Manipulation and Cognition manipulation P5 Dr. King Schultz : Is there one amongst you who was formerly a resident of the Carrucan plantation? Djanggo : I'm from the Carrucan plantation. Dr. King Schultz : Who said that? What's your name? Django : Django Mind control - Based on the result, the data proved that racism appear in "Django Unchained" movie. Racism is kind of belief that ignoring people who have different color of skin and the status of them. In this case, white people are drawn as the dominant group who has more power than black people. The dominant appear in society because of having differences power. Having differences of power reproduces inequality. Reproducing inequality in society can make racism, as in "Django Unchained" movie. Appearing racism is because of having inequality of power in the movie. Because of inequality, white people in "Django Unchained" do power abuse in order to they want to control black people and society in their interest. White people do power abuse, because they have more power than black people and white people has more than one in the base power resources like money, status, and job. Thus, they have more access to control black people and society. The word inequality and power abuse make a deal with the theory of Critical Discourse Analysis (Van Djik, 1998a). CDA tents to power, inequality and dominant. In this case, the function of CDA is to improve the way of thinking of society through "Django Unchained" movie. "Django Unchained" movie contains of racism. Van Djik (1995) adds that CDA focuses on text and talk especially in discourse and society. Text and talk contain of words and utterances. Utterances have relationship with study of speech act. According to Yule (1996) speech act contains of action which is done by utterances. Deborah (1994) adds that specch act is basicly concerned with what people "do" with language. So, people can do act by using language via utterances. There are many utterances appear in "Django Unchained" movie. So, in this case, speech act takes apart in analysis utterances. The use of speech act is to describe the conversation of the actors in "Django Uncahined" movie. Why describing conversation through speech act, because speech act can explain the action of the speaker through utterances. According to Yule (1996) people do not only produce utterances which contain of grammartical structure and words, but also show their action through utterances. Searle (1979) adds that people express their feeling and attitude, and they do all of them via utternaces. Speakers will emphasize what they want to speak by using the clearer words. According to Searle (1979), he does classification speech act into five, they are declaration, representative, expressive, commisive, and directives. By using classification of speech act, the reseacher can analyse the type utterances of speech act which white people as dominant group do racism. Thus, as the examples of classification of speech act, in R1 shows that the utterances contain of racism in representative speech act. Like, white people mock black people with uncommon utterances, as in R1 the white people called black people with "poor devil". The word "poor devil" in this utterance means that black people as poor people, because job of black people is only as slave. White people are always under or lower than white people, so white people mock black people as a poor. The word "devil" is a part of the satan who never does a good thing in their life. White people describe the life of black people as a devil. The others example of racism in the data is like R8, racism appear in the rules of law, the law forbids the black riding a horse, the reason is the status of black people, and only white people can ride a horse. In the R1 and R2, show racism through the status between white people and white people. The status between them makes an inequality in society. From the data R1 and R2, those are the prove that racism show by doing discrimination which done by white people. According to Essed (1991) racism is done by discrimantion through intimidation minority group and law. Pendakurs (1995) adds that racism can do by insulting, harrasing minority group. Those can happend because dominanted group use their power to do power abuse. According to Van Djik (1998a), inequality in society appear because a group or people who have more power than other group do power abuse. It implies that the dominanted group can control other group in order to follow the interest of dominanted group. Like in P3, white poeple who have the base resources of power show such as money, job, and status acn control society by using their the base of power resources. The conversation shows that Mr. Candie has more money to pay the black people. The status of black people is lower than Mr. Candie because Mr. Candie is the boss of black people. Having all of the power white people do power abuse. Besides having the base of power, white people have power of access and discourse and mind control in order to get good way to control society. Here in P1 conversation shows that Mr. Bennet as the owner of plantation has the base resources of power. He has higher status than others, because he is the boss of the plantation. Absolutely, he has a good job than others. It means his financial is better than others. P1 shows, Mr. Bennet as the owner of plantation, he can do many things in his plantation because he has access in his own plantation to control his plantation and society around the plantation. In P5, Dr. Schultz do mind control by changing his attitude in good attitude in order to Django will do what he wants, usually white poeple do bad thing in black people but in this case white people do a good thing in order to get his interest. Besides controlling by using the base resources of power and, access and discourse and mind control, white people use social manipulation and cognition to manipulate society by using good actor in order to society can not detect the lie from the white people. Doing manipulation, according to Van Djik (2006) that manipulators make others believe do things that are in the interest of the manipulatorinterests of the manipulated. It can againts the interest of the victim of manipulation. Lacking of knowledge can make manipulator do his manipulation well. Because the "victim" has no choice to belief or accept the knowledge itself. Like in P4 Mr. Candie do social and cognition manipulation, he does manipulation to his interlocutor follow his will. Mr. Candie is good social to do manipulation, because he succes does manipulation, he also use their knowledge to manipulate his interlocutor, it supports by his interlocutor does not about custom knowledge in South, so his interlocutor has no choice to reject what Mr. Candie wants. The term of racism can not be separated from power. People who use racism will deal with power. They use power in order to control society, controling society has purpose is to get their will through society. CDA is the key to know how power, inequality and dominant take apart in this movie. After discussing how power works in "Django Unchained" movie, people know how to use power in order to avoid power abuse around society. CONCLUSION AND SUGGESTIONS Conclusion This study reveals the relationship between racism and power. Those can not be separated because racism appear because of having more or less power between each group society. White people abuse their power to do bad thing in black people. Thus, CDA is a term to take deeper analysis in order to get improvement among society through text and talk. Text and talk which contain of words and utterances can define what people act. It is term of speech act which scholar analises act through utterances. So, people can know how people act through their utterances. Based on the results of the study, there are some proves that the movie contains of racism utterances. The racism shows through utterances. The white people do racism by mocking them, the way they mock black people are using kind of speech act such as directives, expressive, commisive and representative. White people do racism because they ignore the kind of thing which is different with them like color of skin, status, job and wealth. Inequality in society reproduces racism. Racism contains of power and manipulation. The inequality in society appears because each group has more or less power, for example the base resources of power are job, status, and wealth and also access and discourse power, and mind control. Inequality itself reproduce dominant among society. In addition white people do manipulation instead of using power to get easier to control and manipulate society. Suggestions As sugesstion for the future researcher, needs to take a deep analysis racism in others mass media. In this study the researcher takes a movie as her data. Movie is one of the member of mass media. So, the next researcher ca take others mass media like news, magazine, newspaper, radio, news televison etc. Another suggestion is from the area in Critical Discourse Analysis. Critical Discourse Analysis has many areas such as politic and society. In this data the researcher takes society. It means that next researcher can take other area In CDA. In addition, the way of analysis is so widely in the data. CDA can analyse from the power or even in ideology. In this study researcher takes racism to be analyzed in the scope of power and how the way dominant group utter racism. Thus, the next researcher can analyse the data from the behaviour of dominant group in racism area pschology in racism. REFERENCES Dahl, Robert. (1961). Power In Empowerment and Community Planning. Essed, Philomena. (1991). Understanding Everyday Racism: An Interdisciplinary Theory. Newbury . In Frances Henry and Carol Tator (eds.) Racist Discourse in Canada's English Print Media. The Canadian Race Relations Foundation, 2000. Fairclough, N. L., (1941). Language and Power. New York : Longman. Fiske, John. (1994). Media Matters: Everyday Culture and Political Change. Minneapolis: University of Minnesota Press. In Frances Henry and Carol Tator (eds.) Racist Discourse in Canada's English Print Media. The Canadian Race Relations Foundation, 2000. Litosseliti, Lia. (2010). Research Methods In Linguistics. New York : Continuum. Miles, M. B., & Huberman, A, M. (1992). Qualitative Data Analysis. New Park: SAGE Publications, Inc. Pendakur, Krishna and Ravi Pendakur. 1995. The Colour of Money: Earning Differentials among Ethnic Groups in Canada. Strategic Research and Analysis. Ottawa: Department of Canadian Heritage. In Frances Henry and Carol Tator (eds.) Racist Discourse in Canada's English Print Media. The Canadian Race Relations Foundation, 2000. Searle, J. (1979). Expression and Meaning. Studies in the Theory of speech Act. New York: Cambrige University Press. Van Dijk, T.A. (1998a). Critical discourse analysis. In Jaffer Sheyholislami In Critical Discourse Analysis. Van Dijk, T. A. (2006). Discourse and Manipulation in Discourse and Society. London : Sage Wodak, R,. & Meyer, M. (2001). Methods Of Critical Discourse Analysis. London : Sage. Wray, A., Trot, K., Bloomer, A., Reay, S., & Butler, C. (1998). Project in Linguistics: A Pratical Guide to Researching Language. China: Edward Arnold PublisherLtd. Yule, George. (1996). Pragmatics. Oxford University Press.

Abstract: Transcription of Utah International shareholder's meeting to finalize the merger with General Electric. The meeting took place December 15, 1976. Speakers are Edmund Littlefield (EL), Bruce Mitchell (BM), Charles Travers (CT), and seven unknown speakers labeled by number as they appear. Also, when the audience speaks as a group, it is labeled All. This document is transcribed verbatim, with a few changes included to provide clarity. December 15, 1976 Transcript: EL: I see we are playing to a packed house and I would like to suggest that there is a whole row of seats down here in the front that we would be glad to have you come use. Well good morning ladies and gentlemen, would the meeting please come to order. Welcome to this special meeting of the shareholders of Utah International, called for the purpose of considering the proposed merger with the General Electric Company. I am Edmund W. Littlefield, Chairman of the Board and Chief Executive Officer. On my left are Alexander M. Wilson, President and Chief Operating Officer and Director, and Bruce T. Mitchell, Secretary of the company. It is my privilege to introduce to you the other members of our board of directors who are here today, Alf E. Brandon, Senior Vice President of the company; Val A. Browning, Chairman of the Board, Browning; Thomas D. Dee, Vice President of First Security Bank, Ogden, Utah; William R. Hewlett, President of Hewlett-Packard Company; J. B. Ladd, President of Ladd Petroleum Corporation, a subsidiary of the company; Arjay Miller, Dean, Graduate School of 2 Business, Stanford University; Paul L. Wattis Jr., President of Wattis Construction Company; and last and certainly by no means least, a gentleman who's served on this board for fifty-six years, Marriner S. Eccles, former President and Chairman of the Board of the company and now Honorary Chairman of the Board. [Applause] Thank you. These gentlemen, together with the two of us on the platform, who you met earlier, constitute the Board of Directors. Unfortunately, Ernest C. Arbuckle, Chairman of the Board of Wells Fargo Bank and our host for this meeting is unable to be with us today. Fred J. Borch, George Eccles and Bill Kimball are also unable to be with us. Ernie, unfortunately, is undergoing some surgery at this time. We also have with us today representatives of Arthur Anderson, our auditors, Pillsbury Madison and Suite our counsel, and Lehman Brothers and Dean Company, and our investment brokers are also present here today. I now ask the secretary to report on the notice of the meeting, the presence of a quorum, and other matters relating to this meeting. BM: Mr. Chairman, there are available the following documents: 1) A list of the stockholders of Utah International Inc. as of the close of business on October 29, 1976 being the stockholders, entitled to notice of and to vote at this special meeting. 2) An affidavit of the company's transfer agent to the effect of written notice of the special meeting was mailed to each stockholder entitled to vote more than twenty days before the date of the meeting as required by Delaware general corporation law. 3) A signed registration of all stockholders and proxy holders 3 present at the meeting. Management proxies received and other proxies who are personally present represent more than the majority of 31,540,032 shares of stock entitled to vote at the meeting, and constitute a quorum for the transaction of business. This meeting is accordingly properly called and constituted, and is empowered to proceed as a special meeting of the stockholders of Utah International Inc. EL: Thank you, the Board appoints Mr. J. B. Nelson and Mr. Swineheart of Utah International Inc. and Mr. Dennis Conco of the Crocker National Bank, inspectors of election to inspect assigned proxies and credentials presented to the meeting and to conduct a voting to receive and count the votes and to determine the results of the meeting. In the notice of the Special Meeting in the attaché proxy statement, the only item of business to be considered by the stockholders is a proposal for the adoption and approval of the agreement in plan, the reorganization and agreement of merger as amended by which Utah International Incorporated will become a wholly owned subsidiary of General Electric Company. The secretary is requested to submit the resolution which has been prepared for this purpose. BM: Mr. Chairman, the resolution is as follows: resolved that the merger of G. sub of Delaware Inc. with an end to this corporation as set forth in the agreement and plan of reorganization dated as of April 1, 1976; as amended by an amendment dated as of August 13, 1976, attached are annex one and annex two respectively, and the agreement mergers set forth as exhibit A to said annex one to the proxy statement dated October 29, 1976, and mailed to stockholders of record at the 4 close of business on October 29, 1976. Also included are the terms and conditions of the purposed agreement and plan of reorganization as amended, along with the agreement of the merger, providing among other things, for this corporation to become a wholly owned subsidiary of General Electric Company, and the mode of carrying such terms and conditions into effect; as well, the manner and basis of converting the shares of common stock of this corporation into shares of common stock of General Electric Company, as therein provided be and hereby are, approved. 1: Mr. Chairman, I'm a stockholder and I would like to move the adoption to resolution. EL: Thank you. Is there a second? 2: Second. I hereby second the motion. EL: Thank you. It has been moved and seconded that the resolution which the secretary has read be adopted. The affirmative vote of a majority of the outstanding shares of the corporation will be required to carry the motion and adopt the resolution. Before opening the matter for general discussion, I would like to make some comments. This is a special meeting of the shareholders of Utah International Incorporated. It is special in two ways, first in the statutory sense in that it is not a regular annual meeting, but calls specifically to consider and act upon the merger of Utah and General Electric. It is also special in the sentimental sense in that it is destined to be the last public held meeting of this fine company whose antecedents go back to January 1900, when its 5 predecessor was incorporated with six shareholders. When the business of the day is done, Utah International will be merged with a single shareholder. General Electric has of record some 529,000 shareholders, Utah 23,000. These are located in fifty states and in many foreign countries. The actual number of shareholders is far greater. For often the shareholder of record is a broker or trust department of a bank acting as a nominee for many, many shareholders. You received a rather weight proxy statement. If the proxy material required and printed for the Utah and General Electric shareholders meetings today were stacked one on top of the other the pile would be over three and a half miles high. If the individual pages were laid end to end these would cross the continental United States three and three-quarter times. The proxy statement contains, and it's a hundred and seventy-six pages, considerable detail of the terms of the merger, historical financial and operating information of both companies, formal statements of the merge company and other information which the Board of Directors of the respective companies and or the Securities and Exchange Commission deem pertinent and appropriate to put before the shareholders so they may arrive at an informed decision. The merger has been recommended by each Board of Directors. It has been examined on Utah's behalf by the investment banking firms of Lehman Brothers Incorporated and Dean Whitter and Company Incorporated. Each of whom has expressed the opinion that the exchange ratio is fair and equitable to the shareholders of Utah. The same information has been put before the shareholders of General Electric, who met today, this morning, in Stratford, 6 Connecticut at 9:30 AM eastern standard time and they have approved the merger. The Utah shareholders have also considered the merger, and the company is in receipt of proxies representing over 86% of the shares issued and outstanding. The proxies have been instructed how the shares are to be voted and as a consequence, the outcome of the voting on the proposals before us has already been determined and from a practical standpoint, nothing we can say or do here will in fact change that. Even though the outcome is ordained I have no intention of conducting these proceedings in a perfunctory manner. Many of us in this room have devoted most of our working lives to the furtherance of the fortunes of Utah International and we come to today's proceedings with mixed emotions. We recognize and stipulate that it is in the best interest of the Utah shareholders and its employees, that over the years we have given much of our substance into making this company what it is today. We are proud of our handy work and I believe properly so. We do not intend to let this moment pass into history, without noting these accomplishments and recording the concerns that caused us to believe that a merger between these two great companies would serve the best interests of the shareholders of each. Let's pick up the story twenty years ago when the company had 257 shareholders, some 2,400 employees and gross revenues less than 43 million dollars of which 76% was derived from performing contract construction. The stock was traded over the counter at a book value of $1.12 a share and trade from a low of $1.18 to a high of $1.51. That year the company earned 4.2 million dollars or 16 ¢ a share, and paid a dividend of 4.9 ¢ a share. With that as a 7 starting point let us examine the progress that has been recorded. Gross revenues grew, not always steadily, but over the years have climbed to over 944 million in the last fiscal year. The composition of these gross revenues has changed as the nature of the company has changed. Until we sold our heavy construction assets in 1969, construction was the major source of gross revenues. With the sale of construction assets to 1969, and the dredges in 1971, mining became and remains overwhelmingly the dominant business of the company. Gross revenues from land development have been on the decline. More recently through the acquisition of Ladd Petroleum and other companies, gross revenues from oil and gas have become a significant item. As our business grew, so have our earnings, from the 4.2 million earned in 1956, earnings have risen to 178.8 million dollars the past year and have set record highs in each of the last 12 years. In only three out of the last twenty years have earnings been lower than the preceding year. Earnings have increased from 16 ¢ in '56 to $5.67 this year and the dividend has gone from 4.9¢ to $1.15 this year. As the company grew and prospered the stock was listed on the New York Stock Exchange. As you can see the number of shareholders has increased very substantially. Inevitably, death and taxes forced the estates of some of the long time shareholders to bring shares to the market. The company sold convertible debentures to obtain funds for expansion and conversion of these debentures, and our merger with Lucky Mc, Ladd Petroleum and LVO have also contributed to the increase in the number of shareholders. There has been some modest decline in the number of shareholders since the acquisition of LVO in 1974, but 8 today we still have almost 100 times as many shareholders as we did twenty years ago. The increase in the number of employees required the conduct growing business of the company has not tracked the change in either gross revenues or net income. Construction is a labor intensive activity, while mining is capital intense. Our employment peaked in 1958 at 12,000, dropped sharply when we sold our heavy division assets, but has gradually expanded as the company's mining activities have grown rapidly. Our mineral sales backlog was insignificant twenty years ago, and even ten years ago was only about a sixth of its' size today. Nevertheless, the creation of the mineral sales backlog was and is an important aspect of Utah International's character and one that distinguishes it from most other mining companies. Very frankly, when we were embarking upon the rapid expansion of our mining business, we had neither the capital, nor the credit to finance the growth at the pace we wished to pursue without resorting to forward sales of new production to strengthen our credit. We made a virtue out of a necessity and today Utah's mineral sales backlog has grown from a modest 1.1 billion dollars in '66 to 6.1 billion dollars today. 96% of this backlog is represented by long term contracts with escalation clauses protecting against future cost changes. It was the existence of this backlog which in considerable measure excited investor interest in the shares of Utah International and caused the price of the stock to increase dramatically over the years. From a low of a $1.18 in 1956, the stock has closed at a higher price than the preceding year in sixteen out of the last twenty years, including the $65 price of the stock on October 31 the close of this 9 last fiscal year. In the early years, the stock sold close to its' book value. Again, in the early years, price earnings ratios on the stock were also modest, generally below twelve times the earnings. As the investing public came to realize the growth, earnings and the qualities of those price earnings ratios rose and remained for several years in excess of twenty times earnings, until the last few years, when investors have not been willing to accord so high a multiple for Utah shares, nor in fact for virtually shares of all other growth companies. Those who have invested in Utah shares and maintained faith in its management and its future have fared well. Earnings have grown at the compound rate of 19% for the last twenty years, 23% for the last fifteen years, 28% for the last ten years, and a startling 37% for the last five years. If you had invested a thousand dollars in the stock in 1956, you would have received in the interim dividends of $4,291, and the stock would have appreciated to $42,900. If you had made the same investments, but reinvested your dividends in Utah shares at the last price for each of the ensuing years, your $1,000 investment would have been worth $69,800 at the close of fiscal 1976. While I have not attempted to research the matter thoroughly, certainly there are few, if any, companies who have served their shareholders so well and so consistently in a period measured in five year, ten year, fifteen year or twenty year spans. Why then would a company who has so outstanding a record consider a merger even with the best of companies? The reason lies in the changing nature of the company's business and the source of its profits, present and prospective. Twenty years ago the company derived 87% of its' gross revenues from North 10 America, Later, even though we were heavily involved in contract construction outside North America, our gross revenues were well balanced for most of the time during the last twenty years. Ten years ago, only 8% of our mining revenues came from outside of North America, but this has been changing drastically in the last six years. As the next slide shows, 1976 witnessed 74.3% of the gross revenues earned outside North America and only 25.7% within North America. All of our land development and oil and gas gross revenues are earned within North America, but today only 22% our mining gross revenues are earned within North America and only 13.6% in the United States itself, far more significance, in my view, than the source of gross revenues or the sources of gross profit and other income. In the remarks that follow, I shall refer to this income account category simply as gross profits, but please consider it includes income from affiliates, joint ventures and partnerships as well as the gross profit earned by the parent company and its subsidiaries. This figure has grown from 8.7 million dollars in '56 to over 353 million dollars this past year. In the earlier years, the share provided by affiliate companies like Marcona and Cypress Pima, joint ventures and partnerships was a significant factor in the total. Reaching a high of 51% in 1967, but earnings from these sources have not been significant the last two years, dropping to a half of 1% in 1975 and actually producing the loss of 9 million dollars in 1976, the decline being primarily the result of the ill fortunes that have befallen Marcona. Mining has become increasingly the source of the company's gross profit. As you can see, ten years ago in 1966, mining contributed 31% of 11 the total of 22.7 million dollars gross profit, while in 1976 it contributed 344.7 million dollars or 97% of the gross profit and other income of 353.7 million dollars. However, it is not the concentration of gross profit and mining that so concerns us as it is the concentration of mining gross profit in a single commodity in a single country. Let's compare gross profits in '66 with those of '71 and those of '76. The well diversified business we enjoyed in '66 and indeed even in '71 has given way to a growing concentration of earnings from coal. Not only was our business increasingly concentrated in coal, but the earnings potential was increasingly concentrated outside North America. Earnings from North American sources provided 56.4% of gross profits in 1966. This has followed the 7.7% in 1975 and 14.2% in 1976 when the sharp increase in uranium increases did boost North American income. However, this trend toward increasing concentration of earnings from metallurgical coal produced in Australia is likely to continue for two probable reasons. The first indication is found in the mineral sales backlog which total 6.1 billion at the close of '76 with 71.3% of this related to future production outside of North America and 69.3% represented by metallurgical coal. The second reason this trend is likely to continue comes because of the undeveloped reserves that we have in hand. Certainly, one of the companies most promising investment prospects is the new metallurgical coal mine called Norwich Park in Australia, and we have abundant other coal reserves in the Queensland area that can and should be developed in the future using both surface and underground mining methods. Pursuit of our most promising prospect will make Utah less 12 diversified rather than more diversified and more dependent on Australia for the major share of its' gross profits and its' futures growth. I repeat that this concentration of mining was not in our view in and of itself alarming, but the composition of the mining gross profit and the concentration coking coal produced in a single country, and so primarily is a raw material for the steel industry in Japan and Europe, was too much concentration of risk for our company standing alone to bare. We cannot, and we should not, be so dependent on either a single commodity or single country no matter how solid either or both now appear. The attitude of the Australian government when the Labor Party was in power was a matter of extreme concern to us and this concern was no doubt deepened by having Marcona's assets in Peru expropriated by the government. We have great confidence in the people and political institutions of Australia and in the present government, and we are proceeding to increase our investment there because we have the coal reserves to do so and an attractive investment opportunity. However, with this abiding faith in Australia, in our view, this concentration of earning power in a single country and in a single mineral is too great a risk to be born alone, either by the shareholders of Utah or the employees of Utah whose livelihood while employed or in retirement are necessarily deeply affected by the fortunes of Utah International. This concern about the concentration of Utah's earning power was evidently shared by the investment community, which no longer was willing to assign a price earnings ratio of twenty-six to twenty-seven times earnings that prevailed in 1971, 1972 and 1973, but dropped the ration to 13.9% in 1974 and 13 to 13.3% in 1975. Thus we found ourselves faced with a paradox of having both our earnings and our dividends sharply increasing and the price of our shares flat and failing to respond. Certainly in these circumstances it seems only prudent to seek diversification of this risk. There were two broad courses that could be pursued. The first was to go on an aggressive acquisition program and seek to acquire other companies. This course of action posed considerable peril. First, the magnitude of the assignment was mind boggling, even if we were to attempt to reduce the risk to say roughly 50% and on the assumption that we could acquire other companies at ten times the earnings, we were faced with the necessity of attempting to acquire in short order, assets of around 1.5 billion dollars. Obviously, any effort to do this in the mining field would very quickly bring us under attack from the Federal Trade Commission or the Department of Justice. This in turn meant that we had to seek these investments outside the field of our expertise and in areas of business we knew little or nothing about. We were almost certain to make mistakes along the way. All in all the prospects of trying to diversify by a series of acquisitions seemed an unpromising and even perilous course to follow. The other broad path to diversification was to seek merger with a company already diversified, but the company had to be large enough to digest a 2 billion dollar bite. This narrowed the field. There are indeed companies larger than General Electric, but none so well diversified nor in my view so ably managed. 14 The risks that were of concern to Utah International standing alone were not the least unreasonable to take when the assets of General Electric and Utah were combined. General Electric is one of the largest and most diversified industrial corporations in the world. It is engaged in well over a hundred different businesses and in most of these it occupies a leading position in the market it serves. These businesses range from consumer items to capital goods, from fairly simple and well known technologies to the most advanced technologies required for aerospace and the jet age. While General Electric operates in more foreign countries than does Utah, its' business is far more oriented to the domestic market, and the merged company will be nicely balanced between domestic and foreign operations. There will be no undue concentration of merged company. Out of the merger, the Utah shareholders will in my view be exchanging the prospect of a faster rate of growth with its attendant risks in exchange for greater diversification, higher yield, and a premium on their shares as the other parties to the bargain. The General Electric shareholders will acquire assets with earning power and potential for growth that would indicate an increase in General Electric's earnings per share, entering into the natural resource business giving GE still further diversification and what I believe to be, although my views are obviously biased, the best mining organization and the best mining company in the world, each of the parties to the bargain is benefited. It is the biggest merger ever undertaken and I am confident that history will prove it to have been the best. 15 Before entertaining discussion of the motion that is before us, I would like now to introduce to you the principle officers of the company who are with us today and whose labors are responsible for the record of accomplishments that I have presented to you. First, Edwin C. Demoss, Senior Vice President Manager of Mining Division and newly named President of Lucky Mc Uranium Corporation, Ed Demoss; Keith G. Wallace, Senior Vice President Manager of Australia Division; John S. Anderson, Vice President Manager of Domestic Coal Operations: James T. Curry, Financial Vice President and Treasurer; W. Drew Leonard, Vice President of Corporate Purports and Internal Audit; Ralph J. Long Vice President Manager of Australian Operations; Charles K. McArthur, Vice President Manager of Metal Mining and newly named Manager of Mining Division; Boyd C. Paulson, Vice President Manager of Construction Services; M. Ian Ritchie, Vice President of Technical Services and newly Manager Operations Lucky Mc Uranium Corporation; Robert O. Wheaton, Vice President Manager of Exploration. Thank you. Nor would the list be complete without acknowledging that there are others in the audience that have made great contributions, but who are now retired. Let me ask those that I have spotted here to stand and be recognized: Albert L. Reeves, formerly Senior Vice President Secretary of the Director of the company, Albert; Orville Dykstra, Financial Vice President; Joseph K. Allen, Vice President; Weston Bourret, Vice President; and Charles Travers, Vice President. Thank you very much, and now the chair will entertain the discussion of the motion and will be pleased to answer such questions as we can regarding the purposed merger. Are there questions or discussions? If there is no 16 discussion of the resolution, if not the matter will… the meeting will proceed to vote upon the motion to approve the purposed merger with General Electric. 3: Mr. Chairman? EL: Yes? 3: Would you describe the status of the attitude of the federal government towards this motion? EL: What we did was to put the matter before the Department of Justice and asked in advance for their approval under the business advisory clearance procedure. While it was sometime in coming, it was forthcoming. To meet the concerns they expressed about it, Utah has agreed and has put its uranium assets in a separate subsidiary company that is now called Lucky Mc Uranium Corporation. When the merger becomes effective, the voting stock of that the company will be put in the hands of five independent voting trustees who will see to it that the company will elect the board of that company, and see to it that that company's affairs are conducted in a way that does not help GE in such things as the sale of its nuclear aspects. That company is not allowed to sell uranium to GE, but from the standpoint of the government we think we are completely in the clear. Any other questions? If not, any stockholder who is present who has not executed a proxy should raise his hand in order that the inspectors of election may give him a ballot, which he may now cast. If you have sent in your proxy you need not cast a ballot unless you wish to do so. Are there those that would like to vote in person? One here, one there, Boyd, one up here too. Boyd, 17 there's two in the back of the room, three. Will the inspectors of election proceed to collect the ballots? Those who have ballots would you raise them when they are completed so they can be picked up? Thank you. Over here Boyd. If the ballots are all collected would you please advise us of the inspectors report? Are you ready to speak to that? John, there's another one up here. You will bring them to me and I'll read the numbers, right. BM: Mr. Chairman? EL: Mr. Secretary? BM: The inspectors report that more than 27,147,464 shares of common stock of the company were voted in favor of the resolution and that not more than 200,456 shares of common stock were voted against such resolution. Accordingly, the purpose merger has been approved. When the exact number voted for and against the resolution has been ascertained, the inspectors will execute a certificate setting forth such number. EL: Thank you Mr. Secretary. We have acted on the business that was to come before the meeting. Is there any other business to come before the meeting? CT: Mr. Chairman, I would like to present a resolution at this meeting of these shareholders. My name is Charles Travers, I am a stockholder and I retired from the company. You've heard the view from the top. I think now maybe you ought to get the view from the ranks. The view from the top had to necessarily be 18 austere, maybe Mr. Chairman I can be a little more lighthearted. I started at Utah about twenty-four years ago. Mr. Littlefield hired me. I remembered the office in San Francisco as a very small office, very small and compact and you had to go in the front door, which was the only entryway, and there was a row of offices on your left as you walked in. Those were the executive offices. Mr. Littlefield's office was the first office as you came in the door and he assigned me an office down at a sharp right angle off the main corridor. I also remember as a young fellow reading Horatio Alger's book, Ragged Dick, and in that book the way it said to get ahead in business, one of the ways at least, was to get to the office early and beat the boss in if you could. Well I found that was a very difficult task at Utah. You had to go through the front door and Mr. Littlefield always kept his door open, his light on. The first morning was a Monday morning and I got in about ten minutes ahead of time. I think our starting time was 8:15, but Mr. Littlefield said hello to me as I came in the door. We went on through that week. I got my time narrowed down a little more each day. By Wednesday, I was down to five minutes to 8:00 and on Friday I got there at twenty minutes to 8:00 and Mr. Littlefield said good morning to me every time I came in the door. So that weekend I figured out that there was a better way to do this and I'd get in real early and I'd beat him to the punch. So on Monday morning, I got there twenty-five minutes past 7:00, I walked in the door and the office was dark there was no light on, the door was open and Mr. Littlefield was not there. So I went to my office and at 8:15 I came sauntering down figuring now this is where I get my punch line. He's going to see me going out the door, he's 19 there and I say hello to him this time first. I looked in, the light was on, but Mr. Littlefield wasn't there. So I walked over to his secretary and said, "Where is Mr. Littlefield?" and he said, "Oh, he went to Chicago." [laughter] He left on the seven o'clock train. With all that due diligence I figured we ought to get ahead pretty fast some way or the other. And so I waited for my first year. You had to be in the Utah profit sharing plan one year in order to get your first statement. I waited my first year and I got my first statement. I have it here with me and I'd like to tell you that the date of it is December the 15th 1954. That's exactly twenty-two years ago to this day and here is what it says, extract: "Seasons greetings. Utah Construction Company retirement plan based on profit sharing, December 15, 1954. Dear fellow employee, your account in the retirement plan based on profit sharing on October 31, 1954 stood as follows: balance on October 31, 1953, zero. Added during the year by income, zero. So October 31, 1954, zero. And then it says during 1954, the net profit earned did not reach the levels your profit sharing permits. Your company would be required to make a contribution to the plan." And then it says, "Despite the fact that it is not required to do so, your company through its management is desirous of sharing with you a portion of the profits earned during 1954. To accomplish this, the board has approved a contribution of $50,000." Then it says, "we're going to try to get the IRS approval for that, and if so we will contribute the $50,000 to your fund, but if not we'll have to pay your share in cash. If the amount is received by you in cash, you will have to pay income taxes on it. Your share of the $50,000 contribution would be $201.75." I was beginning 20 to think that Horatio Alger wasn't right after all, $201.75 for getting in all those first eighteen months at 7:30 in the morning didn't seem fair to me, but nobody quit. I didn't, management didn't. About three weeks ago, I received this news release from the company in the mail, it's dated as of December 3, 1976 and here's what it says in the first few lines: "Utah International Inc. reports record earnings for fiscal 1976, San Francisco. E. W. Littlefield, Chairman of the Board, reported today that Utah International earned $178,821,000 or $5.67 per share. This fiscal year ended October 31, 1976." We have come a long way since those days in 1954. But Utah had more than profits. It had the forward look. My view from the ranks runs something like this: Utah's profit sharing and incentive plans were way ahead of their time back in those days. Mr. Littlefield, to my knowledge, had a rare understanding of the corporations standing in the social structure, what the corporation's obligations were to society. Utah's mine lands were restored to better than what nature had them long before that became a primary concern of many people in the United States. Utah's mining operations were conducted on a basis of we'll go sell the merchandise and then we'll get the production and that reduced the risk very greatly. Even today, Utah's section on environment stands out as a very aggressive and important function that helps to finish the project properly in the eyes of the people of this country. Well, I could go on and spend many more minutes saying that, but I think it's time now for me to present my resolution and I would like to do that. Mr. 21 Chairman, I will give you a copy of the resolution so you will have it for the record and I would like to read the resolution. EL: Thank you, Charlie. CT: The resolution says resolve about the stockholders of Utah International Inc., meeting for the last time as public shareholders in San Francisco, California on this 15th day of December 1976, do hereby express their gratitude and sincere appreciation to Edmund W. Littlefield, Chairman of the Board and Chief Executive Officer; Alexander M. Wilson, President and Chief Operating Officer and the Director; Marriner S. Eccles, Honorary Chairman; and to all the officers, directors and employees of Utah International Inc. for their devoted services in behalf of the shareholders. 4: Mr. Chairman, I move the resolution. EL: Thank you, Mr. Travers. I must say Charlie, you always speak well, but you don't speak briefly. [laughter] I think that comes from attending too many meetings of Town Council in Alameda. The motion has been presented to the shareholders, is there a second? Thank you, I must say that those of us at this end of the room, I'm sure have an abiding faith and agreed with its sentiments, but since we do not control the vote. I will put it to vote. All those in favor please say aye. All: Aye 22 EL: Opposed? Thank you. Thank you very, very much. And thank you Charlie. [applause]. There's no other business, the proposed merger has been approved. I thank you. Excuse me. 5: On behalf of all of the stockholders, I wish to thank all of the officers and directors of Utah International for having worked so well for us. I also think at this time, it would be appropriate to bow our heads in silence for one minute in memory of E. O. Wattis who was founder of Utah International and also for all of those who worked and lost their lives to make the company what it is today. Amen. EL: If you would amend that to include all of the founders the chair will entertain it. On the assumption that it is so included, we will so do. Thank you. With the merger approved and not further business, I'll entertain that motion to have the meeting adjourned. 6: I'll back the motion. EL: Thank you, is there a second? 7: Second. EL: All those in favor, please say aye. All: Aye. EL: Opposed? Thank you, the meeting is adjourned. ; This is a myriad of items throughout the UC/UI collection. It includes the minutes of the stockholder's meetings with both Utah International and General Electric, correspondence, a reel-to-reel tape of the merger meeting and the official merger documents. ; 4.25 x 6.5 - 8.5 x 11 in. handwritten or typed on paper ; Reynolds Securities Inc. Transamerica Pyramid 600 Montgomery Street San Francisco, Calif. 94111 Telephone 983-8000 Members New York Stock Exchange, Inc. and other leading exchanges Main Office 120 Broadway New York, N. Y. 10005 December 13, 1976 Mr. Edmund W. Littlefield Utah International 550 California Street San Francisco, Ca. 94104 Dear Ed: I regret that I will be unable to attend the meeting Wednesday because I will be in the East for a Directors meeting. This is an occasion that I hate to miss, but I am sure that many of your other happy stockholders will be there. Sincerely, Gerry Gerald F. Brush GFB: 1c

En el actual panorama académico, donde escasean las auténticas polémicas, acaba de iniciarse una sobre la Guerra Fría Latinoamericana que nos obliga a revisar los aciertos y límites de ese nuevo campo de estudios. En marzo de 2019 el historiador Gilbert Joseph, expresidente de la red estadounidense más importante de historia latinoamericana, la Latin American Studies Association (LASA), publicó en la revista inglesa Cold War History, órgano de la London School of Economics, un balance historiográfico titulado "Border crossings and the remaking of Latin American Cold War Studies". Tres números después, la revista publicó la respuesta polémica del joven historiador chileno Marcelo Casals. Su cuestionamiento del balance de Joseph se tituló "Which borders have not yet been crossed? A supplement to Gilbert Joseph's historiographical balance of the Latin American Cold War". A ello Joseph respondió en el mismo número con "The continuing challenge of border crossing: a response to Marcelo Casals' commentary".1 Tres piezas polémicas que avivan la discusión sobre las condiciones sociohistóricas de la emergencia de esa historia mundial que refiere Marx en la cita del epígrafe. Desde 1945 y durante más de cuatro décadas, la disputa entre los Estados Unidos y la Unión Soviética por la hegemonía militar, económica, política y cultural dio lugar a lo que lo que se conoce como Guerra Fría, alcanzando también al continente latinoamericano. Joseph, en el balance que dispara la polémica, revisa la producción historiográfica de las últimas dos décadas para detectar los problemas y conceptos que permitieron avanzar en el conocimiento de la "Guerra Fría en América Latina". Los expertos en relaciones internacionales venían ocupándose del modo en que las dos superpotencias proyectaron sobre América Latina y el resto del "Tercer Mundo" la confrontación que mantenían entre sí. Como subraya Joseph, la actual producción no deja dudas de las limitaciones de ese enfoque ceñido a las políticas exteriores de la Unión Soviética y de los Estados Unidos. Las nuevas reconstrucciones y análisis impiden reducir la historia de la Guerra Fría en nuestro continente al estudio de "una playa cubana". El fecundo intercambio de ideas que se viene desarrollando entre los estudiosos de las relaciones internacionales y las ciencias sociales permite identificar una "larga" Guerra Fría Latinoamericana, en la que el conflicto entre las superpotencias operó incluso sobre procesos endógenos latinoamericanos, iniciados incluso a comienzos de siglo XX. Asimismo, los cruces entre académicos/as del "Norte global" y del "Sur global" ha dado lugar a innovadores estudios transnacionales que lograron, por ejemplo, precisar la injerencia estadounidense durante 1973 en la destrucción de la democracia chilena y que iluminaron el rol de actores estatales y no estatales en los genocidios perpetrados desde la década del setenta en Guatemala y otros países latinoamericanos. Entre las "fronteras a cruzar" por el emergente campo de estudios se encontraría una mayor indagación de las instancias ideológicas, especialmente del rol de los expertos e intermediarios culturales. Casals responde a ese balance reconociéndole a Joseph su distancia con los estudios provenientes de las relaciones internacionales que borraban la agencia de los sujetos latinoamericanos, al punto de reducirlos a meras piezas de ajedrez en el juego de las superpotencias. Coincidiendo con Joseph, la historiografía sobre la Guerra Fría logró renovarse tanto por su atención a los flujos multidireccionales en la circulación transnacional de ideas y recursos como por la superposición de estos flujos con los avances y retrocesos de las lógicas imperialistas hacia América Latina. Pero Casals también advierte en el balance de Joseph una reformulada persistencia de ese borramiento de la agencia latinoamericana. Un repaso de la bibliografía que compone el balance de Joseph arroja el siguiente porcentaje: de las 264 obras citadas, el 92% fue publicado en inglés mientras que sólo el 8% apareció en español y no se consigna ninguna obra en portugués. A ello Casals contrapone la sólida base de investigaciones en español que "complementa, complica y a veces desdibuja el consenso explícito e implícito sobre el cual avanza la historiografía de la Guerra Fría". En primer lugar, los estudios chilenos, uruguayos y argentinos sobre la historia de la cultura de izquierdas y la recepción de sus ideas durante el siglo XIX y XX (como los de Olga Ulianova, Sergio Grez, Gerardo Leibner y Horacio Tarcus) ofrecerían potentes ejemplos de la conformación de actores políticos en la intersección entre recepción de la dinámica global y adaptación a las luchas locales. En segundo lugar, las investigaciones sobre las izquierdas, los populismos y las derechas (como las de Rodrigo Patto Sa Motta, Ernesto Bohoslavvsky, Joao Fabio Bertonha, Sthépane Boisard y Ernesto Semán) permitirían identificar otras relaciones y múltiples "zonas de contacto" que matizarían la centralidad de la diputa con los Estados Unidos, o que incluso invertirían la relación de influencia entre los actores latinoamericanos y los europeos, africanos y asiáticos. En tercer término, los estudios sobre historia reciente, aunque centrados en experiencias políticas locales y sin enmarcarse necesariamente en la Guerra Fría o en el protagonismo de los Estados Unidos, contribuyen al análisis de los procesos populistas y de la radicalización político-ideológica extendida a nivel continental. Finalmente, el balance de Joseph omite un libro que sí recupera la amplia bibliografía en español y algo de la editada en portugués y que, según Casals, ofrece una perspectiva distante a la del estadounidense, la Historia mínima de la Guerra Fría en América Latina del italiano Vanni Pettinà, editada en 2018 por el Colegio de México. Pettinà propone que en la Guerra Fría Latinoamericana fue decisiva la intersección de dos rupturas producidas entre 1946 y 1948. Mientras que la "ruptura externa" implicó que los Estados Unidos reordenaran el sistema internacional interamericano con el objetivo de inscribirlo en la batalla anticomunista, la "ruptura interna" afectó a las políticas industrialistas y estatistas latinoamericanas en beneficio de los sectores conservadores de cada país. Los estudios de la Guerra Fría Latinoamericana se encontrarían ante el desafío de precisar, por un lado, el modo en que esas dos rupturas se inscribieron en las situaciones locales y, por otro, el ritmo que imprimieron a los procesos de cambio político, social y cultural. En suma, la referencia a Pettinà y especialmente a numerosas obras editadas en Sudamérica le permite a Casals concluir que si los centros anglófonos dejaran de una vez de ignorar la investigación latinoamericana calificada, sería posible levantar esa clásica barrera lingüística —y sociocultural— que viene obstaculizando el "diálogo intelectual franco" en un nivel de igualdad. En la tercera pieza de la polémica, Joseph revisa las críticas de Casals para proponer que, en realidad, se trata de cuestiones abordadas. En efecto, su balance no realizaría una impugnable selección idiomática, sino que atendería únicamente a las "obras de alto perfil" que marcarían una tendencia por apoyarse en nuevos archivos, renovar las preguntas y ofrecer análisis transnacionales. A la "cuota idiomática" reclamada por Casals, responde Joseph que varias de las obras citadas provienen de autores latinoamericanos que vienen participando de reuniones académicas realizadas en Estados Unidos, Europa o América Latina y que decidieron publicar sus investigaciones en inglés y en revistas del "Norte global" frente al viejo problema de la carencia de un campo editorial en español. Es más, no habría que obsesionarse con una supuesta "narrativa hemisférica hegemónica", ya que la mayoría de los jóvenes investigadores incluidos en el balance reconocería los problemas que formula Casals. El historiador estadounidense intenta acordar con el historiador chileno, pero sus omisiones bibliográficas y los efectos en las relaciones académicas siguen allí. A distancia de los estudios de los flujos multidireccionales de la historia global, el reconocimiento de los historiadores latinoamericanos es unidireccional: la única dirección para lograr ese reconocimiento señalaría a los nuevos espacios del LASA. Y ello es confirmado cuando se revisan los tres volúmenes de The Cambridge History of the Cold War, aparecidos en 2010 bajo la coordinación de Odd Arne Westad —a quien Pettinà retoma en el citado libro— y Melvyn P. Leffler. No cabe duda, por un lado, de que es fundamental la apertura y mantenimiento de un espacio de discusión como el LASA para construir un campo con investigaciones de alto perfil y, por el otro, de que las vastas desigualdades globales en el acceso a los recursos académicos ofrecen una convincente explicación de la ubicación estadounidense de ese espacio. Pero reducir las investigaciones de ese tipo a las que circulan —en inglés— en ese espacio implica un escaso reconocimiento a los latinoamericanos, escasez en la que la perspectiva decolonial encontraría una prueba del colonialismo desde el que el Norte viene imponiéndole al Sur su producción y circulación de saber, entre otros órdenes. Ello nos conduce a la cuestión con que quisiéramos cerrar estas reflexiones. No se trata sólo de ampliar la bibliografía, sino sobre todo de revisar la narrativa que subyace al balance de Joseph para buscar una mayor historización en el estudio del amplio continente latinoamericano. En ese sentido, al registro de "un único proceso con una cronología unificada y definida para toda la región", la historiadora argentina Marina Franco y la italiana Benedetta Calandra, en La guerra fría cultural en América Latina (Buenos Aires, Biblos, 2012), contraponen la posibilidad de diversas cronologías operantes en distintas regiones. A la circulación latinoamericana del esquema bipolar de la Guerra Fría, el historiador uruguayo Eduardo Rey Tristán, en su colaboración en aquel libro y en otros trabajos, suma la vitalidad que adquirió el esquema bipolar cuando, articulado con el panamericanismo, el antiimperialismo y otras matrices ideológicas previas, dio lugar a una peculiar Guerra Fría Cultural en América Latina. A la presión de las superpotencias sobre la cultura y los intelectuales latinoamericanos, Karina Jannello y Vania Markarian agregan el análisis de la autonomía desde la que intelectuales de distintos países latinoamericanos decidieron incorporarse al Congreso por la Libertad de la Cultura y a otras redes financiadas por la CIA o por los soviéticos.2 Finalmente, a la supuesta omnipresencia de la Guerra Fría en los procesos político-culturales latinoamericanos de la segunda mitad del siglo XX, diversos estudios sobre la nueva izquierda y la radicalización católica en América Latina enrostran la circulación y eficacia de ideas de izquierda europeas y tercermundistas. En efecto, como precisaron hace varios años, entre otros, Oscar Terán en el caso argentino, Marcelo Ridenti en el brasileño y Claudia Gilman a escala latinoamericana, las ideas del francés Jean-Paul Sartre y del argelino Frantz Fanon fueron centrales en la radicalización político-cultural de importantes franjas de las clases medias y populares.3 Pero la atención a esta radicalización no desplaza sino que reubica a la Guerra Fría. Fue para contrarrestar al entusiasmo revolucionario abierto por la Revolución Cubana y el tercermundismo que las derechas nacionalistas retomaron el esquema bipolar de la Guerra Fría como legitimación de la represión estatal y paraestatal que marcó la década del setenta de la mayoría de los países latinoamericanos. Otro descentramiento de la Guerra Fría para pensar la cultura política de los países latinoamericanos emerge del renovador programa de estudio de las ediciones comunistas en Brasil y Francia que coordinaron Jean Yves Mollier y Marisa Midori Deaecto y dio lugar a Edição e Revolução: Leituras Comunistas no Brasil e na França (Minas Geraes, Atelie Editorial-Editora UFMG, 2013). Y el descentramiento también se advierte, por un lado, en las investigaciones de Alejandro Dagfal, Hugo Vezzetti y Luciano García sobre el "campo psi" argentino, resultado de complejos flujos ideológicos con Francia y la Unión Soviética y, por otro, en la reconstrucción de la imagen de Oriente cuya circulación descubre Martín Bergel —desde una original lectura de Edward Said— en un amplio campo de publicaciones y de intelectuales argentinos y latinoamericanos que buscaron una alternativa a la crisis civilizatoria occidental.4 En el libro de 2018 destacado por Casals, Pettinà invoca a la historiadora inglesa Tania Harmer para sostener que la historia latinoamericana de la Guerra Fría "sigue esperando a ser escrita". Son indudables la concentración de los archivos en el Norte global así como las asimetrías entre el Norte y el Sur en cuanto a recursos financieros para investigar y al mercado editorial para difundir las investigaciones. Pero ello no ha impedido el mantenimiento de programas de investigación, la fundación de archivos y la edición de obras significativas. De ahí que tampoco debiera impedir a los historiados anglófonos cruzar las fronteras idiomáticas y socioculturales para recuperar las diversas investigaciones latinoamericanas que permiten descubrir el peso específico que tuvo la Guerra Fría en América Latina. Adrián Celentano 1 Gilbert M. Joseph, "Border crossings and the remaking of Latin American Cold War Studies", en Cold War History, Vol. 19, n° 1, 2019, pp. 141-170; Marcelo Casals, "Wich borders have not yet been crossed. A supplement to Gilbert Joseph's historiographical balance of the Latin American Cold War", en Cold War History, Vol. 20, n° 3, 2020, pp. 367-372; Gilbert M. Joseph "The continuing challenge of border crossing: a response to Marcelo Casals' commentary", en Cold War History, Vol. 20, n° 3, 2020, pp. 373-377. 2 Karina Jannello, "Los intelectuales de la GuerraFría. Una cartografía latinoamericana (1953-1961)" en Políticas de laMemoria, nº 14 (verano 2013/2014), pp. 79-101; Vania Markarian, Universidad, revolución y dólares. Dos estudios sobre la Guerra Fría cultural en el Uruguay de los sesenta, Montevideo, Debate, 2020. 3 Oscar Terán, Nuestros años sesentas, Buenos Aires, Punto sur, 1991; Marcelo Ridenti, O fantasma da revolução brasileira, Sao Paulo, UNESP, 2010 (2005); Claudia Gilman, Entre la pluma y el fusil. Debates y dilemas del escritor revolucionario en América Latina, Buenos Aires, Siglo XXI, 2003. 4 Alejandro Dagfal, Entre París y Buenos Aires. La invención del psicólogo (1942-1966), Buenos Aires, Paidós, 2008; Luciano García, La psicología por asalto. Psiquiatría y cultura científica en el comunismo argentino (1935-1991), Buenos Aires, Edhasa, 2016; Hugo Vezzetti, Psiquiatría, psicoanálisis y cultura comunista. Batallas ideológicas en la Guerra Fría, Buenos Aires, Siglo XXI, 2016; y Martín Bergel,El Oriente desplazado. Los intelectuales y los orígenes del tercermundismo en la Argentina, Bernal, UnQui, 2015.

[EN] The traditional financial theory proposes that the main objective of a company should be to maximize the wealth of its shareholders, which, in practice, means maximizing the market price of the securities they hold. This objective has generated an abundant literature and a wide controversy about the effects of financial decisions on the value of companies. In this sense, far from the situation of perfect markets analysed by Merton Miller and Franco Modigliani in their seminal works of 1958 and 1961, research in recent decades has shown the relevance of frictions in capital markets such as transaction costs, agency costs, bankruptcy costs or the taxes on the value of firms. In this context, there are many studies that have shown the tax consequences of the company's financial policies. From this perspective, the static trade-off theory establishes that the value of a company will reach its peak when the opposing effects of two forces are balanced: the tax deductibility of interest payments and the increase in bankruptcy costs associated with an increase of the level of debt. Likewise, dividends are also affected by the tax laws of the countries, given the different tax treatment of the distribution of cash compared to its retention. Within the imperfections of the financial markets, deserves special mention the agency theory approach, according to which dividends and debt can be effective instruments to reduce conflicts between the different stakeholders of the company. More specifically, the distribution of dividends or the increase of firm debt are believed to mitigate the possibility of opportunistic behaviour into the firms as dividends and debt reduce the resources under managers' control and are susceptible to be used in search of their interests and not to maximize the wealth of the investors. Precisely, the agency approach allows to incorporate informational asymmetries between insiders and outsiders, which endows the decisions of dividends and capital structure of a new function. Thus, these financial policies become signals that convey reliable information about the profitable investment opportunities available to the company. A feature of recent research in business finance and corporate governance is the international dimension that these studies have taken, addressing various institutional and legal environments. In this sense, the Law & Finance approach proposed by La Porta et al. (1999, 1997, 1998, 2000), according to which, two types of legal systems can be distinguished: countries whose legal systems come from the Anglo-Saxon or common law tradition tend to offer more adequate protection to investors than countries whose laws they are born in the context of civil or continental law. Taking this approach to the field of dividend policy, there are two hypotheses that explain the relationship between the legal structure of countries and the distribution of profits of companies. The first states that a legal system that offers adequate protection to investors boosts the distribution of dividends as a form of compensation for those shareholders (the outcome hypothesis). The alternative explanation raises that poor legal protection leads companies to distribute higher dividend ratios as a way to make up for the shortcomings of the environment (the substitute hypothesis). Both hypotheses have received considerable empirical support in different places and times. Combining the different theoretical approaches outlined above, it is worth asking whether the incidence of taxes on financial decisions can be modelled by the level of protection enjoyed by shareholders. In other words, the question arises about the relationships between the information transmitted by financial decisions in situations of low legal protection and the effect of taxes on such decisions. All this highlights the convenience of jointly analysing the mechanisms of corporate governance and taxes when investigating financial policies. In parallel with these investigations, there is another line of research that has studied the interaction between the institutional environment and the financial structure of the company, showing how the quality of corporate governance practices influences the relationship between taxes and indebtedness decisions. According to this view, the possible transfers of resources between shareholders and creditors are translated into variations in the flows subject to tax. And, given that the institutional environment modifies the possibility of such transfers, a concatenation is established between the three elements (taxes, legal environment and financial policy) that advise their joint study. Starting from the theoretical foundations previously outlined, this doctoral thesis seeks to perform an analysis of the dividend policy and the capital structure of Brazilian companies. Somehow, paradoxical as it may seem, a doctoral thesis is the result of the doctoral student's individual work and the imprint that his directors, professors and colleagues leave on the Doctorate Program. Therefore, it is not surprising that this doctoral thesis is inscribed in a field of corporate finance broken by professors of the Interuniversity Doctorate Program in Research in Business Economics. When writing these pages, it is inevitable to evoke previous doctoral theses such as that of professors Valentín Azofra Palenzuela on the explanatory factors of the capital structure of Spanish companies, Alberto de Miguel Hidalgo on the interrelation of investment decisions, financing and dividends, Juan Antonio Rodríguez Sanz on the ownership structure or Chabela de la Torre and Ignacio Requejo on the influence of the ownership structure on the company's financial strategy. This means the choice of research topic, with which I have tried to benefit from the knowledge of those who preceded me and, at the same time, take a step forward in the path of knowledge. The choice of Brazil is not capricious but this country is a unique case for the joint study of the tax and institutional effects on corporate decisions since, despite offering relatively little legal protection to minority shareholders and suffering from certain shortcomings in terms of corporate governance, in recent years it has made a considerable effort to improve the quality of its institutional environment while at the same time implementing significant changes in its fiscal order. Both actions have mutual implications and constitute a unique opportunity to advance our knowledge on the subject. Thus, in order to compensate for the deficient protection of minority shareholders the Stock Exchange of the State of Sao Paulo (B3), which is the official Stock Exchange of Brazil, created in 2000 the so-called Novo Mercado (NM). Companies voluntarily joining it are obliged to adopt corporate governance practices that are stricter than those required by national legislation. This process is based on the idea of "functional convergence" proposed by Coffee (1999), according to which, in countries with institutional deficiencies, due to the difficulties of reforming national legislation, it must be the capital markets that take the initiative in adopting government improvement measures. Aiming at granting companies a certain margin of time to gradually improve their operation until they were able to meet the requirements of the NM, the B3 launched the Level 1 and Level 2, which are intermediary categories with stricter requirements of corporate governance than those required by Brazilian legislation and, at the same time, less demanding than those of the NM. In this way, the Brazilian setting constitutes a unique environment for studying the effects of corporate governance on the financial decisions of companies by bringing together companies that, despite being subject to the same institutional framework, are exposed to different requirements of corporate governance. Therefore, the present doctoral thesis prevents the results and conclusions from being biased by institutional and cultural differences between countries. Likewise, the Brazilian case allows us to assess the extent to which a market-level reform that did not have the support of national legislative changes, can replace or amend the institutional deficiencies of the country as a whole. Another institutional aspect in which we deepen in this doctoral thesis is related to the influence of the Brazilian tax legislation in the financial decisions of companies. Specifically, Brazil is the only emerging country that has implemented a system of Allowance for Corporate Equity (ACE), called "interest on equity (IOE)", whose purpose is to allow companies to deduct a notional interest rate for the use of own resources and not only for the use of the debt. A peculiar feature of the IOE is that companies can only enjoy tax deductions by its use when they distribute part of their equity to shareholders. Thus, the IOE is a clear alternative to payout and, in spite of presenting features and functions quite similar to dividends, such as its usefulness to reduce agency conflicts, to signal investment opportunities, to attract shareholders who value the feeling of security, and to provide shareholders liquidity, its tax treatment presents great differences, since, when considered a financial expense, it can be deducted in the balance of the company before the calculation of taxes, thus generating a tax deduction. On the other hand, in the case of dividends, the tax base is determined by the adjusted net profit, without the company being able to obtain tax deductions for the distribution of dividends. The tax treatment of personal income is also different for dividends and for IOE. While shareholders are tax exempt when they receive dividends, they taxed on incomes from IOE and this tax varies according to the type of beneficiary shareholder. Therefore, the tax advantages derived from the use of IOE depend not only on the capital structure of the company but also on its ownership structure. This feature opens the door to consider whether the importance of fiscal considerations in the payout policy may be conditioned by the identity of the company's shareholders. In the same way, the existence of the IOE allows companies to have an alternative non-debt tax shield, with lower bankruptcy costs and that also retains the non-fiscal characteristics of the debt, such as, its signalling effect or its capacity to mitigate agency conflicts. Based on the framework described above, the main objective of this doctoral thesis is to analyse, using the idiosyncrasies of the Brazilian institutional framework, the influence of corporate governance, taxes and the ownership structure on dividends and capital structure decisions of companies. This general objective is specified in two more specific objectives: 1- To analyze if and how the adoption of the NM affects the dividend policy and the capital structure of Brazilian companies. 2- Based on the relevance of taxes in payout decisions and the capital structure of companies, to analyze the moderating role of the ownership structure in said relationship. This sequence of objectives structures this doctoral thesis. Thus, after this introduction, in Chapter 2 we consider the effect of the incorporation into the NM on financing and dividend decisions. This chapter describes the characteristics of the Brazilian institutional environment and the reform undertaken by B3 to improve the protection of investors through the creation of different market levels. Then, we verify if and how the incorporation to the NM and the intermediate levels affects the decisions of dividends and corporate financing, both as mechanisms used by companies to mitigate their agency conflicts. Next, we incorporate the differences in taxation between dividends and IOE to verify the moderating effect of firms' ownership structure. This analysis is carried out in Chapter 3, in which we detail the tax consequences of the use of dividends and IOE for companies and shareholders and, subsequently, we verify whether and how the identity of the dominant shareholders affects the relationship between taxes and payout decisions. A similar study is undertaken in Chapter 4, in which the effect of the IOE on the capital structure is extended. In this chapter, we expose the similarities between leverage and the IOE and also the differences in their tax treatment, which depend on the ownership structure of firms. Subsequently, in this chapter we analyze the effect of taxes on financing decisions, incorporating the moderating role of the identity of the shareholders in this relationship. This doctoral thesis is closed with a chapter that contains the main conclusions, the results are discussed from a critical perspective and future lines of research are suggested. To facilitate the overview of our research, in Figure 1 we propose a simplified scheme. By way of advancement of our results, we find that Brazilian companies voluntarily incorporated into the NM distribute less dividends and are less leveraged than their counterparts operating in the other segments of B3. This suggests that the NM plays an important role and can be an element that replaces other mechanisms aimed at improving trust between companies and shareholders, namely, dividends and debt. The results also indicate that the incidence of taxes on payout and capital structure decisions depends on the ownership structure of the companies. We have detected that in companies with a predominant presence of individual (or family) shareholders or with pyramidal structures in their chain of owners, taxes seem to be a determining factor in financing or payout decisions. Contrariwise, in companies owned by institutional shareholders, fiscal considerations appear to be irrelevant in the formulation of financial policy. Given the above, this doctoral thesis posits that reforms undertaken in the capital markets stand as an alternative mechanism to overcome the legal deficiencies that prevent countries from improving the quality of the corporate governance. We also conclude that the importance of taxes in corporate decisions is affected by the ownership structure. This indicates that the effectiveness of the efforts undertaken to reduce the debt tax bias is conditioned by the corporate shareholding structure.

Introduzione Nella chiesa romana si onora il sacrificio di due alpini, morti a Kabul per fare il loro dovere e guadagnare un pugno di euro in più. Fuori invece va in scena l'ingorgo dello status symbol: decine e decine di auto blu, tutte con autista, che cercano di depositare le autorità al riparo dalla pioggia. E poi trovare un parcheggio.1 Alla morte di ogni soldato italiano in missione all'estero la basilica di Santa Maria degli Angeli, la chiesa utilizzata dallo stato per le sue funzioni, è gremita di politici di ogni colore: ministri, sottosegretari, onorevoli, segretari di partito: tutti devono essere presenti a un dolore privato che diventa anche un rituale pubblico Ad ogni funerale di soldato italiano morto all'estero questa scena si ripete: la politica rinnova i suoi riti, e per mezzo dei suoi rappresentanti più autorevoli convince la nazione della giustezza di mantenere la pace nel mondo morendo nei deserti dell'Afghanistan o dell'Iraq perché gli interessi nazionali si troverebbero molto al di là dei nostri confini. Ne sono un esempio i funerali delle vittime di Nassiriya nel 2003: i politici erano in prima fila, mentre alcuni familiari hanno trovato posto solo in piedi, verso l'uscita della chiesa. Il lutto della nazione quando muoiono i soldati italiani all'estero è diventato un rituale canonizzato: le salme sono accolte all'aeroporto militare di Ciampino da qualche alta personalità, a volte persino il presidente della Repubblica, e portate alla basilica di Santa Maria degli Angeli per un rituale pubblico. Si potrebbe ipotizzare che durante il servizio militare di leva non ci siano stati decessi, e che l'Italia non fosse quindi abituata a veder morire i propri militari; per questo ognuno di loro oggi diventa un eroe, anche se muore di malaria o mentre fa jogging. In realtà molte persone sono morte o hanno subito menomazioni durante il servizio militare di leva, prima delle missioni di pace all'estero, iniziate stabilmente nel 1992. I molti decessi, a volte a causa dell'inefficienza della sanità militare, sono passati sotto silenzio, ma questo silenzio ha riguardato anche i pochi caduti nel mantenimento della pace internazionale. I caduti nell'eccidio di Kindu del 1961 ebbero la medaglia d'oro al valor militare alla memoria solo nel 1994, più di trent'anni dopo. Uno dei primi morti nelle missioni di peace-keeping, il capitano Carlo Olivieri, ha ricevuto una medaglia solo nel 1991, ben diciotto anni dopo il suo decesso, avvenuto all'inizio della guerra del Kippur. Non si sa se alte personalità fossero presenti ai funerali, ciò che è certo è che la sua morte venne ignorata dalla quasi totalità della stampa. La costruzione delle nostre glorie militari come soldati e portatori di pace, quindi, non si è imposta subito all'opinione pubblica italiana, e non è stata, fino agli anni '90, uno dei pilastri del concetto di nazione. Questa tesi si propone di indagare la presentazione che viene fatta dei militari in quasi quarant'anni di storia italiana, dal 1968, l'anno della contestazione, al 2003, l'anno della strage di Nassiriya; scopo è osservare quali siano le fondamenta di questo mito e quale fosse l'immagine dei soldati negli anni precedenti a questa costruzione. Dal campo di ricerca della prima parte di questo lavoro è stata esclusa la stampa quotidiana e quella di approfondimento politico; si è preferito concentrarsi su periodici di costume a grande tiratura come "Oggi" e "Gente", e sul settimanale cattolico "Famiglia Cristiana". Nella seconda parte si è trattato di mezzi più propriamente popolari come i fumetti e il cinema. Le testate utilizzate per la prima parte sono state scelte perché popolari, a grandissima tiratura, ufficialmente non politicizzate, e perché i loro lettori vi ricercavano principalmente notizie che non avevano niente a che fare con la vita militare. La persone che leggevano "Oggi" o "Gente" erano infatti interessate alle feste dei divi, agli amori della famiglia reale in esilio e alle vicende, spesso presenti, della famiglia Mussolini. Con la lettura di articoli sull'esercito, sui militari e sulla politica si esercitava un orientamento a favore della maggioranza di governo e si ribadiva, nonostante gli scandali, nonostante il nonnismo, nonostante i graduati autoritari, che il paese e le sue forze armate erano sani. Le riviste prese in esame hanno grandi tirature, ma queste, anche se importanti, non danno la dimensione della circolazione delle copie dei tre settimanali presi in esame. Questo genere di produzione editoriale infatti viene lasciato nelle sale d'aspetto dei medici e degli uffici e quindi ogni copia passa di mano molte volte prima di essere gettata. Il carattere, per "Oggi" e "Gente", di periodici di costume, adatti, appunto, ad essere lasciati in luoghi pubblici per intrattenere le persone, fa sì che coloro che le sfogliano non siano solamente lettori intenzionali. Per "Famiglia Cristiana" il fatto che sia spesso comprata da parrocchie e oratori fa sì che il pubblico potenziale sia quello dei cattolici praticanti italiani, in diminuzione negli anni 2000, ma altissimo nei primi anni di diffusione della rivista. Nel periodo preso in esame le copie vendute da "Oggi" e da "Gente" si sono mantenute stabilmente oltre le 600.000 per il settimanale della Rizzoli fino al 1990, e sopra le 500.000 per il periodico della Rusconi. Nel 1990 "Gente" vendeva 755.000 copie, contro le 613.000 di "Oggi".2 "Famiglia Cristiana", invece, si colloca ben al di sopra delle vendite dei giornali precedenti, superando durante gli anni '70 e fino ai '90 il milione di copie, anche grazie alla distribuzione tramite le parrocchie e l'associazionismo cattolico.3 "Oggi" e "Gente" hanno lo stesso pubblico di riferimento e si contendono i lettori: non sono settimanali femminili come "Anna", "Gioia" o "Cosmopolitan", ma hanno un pubblico in prevalenza femminile, benché vengano letti anche da maschi. Il pubblico dei giornali è vario, ma solitamente di cultura medio bassa e avanti con gli anni, come dimostrano i molti servizi sulle glorie delle guerre passate o, con gli anni '80 e l'esplosione del culto di Padre Pio, dei miracoli del frate di Pietralcina, soprattutto in "Gente". Come nota Ugo Volli: La lettura di un settimanale non è mai un "genere di prima necessità", né sul piano informativo né su quello dell'intrattenimento e della condivisione dei gusti e degli interessi (che sono i motivi fondamentali del consumo di comunicazione di massa). Non si apprende da un settimanale né lo scoppio di un guerra, né l'ubicazione di una farmacia aperta o il programma di un cinema, né la propria identità sociale[.] Le notizie che un settimanale può dare, se sono significative, in linea di massima sono state ricevute prima dalla televisione e poi dai quotidiani; si tratta dunque di una "terza lettura", che si giustifica solo con un taglio particolare, con un'identificazione forte di valori e interessi.[.] Le sorelle Carlucci, Clinton, il campionato di calcio, la Lega Nord, la ricerca biologica trovano posto su "Novella 2000", su "Panorama" e su "Gente"; la differenza sta negli spazi, nell'ordinamento e nell'inquadratura delle notizie, nella conoscenza presupposta dal lettore.4 "Oggi" e "Gente" presentano caratteristiche simili e si possono collocare a metà tra "Panorama" e "Novella 2000": vi sono articoli ed editoriali in cui si prende posizione sui fatti politici, ma la gran parte dei servizi è dedicata alle cronache mondane, ai consigli pratici e ai fatti di costume. "Famiglia Cristiana" presenta alcune caratteristiche particolari, che la differenziano in parte dagli altri due periodici: era distribuito nelle parrocchie e spesso letto per i suoi articoli di argomento religioso; anche qui il servizio militare e il ruolo delle forze armate erano argomenti secondari, ma venivano così a conoscenza di un pubblico molto variegato per idee e convinzioni, dai cattolici conservatori al cattolicesimo democratico nato dopo il Concilio Vaticano II. Tutte queste persone, che spesso dibattono nelle interessanti "Lettere" al settimanale, pur essendo espressione di un mondo molto diverso al suo interno, leggono gli stessi articoli sull'esercito e la leva, formandosi quindi un'opinione grazie al settimanale cattolico. La scelta dei settimanali è quindi motivata dal fatto che questi siano una lettura di "terza scelta", che rispecchia valori di appartenenza più che fornire notizie. Coloro che acquistano una copia di "Oggi" e "Gente", cercano una lettura d'evasione e desiderano far parte di un mondo di dive, teste coronate, ricchi imprenditori. A lato dei servizi principali dei settimanali, nel presentare l'attualità politica e i problemi del paese, i direttori e i giornalisti ne danno una presentazione funzionale all'universo piccolo-borghese di riferimento dei lettori. Un modo nuovo di presentare i militari in missione all'estero ha inizio con la morte di Filippo Montesi, giovane marò di leva caduto nel 1983 durante la missione di mantenimento della pace in Libano. Se la morte di Olivieri era avvenuta nel silenzio della stampa, Montesi riceve invece notevole attenzione mediatica, divenendo il prototipo del caduto nelle missioni all'estero. Il rituale pubblico era ancora da perfezionare e i funerali si svolsero a Pesaro, vicino alla sua città natale; egli ricevette solo una semplice croce di guerra, a fronte di medaglie d'oro al valore dell'esercito che saranno concesse poi a morti di malattia. Ciò nonostante, per l'opinione pubblica è lui, e non Carlo Olivieri, il primo caduto in una missione di pace. Con l'impegno internazionale dell'Italia all'estero, iniziato stabilmente con la guerra del Golfo, la retorica che si era usata in Libano per la morte di Montesi viene affinata e fatta propria dai media: stampa, televisione, radio. È infatti con la guerra del Golfo e in seguito con la missione in Somalia che la costruzione dell'italiano come portatore di pace e buon soldato si impone all'opinione pubblica; viene fatta propria anche dalla stampa periodica presa in esame, accanto ai fatti di costume. Proprio perché queste testate trattano di tutt'altro vengono lette da un pubblico meno politicizzato e più suggestionabile da una storia confezionata con buona dose di sentimento, abnegazione al dovere e commozione. Nassiriya è stata il punto di arrivo di questo processo: tutti i partiti politici, dai postfascisti ai postcomunisti, hanno aderito alla retorica nazionale di quei giorni, accettando senza riserve l'immagine del soldato come costruttore di pace. I periodici, anche "Famiglia Cristiana" che era contraria alla guerra, hanno magnificato le virtù dei soldati italiani; il settimanale cattolico è giunto ad affermare in un articolo del presidente di Pax Christi, Tommaso Valentinetti, che colui che manifesta per la pace e il soldato in missione umanitaria percorrono lo stesso sentiero. Con Nassiriya si è imposto dunque un pensiero unico e un modo di guardare alle vittime che le ha per sempre canonizzate in una retorica funzionale ai disegni dello Stato. Il secondo tipo di fonte preso in esame in questo lavoro sono i film, le fiction e i fumetti riguardanti la vita militare. Il percorso, autonomo fino a un certo punto da quello dei settimanali, inizia poi a convergere con quello della carta stampata, e il paradigma del soldato di pace si impone anche nel cinema (nonostante i molti film nei quali l'esperienza della leva è messa alla berlina). Per un certo periodo a determinati prodotti cinematografici ne corrispondono di grafici. Il fumetto, però, dopo gli anni '90 diviene sempre meno una forma di intrattenimento popolare e acquista il ruolo di mezzo di comunicazione colto, che si esprime attraverso la forma più raffinata della graphic-novel; da questo momento il cinema e la fiction restano i mezzi privilegiati con cui si forma l'immagine dei militari italiani. Con gli anni '60 abbiamo molti film di guerra a basso costo a imitazione dei modelli americani: ambientati nella seconda guerra mondiale, con trame avventurose, vi si celebrano il valore e il coraggio. Questi lungometraggi hanno come specchio i fumetti di guerra, spesso pensati per il mercato inglese, disegnati in Italia o in Sudamerica (e poi riproposti in Italia su licenza). Si tratta, per tutte e due le fonti, di prodotti popolari, adatti a un pubblico non molto colto e con storie elementari e lineari. Nei fumetti, di solito, l'universo femminile, è quasi assente, e le storie preferiscono concentrarsi sul valore e il coraggio maschili. Nei film sui militari, di cui un esempio sono i "musicarelli", le donne sono presenti, la storia d'amore è sempre casta e sottintende una morale sessuale tradizionale, derivata dalla mentalità contadina. Gli scherzi in caserma e il nonnismo sono assenti; l'aspetto deteriore della vita militare che viene presentato è invece quello della posizione di potere per ottenere piccoli vantaggi personali, spesso indirizzati ad ottenere lo status della classe sociale più elevata. Con gli anni '70 e l'avvento della commedia scollacciata, i film diventano farse volgari, nelle quali è esagerato in modo comico il mondo militare, e la censura su alcune delle peggiori situazioni in caserma viene meno; vi sono gli scherzi tipici del nonnismo, viene presentato il sesso (in varie forme: riviste pornografiche, prostitute, apprezzamenti alle ragazze) come una delle ossessioni del servizio militare. Ciò accade in parallelo anche per i fumetti erotici a basso costo, che condividono il linguaggio e le aspirazioni dei soldati con le commedie. La commedia di questo tipo inizia a decadere con l'inizio degli anni '80, ma i suoi cliché, i suoi registi, i suoi sceneggiatori, e in parte i suoi attori, entrano nelle nuove serie sui militari che riescono, utilizzando la struttura dei vecchi prodotti, a presentare i militari come seri ed efficienti. All'inizio degli anni '90 il cambiamento nella presentazione dei militari avviene con i prodotti per la televisione: "College", "Classe di ferro" e "Aquile". Qui si riprendono i temi della commedia degli anni '70, depurati delle volgarità più evidenti e dei toni più caricaturali; si presentano i militari come buontemponi dediti agli scherzi, ma efficienti quando si tratta di svolgere compiti seri. Lo slittamento nella presentazione dei militari è poi diventato definitivo negli anni 2000: vengono abbandonati i cliché della commedia e, tramite prodotti di largo consumo come le fiction, l'immagine dell'italiano portatore di pace viene canonizzata e resa accessibile a un pubblico più vasto di quello che occupa gli schermi cinematografici. I prodotti più seri e ragionati, interessanti anche da un punto di vista cinematografico, non raggiungono gli ascolti e le cifre dei film per la televisione, e quindi restano confinati a un mercato di appassionati o quasi.

Deze studie behandelt een betrekkelijk nieuw en nogal omstreden beginsel van internationaal recht: 'permanente soevereiniteit over natuurlijke hulpbronnen' (PSNH). Vanaf het begin van de jaren '50 is dit beginsel in VN-verband gepropageerd door met name Latijns-Amerikaanse landen als rechtsbasis voor hun eis tot vrije beschikkingsmacht over hun natuurlijke hulpbronnen, inclusief het recht tot het beëindigen van 'ongelijke verdragen' en concessies uit het verleden en het recht op nationalisatie van buitenlands eigendom. Al snel werd PSNH ook een belangrijk onderdeel van het streven om aan koloniale volken naast politieke ook economische zelfbeschikking toe te kennen. Ook werd PSNH als recht van alle volken in het eerste artikel van de VNMensenrechtenverdragen vastgelegd. Later fungeerde PSNH als één van de speerpunten in het streven van ontwikkelingslanden naar een Nieuwe Internationale Economische Orde (NIEO); recentelijk als de rechtsgrondslag voor de eis van staten om zelf hun ontwikkelings- en milieubeleid te mogen bepalen. De studie heeft drie doelstellingen. Ten eerste het in kaart brengen van het ontstaan en de ontwikkeling van het beginsel van PSNH in de politieke organen van de Verenigde Naties. Dit op basis van bestudering van primaire bronnen zoals ontwerpresoluties, amendementen daarop, notulen van discussies daarover in commissies en werkgroepen van de Algemene Vergadering en de Economische en Sociale Raad van de Verenigde Naties, en teksten van VN-resoluties. De vooronderstelling is dat VNresoluties een cruciale rol hebben gespeeld bij de formulering en internationale erkenning van PSNH als rechtsbeginsel. Ten tweede om aan te tonen dat dit beginsel niet in een juridisch vacuüm is ontstaan maar onderdeel is van een voortdurende beweging gericht op aanpassing van het volkenrecht aan nieuwe politieke realiteiten, zoals dekolonisatie, de speciale positie van ontwikkelingslanden, het toenemende belang van transnationale ondernemingen en—vooral de laatste jaren—milieubederf. Een derde doelstelling van de studie is om bewijs te leveren voor de juistheid van de vooronderstelling dat in het moderne volkenrecht het PSNH-beginsel voor staten en volken niet alleen rechten maar evenzeer plichten met zich meebrengt. De juridische status van het beginsel van PSNH is altijd tamelijk omstreden geweest. Enerzijds heeft dit te maken met zijn ontstaansgeschiedenis; de juridische merites van rechtsvorming via aanbevelingen van de politieke organen van de Verenigde Naties vormen een bron van onenigheid in doctrine en praktijk. Anderzijds heeft dit te maken met het onderwerp: PSNH raakt aan politiek gevoelige onderwerpen, zoals onteigening van buitenlands eigendom en schadevergoeding daarvoor, behandeling van buitenlandse investeerders, beslechting van geschillen, statenopvolging, economische dwang, niet-inmenging in binnenlandse aangelegenheden, en na- tionaal milieubeheer. Het beginsel werd ingeroepen bij controversiële nationalisaties zoals die door Iran in 1952 (Anglo-Iranian oliemaatschappij), door Egypte in 1956 (Suezkanaal-maatschappij), door Indonesië in 1958 (Nederlandse ondernemingen), door Algerije in 1961 (Frans bezit), door Chili in 1972 (koper) en door Libië in de jaren '70 (olie). Het diende mede als rechtsgrondslag voor een aanzienlijke uitbreiding van de rechtsmacht van kuststaten over natuurlijke hulpbronnen in aangrenzende zeegebieden, met name in het kader van de erkenning van een omvangrijker continentaal plateau (olie, gas) en een exclusieve economische zone (naast olie en gas ook levende hulpbronnen). Meer recent heeft PSNH een belangrijke rol gespeeld bij multilaterale milieu-onderhandelingen, bijvoorbeeld bij die over het beheer van bossen en over bescherming van biologische diversiteit. Deel I van de studie behandelt de ontwikkeling van het beginsel van PSNH vanaf 1945. Aangetoond wordt dat aard en inhoud van het PSNH-beginsel door de jaren heen sterk aan veranderingen onderhevig zijn geweest en dat de eraan gerelateerde rechten en plichten dikwijls een reactie vormden op, zo niet als instrument dienden voor, politieke veranderingsprocessen. Daarom is steeds gepoogd de politieke achtergrond te schetsen van de ontwikkeling van het PSNH-beginsel. Zo waren in opeenvolgende perioden onder meer van invloed: naoorlogse zorgen over de toegang tot en het optimaal gebruik van natuurlijke hulpbronnen, dekolonisatie, economisch nationalisme, verslechterende handelsvoorwaarden voor ontwikkelingslanden, Koude Oorlogrivaliteit, het formuleren van de rechten van de mens, het debat over een NIEO, speciale aandacht voor de positie van niet-onafhankelijke volken en bezette gebieden, het bevorderen van buitenlandse investeringen in ontwikkelingslanden, toenemende aandacht voor een goed milieubeheer en voor een zorgvuldig gebruik van natuurlijke hulpbronnen en de geleidelijke erkenning van de rechten en de speciale belangen van (inheemse) volken binnen gevestigde staatsverbanden. Deze ontwikkelingen hadden ook invloed op de vraag wie als subjecten van het PSNH-beginsel kunnen gelden. Achtereenvolgens waren dat 'onderontwikkelde landen', volken, ontwikkelingslanden, alle staten, inheemse volken, en veelal combinaties daarvan. Eveneens hebben zich diverse ontwikkelingen voorgedaan ten aanzien van het object waar het beginsel van PSNH op van toepassing is. Aanvankelijk had PSNH betrekking op alle natuurlijke rijkdommen (o.a. bos, land, meren, rivieren en zee) en hulpbronnen (zowel levende zoals vis als niet-levende zoals olie, aardgas en andere mineralen) binnen het gebied van een bepaalde staat, later ook op de daaraan gerelateerde economische aktiviteiten en nog weer later op alle rijkdommen (dus ook de niet-natuurlijke) en alle economische aktiviteiten (waaronder ook banken en ander dienstenverkeer). Maar de laatste jaren richt PSNH zich weer voornamelijk op natuurlijke rijkdommen en hulpbronnen. Dit is een wenselijke ontwikkeling omdat het beginsel van PSNH in oorsprong vooral op natuurlijke rijkdommen en hulpbronnen is toegesneden en in zijn algemeenheid weinig heeft toe te voegen aan wat reeds—op grond van met name economische soevereiniteit van staten en internationaal investeringsrecht—geldende regels zijn. 474 Sovereignty over Natural Resources Deel II van de studie behandelt drie belangrijke onderdelen van internationaal recht waarin het beginsel van PSNH een belangrijke rol heeft gespeeld: internationaal investeringsrecht, het recht van de zee en internationaal milieurecht. In bijna geen ander onderdeel van het internationale recht is de botsing tussen geïndustrialiseerde landen en ontwikkelingslanden zo scherp geweest als in het internationale investeringsrecht. Hier stonden de aanhangers van de 'internationale minimumstandaard', die aan internationaal recht ontleende regels voor de behandeling van buitenlandse investeerders voorschrijft, tegenover die van de 'nationale standaard' (naar een Argentijns staatsman ook wel de 'Calvo doctrine' genoemd), die weliswaar in gelijke behandeling van buitenlandse en nationale investeerders voorzag maar voorts bemoeienis van het volkenrecht daarmee afwees op grond van het verbod van inmenging in binnenlandse aangelegenheden. Vooral betreffende de onteigening van buitenlandse eigendommen zijn de conflicten over de geldende rechtsregels hoog opgelopen, zowel binnen als buiten de Verenigde Naties. De Verenigde Naties hebben daarbij vaak, maar zeker niet altijd, als nuttig forum van overleg tussen 'West' en 'Zuid' en als uitlaatklep voor politieke emoties dienaangaande gefungeerd en een basis gelegd voor compromissen en een gemeenschappelijke rechtsopvatting. De studie toont aan dat in de laatste jaren op het terrein van de regulering van buitenlandse investeringen een belangrijke trend naar pragmatisme kan worden waargenomen. Op nationaal niveau komt dit tot uitdrukking in nader uitgewerkte investeringswetgeving in veel ontwikkelingslanden en op bilateraal niveau in een sterk groeiend aantal bilaterale investeringsverdragen, ook tussen ontwikkelingslanden onderling. Op (inter-)regionaal niveau uit zich dit in regionale investeringsverdragen en samenwerking van de Europese Unie met 70 ontwikkelingslanden (in het kader van de Lomé-Conventie) en op mondiaal niveau in de uitbreiding van de werkzaamheden van aan de Wereldbank gelieerde instellingen ter bevordering en bescherming van buitenlandse investeringen. Tevens vormt een toenemende institutionalisering en internationalisering van de methoden voor het beslechten van geschillen een belangrijke aanwijzing voor deze trend naar pragmatisme. Een en ander leidt uiteindelijk tot bewijs voor de juistheid van de stelling dat het internationale investeringsrecht niet langer op 'nationalisatie' maar veeleer op internationale samenwerking is gericht. De studie behandelt de uitbreiding van rechtsmacht van kuststaten over aangrenzende zeegebieden en de natuurlijke hulpbronnen daarin (territoriale zee, continentaal plateau en exclusieve economische zone (EEZ)). De hiermee gepaard gaande sluipende uitbreiding van rechtsmacht ('creeping jurisdiction') van kuststaten kon ternauwernood een halt worden toegeroepen door het bestempelen van de diepzeebodem en zijn rijkdommen als 'gemeenschappelijk erfdeel der mensheid'. De ontwikkeling, juridische status en implicaties van dit nieuwe rechtsbeginsel worden besproken, evenals de methoden voor vreedzame internationale beslechting van geschillen over afbakeningskwesties (bijvoorbeeld betreffende eilanden en rotsen en de wateren daaromheen of de EEZ en het continentale plateau), het gebruik van gedeelde natuurlijke hulpbronnen (zoals vis of grensoverschrijdende gas- en olievelden) en de bescherming en het beheer van het zeemilieu. Op het eerste gezicht lijken enerzijds de voortdurende uitbreiding van de rechtsmacht van kuststaten over zeegebieden en hun natuurlijke hulpbronnen en anderzijds de bestempeling van de oceaanbodem en zijn rijkdommen tot 'gemeenschappelijk erfdeel der mensheid' met elkaar in strijd te zijn. Immers, de erkenning van exclusieve exploitatierechten op een zeer omvangrijk continentaal plateau en een 200 mijls-exclusieve economische zone gaan ten koste van wat volgens de initiatiefnemers van dit beginsel tot het erfdeel van de mensheid had moeten behoren; het internationale regime kan pas daar beginnen waar nationale regimes eindigen. Nader beschouwd zijn deze ontwikkelingen evenwel te verenigen. Beide vormen pijlers van het streven van ontwikkelingslanden naar bescherming tegen de monopolistische positie van technisch hoog ontwikkelde landen. Op basis van het beginsel van de vrijheid van de zee konden de hoog ontwikkelde landen zo dicht mogelijk met hun vissersvloten en olieplatforms bij de kusten van minder ontwikkelde landen komen, en wilden zij de vrijheid behouden voor hun mijnbouwondernemingen om de oceaanbodem te exploiteren. Daarnaast ging het de ontwikkelingslanden om medezeggenschap in internationaal politiek verband over een nieuw rechtsstelsel voor de zeeën en oceanen. Ten slotte streefden zij naar deelname aan de exploratie en exploitatie van de rijkdommen van de diep-zeebodem, met alle gunstige neveneffecten van dien zoals training van personeel en overdracht van technologie. In deze zin kan ook in het recht van de zee een tendens worden waargenomen van 'voortkruipende rechtsmacht' naar internationale samenwerking die rechtvaardigheid en doelmatigheid nastreeft. Ook in het internationale milieurecht spelen de beginselen van territoriale soevereiniteit en soevereiniteit over natuurlijke hulpbronnen een centrale rol. Dit wordt geïllustreerd aan de hand van de ontwikkeling en codificatie van internationaal milieurecht met inbegrip van internationale jurisprudentie terzake. Gesteld wordt dat zich op dat terrein andere opvattingen aangediend hebben die thans reeds van grote invloed zijn op de toepassing en interpretatie van het PSNH-beginsel. Daartoe behoren onder meer: een goede zorg voor het milieu, goed nabuurschap, aansprakelijkheid van staten, de plicht tot samenwerking, het gemeenschappelijk belang van de mensheid als geheel (inclusief toekomstige generaties) bij een leefbaar milieu en duurzame ontwikkeling. Het hoofdstuk over internationaal milieurecht concludeert dat de soevereiniteit van staten over natuurlijke hulpbronnen tegenwoordig niet alleen rechten maar ook talrijke plichten met zich meebrengt, met name met betrekking tot een zorgvuldig beheer en een duurzaam gebruik van natuurlijke hulpbronnen. De studie verwerpt derhalve de stelling dat soevereiniteit in zijn moderne betekenis in de weg zou staan van een goed internationaal milieubeleid. Deel III van de studie ten slotte gaat in op de inhoud van de rechten zowel als de plichten, met name van staten, die (mede) uit het beginsel van PSNH voortvloeien. De rechten betreffen onder meer: het recht om de beschikkingsmacht over natuurlijke hulpbronnen vrijelijk uit te oefenen, het recht om deze te beheren en te exploiteren ten bate van de nationale economische ontwikkeling overeenkomstig het eigen ontwikkelings- en milieubeleid, het recht om buitenlandse investeringen te reguleren, het recht op een billijk deel van het gebruik van grensoverschrijdende natuurlijke hulpbronnen en het recht om onder bepaalde voorwaarden buitenlands eigendom te ont476 Sovereignty over Natural Resources eigenen of te nationaliseren. Voor wat betreft de plichten gaat het met name om de plicht van staten om natuurlijke hulpbronnen te exploiteren ten bate van de nationale economische ontwikkeling en het welzijn van de eigen bevolking, de plicht om de rechten en belangen van inheemse volken te respecteren, de plicht tot een zorgvuldig beheer en duurzaam gebruik van natuurlijke hulpbronnen, de plicht om grensoverschrijdende natuurlijke hulpbronnen rechtvaardig te delen, de plicht om buitenlandse investeerders redelijk te behandelen en de plicht om in geval van onteigening aan bepaalde internationaalrechtelijke voorwaarden te voldoen, waaronder de vereisten van onteigening in het algemeen belang, het betalen van een schadevergoeding en een goede rechtsbedeling. Behalve voor PSNH-gerelateerde rechten en plichten tekent zich in de laatste jaren in de PSNH-discussie ook een herleving van de aandacht voor het beginsel van zelfbeschikking in een niet-koloniale context af. Een conclusie van het boek is in dit verband dan ook dat de huidige PSNH-discussie opnieuw gevoed lijkt te worden uit zijn oorspronkelijke wortels, zelfbeschikking van volken en soevereiniteit van staten. De studie toont aan dat de door sommige staten en volkenrechtskundigen geventileerde stelling dat het beginsel van PSNH dwingend recht (ius cogens) zou zijn moet worden verworpen. Aan de daartoe in het Weens Verdragenverdrag gestelde criteria is niet voldaan. De stelling dat het beginsel van PSNH in een tijdperk van globalisering, fragmentatie, integratie en privatisering van voornamelijk rechtshistorische waarde zou zijn wordt ook verworpen. Dit mede op grond van het feit dat het PSNHbeginsel zich regelmatig aan nieuwe ontwikkelingen en veranderde (rechts-)opvattingen heeft aangepast en omdat de soevereiniteit van staten in feite nog steeds de ruggegraat van de internationale samenleving vormt. In een wereld in verandering en met een gebrekkige internationale organisatie is dit ook een wenselijke zaak, temeer daar in het moderne volkenrecht soevereiniteit niet louter als basis van rechten fungeert maar ook als bron van verantwoordelijkheid, toerekenbaarheid en aansprakelijkheid. Dit wordt aangetoond met vele voorbeelden van veranderende bewoordingen in VNresoluties, verdragsbepalingen, internationaal-rechtelijke en arbitrale uitspraken alsmede met opvattingen van gezaghebbende instanties en auteurs. De studie wijst daarbij op het meer en meer dynamische karakter van de internationale rechtsontwikkeling: zodra aan een bepaald subject een recht wordt toegekend, wordt niet zelden tegelijkertijd of vlak daarna aan hetzelfde of een ander subject ook een plicht opgelegd— ogenschijnlijk vaak bij wijze van politiek compromis maar meer fundamenteel wellicht omdat 'de kunst van het evenwicht' (ars aequi) een aan het recht en de rechtsontwikkeling inherente reflex is.

Verkehr und Information

(Siehe dazu auch das downloadbare PDF-Dokument zu dieser Studie)

Die Entwicklung der regionalen Wirtschaft, des Handels und damit des Wohlstands hängen eng mit der zur Verfügung stehenden Verkehrsinfrastruktur zusammen. Der Verkehrssektor sorgt für die Mobilität von Personen sowie den effizienten Austausch von Gütern und Nachrichten und lässt die Bedeutung räumlicher Distanzen in den Hintergrund treten. Hierbei sind sämtliche Bereiche des Verkehrs- und Informationswesens von Bedeutung. In verschiedenen Studien konnten große wirtschaftliche Modernisierungseffekte für die frühe Neuzeit durch die Entwicklung des Postverkehrs in festen Fahrplänen sowie den Bau von Chausseen nachgewiesen werden. Die Innovationen im Bereich der Telekommunikation beschleunigen den Austausch von Informationen um ein Vielfaches, frühere Technologien werden ergänzt oder sogar vollkommen ersetzt durch neue Formen der Informationsvermittlung. (Ein Beispiel ist das Telegramm, das Ende des 19. Jh. und Anfang des 20. Jh. eine hilfreiche und schnelle Form der Nachrichtenübermittlung war, da es wenig Telefone gab und die Briefe eine Laufzeit von ca. 4 Tagen hatten. Im 21. Jh. werden Telegramme nur selten eingesetzt. Das Telegramm hat an Bedeutung verloren, da das Kommunikationsnetz ausgebaut wurde und mittlerweile modernere Möglichkeiten der Datenübertragung wie z.B. SMS, E-Mail, Instant Messaging, zur Verfügung stehen.) Später wurden hinsichtlich der Entwicklung und des Ausbaus des Eisenbahnverkehrs ähnliche Effekte für den Warenhandel und die Integration von Regionen in den überregionalen nationalen Markt und in den Welthandel für die Zeit der industriellen Revolution nachgewiesen. Es soll versucht werden, die quantitative Entwicklung von Indikatoren zu den verschiedenen Verkehrsbereichen Eisenbahn, Kraftfahrzeuge, Binnen- und Seeschifffahrt, Luftverkehr sowie Post- und Nachrichtenverkehr über einen möglichst langen Zeitraum wiederzugeben, um so aufbereitete Zeitreihen der Forschung zur Verfügung zu stellen.

Die vorliegende Datensammlung zum Themenbereich 'Verkehr und Information' enthält insgesamt 75 Zeitreihen, die sich auf den Zeitraum vom Beginn der Amtlichen Statistik zur Zeit des Deutschen Reiches im Jahr 1870 bis zur heutigen Bundesrepublik in den Grenzen vom 3. Oktober 1990 erstrecken; es soll also, soweit es die Quellen erlauben, der Zeitraum von 1870 bis 2010 statistisch wiedergegeben werden. Aufgrund der sich häufig ändernden Erhebungssystematiken sowie durch die Folgen des 1. und des 2. Weltkrieges können nicht für alle Zeitreihen kontinuierlich Daten für den gewünschten Zeitraum zur Verfügung gestellt werden. Entweder liegen für die Zeitabschnitte während der Kriege keine Daten vor oder aber die Vergleichbarkeit insbesondere bei unterschiedlicher Erhebungssystematik ist stark eingeschränkt. Letzeres Problem tritt in besonderer Weise für die Statistik aus der Zeit der ehemaligen Deutschen Demokratischen Republik auf, aber auch die Statistik der früheren Bundesrepublik Deutschland (das Gebiet der alten Länder) kann erhebliche Brüche in der Systematik aufweisen. Der technische Fortschritt ist ein weiterer Grund, der das Fortführen kontinuierlicher Zeitreihen erschwert.

Die Zeitreihen zum Bereich 'Verkehr und Information' decken folgende Gebiete ab:
• 01: Eisenbahnen: Streckenlängen und Fahrzeugbestände (1850-2009)
• 02: Eisenbahnen: Personen- und Güterverkehr (1850-2002)
• 03: Straßenverkehr: Bestand an Kraftfahrzeugen (1902-2010)
• 04: Straßenverkehr: Straßenverkehrsunfälle (1906-2010)
• 05: Binnenschifffahrt: Bestand an Binnenschiffen (1872-2010)
• 06: Binnenschifffahrt: Güterverkehr auf den Binnenwasserstraßen (1909-2010)
• 07: Seeschifffahrt: Handelsschiffstonnage und Anzahl der Schiffe (1971-2010)
• 08: Seeschifffahrt: Güterumschlag bedeutender Seehäfen -
Hamburg, Bremische Häfen, Emden sowie Rostock, Wismar und Stralsund
(1925-2010)
• 09: Gewerblicher Luftverkehr (1919-2010)
• 10: Deutsche Reichs- und Bundespost, Telekommunikation (1871-2010)


Aufbau und Tabelleninhalt:

Zeitreihen zur Eisenbahn:
01: Eisenbahnen:
Streckenlängen und Fahrzeugbestände (1850-2009), Streckenlänge (alle Bahnen), Streckenlänge (Deutsche Reichsbahn-Bahn/Deutsche Bundesbahn), Fahrzeugbestände (alle Bahnen), Fahrzeugbestände (Deutsche Reichsbahn-Bahn/Deutsche Bundesbahn).

02: Eisenbahnen: Personen- und Güterverkehr (1850-2002)
Beförderte Personen (alle Bahnen), Geleistete Personenkilometer (alle Bahnen), Beförderte Güter (alle Bahnen), Geleistete Tonnenkilometer (alle Bahnen), Beförderte Personen (Deutsche Reichsbahn-Bahn/Deutsche Bundesbahn), Geleistete Personenkilometer (Deutsche Reichsbahn-Bahn/Deutsche Bundesbahn), Beförderte Güter (Deutsche Reichsbahn-Bahn/Deutsche Bundesbahn), Geleistete Tonnenkilometer (Deutsche Reichsbahn-Bahn/Deutsche Bundesbahn).


Zeitreihen zum Kraftfahrzeugverkehr:
03: Strassenverkehr: Bestand an Kraftfahrzeugen (1902-2010)
Kraftfahrzeuge insgesamt, Krafträder, Personenkraftwagen, Kraftomnibusse, Lastkraftfahrzeuge, Zugmaschinen, Sonderkraftfahrzeuge, Bevölkerung in 1000, Krafträder auf 1000 Einwohner, Personenkraftwagen auf 1000 Einwohner, Lastkraftfahrzeuge auf 1000 Einwohner.

04: Strassenverkehr: Straßenverkehrsunfälle (1906-2010)
Unfälle, Getötete, Verletzte.


Zeitreihen zur Binnenschifffahrt:
05: Bestand an Binnenschiffen (1872-2010)
Güterschiffe mit eigener Triebkraft (Anzahl), Güterschiffe mit eigener Triebkraft (Tragfähigk. in 1.000 t), Güterschiffe ohne eigene Triebkraft (Anzahl), Güterschiffe ohne eigene Triebkraft (Tragfähigk. in 1.000 t).

06: Güterverkehr auf den Binnenwasserstraßen (1909-2010)
Beförderte Güter (Mill. T.).
Zeitreihen zur Seeschifffahrt:
07: Handelsschiffstonnage und Anzahl der Schiffe (1871-2010)
Insgesamt, Anteil an Welthandelstonnage, Anzahl der Schiffe.

08: Güterumschlag bedeutender Seehäfen -
Hamburg, Bremische Häfen, Emden sowie Rostock, Wismar und Stralsund
(1925-2010)

Zeitreihen zur Luftfahrt:
09: Gewerblicher Luftverkehr (1919-2010)
Für deutsche Flughäfen: Beförderte Personen, Beförderte Luftfracht, Beförderte Luftpost.
Für deutsche Fluggesellschaften: Beförderte Personen, Personenkilometer (Pkm), Beförderte Luftfracht, Beförderte Luftfracht in Tonnenkilometer (Tkm), Beförderte Luftpost, Beförderte Luftpost in Tonnenkilometer (Tkm)

Zeitreihen zum Post- und Telekommunikationswesen:
10: Deutsche Reichs- und Bundespost, Telekommunikation (1871-2010)
Für das Deutsche Reich, die Alten Länder und die Neuen Länder bis 1990:
Beförderte Briefsendungen, Beförderte Paket- und Wertsendungen, Übermittelte Telegramme, Sprechstellen (Telefonanschlüsse), Ortsgespräche, Ferngespräche, Ton-Rundfunkgenehmigungen (Radioempfang), Fernseh-Rundfunkgenehmigungen.
Für Deutschland in den Grenzen vom 3. Oktober 1990 ab 1990:
Beförderte Briefsendungen, Beförderte Paket- und Wertsendungen, Übermittelte Telegramme, Sprechstellen (Kanäle) - Alle Service-Anbieter, Sprechstellen (Kanäle) - Dt. Telekom, Sprechstellen (Kanäle) - Wettbewerber der Telekom, Sprechstellen (Telefon-Anschlüsse) - Alle Service-Anbieter, Sprechstellen (Telefon-Anschlüsse) - Deutsche Telekom, Sprechstellen (Telefon-Anschlüsse) - Wettbewerber der Telekom, Mobilfunk, Teilnehmer, Verbindungsvolumen im Festnetz(in Mrd. Minuten; zuvor: Summe Ortsgespräche bzw. Ferngespräche) - Alle Service-Anbieter, Verbindungsvolumen im Festnetz(in Mrd. Minuten) - Dt. Telekom, Verbindungsvolumen im Festnetz(in Mrd. Minuten) - Wettbewerber, TAL-Anmietungen durch Wettbewerber der Deutschen Telekom (Mio Anmietungen), Ortsgespräche, Ferngespräche, Ton-Rundfunkgenehmigungen, Fernseh-Rundfunkgenehmigungen.


Zu den einzelnen Bereichen

Die Eisenbahn
Die Frage, ob die Eisenbahn als Staatsbahn oder als privat betriebenes Unternehmen geführt werden soll, begleitet die Eisenbahn schon seit ihren ersten Jahren. Vor allem in den wichtigen Handels- und Industriestädten werden in Deutschland private Aktiengesellschaften gegründet, um den Bau von Eisenbahnstrecken zu finanzieren. Dagegen setzt man in Baden und Braunschweig von Beginn an auf das Staatsbahnsystem. 1886 übernimmt schließlich der preußische Staat die bedeutende "Rheinische Eisenbahngesellschaft". Nach Ende des ersten Weltkrieges 1918 wurde die erste Verfassung eines demokratischen Staates, die Weimarer Verfassung 1919 für das Deutsche Reich beschlossen. Auf Grundlage dieser Verfassung wurde 1920 der Staatsvertrag zur Gründung der Deutschen Reichseisenbahnen in Kraft gesetzt. Die bis dahin noch den Ländern unterstellten staatlichen Eisenbahnen (bzw. Länderbahnen) gingen jetzt in Reichsbesitz über. Im Einzelnen waren dies:
die Königlich Bayerischen Staats-Eisenbahnen,
die Königlich Sächsischen Staatseisenbahnen,
die Königlich Württembergischen Staats-Eisenbahnen,
die Großherzoglich Badischen Staatseisenbahnen,
die Preußischen Staatseisenbahnen,
die Preußisch-Hessische Eisenbahngemeinschaft "K.P. u. G.H. StE",
die Großherzoglich Oldenburgischen Staatseisenbahnen und
die Großherzoglich Mecklenburgische Friedrich-Franz-Eisenbahn.
(Vergl.: http://de.wikipedia.org/wiki/Deutsche_Reichsbahn_%281920%E2%80%931945%29)
Neben dieser Entwicklung waren in Deutschland immer sowohl staatseigene als auch private Bahnen tätig. Für die Zeit des Deutschen Reiches, für die ehemalige Bundesrepublik (alte Länder) sowie für Deutschland nach dem 1. Oktober 1990 werden daher die Angaben zu den aufgeführten Beständen jeweils für alle Bahnen zusammen und für die Staatsbahn im speziellen aufgeführt (d.i. Deutsche Reichsbahn, Deutsche Bundesbahn).
Zu der Entstehungsgeschichte der einzelnen deutschen Bahnen sowie den Entscheidungsphasen sind wertvolle Hinweise aus R. Fremdling und A. Kunz: Statistik der Eisenbahnen in Deutschland 1835 – 1989. Scripta Mercaturae Verlag, 1995, S. 19ff. zu entnehmen.


01: Eisenbahnen: Streckenlängen und Fahrzeugbestände (1850-2009)
Dieser Abschnitt enthält Zeitreihen zur Länge der Schienenstrecken und den Fahrzeugbeständen, die sich aufgliedern in Lokomotiven, Triebwagen, Personenwagen, Gepäckwagen und Güterwagen. Angaben für alle Bahnen zusammen zur Zeit des Deutschen Reiches sowie für die staatseigene Bundesbahn der ehemaligen Bundesrepublik Deutschland in den Grenzen von 1945 wurden – mit Ausnahme der Reihe zu den Triebwagen – bereits von R. Fremdling und A. Kunz im Rahmen ihrer Studie "Statistik der Eisenbahnen in Deutschland 1835 – 1989. Scripta Mercaturae Verlag, 1995" erhoben. Sie decken den Zeitraum 1850-1932 für das Deutsche Reich und 1950-1989 für die Alten Länder (also die ehemalige Bundesrepublik) ab. Ergänzt wurden diese Reihen für 1938 bis 1940 aus den Statistischen Jahrbüchern für das Deutsche Reich bzw. für 1989 bis1993 aus den Statistischen Jahrbüchern für die Bundesrepublik Deutschland. Zusätzlich zu den Reihen von Fremdlung/ Kunz wurden in dieser Studie für die entsprechenden Werte zur Länge des Schienennetzes sowie zum Fahrzeugbestand speziell für die staatliche Bahn des Deutschen Reiches, also für die Deutsche Reichsbahn, sowie für alle Bahnen der Bundesrepublik bis 1993 zusammengestellt. Für die Zusammenstellung der Streckenlängen und Fahrzeugbestände wurde daher sowohl auf die Ergebnisse dieser Studie als auch auf die Publikationen des Statistischen Bundesamtes zurückgegriffen.
Für die neuen Länder können für die Zeit der ehemaligen DDR nur zur Staatsbahn – also zu der Deutsche Reichsbahn – Angaben gemacht werden, da es zur Zeit der DDR keine privaten Bahnen gab. Neben dem Statistischen Jahrbuch für die DDR wurden hier die von dem Statistischen Bundesamt herausgegebenen Sonderreihen mit Beiträgen für das Gebiet der ehemaligen DDR und die darin enthaltenen verkehrsstatistischen Übersichten herangezogen. Für die ersten Jahre nach der Wiedervereinigung werden noch Werte für die Gebiete der alten Bundesrepublik und der ehemaligen DDR in den Statistischen Jahrbüchern für die Bundesrepublik Deutschland gesondert ausgewiesen. Ab 1994 werden die Bestände nur noch für Gesamtdeutschland nachgewiesen, so dass die Datenreihen jeweils für die Neuen Länder und die Alten Länder mit dem Jahr 1990, spätestens 1993 enden und nur noch für Deutschland in den Grenzen vom 3. Oktober 1990 fortgeführt werden können.
Die Schienenstrecken werden als Eigentumslänge mit Stand am Ende des jeweiligen Kalenderjahres wiedergegeben. Der Fahrzeugbestand bezieht sich immer auf den Stand am Ende des Rechnungs- bzw. Betriebsjahres. Bis 1937 werden Eigentumsbestände der Bahnen ausgewiesen. Anschließend beziehen sich die Werte auf den Einsatzbestand, d.h., in den angegebenen Werten können auch von anderen Bahngesellschaften für den eigenen Bahnbetrieb geliehene Bestände mit enthalten sein.
Die Bahn durchlief grundlegende technische Veränderungen.
In den alten Ländern, dem Tätigkeitsgebiet der Deutschen Bundesbahn, wurden sukzessiv bis 1977 alle Dampflokomotiven durch Elektro- und Diesellokomotiven ersetzt. Die Schienenstreckentypen wurden vereinheitlicht (vollständiger Abbau von Schienenstrecken für Schmalspurbahnen). Neue Wagentypen und Zugtypen (InterCity, TransEuroExpress) wurden eingeführt. Dies alles kann im Rahmen der vorliegenden Studie nicht detailliert in Form von statistischen Zeitreihen nachgezeichnet werden, da dies den zeitlichen Rahmen des Projektes sprengen würde. Die technischen Veränderungen insbesondere im Bereich der Fahrzeugbestände, und hier besonders in Bezug auf die Triebwagen (Lokomotiven, etc.) haben zu einer Veränderung der Systematik geführt. Um die Darstellung der Reihen möglichst konstant zu gestalten, wurden neu hinzugekommene Triebwagentypen bzw. weiter ausdifferenzierte Wagentypen, die in der Statistik gesondert aufgeführt wurden, soweit es möglich war, zu Oberbegriffen zusammengefasst. Dies wird in den jeweils betreffenden Zeitreihen für den Zeitraum, auf den diese Vorgehensweise angewendet wurde, in den Anmerkungen kenntlich gemacht. So werden ab 1990 im Statistischen Jahrbuch für die Bundesrepublik Deutschland unter dem Oberbegriff 'Triebwagen' die Kategorien 'Elektrische Lokomotiven', Diesellokomotiven', 'Elektrische Triebwagen' und 'Dieseltriebwagen' gesondert aufgeführt. Der Bestand der Lokomotiven wurde für die Vademecum-Studie durch die Aufaddierung der Kategorien 'Elektrische Lokomotiven' und 'Diesellokomotiven' erfasst. Dampflokomotiven wurden so lange erfasst, wie sie auch in den Statistischen Jahrbüchern der Bundesrepublik aufgeführt wurden. Für die Triebwagen wurde jeweils die Summe aus ´Elektrische Triebwagen´ und ´Dieseltriebwagen´ gebildet.


02: Eisenbahnen: Personen- und Güterverkehr (1850-2002)
Neben dem Fahrzeugbestand stellt die Leistung in den Bereichen der Personenbeförderung und der Güterbeförderung eine bedeutende betriebswirtschaftliche sowie verkehrsstatistische Größe dar. Der gemäß vergebenen Aufträgen durchgeführte Transport von Gütern inklusive der Be-, Um- und Ausladung, beinhaltet eine Vielzahl von Verkehrsunterstützungs-, Verkehrsvermittlungs- und Verkehrskoordinierungsprozessen. Zum einen kann die Verkehrsleistung in den absoluten Werten ausgedrückt werden, d.h. die Anzahl der transportierten Personen bzw. das Gewicht der transportierten Güter. Statistisch wird die Verkehrsleistung mit Hilfe einer Kennzahl zum Ausdruck gebracht, die für den Personentransport die Dimension »Pkm (Personenkilometer)« (= Personen X Kilometer) und für den Gütertransport die Dimension »tkm (Tonnenkilometer)« (= Tonnen X Kilometer) hat. Das Produkt aus der zurückgelegten Strecke und der Menge der transportierten Güter bzw. der beförderten Personen wird als 'Aufwandsgröße' im Transportwesen verstanden. Diese vier Größen werden jeweils für alle Bahnen zusammen sowie für die Deutsche Reichsbahn/Deutsche Bundesbahn im speziellen dargestellt – wobei für die neuen Bundesländer Angaben nur für die Deutsche Reichsbahn erhältlich sind. Auch hier kann für die Zeit des Deutschen Reiches auf die Studie von Fremdling und Kunz für alle Bahnen zusammen zurückgegriffen werden. Für die Deutsche Reichsbahn im speziellen werden die Angaben des Statistischen Reichsamtes in den herausgegebenen Jahrbüchern herangezogen. Für das Gebiet der alten Bundesländer stellen Fremdling und Kunz Kennzahlen für die Deutsche Bundesbahn zur Verfügung. Dementsprechend werden die Kennzahlen für alle in der Bundesrepublik Deutschland (Alte Länder) tätigen Bahnen zusätzlich aus der amtlichen Statistik erhoben.


Der motorisierte Strassenverkehr:
Rainer Flik beschreibt in seinen Arbeiten "Motorisierung des Straßenverkehrs, Automobilindustrie und Wirtschaftswachstum in Europa und Übersee bis 1939" (in: M. Lehmann-Waffenschmidt (Hg., 2002): Perspektiven des Wandels - Evolutorische Ökonomik in der Anwendung. Metropolis – Verlag für Ökonomie.) und insbesondere "Von Ford lernen? Automobilbau und Motorisierung bis 1933. Köln: Böhlau, 2001" die Ursachen für die verzögerte Durchsetzung des Automobils als Transportmittel sowie die verspätete Motorisierung der deutschen Bevölkerung. Es waren seiner Analyse zu Folge die schlechteren Rahmenbedingungen für den Automobilmarkt und weniger Unterschiede in den Bedürfnissen der Bevölkerung oder im Unternehmerverhalten, die dem Automobil in Deutschland zunächst zum Nachteil gereichten. In den dicht besiedelten und durch die Eisenbahn und Strassenbahn (sog. Pferdeomnibusse und Pferdebahnen, später um 1880 sukzessive ersetzt durch die Elektrische Stadt- bzw. Strassenbahn) gut erschlossenen Ballungsräumen Deutschlands spielte zunächst das Automobil für die Wirtschaft und den Transport der Güter eine untergeordnete Rolle. Darüber hinaus waren hohe Investitionskosten für den Ausbau von Strassen notwendig, während die Schienenstrecken für die Eisenbahn in den deutschen Großstädten schon vorhanden waren. Daher wurde auch durch die Besteuerungspraxis des Staates das Automobil gegenüber der Eisenbahn zunächst benachteiligt, was zur Folge hatte, dass die Motorisierung des Mittelstandes langsamer verlief als beispielsweise in den USA. Erst in den 1920er Jahren hat das Lastkraftfahrzeug in den Ballungsräumen sich als Transportfahrzeug durchsetzen können, während der Personenkraftwagen noch als teures Luxusgut nur wenigen wohlhabenden Personen zugänglich war. Dagegen spielte das Motorrad für die Motorisierung der deutschen Bevölkerung eine entscheidende Rolle. Deutschland hatte in den 30er Jahren die höchste Motorraddichte und war der bedeutendste Motorradproduzent auf dem Weltmarkt. Als das Automobil technisch ausgereift war und die für den wirtschaftlichen Betrieb notwendige Infrastruktur geschaffen war, konnte sich der Diffusionsprozess schneller und erfolgreicher entfalten. Flik unterscheidet in dem Diffusionsprozess des Automobils in Deutschland drei Stadien: Motorisierung der Oberschicht, Motorisierung des Gewerbe treibenden Mittelstandes und schließlich die Massenmotorisierung (Flik, R.: 2005: Nutzung von Kraftfahrzeugen bis 1939 – Konsum- oder Investitionsgut? In: Walter, R. (Hrsg.): Geschichte des Konsums. Erträge der 20. Arbeitstagung der Gesellschaft für Sozial- und Wirtschaftsgeschichte, 23-26. April 2003 in Greifswald. Stuttgart: Franz Steiner). Für die Zeitreihen zum Kraftfahrzeugbestand in Deutschland wird auf die Studiendaten von Flick zurückgegriffen, welche durch Daten der amtlichen Statistik (Statistisches Bundesamt und Kraftfahrt-Bundesamt) ergänzt werden. Ein weiteres Kapitel (Tabelle 04) zeichnet die Entwicklung der Strassenverkehrsunfälle statistisch nach.


03: Bestand an Kraftfahrzeugen (1902-2010)
Der Bestand der Kraftfahrzeuge nach Kraftfahrzeugtyp spiegelt die Durchsetzung dieses Verkehrsmittels wieder. Es liegen Zeitreihen zum Bestand der Kraftfahrzeuge insgesamt und Kraftfahrzeuge untergliedert nach den Typen Motorrad, Personenkraftwagen, Kraftomnibusse, Lastkraftfahrzeuge, Zugmaschinen und schließlich Sonderkraftfahrzeuge vor. Weiterhin werden der Bestand an Motorrädern, Personenkraftwagen und Lastkraftwagen pro 1000 Einwohner wiedergegeben.
Aufgrund vorgenommener Korrekturen können die Werte zu den einzelnen Reihen zwischen den verschiedenen Ausgaben der statistischen Jahrbücher abweichen. Da Flik sich in seiner Studie auf die Angaben der amtlichen Statistik stützt, wurden Werte des Statistischen Bundesamtes dann den Werten von Flik vorgezogen, wenn diese Publikationen neueren Datums sind und von den Angaben bei Flik abweichen.
Für das Deutsche Reich sind die Angaben auf den jeweiligen Gebietsstand Deutschlands bezogen. Das Saarland ist von 1922 bis 1935 nicht eingeschlossen. Die Angaben für 1939 beruhen auf einer Fortschreibung des Kraftfahrzeugbestands von 1938 und schließen die 1938 und 1939 dem Deutschen Reich angeschlossenen Gebiete nicht ein. Die Daten geben den Bestand jeweils zum 1. Januar wieder. Ferner wird bis 1933 der Bestand ohne vorübergehend abgemeldete Fahrzeuge, ab 1934 inklusive der vorübergehend abgemeldeten Kraftfahrzeuge angegeben. Bis 1914 wurde in der Erfassung zwischen Personenkraftwagen und Kraftomnibussen keine Unterscheidung getroffen, so wurden beide in der Kategorie Personenkraftwagen wiedergegeben. Unter der Rubrik 'Sonderkraftfahrzeuge' werden Fahrzeuge der Kommunen (Kommunalfahrzeuge) aufgeführt, wie z.B.: Straßenreinigungsmaschinen, Feuerwehrfahrzeuge, sowie ab 1948 Krankenwagen. Weiterhin werden Abschlepp- u. Kranwagen sowie Wohnwagen u. ähnliche Fahrzeuge dieser Kategorie zugeordnet.
Der Kraftfahrzeugbestand insgesamt für das Gebiet der alten Länder (ehemalige Bundesrepublik) wurde aus den Daten zu den einzelnen Fahrzeugtypen berechnet.
Die Werte für die neuen Länder bzw. für die ehemalige DDR sind für die Zeit bis 1989 den Statistischen Jahrbüchern für die DDR entnommen worden. Für die Zeit von 1990-1994 wurde die Publikation 'Verkehr in Zahlen', vom Bundesministerium für Verkehr, Bau und Stadtentwicklung herausgegeben, herangezogen. Bei der Erfassung der Sonderkraftfahrzeuge und der Kraftomnibusse wurde in der Statistik der ehemaligen DDR 1978 eine neue Systematik eingeführt, in der einige Fahrzeugtypen den jeweiligen Obergruppen neu zugeordnet wurden. Das hat in den beiden Fahrzeug-Gruppen zu einer starken Erhöhung der Fahrzeug-Anzahl geführt. Es muß dennoch festgehalten werden, dass der Anstieg der Fahrzeuge um 28000 bzw. 30000 Fahrzeuge von einem Jahr auf das andere sich nicht aus den Veränderungen der Fahrzeugbestände der anderen Fahrzeugtypen erklären lässt, so dass der Hinweis auf eine veränderte Systematik sich nicht in den Zahlen der Datenreihen wiederspiegelt.


04: Straßenverkehrsunfälle (1906-2010)
Insbesondere das Automobil hat den einzelnen Bürgern in der Gesellschaft in jüngster Zeit einen enormen Mobilitätszuwachs beschert. Im Laufe der Zeit konnten immer größere Teile der Bevölkerung am Individualverkehr partizipieren. Die Kehrseite der Mobilität einer ganzen Gesellschaft sind die Unfälle mit den Verletzten und Getöteten. Durch die massenhafte Verbreitung motorisierter Fahrzeuge, die sich im selben Verkehrsraum wie Pferde und Fuhrwerke, Fußgänger oder Radfahrer bewegen, steigt die Unfallwahrscheinlichkeit stark an. Auch die Geschwindigkeit der motorisierten Verkehrsmittel erhöht die Unfallwahrscheinlichkeit und die Schwere der Unfälle, den Personen- und Sachschaden enorm. Darüber hinaus hat die Strassenverkehrssicherheit und damit die Zuverlässigkeit, mit der Güter schnell und sicher transportiert werden können und unbeschadet am Zielort ankommen, einen empfindlichen Einfluß auf die wirtschaftliche Entwicklung. Denn der Transport übernimmt eine bedeutende Funktion als Wachstumsmotor durch die Erweiterung der Märkte. Eine besondere Zusammenstellung von langen Zeitreihen zur Entwicklung der Strassenverkehrsunfälle erscheint daher sinnvoll. Das Statistische Bundesamt definiert Straßenverkehrsunfälle wie folgt:
"Straßenverkehrsunfälle sind Unfälle, bei denen infolge des Fahrverkehrs auf öffentlichen Wegen und Plätzen Personen getötet oder verletzt wurden oder Sachschaden entstanden ist. Auskunftspflichtig für die Statistik der Straßenverkehrsunfälle ist die Polizei. Demzufolge sind Unfälle, zu denen die Polizei nicht gerufen wurde, in der Statistik nicht enthalten. ( In der Unfallstatistik ) … werden Angaben zu Unfällen, Beteiligten, Fahrzeugen, Verunglückten und Unfallursachen erfasst." Statistisches Bundesamt
Es wird regelmäßig vom Statistischen Bundesamt ein Heft der Fachserie 8, Reihe 7 mit langen Reihen zu Verkehrsunfällen herausgegeben. Auf der Basis dieser Publikation wurden die Reihen zu der Anzahl der Unfälle, der bei Unfällen Getöteten und der Verletzten zusammengestellt.


Die Schifffahrt

Eine der ersten Verkehrsmittel war die Fortbewegung mit Flößen, später mit Schiffen, zunächst in Ufernähe und auf Flüssen, später auf hoher See. Schon sehr früh wurde der Radius der Fortbewegung erheblich erweitert. Noch bevor die Staaten Europas die Blüte der Hochseeschifffahrt erreichten, haben sie schon die Flüsse als Transportwege für den Handel benutzt. Große Handelsstädte entstanden entlang der großen Flüsse Rhein, Main, Mosel, Donau, Oder, usw. Die Schifffahrt ermöglichte so schon früh den Austausch von Gütern und Ideen, brachte aber auch Auseinandersetzungen über territoriale, wirtschaftliche und militärische Interessen mit sich. Im Laufe der Zeit spezialisierte sich die Schifffahrt in zivile und militärische Bereiche, in Handel und Fischerei. Die Schifffahrt wird im folgenden unterteilt in Binnenschifffahrt und Seeschifffahrt.


05: Bestand an Binnenschiffen (1871-2010)
Die Binnenschifffahrt umfasst die Binnen-see-schifffahrt, Flussschifffahrt und Kanalschifffahrt, wobei im Rahmen der vorliegenden Studie auf die Fluss- und Kanalschifffahrt der Schwerpunkt gelegt wird. Binnenfischerei mit Fischerbooten und Transport mit Frachtschiffen auf Binnengewässern machten den Hauptanteil der Binnenschifffahrt aus. Im 17. Jh. wurden noch auf Flößen große Mengen Holz auf den Flüssen nach Holland transportiert. Ende des 18. Jahrhunderts kamen die Treidelschiffe zum Einsatz (Boote und Kähne durch Segel, Ruder, Staken oder Treidel fortbewegt). Mit Erfindung der Dampfmaschine setzten sich Schiffe mit eigener Triebkraft immer stärker in der Binnenschifffahrt durch. Sämtliche Massengüter wurden auf den Binnengewässern transportiert (z.B. Kohle, Erze und Erdölprodukte). Mit dem Ausbau von Binnenwasserstraßen und Schleusen, durch die eine Regulierung des Wasserstandes ermöglicht wurde, kann der Transport über die Binnenwasserstraßen beschleunigt werden. Heute übernimmt die Binnenschifffahrt Massentransporte in vielen Bereichen (Containertransport, Autotransport, etc.). Laut des Bundesverbandes für Deutsche Binnenschifffahrt dominieren Schütt- und greiferfähige Massengüter, wie etwa Baustoffe, Erze, Kohle und Stahl, mit einem Anteil von rund 70 % an der Gesamtmenge das Geschäft der Binnenschifffahrt (http://www.binnenschiff.de/). Für die Hütten- und Stahlindustrie ist die Binnenschifffahrt unentbehrlich. Auch in deutschen und europäischen Logistikketten stellt die Binnenschifffahrt ein unverzichtbares Glied dar.
Im Rahmen dieser Studie kann der Bestand der in der Binnenschifffahrt zum Einsatz gekommenen Schiffe nach Schiffstyp nicht wiedergegeben werden, da dies den Rahmen sprengen würde. Einer der einschneidendsten Veränderungen war die Dampfmaschine und damit die Möglichkeit, Schiffe mit eigener Triebkraft zu bauen. Daher wird hinsichtlich des Bestandes der Binnenschiffe zwischen Güterschiffen mit eigener Triebkraft und Güterschiffen ohne eigene Triebkraft unterschieden. Der Bestand der Schiffe wird dargestellt zum einen anhand der Anzahl der Schiffe, zum anderen aber mittels der Tragfähigkeit des Binnenschiffsbestandes in 1000 t.
Für das Deutsche Reich und für die Bundesrepublik Deutschland dient als Datenquelle die Studie von Kunz, Andreas (Hrsg.), 1999: Statistik der Binnenschiffahrt in Deutschland 1835-1989. St. Katharinen: Scripta Mercaturae Verlag.; GESIS Köln, Deutschland ZA8157 Datenfile Version 1.0.0; Datentabelle: Bestand an Binnenschiffen.
Die Angaben zu den Beständen beziehen sich für die Periode von 1845-1956 auf den 1.1. und ab 1957 auf den 31.12. des jeweiligen Jahres. Zum Teil wurden die Angaben vom Primärforscher geschätzt.
Für den Bestand an Binnenschiffen der ehemaligen DDR dient das Statistische Jahrbuch für die DDR, Jg. 1990, S. 260, Tab. ´Registrierter Bestand an Binnenschiffen´ als Datenquelle. Hier werden nur Schiffe mit eigener Triebkraft aufgeführt und es wird der Jahresdurchschnitt berichtet. Aussagen zu Schiffen ohne eigene Triebkraft können nicht gemacht werden.
Für Deutschland in den Grenzen von Oktober 1990 wurde das Statistische Jahrbuch für die Bundesrepublik Deutschland als Datenquelle herangezogen. Die Werte beziehen sich immer auf den Stand zum 31.12. des jeweiligen Jahres. Es wurde die Summe aus Gütermotorschiffen und Tankmotorschiffen für Reihe der Schiffe mit eigener Triebkraft gebildet. Schlepper und Schubboote wurden nicht mit einbezogen. Fahrgastschiffe wurden ebenfalls nicht mit einbezogen. Güterschleppkähne und Tankschleppkähne wurden dagegen in die Reihe der Binnenschiffe ohne eigene Triebkraft aufgenommen.


06 Güterverkehr auf den Binnenwasserstraßen (1909-2010)
Der Transport von Gütern auf den Binnenwasserstrassen ist ein Indikator für die Leistungs- und Wettbewerbsfähigkeit der Binnenschifffahrt. Bedeutende Einflussfaktoren sind die verfügbaren Höhen der Wasserspiegel der Flüsse und später der Binnenkanäle. Der Bau von Schleusen hat den Transport auf Binnenwasserstraßen entscheidend beschleunigt. Kleinere Flüsse, wie z.B. der Neckar, der Main oder die Mosel wurden durch die Kanalisierung und den Bau von Schleusen erst schiffbar gemacht. Der Bau von Binnenlandkanälen ergänzt die Flüsse, indem zwei Flüsse miteinander verbunden werden (z.B. der Mittellandkanal). Insgesamt wurde durch solche Baumaßnahmen der Umfang der schiffbaren Wasserstraßen entscheidend erhöht. Bei der Erfassung der Transportleistung deutscher Binnenwasserstraßen ist auch der Gütertransport nicht-deutscher Fahrzeuge beteiligt.
Für das Deutsche Reich in den Grenzen vom 31.12.1937 wurde für den Zeitraum von 1909-1914 und 1932-1938 die Publikation vom Statistischen Bundesamt: Bevölkerung und Wirtschaft 1872-1972, S. 207 als Quelle herangezogen. Für 1919-1931sind die erhobenen Zeitreihen von Andreas Kunz: Statistik der Binnenschifffahrt in Deutschland 1835-1989; GESIS Köln, Deutschland ZA8157 Datenfile Version 1.0.0., Datentabelle: Verkehrsleistungen auf Binnenwasserstraßen verwendet worden.
Auch für die frühere Bundesrepublik Deutschland in den Grenzen von 1949, also die sogenannten Alten Länder, wurde für die Jahre 1936, 1938, 1947 u. 1948 auf die Publikation des Statistisches Bundesamtes: Bevölkerung und Wirtschaft, S. 207 zurückgegriffen. Für 1949-1989 stammen die Werte aus der Studie von A. Kunz (ZA8157 Datenfile Version 1.0.0.). Einbezogen wurden für das Bundesgebiet die Wasserstaßen des Elbegebietes, des Wesergebietes, des Mittellandkanalgebietes, das Westdeutsche Kanalgebiet, das Rheingebiet, das Donaugebiet, sowie Berlin (West). Auch der Durchgangsverkehr auf den deutschen Wasserstrassen wurde mit erfasst. Für den Bereich der ehemaligen DDR bzw. der Neuen Länder wurde auf das Statistische Jahrbuch für die DDR zurückgegriffen. In dieser Reihe werden die Transportwerte inklusive der von der Binnenreederei der DDR beladenen Schiffe anderer Länder berichtet. Ausnahmen bilden die Jahre 1960, 1965, 1970, 1975, 1980 und 1985 bis 1989. Hier werden nur für die deutschen Binnenschiffe die Werte angegeben.
Für das wiedervereinte Deutschland stehen die Transportwerte seit 1991 zur Verfügung. Die Werte wurden mittels einer Abfrage vom 15. Februar 2012 von der GENESIS-Online Datenbank ermittelt. (vergleiche: (www-genesis.destatis.de; Abfrage: ´Beförderte Güter (Binnenschifffahrt): Deutschland, Jahre, Hauptverkehrsbeziehungen, Flagge des Schiffes, Güterverzeichnis (Abteilungen)´)


07 Handelsschiffstonnage (1871-2010)
Eine leistungsfähige Seeschifffahrt hat schon früh zur Erweiterung der regionalen Märkte beigetragen. Ein Beispiel für die frühe Globalisierung stellt die Hanse dar, die ohne die Seeschifffahrt nicht möglich gewesen wäre.
Die zwischen Mitte des 12. Jahrhunderts und Mitte des 17. Jahrhunderts bestehenden Vereinigungen niederdeutscher Kaufleute hatte sich zum Ziel gesetzt, die Sicherheit der Überfahrt zu verbessern und die Vertretung gemeinsamer wirtschaftlicher Interessen besonders im Ausland wahrzunehmen. In den Zeiten ihrer größten Ausdehnung waren beinahe 300 See- und Binnenstädte des nördlichen Europas in der Städtehanse zusammengeschlossen. Eine wichtige Grundlage dieser Verbindungen war die Entwicklung des Transportwesens, insbesondere zur See. Die Kogge, ein bauchiges Handelsschiff, stellte den bedeutendsten größeren Schiffstyp der Hanse dar. Im ausgehenden 14. Jahrhundert wurden die Koggen mehr und mehr von anderen Schiffstypen abgelöst. Im 15. Jahrhundert setzte der Machtverlust der Hanse ein, der unter anderem auch durch die Entdeckung Amerikas ausgelöst wurde. Der bisher dominierende Ostsee-Westsee-Handel (heute Nordsee-Handel) wurde nun in überseeische Gebiete ausgedehnt. Dabei ging nicht etwa das Handelsvolumen der Hanse im eigentlichen Sinne zurück, es entstanden jedoch mächtige Konkurrenten, die die Bedeutung der Hanse für die einzelnen Städte und Kaufleute schwächten (siehe hierzu: http://de.wikipedia.org/wiki/Hanse und Rolf Hammel-Kiesow (2008): Die Hanse, München 4. aktualisierte Auflage).
Auch heute ist eine leistungsfähige Seeschifffahrt Voraussetzung für die Globalisierung. Arbeitsteilige Volkswirtschaften sind in starkem Maße vom überseeischen Handel abhängig. Die Handelsschiffstonnage gibt die Transportkapazität in Tonnen einer Handelsflotte an. Bei fortschreitender Technik im Schiffsbau steigt auch die Transportkapazität einzelner Schiffe, was die Wettbewerbsfähigkeit positiv beeinflusst. Die Entwicklung der Handelsschiffstonnage ist somit ein Indikator neben anderen, der die Stellung und Leistungsfähigkeit der nationalen Handelsflotte auf dem Weltmarkt angibt. Die Zusammenstellung der deutschen Handelsschiffstonnage gibt die Tonnage einmal in Bruttoregistertonnen und zum anderen, soweit die entsprechenden Werte aus den Quellen erhoben werden konnten, als Anteil an der Welthandelstonnage wieder. Auch die Anzahl der Handelsschiffe wird angeführt. Das Raummaß Bruttoregistertonne (abgekürzt = BRT) ist die Maßeinheit für die Tragfähigkeit der Seeschiffe. Es wird der gesamte umbaute Schiffsraum vermessen (Bruttoraumgehalt bzw. Bruttotonnage). Seit dem 1. Juli 1994 wird der Raumgehalt eines Schiffes in Bruttoraumzahl (BRZ) und Nettoraumzahl (NRZ) berechnet. Die Angaben für das Deutsche Reich beziehen sich auf das Reich in seinen jeweiligen Grenzen. Als Quellen wurde das Statistische Jahrbuch für das Deutsche Reich sowie die Publikation "Bevölkerung und Wirtschaft" des Statistischen Bundesamtes herangezogen. Ab 1900 geben die Werte den Stand zum 1. Juli des jeweiligen Jahres an. Für die Alten Länder bzw. das Gebiet der ehemaligen Bundesrepublik Deutschland wurden die Werte aus der Publikation "Verkehr in Zahlen" des Bundesministeriums für Verkehr, Bau und Stadtentwicklung, Tabelle: ´Seeschifffahrt - Handelsflotte der BRD´ bezogen. Hier beziehen sich die Werte jeweils auf den 31 Dezember des jeweiligen Jahres. In dieser Quelle wurden Schiffe mit mechanischem Antrieb und einem Raumgehalt von mindestens 100 BRT und mehr berücksichtigt. Außerdem sind für den Zeitraum von 1975 – 1990 Schiffe unter der Flagge der Bundesrepublik einschl. ausländischer Schiffe mit Flaggenschein aufgenommen worden. Schiffe der BRD, die unter fremder Flagge fuhren, werden nicht berücksichtigt, da sie nicht für den deutschen Handel und Transport verwendet werden. Leider kann nach 1971 keine Angabe zum Anteil der deutschen Handelsschiffstonnage an der Welthandelstonnage gemacht werden. Für das Gebiet der ehemaligen DDR wurde das Statistische Jahrbuch für die DDR, Jahrgang 1990, als Quelle herangezogen. Hier ist der Stichtag der Bestandsangaben, wie im Falle des Deutschen Reiches, der 1.7. des jeweiligen Jahres. Für das wiedervereinte Deutschland in den Grenzen des 3. Oktobers 1990 beziehen sich die Angaben – wie für die ehemalige Bundesrepublik – auf den Stand zum 31.12. des jeweiligen Jahres. Als Quelle wurde die Publikation "Verkehr in Zahlen" des Bundesministeriums für Verkehr, Bau und Stadtentwicklung herangezogen.


08 Güterumschlag in bedeutenden Seehäfen - Hamburg, Bremische Häfen, Emden sowie Rostock, Wismar und Stralsund (1925-2010)
Der Güterumschlag eines Hafens ist ein Indikator für seine wirtschaftliche Bedeutung und der Einbettung des Hafens in der Logistikkette. Bei guter Anbindung an Bahn und Autobahn und kurzen, zügigen Be- und Entladungsphasen von Schiffen sowie LKWs und Bahn-Waggongs wird sich ein Hafen als Güterumschlagszentrum etablieren. Die Datentabelle K15.08 enthält für die wichtigsten Häfen Deutschlands die Entwicklung des Güterumschlags vom Deutschen Reich bis zum Jahr 2010 im wiedervereinten Deutschland in den Grenzen vom 3. Oktober 1990. Vor dem Hintergrund der Teilung Deutschlands nach dem 2. WK in zwei Staaten und der Auswahl der wichtigsten Häfen für die ehemalige DDR, wie sie in dem Statistischen Jahrbuch für die ehemalige DDR getroffen wurde, sind folgende Häfen in der Datentabelle aufgenommen worden: Hamburg, Bremische Häfen, Emden, Rostock, Wismar und Stralsund. Als Quelle dienen die Statistischen Jahrbücher für das Deutsche Reich, für die Bundesrepublik Deutschland und für die DDR. Für die neuen Länder wurde darüber hinaus noch die Publikation des Bundesministeriums für Verkehr, Bau und Stadtentwicklung, Verkehr in Zahlen, Jg. 1990, S. 282, Tabelle: 'DDR Kennziffern - Seehäfen und Binnenhäfen' herangezogen.


Die Luftfahrt

Mit der Erfindung des Flugzeuges tritt eine vollkommen neue Form der Fortbewegung auf den Markt. Die ersten Flugzeuge wurden zunächst nur für militärische Zwecke genutzt; 1919 setzte mit Gründung der Deutschen Luft-Reederei (DLR) in Deutschland eine Entwicklung hin zum zivilen Luftverkehr ein. Die Deutsche Luft-Reederei (DLR) wurde vom Reichsluftamt in Berlin als weltweit erste Fluggesellschaft für den zivilen Luftverkehr zugelassen. Zwischen Berlin und Weimar begann der regelmäßige Post- und Passagierverkehr. Die Luftpost mit Flugzeugen, die schon während des Ersten Weltkriegs entstand, wurde wesentlich ausgebaut. In den darauf folgenden Jahren entstanden viele kleine Fluggesellschaften, die häufig nur eine Strecke bedienten. Der technische Fortschritt ermöglichte schließlich die Entwicklung eines Verkehrsflugzeuges mit beheizbarer Kabine und gepolsterten Sitzen. 1926 wurde die "Deutsche Lufthansa AG" unter Beteiligung des Reiches, der Länder und Städte gegründet. Bis 1945 war sie Einheitsgesellschaft für den zivilen Luftverkehr mit weit verzweigtem europäischem Streckennetz. Mit der Kapitulation Deutschlands nach dem 2. Weltkrieg im Mai 1945 wurde die deutsche Luftfahrt zunächst unterbrochen. Nach der Gründung der Bundesrepublik Deutschland und der Einrichtung des Verkehrsministeriums konnte der zivile Luftverkehr wieder 1955 aufgenommen werden.
Der Luftverkehr hat gerade für eine international ausgerichtete Volkswirtschaft wie Deutschland eine enorme Bedeutung durch die hohen Mobilitätszuwächse in wirtschaftlichen Bereichen und im Bereich des Personenverkehrs. Mit Einsetzen des Luftverkehrs als Transportmittel ist eine Verringerung der Transportkosten und Transportzeiten zwischen weit entfernten Orten erreicht worden. Eisenbahn- und Schiffsverkehr stellen für den Flugverkehr aufgrund der größeren Gütermengen, die sie transportieren können, sowie der günstigeren Kosten pro transportierter Gewichtseinheit, weiterhin wichtige Mitbewerber im Bereich des Gütertransportes dar. Wesentliche Akteure des Luftverkehrs sind neben der Flugsicherung die Flughäfen und die Fluggesellschaften. In der Zeit von 1919 bis 1949 entwickelte sich der Luftverkehr bis in die 1970er Jahre hinein als ein stark staatlich regulierter Sektor. Die Luftverkehrsgesellschaften wie z.B. die Deutsche Lufthansa sowie die Flughäfen befanden sich oft im Besitzt des jeweiligen Heimatlandes. Ende der 70er Jahre setzte in den USA ein Deregulierungsprozess des Luftverkehrssektors ein, der schließlich auch in den 80er Jahren die Länder der Europäischen Union erfasste. Die Europäische Gemeinschaft verwirklichte in drei großen Liberalisierungsschritten in den Jahren 1987, 1990 und 1993 eine weitgehend vollständige Dienstleistungsfreiheit für den innereuropäischen Luftverkehr. (vergl.: St. Kraft: Geschäftsmodelle strategischer Luftverkehrsallianzen. Universität Gießen. WEB: http://www.org-portal.org/fileadmin/media/legacy/Gesch_ftsmodelle_strategischer_ Luftverkehrsallianzen.pdf)


09 Gewerblicher Luftverkehr der deutschen Fluggesellschaft und aller Fluggesellschaften auf deutschen Flugplätzen (1919-2010)

Solange der Luftverkehr noch nicht liberalisiert war, diente der größte nationale Flughafen der nationalen Fluggesellschaft als Hauptstützpunkt. Aufgrund der strikten Reglementierung des europäischen Luftverkehrs durch bilaterale Abkommen wurde den Fluggesellschaften die Streckenführung und Passagierbeförderung größtenteils vorgegeben. Nur, wenn es um Zubringerdienste (die sog. spokes) innerhalb des eigenen Landes ging, konnten die Passagierströme für Langstreckenflüge auf einen bestimmen Flughafen als sogenannten Hub (=gewählter Umsteigeflughafen einer Fluggesellschaft) konzentriert werden. Nach der Liberalisierung innerhalb der EU treten Flughäfen und Fluggesellschaften nun als selbständige Akteure auf, die Entscheidungen nach Effizienzgesichtspunkten fällen können. Die Flughäfen treten untereinander in den Wettbewerb ein. Mit dem Ausbau ihrer Kapazitäten und Dienstleistungen am Boden versuchen sie, für Fluggesellschaften als Hauptstützpunkt (das sog. Hub-and-Spokes-System ) attraktiv zu sein. Unternehmen des Güterverkehrs sowie die Teilnehmer des Personenverkehrs sollen aufgrund guter Serviceleistungen angesprochen werden. Die Fluggesellschaften wiederum konkurrieren über angebotene Flugrouten und Preise. (vgl. Gordon Paul Schenk, 2003: Auf dem Weg zu einem gemeinsamen Markt im Luftverkehr. Dissertation, Hamburg, S. 123 f.) Von daher erscheint es sinnvoll, die erbrachten Transportleistungen im Luftverkehr sowohl nach den Fluggesellschaften als auch nach den Flughäfen getrennt darzustellen. Es wurde versucht, möglichst lange kontinuierliche Datenreihen für Deutschland zur Zeit des Deutschen Reiches bis 1938/1940, jeweils für die frühere Bundesrepublik (Alte Länder) und die ehemalige DDR (Neue Länder) von 1950 bis 1990 sowie für das wiedervereinte Deutschland in den Grenzen vom 3. Oktober 1990 für die Zeit von 1990 bis 2010 zusammenzustellen. Für die Flughäfen wurden die Leistungen sämtlicher deutscher und ausländischer Fluggesellschaften aufgenommen. Zur Zeit des Deutschen Reiches ist auch der Luftschiffverkehr in den Zahlen mit enthalten. Für die Bundesrepublik Deutschland und das wiedervereinte Deutschland wurde der Gesamtverkehr einschließlich des Durchgangsverkehrs erfasst. Für die alten Länder (ehemalige Bundesrepublik) wurden die Werte folgender Flughäfen erfasst: Berlin-West, Bremen, Düsseldorf, Frankfurt, Hamburg, Hannover, Köln, München, Nürnberg, Stuttgart, ab 1977 Saarbrücken. Die Datenreihen für die Neuen Länder beziehen sich auf die Flughäfen Berlin- Schönefeld, Dresden, Leipzig/Halle, ab 1998 Erfurt.
Für die Fluggesellschaften werden jeweils neben den Beförderungsleistungen in absoluten Zahlen auch die Kennwerte der Transportleistungen, Personenkilometer und Tonnenkilometer angegeben. Für die ehemalige DDR wird in dem Statistischen Jahrbuch für die DDR nur für die Fluggesellschaft der ehemaligen DDR, die Interflug bzw. Deutsche Lufthansa der DDR berichtet, so dass für die Zeit von 1945 bis 1990 keine Angaben zu den Flughäfen gemacht werden können.
Folgende Zeitreihen sind in dieser Datentabelle aufgenommen worden:
Für die deutschen Flughäfen:
- Beförderte Personen in 1000;
- Beförderte Luftfracht in 1000 t.;
- Beförderte Luftpost in 1000 t.
Für die deutschen Fluggesellschaften:
- Beförderte Personen in 1000;
- Beförderte Personen in Personenkilometer;
- Beförderte Luftfracht in 1000 t.;
- Beförderte Luftfracht in 1000 Tonnenkilometer;
- Beförderte Luftpost in 1000 t.
- Beförderte Luftpost in 1000 Tonnenkilometer.


Die Nachrichtenübermittlung durch Post und Telekommunikation

Die Beförderung von Nachrichten, Kleingütern und zum Teil auch Personen ist ein wesentlicher Bestandteil eines funktionsfähigen Gemeinwesens. Bis zum späten Mittelalter gab es in dem damaligen Heiligen Römischen Reich deutscher Nationen kein etabliertes System der allgemeinen Nachrichtenübermittlung, sondern Kaiser, Klerus und Fürsten sendeten per Boten ihre Nachricht direkt zum Zielort. Der Habsburger Maximilian I. benötigte für die effektive Verwaltung seines Reichs eine zuverlässige und sichere Nachrichtenübermittlung. 1490 beauftragte er die Familie Torre e Tassis (später Thurn und Taxis) mit der Einrichtung einer systematisch organisierten Nachrichtenübermittlung. Durch die Einrichtung von Poststationen war die Übermittlung von Nachrichten nicht mehr an eine Person, den Boten, gebunden, sondern wurde – vergleichbar einem Staffelrennen – an der Station einem anderen Reiter übergeben. Der Nachrichtenbeförderung wurde bei Tag und bei Nacht durchgeführt. Dieses Poststationen-System wurde ständig erweitert, Briefe konnten so über große Distanzen innerhalb von 5 bis 6 Tagen transportiert werden. Die Nachrichtenübermittlung wurde extrem beschleunigt. Raum und Zeit waren plötzlich keine unüberwindbaren Hindernisse. War dieses Übermittlungssystem zunächst ausschließlich für kaiserliche Nachrichten eingerichtet, wurde schon 1530 die Post der Allgemeinheit zugänglich gemacht. In der darauffolgenden Zeit wurden von Landesfürsten, Herzogtümern und Städten konkurrierende Postrouten eingerichtet. Zwar wurde durch Kaiser Rudolf II. die Reichspost 1597 zum kaiserlichen Hoheitsrecht erklärt. Dieses Monopol, welches das Haus Thurn und Taxis als kaiserliches Lehen erhielt, wurde jedoch nicht von allen Landesfürsten anerkannt, was zu einer Vielzahl ausgehandelter bilateraler Verträge zwischen der Reichspost und den jeweiligen konkurrierenden lokalen Postunternehmen zwang. 1850 wurde schließlich der Deutsch-Österreichische Postverein als Zusammenschluß kleinstaatlicher Posten mit dem Ziel eines einheitlichen Tarifsystems gegründet, dem in der Folgezeit immer mehr deutsche Staaten beigetreten sind. Durch die politischen Ereignisse 1866/67 (Deutsch-Preußischer Krieg) wurde der Deutsche Postverein aufgelöst. Schon in dieser Zeit hat der technische Fortschritt zu großen Umwälzungen und neuen Perspektiven geführt. Als technische Erneuerung sind in diese Zeit gefallen: die Telegrafie, die Bahn, die als Transportmittel für die Post entdeckt wurde, und die Rohrpost. Die Preußen führten die Telegrafie 1832 offiziell ein (Telegrafenlinie von Berlin nach Koblenz). 1850 wurde der Deutsch-Österreichische Telegrafenverein gegründet, der den Anschluss an das belgische, französische und das englische Telegrafennetz ermöglichte. "Erst mit der Gründung des Deutschen Reichs 1871 unter Bismarck wurde auch das deutsche Postwesen endgültig unter einem Dach zusammengefasst und über 100 Jahre lang verstaatlicht." (Gregor Delvaux de Fenffe, www.planet-wissen.de/kultur_medien/ kommunikation/post/index.jsp ) Gebühren der Postbeförderung wurden vereinheitlicht, der Einsatz moderner Technologien forciert. Schließlich wurden mittels bilateraler Verträge die Beförderungshemmnisse über die Grenzen des Deutschen Reiches abgebaut.
Führte in der Entstehungszeit des Postwesens die Vielfalt eigenständiger, regionaler Postvereine aufgrund vieler Grenzen und unterschiedlicher Regeln zu einem unübersichtlichen und starrem System, so brachte die Liberalisierung des Post- und Telekommunikationswesens in Deutschland in den 1990er Jahren einen Anstieg der Auswahl für die Verbraucher, stark fallende Preise, neue innovative Dienste und damit mehr Flexibilität. Auslöser der Liberalisierungsprozesse nicht nur für Post und Telekommunikation, sondern für den gesamten Verkehrssektor, war das Binnenmarktprogamm der Europäischen Union, das europäische Wettbewerbsrecht und die Europäische Kommission als Akteur. Ziel der Liberalisierung ist es, wettbewerbsverzerrende staatliche Eingriffe und damit nationalstaatliche Gestaltungsspielräume einzuschränken. Nationalstaatliche Monopole sind wegen bestehender europarechtlicher Verpflichtungen nicht mehr zu halten. (vergl.: Susanne K. Schmidt: Liberalisierung in Europa. Campus, 1998; Justus Haucap / Coenen, Michael (2010): Ordnungspolitische Perspektiven Nr.01. Regulierung und Deregulierung in Telekommunikationsmärkten: Theorie und Praxis. Düsseldorf, Düsseldorfer Institut für Wettbewerbsökonomie DICE) Flankiert wird diese Entwicklung durch eine Vielzahl neuer Technologien der Kommunikation, wie das Internet mit seinen vielfältigen Möglichkeiten (Social Media, das Semantische Web, die Internet-Telefonie, der E-Mail-Verkehr), der Mobilfunk oder die Möglichkeit, SMS zu versenden.


10 Deutsche Reichs- und Bundespost (1871-2010)

Die quantitative Entwicklung der Dienstleistungen des Post- und Telekommunikationswesen von der Zeit des Deutschen Reichs bis zur Gegenwart soll mit folgenden Zeitreihen festgehalten werden:
- Beförderte Briefsendungen,
- Beförderte Paket- und Wertsendungen,
- Übermittelte Telegramme,
- Sprechstellen (Telefonanschlüsse),
- Ortsgespräche,
- Ferngespräche,
- Ton-Rundfunkgenehmigungen
- Fernseh-Rundfunkgenehmigungen

Durch die rasante technische Entwicklung können viele Reihen insbesondere ab den 1990er Jahren in dieser Form nicht mehr fortgeführt werden bzw. müssen durch weitere Reihen ergänzt werden, und zwar:
- Bezüglich der Telefone muss zwischen Telefon-Anschlüssen und Telefon-Kanälen unterschieden werden. Der klassische Analoganschluss ermöglicht durch das ISDN die Bereitstellung von mehreren Kanälen auf einen ISDN-Anschluss. Darüber hinaus stellt der Mobilfunk ein neues Medium dar, das neben dem Festnetzanschluss erfasst werden muß.
- Aufgrund der Monopolstellung, welche die Post für ca. 120 Jahre innehatte, ist sie die Eigentümerin wertvoller Infrastruktur. Im Falle des Telefons ist sie, bzw. die aus ihr hervorgegangene Deutsche Telekom AG Eigentümerin der Telefonanschlussleitungen. Das Telefonnetz kann als einziger Teil nicht oder nur schwer von alternativen Anbietern ersetzt werden und es wird für gewöhnlich von einem örtlichen Zugangsnetz-Monopolisten (die Deutsche Telekom) kontrolliert. Damit die Wettbewerber den Zugang zum Anschluss des Kunden auf wirtschaftliche Weise realisieren können, sorgt die Regulierungsbehörde für eine angemessene Tarifierung der Vorleistungen des etablierten Betreibers. Daher ist die Entwicklung der TAL-Anmietungen durch Wettbewerber ein wichtiger Indikator für den Prozess der Liberalisierung.
- Viele technische Neuerungen, die in letzter Zeit an Bedeutung gewonnen haben, sind im Rahmen dieser Tabelle nicht berücksichtigt worden, so. z.B. die Verbreitung der Internet-Anschlüsse in den Haushalten oder die Internet-Telefonie. Der Grund liegt darin, dass die Reihen oft erst mit Ende der 1990er Jahre oder später beginnen, wie man dies auch am Beispiel der TAL-Anmietungen sehen kann, für die erst mit dem Jahr 1998 der erste Wert erhoben wurde. Zum andern wurde versucht, soweit wie möglich, eine gewisse Vergleichbarkeit zu den Jahren vor 1990 beizubehalten. Für die Telefonanschlüsse bedeutet dies, dass für Deutschland ab 1990 die Sprechstellen, gezählt als Anzahl der Kanäle für alle Anbieter und für die Telekom AG im besonderen ausgewiesen werden. Nach 2007 ergibt sich ein Bruch in diesen Reihen, da ab 2008 nur noch die Sprechstellen, gezählt als Anschlüsse, ausgewiesen werden, womit sich die ausgewiesenen Zahlen verringern (ein Anschluss kann mehrere Kanäle bereitstellen).
- Für die 'Übermittelten Telegramme' sind aus den uns vorliegenden Quellen keine Werte zu entnehmen.

Pajak adalah kontribusi wajib kepada negara yang terutang oleh orang pribadi atau badan yang bersifat memaksa berdasarkan undang-undang, dengan tidak mendapatkan imbalan secara langsung dan digunakan untuk keperluan negara bagi sebesar-besarnya kemakmuran rakyat. Penelitian ini bertujuan untuk menguji pengaruh ukuran perusahaan, leverage, profitabilitas dan proporsi komisaris independen terhadap tax avoidance. Variabel independen yang digunakan dalam penelitian ini adalah ukuran perusahaan, leverage, profitabilitas dan proporsi komisaris independen. Sedangkan variabel dependen dalam penelitian ini adalah tax avoidance yang diukur menggunakan Effective Tax Rate (ETR).Populasi penelitian ini berjumlah 48 perusahaan sektor pertambangan yang terdaftar di Bursa Efek Indonesia (BEI) tahun 2017-2019. Penentuan sampel penelitian menggunakan metode purposive sampling sehingga diperoleh sampel sebanyak 25 perusahaan atau 75 sampel penelitian. Metode penelitian yang digunakan adalah metode analisis deskriptif dengan analisis regresi linear berganda dan menggunakan alat bantu SPSS versi 25. Hasil penelitian ini menunjukkan bahwa variabel ukuran perusahaan, leverage dan proporsi komisaris independen tidak berpengaruh terhadap tax avoidance. Sedangkan profitabilitas berpengaruh negatif signifikan terhadap tax avoidance.Kata Kunci: Ukuran Perusahaan, Leverage, Profitabilitas, Proporsi Komisaris Independen, Tax Avoidance.DAFTAR PUSTAKAAgusti, W. Y. (2014). Pengaruh Profitabilitas, Leverage, dan Corporate Governance (Studi Empiris Pada Perusahaan Manufaktur yang Terdaftar di BEI tahu 2009-2012). Jurnal Akuntansi, 2(3), 1–22.Ajzen, I. (1991). The Theory of Planned Behavior. Organizational Behavior and Human Decision Processes, 50(2), 179–211.Andriyanto, H. N. (2015). Pengaruh Return On Assets, Leverage, Corporate Governance, dan Sales Growth terhadap Tax Efficience Pada Perusahaan Manufaktur yang Terdaftar di BEI Tahun 2009-2012. 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The paper features three short essays. The fi rst essay is dedicated to the 60th Anniversary of Doctor of Historical Sciences I. L. Izmailov. The second essay contains a critical review of the version proposed by Polish researcher V. Sventoslavsky concerning the actual use of "combat poison gases" by the Tatar-Mongols in the Battle of Legnica (1241). Based on the information provided by Polish historian of the 15th century Jan Dlugosz, the version has no substantial grounds. The third essay contains an overview of the not always positive experience of characterization by Ukrainian researcher, Doctor of Historical Sciences Ya.V Pilipchuk (Kiev)of a complex of weapons of the ancestors of the medieval Ingush. A simple list of the known categories of weapons of the Ingush ancestors does not ensure a clear understanding of the process and dynamics of their military development, simplifying the understanding of the complexity of its formation. Ya. V. Pilipchuk, avoiding the demonstration of the historiographical heritage of his predecessors, is also subject to unjustifi ed inaccuracies. For instance, they include claims about the use of "guns and cannons" by Emir Timur in Georgia. All this makes the publications considered by the researcher to be the works of questionable scientifi c quality. ; Предлагаемая статья состоит из трех небольших очерков. Первый очерк посвящен 60-летнему юбилею доктора исторических наук И.Л. Измайлова. Второй очерк содержит критический обзор версии польского исследователя В. Свентославского о реальности использования татаро-монголами в битве под Легницей (1241 г.) «боевых отравляющих газов». Построенная на сведениях польского историка ХV в. Яна Длугоша версия не имеет никаких серьезных оснований. Последний, третий очерк содержит обзор не всегда позитивного опыта характеристики украинским исследователем – доктором исторических наук Я.В. Пилипчуком (г. Киев) комплекса вооружения предков средневековых ингушей. Простой перечень известных категорий вооружения предков ингушей не дает ясного понимания процесса и динамики развития их военного дела, упрощая осознание всей сложности его формирования. Я.В. Пилипчук, уходя от демонстрации историографического наследия своих предшественников, допускает и неоправданные неточности. Среди них есть утверждения об использовании, например, эмиром Тимуром в Грузии «ружей и пушек». Все это превращает рассматриваемые им публикации в работы сомнительного научного качества. Библиографические ссылки Археология Евразийских степей. 2017. № 5. 355 с. Басов В.И., Нарожный Е.И., Тихонов М.П. О двух типах наконечников копий с территории Северного Кавказа // МИАСК. Вып. 2 / Отв. ред. Е.И. Нарожный. Армавир: РИЦ АГПИ, 2003. С. 105−111. Воронин Н.Н. Крепостные сооружения // История культуры Древней Руси. Домонгольский период. Т. I: Материальная культура / Под ред. Н.Н. Воронина, М.К. Каргера и М.М. Тихановой. 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The German Nazis planned to annihilate the Jewish nation. The Holocaust reached immense proportions on Polish lands, which had been the dwelling place for thousands of Jews for ages. Therefore, the Germans located several death camps on the territory of the occupied Poland. The Poles did not remain passive towards the persecution of the members of the Chosen People living next to them, with many priests and men and women religious committing themselves to rescuing Jews. This issue has not yet been fully explored. The article presents the attitudes of the Polish Catholic Bishops providing aid to Jews during the Second World War. They became involved in the following actions: they issued petitions in defence of Jews and informed pope Pius XII about the persecution of Jews, intervened with the occupation authorities and defended converts, they were personally involved in assisting and saving the lives of the members of the Jewish community, as well as supported clergymen and organizations helping Jews. ; Fonti d'archivio: Archiwum Akt Nowych (AAN) [Archivio degli Atti Nuovi], RGO (Kraków), 5, Lettera dell'arcivescovo mons. Adam Sapieha a Ronikier, 30.10.1940, f. 19-20. AAN, RGO (Kraków), 5, Andie Regierung des Generalgouvernements Abteilung Innere Verwaltung Bevölkerung swessen und Fursorge in Krakau, 4.11.1940, f. 5-6. AAN, RGO (Kraków), 5, Nota, f. 28. 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El aspecto central y objeto de esta investigación es el análisis, a través de un estudio de caso, de los procesos por los cuales se genera un tipo de acción colectiva denominada "movimiento social", a partir de una realidad social dada en la que no existía, así como los mecanismos por medio de los cuales las personas pasan a movilizarse e implicarse en él. A este conjunto de procesos, McAdam, McCarthy y Zald (1999: 24) lo denominaban "estructuras de movilización", aproximación teórica que derivó en la construcción de lo que acabó conociéndose como "Teoría de Movilización de Recursos" (McCarthy y Zald, 1973, 1977, Kriesi, 1988, McAdam, 1986, replicado por Nepstad y Smith, 1999). McAdam (1999: 447) realiza una aportación en torno a las condiciones que debe cumplir un movimiento social para que impacte en la sociedad. La primera estriba en conseguir nuevos miembros; la segunda, en evitar la fuga de los ya presentes, a través del compromiso y la moral; la tercera, en conseguir una apoyo mediático, que en la actualidad debería incluir todo lo relacionado con las redes sociales; la cuarta, en conseguir el apoyo de grupos externos a él, como otros movimientos sociales o estructuras y organizaciones preexistentes; la quinta, en evitar todos estos elementos anteriores en sus adversarios; y, finalmente, la sexta, en influir sobre las estructuras políticas y conseguir que las administraciones tomen decisiones y medidas en la dirección que propone el movimiento. El primero y el cuarto de los aspectos comentados por McAdam constituyen el objeto central de este estudio. Para desarrollar esta idea principal ha sido necesario aplicar una aproximación al estudio de la génesis de los movimientos sociales desde una perspectiva muy particular: aquella que hace referencia a la formación inicial y al momento en el que da los primeros pasos y va ampliando su base social a través de las interacciones y redes sociales en las que participan otros movimientos y/u organizaciones e individuos a título particular. En esta fase, la presencia de las redes sociales se convierte en una herramienta de interpretación imprescindible, que hace posible comprender cómo determinados movimientos y organizaciones sociales preexistentes permiten la generación de un nuevo movimiento social y cómo, a la vez, casi al mismo tiempo, se va ampliando su base social, especialmente, en función de su capacidad para atraer e incorporar a personas que hasta el momento de la aparición del movimiento social en cuestión, nunca antes habían participado en ninguno otro. Ubicando el estudio en el marco de la teoría de los movimientos sociales, se trataría de dar respuestas a la pregunta ¿cuándo se activa un movimiento social?, centrándose el estudio no tanto en los condicionantes contextuales (en cuanto a estructura de oportunidades políticas) o ideológicos, sino en el papel que juegan las redes sociales (preexistentes y generadas) en la configuración de un nuevo movimiento social. Para abordar estas cuestiones se ha focalizado el estudio en un caso concreto: la génesis de Ganemos Zaragoza (que luego derivó en Zaragoza en Común, en adelante: GZ/ZeC), proceso que se inició en el verano de 2014 y que finalizó con la celebración de las elecciones municipales de mayo de 2015. La importancia de esta investigación estriba en que se adentra en una cuestión clave en el estudio de los movimientos sociales desde una perspectiva sociológica: se trata de proponer estrategias científicas (teóricas y metodológicas) orientadas a dar una respuesta adecuada a la comprensión de cómo emergen ese tipo de acciones colectivas que, algunas contadas veces, tienen como resultado impactos en las estructuras sociales, hasta el punto de llegar a cambiarlas (Giugni, 1998, 2004; Funes y Adell, 2003). El análisis de los impactos de los movimientos sociales en lo instituido, visto tanto desde el punto de vista de los aspectos estructurales de lo social como de las instituciones que le dan forma, se ha convertido en el objeto de muchas investigaciones (desde la ya lejana aproximación de Schumaker, 1975: 494-495 a, entre otros, Andrews, 1997; Casquette, 1998: 205 y ss.; McAdam, McCarthy y Zald, 1999: 477; Burstein y Linton, 2002; Ibarra, Martí y Gomà, 2002; Doménech et al., 2002; Glenn, 2003; della Porta, 2004; Jiménez, 2005; Keefe, Lane y Swarts, 2006; Calle, 2007: 141 y ss.; della Porta y Diani, 2011, 285 y ss.; Campos y Ávila-García, 2013). Sin embargo, en algunos casos se ha desnaturalizado el análisis de los impactos al enfocar su objetivo en un eufemismo ("éxito" o "fracaso" de los movimientos), lo que percibimos especialmente en los desarrollos de la teoría sobre las estructuras de oportunidades políticas utilizadas por autores como Tilly (1991), McAdam (1999), Tarrow (1997) o Kriesi (1988), que se han centrado más en comprender cómo inciden las estructuras en los movimientos que en el fenómeno contrario. Tampoco han ayudado mucho las aproximaciones dirigidas a analizar la capacidad que poseen los movimientos sociales de generar discursos e interpretaciones de la realidad social diferentes a la dominante en un sistema social dado (Touraine, 1978; Melucci, 1989; Snow et al., 1986), o bien centradas en observar el cambio de las relaciones en el interior de los movimientos (della Porta y Diani, 2011: 130 y ss.), puesto que han olvidado la dimensión más estructural y macro de los impactos. Como forma de dar respuesta a estas carencias, en la presente investigación queremos retrotraernos al momento inicial del nacimiento de los movimientos sociales, lo que nos permitirá, de una parte, ofrecer una respuesta integral, que sintetice las aproximaciones macro y micro, y, de otra parte, demostrar que los movimientos no nacen "ex-novo" de una realidad dada, sino que se edifican sobre las estructuras sociales preexistentes, dándoles, a través de las relaciones y redes sociales que se generan, una nueva materialidad. Podría decirse que uno de los axiomas subyacentes de la investigación es que los movimientos sociales (entendidos como una nueva red social) nacen en situaciones sociales "enredadas". Esta idea es sintetizada por Mees, cuando afirma que "todos los movimientos sociales en su tiempo son nuevos y viejos a la vez" (1998: 317). En este sentido, puede concluirse que este estudio pretende, en cierta medida, conocer qué hay de viejo en lo nuevo, en el caso de Ganemos Zaragoza. Del objetivo general citado en el primer párrafo se derivan una serie de objetivos específicos, que se describen a continuación: - Identificar las redes preexistentes que permitieron la articulación de GZ/ZeC - Conocer el proceso de articulación de esas redes para dar vida a GZ/ZeC - Comprender el papel que jugó el 15M en el nacimiento de GZ/ZeC - Desvelar el papel que jugaron las redes de diferente tipo en las distintas fases del proceso, especialmente en el momento en el que se produce el desborde La aproximación metodológica es muy concreta: el estudio de caso. El estudio de caso se incluye dentro de las tradiciones de investigación cualitativa, pero se diferencia del resto de perspectivas que también forman parte de ella (biográfica, fenomenológica, teoría fundamentada y etnografía) en varios aspectos y, en concreto, en que en lo referido al estudio de caso, los procedimientos para alcanzar la validez son dos (según Stake 2005). Por un lado, la triangulación, consistente en la aplicación de múltiples técnicas de investigación en un mismo caso (Ayoub, Wallace and Zepeda-Millán 2014). Y por otro, la confirmación de los participantes, es decir, que los participantes en el caso estudiado se vean reflejados en las conclusiones extraídas de la investigación. Ambos procedimientos han sido criticados pero, con todo, siguen siendo los criterios más pertinentes para validar los estudios de caso. En consecuencia, para estudiar la génesis de GZ, se ha procedido a aplicar diferentes técnicas de investigación en función de los niveles objeto de análisis: análisis de documentación, páginas web, actas, etc.: siete entrevistas semidirigidas a informantes clave y una encuesta estadística representativa. Las entrevistas se focalizaron en aquellos agentes que tuvieron un protagonismo en las primeras fases del movimiento y que permitieron abrir el campo de investigación, así como el conocimiento de las redes preexistentes que habían formado parte de este movimiento y la obtención de información de las relaciones con otros movimientos similares que se estaban produciendo en otras ciudades españolas (fundamentalmente, Barcelona y Madrid). Respecto a la encuesta es preciso hacer algunas aclaraciones para encuadrar adecuadamente el análisis posterior. GZ posee varias listas de personas dadas de alta, en función de su nivel de vinculación a la organización. Para la realización del estudio se escogió la lista "Municipalismo", que se creó en los primeros momentos de vida de GZ y a la que se iban sumando todas las personas que se vinculaban al movimiento, procedentes de diferentes vías de captación. Fue especialmente importante en la gestación, consolidación y desborde de GZ, y es considerada como la lista principal y básica que incluye a las "fuerzas vivas de GZ". En ella se encontraban inscritas 554 personas (a 1 de junio de 2015). La muestra que finalmente contestó fue de 253, con lo que se obtuvo un margen de error del +/- 4,5% y un nivel de confianza del 95%. A este conjunto de personas se les pasó un cuestionario cuya administración fue on-line. Por lo tanto, la encuesta fue "autoadministrada" y su diseño tuvo en consideración los requisitos de esta modalidad de administración de cuestionarios (Díaz de Rada 2012: 195). Respecto a la validación de los resultados, se celebró un grupo de trabajo con ocho personas que reunían las siguientes condiciones: que hubiesen estado inscritas en la Lista de Municipalismo antes del 31 de octubre de 2014; que representasen una variedad de perfiles respecto a su pertenencia previa a organizaciones presentes en la génesis de GZ/ZeC. En la sesión de trabajo se procedió a la presentación de las principales conclusiones de la investigación, se abrió un debate en el que contrastaron sus impresiones y, posteriormente, respondieron de forma anónima a un breve cuestionario compuesto por ocho preguntas, cada una de las cuales centrada en una conclusión de la investigación. La valoración de los participantes (podían puntuar cada pregunta entre 1 y 5) arroja unos valores medios que se sitúan, en todas ellas, entre el "4" y el "5", con lo que la media global alcanza un valor de "4,45". En la primera parte del informe se aborda el reto de explicitar los prerrequisitos que permiten entender los movimientos sociales como una de las expresiones posibles de lo instituyente. Y se comprueba que son las relaciones sociales, y las redes sociales que forman, las que permiten identificar el motor de lo social que hace posible el engranaje de lo macro y lo micro y, paralelamente, posee el potencial causal que explica la génesis de lo social. La segunda parte está dedicada a presentar los aspectos metodológicos de la investigación, haciendo una reflexión especial en torno al análisis de caso en el ámbito concreto de los movimientos sociales. La parte tercera está destinada a realizar un análisis de Ganemos Zaragoza y su evolución, así como de los actores y redes que participaron en su nacimiento. En este sentido, hay un apartado especial centrado en el análisis de la incidencia del movimiento 15M en todo el entramado relacional y organizativo de la ciudad de Zaragoza y su influencia en el movimiento que estamos estudiando. La parte cuarta se dedica al estudio de los resultados de una encuesta que se realizó al grupo promotor de Ganemos Zaragoza, así como a ofrecer un análisis de las redes que intervinieron en su nacimiento y las formas en las que se articularon. En este caso, se realiza un análisis estadístico de redes, partiendo de la pertenencia de los individuos de la muestra a cada una de las redes que estuvieron presentes en el nacimiento de Ganemos Zaragoza, lo que permite confeccionar una tipología que identifica cuatro clústeres que se corresponde con la agrupación de individuos que han tenido una "carrera organizativa" similar. Esos cuatro clústeres identificados con los han sido los siguientes: - Clúster "Movimientos reivindicativos": que gira en torno a la Marea Verde (V) y las Asociaciones de Vecinos (AV). Otras redes significativas son la Marea Negra (N) y la Blanca (Bl). - Clúster "Nueva izquierda": Movimientos Ecologistas (E) y Podemos (POD). - Clúster "Izquierda tradicional": Izquierda Unida (IU) y Comisiones Obreras (C). - Clúster de "No asociados", previamente definido por aquellos individuos que no participaban de redes antes de su incorporación a Ganemos Zaragoza (o que pertenecían a redes minoritarias sin interconexión con otras). Finalmente, la última parte se centra en ofrecer las conclusiones de la tesis.

After two difficult weeks of bad press during which President Obama was accused of rashness (for his quick trip to Copenhagen in an unsuccessful bid on behalf of Chicago before the International Olympic Committee) and of dithering (for taking too long to decide on a new strategy for Afghanistan), on Friday October 9th Americans woke up to the news that their President had won the Nobel Peace Prize. With a mixture of surprise and exhilaration, he addressed the media and tried to be graceful in accepting it while at the same time pre-empting the inevitable criticism that would follow. He made it clear that he "did not view this as a recognition of his own accomplishments but rather as an affirmation of American leadership on behalf of the aspirations held by people in all nation. as a means to give momentum to a set of causes…as a call to action…for all nations to confront the common challenges of the 21st century". The reactions in the United States were mixed, but in general, they were the reverse image of those in Europe, where Obama is still widely admired and idealized. Surprise, outrage and skepticism were the three main responses by the American public. On the Right there was outrage because the prize came so early into his presidency, and at a time when his lack of achievements is starting to haunt the administration and has become the object of comedy sketches, from Jon Stewart's Daily Show to Saturday Night Live. Moderates were pleasantly surprised, even if somewhat puzzled, and immediately fretted that the prize would have more negative than positive consequences in the domestic realm. Indeed, recognition by the rest of the world makes even his supporters a little uncomfortable, and it is used as ammunition against the President by those who accuse him of being too apologetic to foreign powers. Skeptics on the Left felt that it was a strange choice because the country under his leadership is still involved in two wars, and about to escalate one of them. To this there is the added perception by many in his own party that he is doing little on the human rights front, especially with respect to Iran, where several protesters are about to be executed while diplomatic talks on the nuclear issue continue. It would be ludicrous to think that the Nobel Peace Prize is awarded only to those who succeed. In that case, it would only be awarded once every a hundred years. Instead, the prize is meant as a reward and an encouragement to leaders who fight for peace. When German Chancellor Willy Brandt was awarded the prize in 1971, he had just launched his "Ostpolitik" and he had made headlines when he visited Warsaw to sign the Warsaw Treaty and spontaneously knelt at the steps of the memorial to the Warsaw ghetto uprising against the Nazis. His acts did not per se bring an end to Cold War confrontation but it can be argued that Brandt started a process that culminated with détente and more concretely, with the Helsinki Final Act of 1975, which established a framework of cooperation between NATO and the Warsaw Pact countries and gradually became a manifesto for the dissident movement against Communism in the Eastern bloc. Later, and as part of the same process, the Nobel Peace Prize would be awarded to Lech Walesa in 1983 for his leadership in the union movement against the Polish Communist regime, and finally to Mikhail Gorbachev in 1990. Their combined efforts finally led to the fall of Communism, and proved that peace, in the words of Nobel Peace prize awardee Oscar Arias, "has no finishing line, no deadline, no fixed definition of achievement…it is a never ending process, the work of many decisions by many people in many countries…" In only nine months of his presidency, Obama has changed the international climate of confrontation and preemptive aggression established by Bush, who alienated even our national allies. He has restored the principles of the New World Order envisioned by Bush's father: one based on international law and diplomacy, consensus-building and on progressive nuclear disarmament. It is this renewal of promises by the US to abide by international treaties, to use dialog instead of confrontation and to cooperate with the rest of the world through the United Nations that the Oslo Nobel Committee was rewarding. But as Eugene Robinson of the Washington Post has observed, if Obama were to find a cure for cancer, his critics would "blame him for putting some hard-working, red-blooded American oncologists out of work". In sum, his critics cannot have it both ways: they derided Obama for his unsuccessful trip to Copenhagen and made fun of his excessive self-confidence and his belief that by his actions alone he can improve American standing in the world. On the other hand, when Oslo honored him with the Nobel Prize, a sign that he is trusted and admired because of his approach to doing exactly that, they use this as proof that he cannot be trusted because foreigners like him too much!Almost a century ago, another US President found himself in a similar situation: admired by the rest of the world but shunned at home, Woodrow Wilson, who had led the way to peace at the end of World War I through the Versailles Treaty and the creation of the League of Nations (based on his famous Fourteen Points), received the 1919 Nobel Peace Prize at the end of his Presidency but after public opinion had already turned against him. Afflicted by a stroke and embittered by his battles with Congress, he never had a chance to see his work come to fruition: the Republican Senate voted against the United States' membership in the League. The consequences of this mistake are well-known: the United States turned inward, became isolationist and protectionist, only to find itself mired in the Great Depression by 1930. A weakened League was unable to stop the rising fascist states, and another world war followed. Later in the conflict the United States had to come out of its isolationism to defend Europe and establish peace. Wilson had died in 1924, but in many ways his vision of multilateralism and war prevention survived in the signing of the Charter of the United Nations in 1945, this time under the leadership of the United States. Peace is even more elusive today, in a global world of unstable states and violent non-state actors, of deep resentments and irreconcilable views and values. It would be ludicrous to think that the US can bring about peace by itself or for that matter, to solve any of the problems that confront it without the cooperation of others. From global warming to transnational crime to terrorism, the only relatively acceptable solutions can be found through diplomacy and multilateral action. It is in this light that the Nobel Peace Prize Committee's intention has to be interpreted. For the first time in eight years, the United States is led by a President who understands that the complexity of post-modern conflict and the depth of the challenges faced can only be managed (not solved) by states acting in concert.The intricacy of global politics today is further enhanced by the immense and unprecedented political awareness of the masses everywhere. This new reality of massive political awakening is especially destabilizing in the early stages of national consciousness, during which emotions and feelings related to identity, ethnicity and geography are greatly intensified and thus become destabilizing. It is this climate of resentment, fragmentation and political awakening that the West has to confront not only in the battlefield (Afghanistan, Pakistan, and Iraq) but also at home, where immigration has altered the national face of states and where the North-South conflict has to be confronted every day. This changing geopolitical context, together with economic realities, is affecting the US place in the world and is resulting in the relative weakening of the West in general and of America in particular. Increasingly, the West is going to need the cooperation of a China that is "rising peacefully" and a still-belligerent Russia to settle most problems in the Middle East and Central Asia. As the United States and the West come to terms with their loss of power, as Europe still struggles to speak in one voice, as their military resources are tied down for the long term in areas where the political awakening is particularly virulent, it is ludicrous to expect peace with capital letters. In the best case scenario, these will be challenges that will require serious negotiations and tough diplomacy in order to be managed, and those should include the rising powers and even some unsavory interlocutors like Iran (which can be a partner in Iraq and Afghanistan) and the Taliban (some elements of which can be brought into local agreements and peeled away from Al Qaeda). Obama should use the encouragement of the Nobel Peace Prize to move these negotiations forward, without ultimatums, without immediate deadlines, with the guiding purpose of accommodation and de-escalation, of managing conflict more than forever solving it.On the home front, Obama publicly refused to celebrate the passing of the Baucus health-care reform bill yesterday, although this is a major stride towards the final legislative product. By a vote of 14 to 9, with only one Republican voting in favor, the Senate Finance Committee cleared the way for a full vote on the Senate floor once it is merged with the version from another committee that was approved a month ago. Senator Olympia Snowe, the only Republican to vote for it, said she was responding to "the call of History, and that consequences of inaction dictate the urgency of Congress" to act. Once it passes the Senate, it will be merged with the House bill and become law. This puts Obama in a very good position to succeed in health care reform before the end of the year, but he underplayed the achievement, saying it was just one more step and there still remained a long way to go. He did, however, thank Senator Snowe for her "political courage and seriousness of purpose."Finally, on November 3rd, all eyes will be on the state of Virginia. Virginians will be voting for governor in a close race in which Bob McDonnell, the Republican candidate has been consistently ahead in the polls. Because Northern Virginia is so close to Washington, not only geographically but also culturally and politically, it is deemed the most important race for governor in the country. After eight years of excellent leadership under two Democratic governors, Mark Warner and Tim Kaine, (there is no re-election for governor in the state of Virginia), the electorate seems ready for a change, even as political pundits are portraying the race as a poll on the President himself. That is why, at the end of this month Obama will be campaigning for Creigh Deeds, the Democratic candidate for Governor of Virginia. It is another political gamble by the hyperkinetic president and one he should reconsider for at least two reasons. First, Virginians are a tough lot and usually prefer to balance the party ticket of state and federal government. Indeed, according to Larry Sabato of the Center for Politics at the University of Virginia, for the last eight consecutive elections, Virginians have voted for governor the nominee of the party opposite to the one that held the White House. That means they will vote for Republican candidate Mc Donnell and Obama's candidate will lose. Second, until this last election when Obama won the state, Virginians had voted Republican in nearly every presidential election since 1952. It was thanks to the youth vote that he won, and those voters are the least likely to come out and vote in the election for governor. The older crowds that vote religiously in every election are more likely to vote Republican this time. For Obama to campaign for Deeds is then a repeat of the Copenhagen Olympic bid effect.Passing the health care bill and achieving a Democratic win in at least some of the governor races would represent incredible boosts for the President that he will need as his support numbers dwindle, especially if he makes the unpopular decision of sending more troops to Afghanistan. By the time all those questions are settled, the Copenhagen Olympics and the Oslo Peace Prize will be distant memories. But then, he will have to go back and address Copenhagen II, namely, climate change. Senior Lecturer, Department of Political Science and Geography Director, ODU Model United Nations Program Old Dominion University, Norfolk, Virginia