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Transcript of an oral history interview with Leonard "Nate" Palmer, conducted by Jennifer Payne at Norwich University in Northfield, Vermont, on 13 September 2013, as part of the Norwich Voices oral history project of the Sullivan Museum and History Center. Nate Palmer graduated from Norwich University in 1963, served in the U.S. Army, and eventually bought into his family's business, John Palmer Moving & Storage, Inc. The bulk of his interview focuses on his experiences as a student at Norwich University and his service in the Army. ; Nate L. Palmer Oral History Interview Interview Date: 09/13/2013 Interview Location: Sullivan Museum & History Center, Norwich University Interviewed by Jennifer K. Payne Transcribed by Thomas H. King III JENNIFER PAYNE: This is Jennifer Payne. Today's date is Friday the 13th of September 2013. I'm at Sullivan Museum and History Center at Norwich University and I'm interviewing Nate Palmer. Nate. NATE PLAMER:: Hi Jennifer, my name is Lenard Nathan Palmer. I was born in Concord Massachusetts in 1941 that puts me a 71 years old, almost 72. I went to Norwich from '59 to '63, graduated in '63 and everybody called me Nate or my real close friends called me pig and that came, that name came because you could see all the meals we had looking at my shirt (Laughing). So that's, my roommates called me pig (laughing). I came to Norwich because I applied to two colleges and UMass at Amherst and Norwich and I'd gone to UMass Amherst for a football camp when I was a junior. I just thought it was too big. I'd never been to Norwich but some of my guys in high school come to Norwich, so I says well I'll go up there. So I'd never been here and came up here (Laughing). My major was, I started as, signed up for business when I came, because my math was, I was a terrible student in high school but then my junior and senior year, in the summer I worked at a construction job and that was the hardest thing I ever did. I was what, 16 and 17 and I was working alongside union laborers and they expected me to do the exact same thing that they did and I had all the worst jobs, sweeping streets, everything. So it was an engineering job so I said, well I'll change my major and be an engineer. So I was a civil engineer when I was, when I came here. Not very good, but I made it. I think my biggest accomplishment here was I graduated in four years. I thought that was, for all the trouble I had been up here, graduating in four years was just great. My roommates, freshman year I had Ed Parady, he's from Glens Falls, New York. Still stay in touch with him. Sophomore year I had Paul Mouris and Joe Valente, there were three of us in a corner room. Junior year I had Jack O'Neil, Jack and I still just great friends, we got in more trouble and then senior year I finally grew up and I had John, Larry Dunn. Larry's a doctor now and I think Larry was probably one of the reasons I didn't get kicked out, out of school when they had the panty raid because I had learned my lesson (Laughs). Let me see, we had no fraternities. I think ours was either the fir-, I think ours was the first year that we came and we had no fraternities. So we had class clubs and I think the class clubs was the best thing that ever happened to our class because, I think the fraternities, the classes went in different directions. You had all your friends, freshman, sophomores, juniors, and seniors and so you became friends with your fraternity brothers. We couldn't talk to the seniors, we couldn't talk to upperclassmen. So we'd go down to the class club and all our fr-, ya know, freshmen were all there together. So we knew each other and we stuck pretty close together and it was sort of like being in the Marine Corps when you're, ya know a recruit and you sort of stick together because you got those other guys always after ya. Is this ok? JENNIFER PAYNE: Yeah, this, you're fine. NATE PLAMER: I played football, was the only sport I played. I played junior and senior year. I'd played football since I'd been 12 years old. 10 or 12. JENNIFER PAYNE: Wow NATE PLAMER: And but when I came to college I thought that I had to study and, ya know football was just too hard to, ya know try to do that. But I sat in the stands my freshman and sophomore year almost killed me. I, first time I'd ever watched a football game. Ya know I'd always been down in the, ya know playing in or sitting on the bench, and it almost killed me. So I went out for football spring my sophomore year and I really enjoyed it. I had a lot of fun playing, I liked to play, I like to play football. JENNIFER PAYNE: What position? NATE PLAMER: I was a halfback, a defensive halfback, and ya know. Lock my friend, good friend Lock would be the defensive halfbacks and sometimes would be on offense. We had some good running backs. I was, I'm slow, so I wasn't ya know that fast but I could play defense. So, but we had a great time. I did earn a letter. I played enough junior and senior year to get a letter, which I was happy with. Other activities? I didn't do, I don't think I did any other activities at Norwich. I got in trouble is what I did that was the other activities I was… JENNIFER PAYNE: What did you get in trouble for? NATE PLAMER Stupid, stupid things. Freshman year we came back, we had Christmas. We were throwing firecrackers out the third floor of Alumni Hall. So they came up and we'd thr-, we'd turn the lights off, throw the firecracker out and about 8 or 9 o'clock everybody's coming back. A upperclassman saw the firecrackers coming out, came up and I got 30 days CMC. Sophomore year, pretty much the same thing except we were throwing whiskey bottles out. JENNIFER PAYNE: Empty? NATE PLAMER: Yeah, we weren't throwing full ones out, they were empty when we threw them out! So I got 60 days for that. So I have that's 30 days my freshman year, 60 days my sophomore year. Junior year, I don't know what we were doing but I got 90 days CMC for creating a disturbance on the upper parade ground, I don't know what we were doing. So for three years in a row, the spring I was in my room and so my fourth year when we had the raid on Vermont College I was up there but I stood in the middle of the quad and didn't go into any of the rooms. Let me see, Colonel, I think it was Ferguson, grabbed me two or three times up there, ya know, but when I had to go in front of the board they called us all in, everybody they called in, wanted to know what we did, and so. They asked, "Were you up there?" I said yes sir. "Were you in the dorms?" No sir I was not. "Now you sure?" I'm sure, I stood in the middle of that quad. And it was fine, so I didn't get CMC, I didn't get any tours for that. But I'd finally grown up and realized and another problem was when I was a junior they put out a, ya know they put out general orders out and special orders all the time. They put out a general order that on your second CMC you'd be automatically expelled for 6 months or a year. I had already been on three times when the letter came out. So I don't know whether that got my attention but I decided that I'd better grow up (Laughing). I mean I came here I was 17 years old so I was ya know young and stupid. Let me see, what did you do to relax? Drink beer I guess. JENNIFER PAYNE: At, in the dorms or did you go out. NATE PLAMER: On occasion we would. Ya know, I mean. Jack and I junior year, now this is the 90 day CMC. I think we probably got it in the spring, because I think I only ended up doing 30, ya know because the school year ran out and they didn't carry the CMC's over, thank god. So Jack and I in, they had graduation ya know. I think graduation might have been Sunday and we're in, Saturday night we're in the CMC, you have to sign out on your door and we had somebody go out. We were going to go home the next day and we sent one of our friends out to get a case of beer a piece to go home with. So we're sitting in our room and we got thirsty and we figured nobody's going to come up so we got the cases of beer and we started to drink. And we had the record player blasting. I was What I Said by Ray Charles or somebody. So Jack has to go to the bathroom so he goes out, locks the door and it was Pete Smith, who was also on CMC in there. He was from down the hall. Jack locks the door, we got the record player so loud that when Jack is back he's banging at the door and he says "Nate the sarge and I are out here." Well we couldn't hear that. All we did was hear the door and all of a sudden I opened the door, I got a beer in one hand, open the door in the other and there is Sergeant Iovany. Regular army sergeant coming around checking on the CMCs to make sure they were in their room. And then I, how about a beer Sarge, cause I knew I was going to get kicked out of school, I knew it. We, the beer, we had a standard waste basket, ya know. It was so full the beers, the cans were all over the floor. So he came in and sat with us for about a half an hour talking and we didn't know what he was doing. So he gets up to leave he says "Hey boys you better clean this mess up" and that was it. And I'm telling you we were never so, well I don't know scared, but I knew, we knew we were going to be kicked out of school. So I guess that's, we did do a little drinking. Not very much, but now that's on CMC (Laughing). Not very smart thing to do (Laughing). JENNIFER PAYNE: Well you were thirsty. NATE PLAMER: Huh? JENNIFER PAYNE: You were thirsty. NATE PLAMER: Well we were bored. Ya know everybody's out having a good time. The guys are coming in, they got their girlfriends, ya know downstairs and this and that. And we're sitting in the room, marking times. Like being in prison, ya know. So we knew we had the beer in the car outside, so I don't know whether we went out or somebody brought it in to us but it was, Jack and I never forgot that. JENNIFER PAYNE: What time of year was it? NATE PLAMER: That was June 6th the moment we graduated, we were going home the next day, they were graduation weekend (Laughs). JENNIFER PAYNE: Summer (Laughs). NATE PLAMER: Let me see, where did we go for entertainment? I think the entertainment was, for my crowd was getting dates with the girls and so in the spring and the fall we would go to Vermont College and, ya know get those girls and we'd go, usually we'd go up to the airport. You could go sit at the airport and watch the plans come in and we'd drink up there or we'd go to, in the spring you'd go out in a farmer's field and you'd shovel it off so that you get the snow off it early spring so that it would dry out so you'd go put your blankets out there. So then in the winter, we'd go down to Green Mountain and especially when you were younger because you could drink in New York when you were 18. So we would drive down to Green Mountain, we would get dates and then we'd drive over to Branardo's or the Hampton Manor and they had a band over there, we'd dance all night. We had just the best time then we'd bring the girls back and then would drive home and that, we have more stories of coming home, who would drive, who's car, how many people you had in the car. The last car out of there, had to take everybody that was left at Norwich. We, I could remember one time I was sitting in the back seat and there was four of us in the back seat and there were either two or three people laying like cord wood on top of our legs and I'm not kidding you. One time we were coming back and this is not just us this happened all the time. But I was sitting there asleep in the back seat and all the, ya know riding and this and that everything's fine. All of a sudden I felt a little bump, it was bumpy and so it woke me up and, ya know it was sort of dark all of sudden it was like somebody turned the lights one. It was the brightest thing you've ever seen in your life. All of a sudden I felt a sort of flying sensation and then boom. We had gone off the road and the white light was because he hit a snowbank and all the snow was coming back and reflecting off the front headlights. So it was bright as it could be and then they bang was we hit, in the farmer's field on the snow. I mean and that was just, that was me, in that car. But you talk to 20 guys and they all got the same story in their car doing something else. So that was our entertainment I guess. JENNIFER PAYNE: But the girls were from Green Mountain College? NATE PLAMER: Right JENNIFER PAYNE: Ok NATE PLAMER: So in the winter the girls were from Green Mountain and then in the spring, in the summer the girls were at Vermont College. So that's how I did it. And that's how all my friends did it, ya know the guys I hang out with and then it took us, it took me a six pack to get to Green Mountain and I was not in very good shape when I finally got to Green Mountain to sign out the girls. See that's young, young, of course I wasn't 18, I wasn't 21 drinking on the way down there either (Laughs). JENNIFER PAYNE: Songs? Do you remember any songs? NATE PLAMER: The only songs, the only songs we all remember "On the steps of Jackman," I mean as far as the Norwich song. I don't remember, what was it the Norwich, whatever that song is, I don't know that on. We all know "On the Steps of Jackman." JENNIFER PAYNE: And what's, how does that, what's that, how does that go? NATE PLAMER: On the steps of Jackman, crying like hell, lies a new born baby. Can't you hear that son of a bitch and bastard yell? Who could be his father, maybe it's you. Just another bastard son of old NU (Laughing). So that's, we all know that song (Laughing). But this, the green fields or whatever, the Norwich song, I don't know what the words to that one are (Laughs). I guess my favorite instructor must have been Professor Munger, he was in civil engineering and, but I don't remember the professors, ya know. Least favorite class at Norwich? I don't know, they were all hard for me. Ya know, I mean so I guess they were all my least favorites. I didn't have, ya know anything that I just didn't really like. It's just they're all, I was, I don't know. I didn't know how to study, I never learned how to study at Norwich. I finally had to go in the Army to learn how to study. Ya know, stupid, you'd think a college kid would know how to study, I didn't. What do I remember being a rook? What I remember, in those days we used to have to brace up against the wall. So when the corporal came by you'd have to brace so we were in Alumni and Alumni's old and it's got those old plaster walls and we'd used to have the water bucket to keep the place from burning down, get some moisture. Well I said I used to be a football player, was a football player. Well I could brace as hard as you've ever seen. I hit the wall one time and knocked the plaster off the wall in the inside. The guy, the two kids in the inside, "hey what's going on? All the plaster…" so after that they said we couldn't hit the wall hard, we just had to brace up close to it, but not hit it. JENNIFER PAYNE: So, tell us a little bit more about bracing. NATE PLAMER: Bracing was, you would, if you walking down parallel to the corridor you were right against the wall, shoulders against the wall and upperclassmen, I guess a corporal came by you would put your back parallel to the wall and you would hit the wall with your back and your feet against the thing, against the kick plate on the bottom. Well I could, I could really hit the wall hard and so that's what happened. That's one thing I remember about my rook year. Knocking the plaster off the wall. JENNIFER PAYNE: Wow NATE PLAMER: How were you disciplined? Well ya know we all had the corporals and the sergeants as a freshmen and we couldn't talk to the upper classmen and we'd get tours if you didn't, ya know proper shave or shine or ya know. But I, just normal stuff, nothing special, just. All right, what was the hardest part of attending Norwich? I think, I think hardest part was the traveling back and forth. I, ya know, was about a 4 hour trip from the Boston area up here. Ya know we didn't have 89 at the time. So it was just a long ride and, but I think other than that. That's about the only thing that I remember that was hard up here. You had a lot of friends, I mean so we had a lot of fun. Let me see, what was the most important thing that Norwich taught me? Ya know, I, I would like to say integrity but in honesty but I think that's, you're sort of born with that stuff I think. But I think Norwich reinforces that, I think ya know the no lying, cheating, stealing, those are good things and but I think if you come up here and you're a lair, a cheater, a stealer, Norwich is not going to change you. But I think if you have the, ya know that, those qualities I think Norwich reinforces it, and I think it's, I think it's great. There was a great article on I'm not sure how long ago but I just put it out to the class. Frank Minter, I think he's class of '86. Wrote the article in Forbes and talked about, ya know the integrity at Norwich and the honor code. He said, Norwich has got about what, eight or ten words. He said Harvard's got 1800 (Laughing). He says it just has to be simple, it does, ya don't have to explain, ya know. So I think, ya know the Norwich code is good. I think it's good for the students and I think, ya know if you can live by it you're alright. So I think that's what it taught me. I've talked about the, some of the funny stories. There are thousands and thousands of funny things that we did. I don't tell a very good story but if you get some guys up here. Really, really great funny, funny things that happened. And after graduation, I was an engineer so I got recruited to go to the state of California to be a highway engineer. My good friend Cy Danforth and I had bought a car. Bought a car together and we drove to California. JENNIFER PAYNE: What kind of car? NATE PLAMER: It was a Dodge, it was a convertible, it had big wings, a 59 Dodge. It was the most beautiful thing you ever saw in your life. And so six of us went out there, two of us had jobs and Bob Goldstein had another convertible and so they had three car, they had three in their car. We had three in our car and we drove cross country and it was the funniest thing. We, I would drive in the morning so I could sit in the back seat and drink in the afternoon (Laughs). And we went across the Mississippi in St. Louis and somebody had mentioned, yeah you get a bottle of vodka or something and you get a watermelon and you make a whole in the top of the watermelon. Stick the bottle in there then you can, ya know eat the watermelon. Well we tried that and we had a big watermelon fight going across the Mississippi throwing the watermelon back and forth to each other. We ran, sort of ran out of money about Las Vegas. And so Goldy had been to Las Vegas, I think that summer or the year before, he said we can make some money. So we'll to Vegas, we'll take our money, we'll parley that, and that will get us to LA. That's were Cy and I had jobs. So we went to Las Vegas. I don't know how much money we lost but we didn't leave there with more money than we started with. So we ended up going to LA, the six of us, my cousin was living in Corona del Mar at the time. We slept on her floor for two nights. We went up to Hollywood and got two apartments right behind Grauman's Chinese Theater and that's where we spent the summer and then Cy and I went to the state of California, which was in LA and got jobs. The other guys tried to get jobs. Billy Zuydhoek was a meat cutter, he cut meat (Laughing). Goldy, Goldy was going to be a veterinarian. He got a job for a, as a vet. As an assistant in a veterinarian place. Steve Lockwood, I think we worked for an insurance company. He got a job for an insurance company and Dick Macy sold encyclopedias door to door (Laughing). And that's what we did in the summer until we all had to go into the service. Every couple of months somebody would leave to go in the service and we left, I think we left Steve Lockwood there, cause I don't think he had to go in the service until May. Cy and I left in December cause we had to go in service in January and… JENNIFER PAYNE: What year was this? NATE PLAMER: This is June to 63, we graduated June 63 and then we, Cy and I reported the 1st of July to the state of California in LA and then in 64, January 64 six months later Cy and I had to report to Fort Belvoir Virginia for, to go on active duty. So while we were in California Cy Danforth worked for a, one design squad and I worked for another one. Well his boss was Elmo Duglass and Elmo was, had been in the Army. Retired, got out as a Captain, he was a black guy and he said, Cy you have got to go in Airborne. He says you got to, ya know if you're going to go into the service you need to go to Airborne. So Si and I own the car together. We drive to Fort Belvoir and Cy says we got to sign up for Airborne. Elmo says we got to go to Airborne school. So we sign up to take the PT test. We go down to Fort Benning cause we own the car together, we gotta go together. We went down to Benning, we went through Airborne school. It was more fun, but the third week you do jump training, jump. And so we all get in the Airplane and I'm looking around and says I've never been in an airplane before. I'm about ready to jump out of it (Laughing). So I had five take offs and no landings in an airplane. So that's, that was in, I think that was May or June of 64. JENNIFER PAYNE: What was your rank? NATE PLAMER: I was a second lieutenant, so we all went in as second lieutenants and then some of us stayed in and some of us, ya know. So I ended up two years active and 20 years in the reserve. So was ending up as a lieutenant colonel. JENNIFER PAYNE: Really? NATE PLAMER: Which was just great. I had a great time. Very difficult, hard but it was good. JENNIFER PAYNE: And you served in California? NATE PLAMER: Went to France, because I took two years of French in high school so I could say parle vous francaise, and they gave everybody a language test when you went into the service to see what you could do. And so I ended up going to France, all my friends went to Vietnam, they went to Germany. All our class, friends, classmates and some went to Vietnam, Korea. We went all over the place, but I ended up in France because I had taken two years of French in high school. JENNIFER PAYNE: Where in France were you? NATE PLAMER: Verdun and then Etain and I was second lieutenant and then promoted to first lieutenant and I got there and I think two days after I got there I had to lead the platoon on a road march down from Verdun to Chalons I think. Now I've been in country two days and I'm taking the platoon down there. I had to sign for a million dollars' worth of equipment. Ya know so you're a second lieutenant and they say ok here's all your equipment sign for it. When you leave in two years it'd better all be here or you're going to pay for it and that's what a second lieutenant does. That's what an Army officer does, ya know. JENNIFER PAYNE: Wow NATE PLAMER: Yeah, wow, sign, ya know 22 years old, 21 years old sign for a million dollars' worth of equipment. Gas masks, rifles, bayonets, helmets, yeah. JENNIFER PAYNE: What else did you do in France? NATE PLAMER: I, ya know I guess that was about it. Ya know I was just a second lieutenant, first lieutenant, was in 97th engineer battalion. Went to the, go to the officer's club, ya know at night at a, ya know, it was fine. Then when I came back as an officer we had a six year commitment. So you have two active, two active reserve, and then two inactive reserve at that time. So I left France, went back to California and tried to find an engineer unit to attend weekend training as an engineer. Well the reserves didn't have engineers at that time. They had other things, so I had to join the National Guard if I wanted to be in a engineer unit and they had an engineer company in Burbank, California. So I went down there and said, ya know I've just got off active duty I need a, ya know two years as active reserve. I didn't realize how much they needed people like me, because usually they don't, the officers that they have are a, they have not been on active duty. Here I walk in, I'm a first lieutenant, just had two years active duty. It was like gold walking in there, it was really wonderful. And so I ended up spending, let me see, 66 to 79 in the California National Guard when I moved back to Massachusetts and spent the rest of the time in the reserves. JENNIFER PAYNE: Where in Massachusetts? NATE PLAMER: Acton, Massachusetts, which is where I live and, but the reserves we would go to. I was attached to the Navy. JENNIFER PAYNE: You were attached to the… NATE PLAMER: So I'm an Army officer attached to the Navy. So we would go to London for annual training. I'd go to Hamber-, what was it, Italy, Germany, was great duty. So that's every summer I'd be gone for 30 days to, ya know. JENNIFER PAYNE: Which division of the Navy were you in? NATE PLAMER: It was, it was a naval reserve unit and they were in charge of the Middle East. That was the area that we had to provide engineering service for the Middle East. We had naval personal, we had Air Force, we had some guys from the Air Force, couple guys from the Army, and it was just like a training unit but if something happened they could call us up and, ya know go over and we'd have the expertise to do specific jobs. JENNIFER PAYNE: Wow NATE PLAMER: So it was good, it was good. But, ya know sometimes you get boring going to, ya know I like to do things. I don't like to sit around, ya know. Where are we? JENNIFER PAYNE: Ok. NATE PLAMER: You're not doing much talking here. JENNIFER PAYNE: I'm listening. How did your training prepare you for your work life? You said the Army was really where you learned organization or studying. NATE PLAMER: I just said I liked to work, I don't like to. When I left California I went back into my family business. I bought into my father's and my brother's business. And it's a furniture moving company, we have trucks and warehouses and stuff and it was very busy back in the 80s. Everything was go, go, go. I was working, I worked seven days a week. I worked seven days a week for maybe 20 years and loved every minute of it. Just really, I mean Sundays I would work maybe four or five hours. Saturday, six or seven but the other days, I would ya know and do everything. As an owner you do everything. So we built a business and bought warehouses, bought trucks but I think it's, I like to work, I like to do things, I don't like to. In California when I was an engineer, in California sometimes of the money runs out they don't do too much, ya know you have to sit at a desk and, ya know you don't see too much come out the end of the pipeline. Ya know it takes a lot of time to design a highway and do something. You don't see much come out. So when I had the chance to leave California and buy into the family business I thought it was a good idea. JENNIFER PAYNE: What's the name of the family business? NATE PLAMER: John Palmer Moving and Storage and I was in California and my father and brother where in the process of buying the business from my uncle. They wanted to build a new warehouse, so me being and engineer, they sent me the plans and I designed the warehouse for them and then after a while I said well why don't I just come be part of the business. So we built a warehouse and nice warehouse, 1,500 square feet. Couple years later we bought another warehouse, couple years after we added on to that warehouse. So it was very, the 80s and 90s were very. When housing was booming, people buying houses, not like it is today. It was just go, go, go, so. JENNIFER PAYNE: Wow. What advice would you give a Rook today about how to survive and thrive? NATE PLAMER: I think from being a business owner the Rook needs to look, not what he's doing, but look at somebody that is looking at him. What do they expect from me, how can I make the University or make whatever I'm doing better. Ya know, instead of, I'll put it as a perspective somebody coming in for a job. Ya know some people walk in, here I am, ya know, what do you want me to do? Versus being able to walk in and say I can do this for you, your company is going to be better because you hire me, because I know this and this and this and I will do this and this and this for you. So if you can look outside and from the outside as maybe that tak-officer is looking at you. What does he expect from me? So do it before he has to ask you to do it. Ya know, you're going to do better. Maybe you don't feel like doing that, but that's how to get along. Ya know, versus fighting the problem all the time. So look at it from the other person's perspective, of what he expects from you and you'll do far, far better. It will be a lot easier on you then fighting it. JENNIFER PAYNE: That's good advice. That's very good advice. Do you have any relatives at Norwich? Did you have any relatives? Do you… NATE PLAMER: I didn't, no, not at Norwich. I had two guys a year ahead of me in high school that came here and one graduated, one didn't. But that's, I don't have any… JENNIFER PAYNE: No kids, or grandkids? NATE PLAMER: No my kids didn't like the military. They said if they could start as a sergeant, fine but they're not starting as a rook anyplace (Laughing). Bad upbringing. JENNIFER PAYNE: What does "I Will Try" mean to you today? NATE PLAMER: I think do the best you can. Do, ya know, just try, just bust your fanny to do what you're supposed to do. Ya know I just got back a week and a half ago from a 2400 mile bicycle trip. Great Falls Montana to Acton Massachusetts. I did it in 35 days. JENNIFER PAYNE: Wow. NATE PLAMER: By myself. JENNIFER PAYNE: By yourself? NATE PLAMER: Yup and… JENNIFER PAYNE: By yourself. NATE PLAMER: Yeah, on a bicycle, you got to. It was very, very hard, but you have to, ya know, I mean everything hurt. But, ya know, so you have to get up every morning. I'd have to get up, now I'm going to do 70 to 100 miles today. No matter what hurt I had, ya know, I had a specific time frame that I had to be home in and I'd done a list of where I'd want to be every single night. I missed by one day. So I did 2,400 miles and missed by one day. JENNIFER PAYNE: Wow. NATE PLAMER: So that's what "I Will Try," just because something hurts, or something doesn't go right, or I don't feel good today. That's not a good excuse, ya know you got to, you got to work. Ya know you got to. JENNIFER PAYNE: Is there anything else you'd like to say? Do you want to talk about your project that you've done for the reunion? This is your 50th reunion. I don't know if you want to mention that? NATE PLAMER: Right, it is our 50th reunion. I've chosen to be the secretary. About a year ago, we started this about a year ago. We lost two very good classmates, very good. Within two weeks of each other and we didn't have a way of notifying the class that they had died. So in case you wanted to go to the wake or funeral. So we decided we would get everybody's email. So we started with that and then I had to learn how to use a computer because I was almost computer illiterate and so as I started doing that I had a printer and decided to do some pictures of this and that. Went to the archives and got pictures there. So now I have over 5,000 photographs of everybody in the class. JENNIFER PAYNE: 5,000. NATE PLAMER: 5, about 55, maybe almost 6,000 photographs that I've gotten from the archives, from the year books. I've got every, I think I have every picture of every guy that I can find in the archives and each in an album. So some guys have 30 pictures and I can email the 30 pictures to the guy and say this is your 4 years at Norwich. These are the pictures and so it's nice. So I learned how to use a computer printer. I have some beautiful photographs. I did the name tags for everybody. I learned how to do that by apple, because I had bought an apple computer and they will train you how to use it. It's been wonderful because I get a chance to email all the guys. Some guys will call me and we talk and it's like 50 years ago. It's just, ya know. All my friends are Norwich guys. I mean I have, ya know, they're just all my friends, ya know I got some great, great friends. We go in the winter, we go to Florida. One of the guys has a big boat. There'll be 8 or 10 of us on the boat for a week, 10 days playing golf. I just have great friends. JENNIFER PAYNE: That wonderful. Is there anything else you want… NATE PLAMER: No, no. Did we cover everything? JENNIFER PAYNE: We did. I didn't ask you, I know you didn't participate in the pantie raids so you really couldn't talk about what happened. NATE PLAMER: No, I, what we have is I asked everybody to right me a note on exactly what their participation was. I wrote one on what I did but some of the guys will tell me and some guys won't. But I have a binder on the pantie raid. JENNIFER PAYNE: Were the news reports of fire hoses and students running crazy… NATE PLAMER: Yes that's accurate. JENNIFER PAYNE: Was that exaggerated? NATE PLAMER: I don't think so because I had never seen. When I was up there I did not see the hoses but I've had guys write to me and it was one of the funniest things, he said one guy was hiding behind the tree and they tried to get him with the hose and I think some of the guys grabbed the hose from fires, from the firemen and started spraying the firemen. But I'm not sure the seniors did all of this. The seniors did some. But there were freshmen, sophomores, and juniors there. So everybody participated. When the school did the disciplining they would give the tours to the seniors but they would kick the underclassmen out and I'm not sure what the criteria was at for. But the underclassmen I think took a little harsher punishment then the upperclassmen but I think we got 8 or 10 guys that did tours, ya know and they were happy to do it. Because they figured they're gunna get kicked out so doing 10 tours was peanuts to them (Laughing). But, ya know it was a fun, it started out as a fun thing it could have ended up just no problem but as soon as the authorities got involved, then it just ya know. JENNIFER PAYNE: Yeah, historic though. NATE PLAMER: It is ya know, I think the school wants to try and forget it but none of the guys, I mean that's what we'll be talking about at the reunion and we got a 170 people coming back. With wives so what we got 60% of the people of our classmates are coming back. JENNIFER PAYNE: That's wonderful. NATE PLAMER: And 36, we started with I think 193 and we have 36 that are deceased and there's only 4 of the whole class that I can't find, yup. So we did pretty good, we did pretty good. JENNIFER PAYNE: Well thank you very much for your time.

Building upon research done by Carl J Richard, and Ricardo Herrera, this research paper will discuss how the Ancient Greek and Roman ideals that Alden Partridge was exposed to through his life growing up in close proximity to the time of the American Revolution and resulted in his development of a values based educational system that would produce citizen soldiers who would be able to serve their country both in the military and civilian sectors. ; Winner of the 2021 Friends of the Kreitzberg Library Award for Outstanding Research in the University Archives category. ; There is Nothing More Inherently American: How the rebellion of Alden Partridge and Greek and Roman influences lead to the rejuvenation of the American education system Alex Rollins Professor McCann HI 243 Historical Methods 4 December 2020 1 Alden Partridge believed that the future of the new American Republic would be secured or lost as a result of the education of its youth. Living in a time of great reform and turmoil in the first 50 years after the founding of the American Republic, Alden Partridge was subject to the same influences of the Founding Fathers: The Ancient Greeks and Romans. The ideals of the Ancient Greeks and Romans penetrated the core of the educational curriculum that most European men received in the late 18th and early 19th centuries and served as the catalyst for the fight against British tyranny in the American Revolution. Partridge was a product of Dartmouth College and the United States Military Academy at West Point and was a man that was so radical that he was removed from his position of Superintendent at West Point by a Summary Court Martial in 1818. Despite his humiliation at the United States Military Academy, Partridge still retained his passion of educating the American youth. Partridge made the decision to create his own institution, the American Scientific and Literary Academy in Norwich Vermont in 1819 which is now known as Norwich University. Building upon research done by Carl J Richard, and Ricardo Herrera, this research paper will discuss how the Ancient Greek and Roman ideals that Alden Partridge was exposed to through his life growing up in close proximity to the time of the American Revolution and resulted in his development of a values based educational system that would produce citizen soldiers who would be able to serve their country both in the military and civilian sectors. Partridge embedded the Ancient Greek and Roman principles of individual freedom, duty to state, civic virtue, and ardent patriotism in order to create an educational system that prepares 2 ndividual citizens and aimed to ultimately "qualify them for all of those high responsibilities resting upon a citizen of this free republic." 1 Alden Partridge was a product of the time in which he lived: The age of the early American Republic. Hailing from Norwich Vermont, Partridge was educated in the "neighborhood schools" surrounding the town.2 Partridge eventually gained admittance to Dartmouth College, where he was introduced into "the mainstream of intellectual thought of the eighteenth century."3 While attending Dartmouth, Partridge developed expert level proficiency in Latin and Greek classics, arithmetic, grammar, and reading in a colonial era grammar school.4 These schools were known for having a "uniformed and standardized" education that was centered around knowledge in Greek and Latin as those languages were seen as the keys to college admission at the time.5 Like most children at the time who attended these school, Partridge most likely received instruction in arithmetic, Euclid's books, became familiar with the works of Virgil, Horace, Homer, and Xenophon, and Cicero's orations. Partridge would have been bombarded with classical influences and would have most likely developed an appreciation for living a moral and virtuous life like most Greek and Roman works compel their audience to do. Partridge Despite being a gifted academic blessed with the ability to teach, Partridge was drawn towards service to his community in the militia. Desiring to follow in his father and uncle's footsteps, Partridge joined the Regiment of Artillerists and was ordered to attend the United States Military Academy at West Point in the years immediately following its founding in 1802.6 While at West Point Partridge received training in military engineering and gained such a 1 Norwich University Cadet Handbook, iii. 2 Baker, "The Partridge Connection", 1. 3 Baker, "The Partridge Connection", 1. 4 Baker, "The Partridge Connection", 2. 5 Gummere, The American Colonial Mind and the Classical Tradition, 55. 6 Baker, "The Partridge Connection", 3. 3 profound proficiency that he was later asked to instruct military engineering following his commissioning as an officer. He became proficiency in all aspects of military engineering, the employment of field artillery and infantry operations. While attending West Point, Partridge noticed several problems with the education system. Partridge wanted to ensure that a commission would only be given when one's studies are complete and thought that there needed to be tougher academic regulations to obtain a degree from the institution. Partridge contributed a great deal to West Point including introducing moral education and instruction in the application of living a life based off of the values of duty, obedience, and "morality, virtue and honor." 7 Alden Partridge excelled during his time instructing at West Point and took great strides to improve West Point in order to further the developments of the cadets and in his mind, ultimately secure the safety of the early American Republic. At the end of 1814, Partridge traveled to Washington DC to meet with Secretary of War Monroe about pushing more funding towards West Point and providing more support to the changes that he desired to make. When he returned to West Point however, Partridge found that "reports injurious to his reputation had been industriously circulated" and the faculty had begun to enact a plan to change the philosophy and overall purpose of West Point.8 These men included Andrew Ellicott, Jared Mansfield, and CPT David B. Douglass and their goals included to convert West Point into a civilian run school where the instructors would not be military officers.9 Their overall redesign of the institution included removing the Corps of Engineers as the primary operators of the school, introduce an entirely civilian staff, and to redesign the training process to prioritize developing engineers to serve the nation rather than military 7 Webb, Captain Alden Partridge and the United States Military Academy, 1806-1833, 203. 8 Webb, Captain Alden Partridge and the United States Military Academy, 1806-1833, 33. 9 Webb, Captain Alden Partridge and the United States Military Academy, 1806-1833, 51. 4 officers. 10 These three men pushed for Partridge to be court martialed under these 4 charges: 1.) Neglect and unofficer like conduct, 2.) Four accounts of unofficer like conduct that were to the "prejudice of good order and military discipline" for showing favoritism to cadets, 3.) Disobedience to orders for contradicting an order from a general officer and the President, and 4.) Mutiny, and the beginning and exciting mutiny.11 The Court martial which charged Alden Partridge of these crimes forced his departure from the United States Military Academy at West Point and serves as the mark of his new beginning as a civilian. After settling into civilian life, Partridge wrote President Monroe in November of 1820, "My employment since I left military service, I believe has been both honorable to myself and useful to my country and I now find myself placed at the head of a Seminary, founded by my own Exertions, and the first of the kind established in the United States-the Superintendency of which I hold, not at the option of any Human Being."12 This seminary is referring to the American Literary, Scientific and Military Academy, which became known as Norwich University. Partridge's Academy mirrored the educational background of the Ancient Greeks and Romans and was subjected to the influence of classical ideals of civic virtue, and duty to state that perpetrated educated men during the time of the Early American Republic. Partridge claimed that "In organizing the plan for this institution, I have taken for my guide, in part, the Constitution of the United States", a document filled with Roman Republican values.13 Partridge hoped to instill those values of duty to state and enthusiastically supported how the Constitution supported how all citizens should be used as a force to protect not only their own interests, but 10 Webb, Captain Alden Partridge and the United States Military Academy, 1806-1833, 52. 11 Baker, "The Partridge Connection", 89. 12 Baker, "The Partridge Connection", 109. 13 Baker, "The Partridge Connection", 138. 5 also serve as a vanguard against tyranny and control by elites. When the Constitution was written, it was the "time when the influences of the classics was at its height." 14 Drawing from their Classical education, the Founding Fathers relied heavily on the structure of the Roman Republic when designing the structure of the American experiment in liberty. The forefront of the Republican ideology that was present during this time was a counterculture movement against monarchical governments. The Founding Fathers were inspired by the stories of Sparta portrayed by Aristotle to "create a republic [established] on the natural rights of the citizen, even while urging the sacrifice for the common good."15 The Spartan state connected the concept of citizenship to the republican concept of duty to the state. Partridge, much like the Founding Fathers, admired "the Spartan's intense military training" which was the medium through which a Spartan citizen, much like an American one, carried out his duty to the state.16The Spartan State required all military aged males to undergo intense military training throughout the course of their youth because "individual Spartans could be conscripted by the state at any moment and could only be freed [from their duties] by the state" to return to society as normal citizens. Partridge followed a similar ideology within his citizen-solider concept that he wished to instill at his institution. Partridge believed that the American people should be "an informed people [who could] protect their liberties" which would be enabled through his scientific military instruction.17 Partridge also intended for his students to maintain a "Spartan life" which would force those students to focus on their studies both academically and militarily.18 14 Gummere, The American Colonial Mind and the Classical Tradition, 174. 15 Richard, Greeks & Romans Bearing Gifts, 23. 16 Richard, Greeks & Romans Bearing Gifts, 31. 17 Baker, "The Partridge Connection", 139. 18 Baker, "The Partridge Connection", 139 6 The Roman concept of citizenship lay in being an individual who held themselves to high moral standards, opposed corruption, defended liberty, and believed in their service to the state. Partridge held similar thoughts. In the 1820 prospectus for the A.S.L.M., Partridge outlined the classes that would meet his desired end state of creating model citizen-soldiers. Those classes included instruction in Latin and Greek, the sciences, History, logic, artillery gunnery, military tactics, and the ancient tactics of the phalanx and the legion to provide historical context as to how the US military has evolved while still retaining its classical influences. Partridge's citizen soldier concept was no doubt influenced by Cincinnatus, the Roman epitome of civic virtue and citizen-soldiery and the impact that he had on the Founding Fathers and the founding of the United States. Cincinattus was a Roman statesman who seized the reins of power to fight an invading army in a time of crisis and then voluntarily gave the up to return to his farm. Just as Patrick Henry believed that the fighters of the revolution were "sons of Cincinnatus…that served their country without ruining it", Partridge's institution would develop the same caliber of individual, who upon graduation would be postured to serve as a leader in the militia and his community.19 American soldiers in the years of the Early Republic embraced the ideas of liberty, citizenship, republicanism, and democracy. These ideals were utilized in the curriculum at Partridge's Institution which he linked to the aspect of serving in the military and helped develop as the corner stone of the military and overall American ethos. Partridge believed strongly in military service acting as the platform from which moral education is built on which aligns with the Roman principles of civic virtue and the Greek ideals of protecting individual liberty. Partridge sought to develop the American spirit which collectively resides in fighting 19 Richard, Greeks & Romans Bearing Gifts, 125. 7 tyranny as a soldier, and then having the ability to return to society after service to better the nation in a different capacity. Partridge was a devout believer in the fact that military service is "basic to the very definition of American Nationalism" and helped American citizens define their relationship to the American Republic.20 Partridge stated in his Lecture on National Defense that "The liberties of Romer were safe, while every Roman citizen considered and felt himself a soldier."21 Using the same logic, Partridge sought secure the liberties of the American citizen at his institution by placing the Citizen-Soldier concept as the cornerstone of his curriculum. While this idea of having a militia composed of individual citizens was the key to America's success in its revolt against Britain, it was not a popular idea at the time. In a correspondence on the subject of Partridge's Lecture on Defense between William Sumner the Adjutant General of the Commonwealth and John Adams, the former President of the United States, Sumner presents his distaste of having a organized militia. Sumner stated that a "Militia, however large, never can be; for it is composed of citizens only, armed [and trained] for the preservation of their own privileges."22 Partridge did not agree with that belief at all. In fact Partridge made it where citizen-soldiers trained at his institution would identify with the concepts of self-sacrifice and catering towards the needs of the community and ultimately the state "became the touchstones of republican virtue and self-worth."23 In his Lecture on Education, Partridge highlighted that he would develop citizen-soldiers and fix the issues that he saw at West Point and in the American Education System as a whole. 20 Herrera, For Liberty and the Republic, 87. 21 Partridge, "Lecture on Defense", 2. 22 Adams, Partridge, and Sumner, Observations on National Defence, Drawn from Capt. Patridge's Lecture on That Subject, and from Gen. Sumner's Letter to the Venerable John Adams, on the Importance of the Militia System, 20. 23 Herrera, For Liberty and the Republic, 87. 8 Partridge's lecture on education presents the argument that investment in the elementary education of the American Youth is paramount because it is "the rising generation that we are to look for the future guardians and protectors of the inestimable rights and privileges."24 Partridge states that he does not believe that education should be tailored to any specific job but instead believes that education should be tailored to prepare "a youth in the best possible manner for the correct discharge of the duties of any situation that he may be placed."25 Partridge cites 6 major deficiencies in the education system. The first deficiency that Partridge highlights is that the education system is "not sufficiently practical, nor properly adapted to the various duties an American citizen may be called upon to discharge."26 Partridge observed that the American youth who were "destined for a liberal education"27 would be required to study Greek and Latin more than they were required to study their native language of English which he believed to be extremely impractical. Partridge states that while the youth are required to gain proficiency in dead languages, they are not taught relative subjects such as government, international relations, and physical fitness. These are all subjects that the American youth must be proficient in to be productive citizens in the civilian sector of society or to be the "defender of their countries rights and the avengers of her wrongs" as leaders in the military."28 Partridge asserts that if the education system does not set up American citizens to perform their duty and contribute to society, then it is nothing short of defective and sets America up for failure. Partridge notes that there is additionally a neglect of physical fitness and physical education within the American education system. Identifying physical fitness as an "absolute 24 Partridge, Lecture on Education, 1. 25 Partridge, Lecture on Education, 2. 26 Partridge, Lecture on Education, 2. 27 Partridge, Lecture on Education, 2. 28 Partridge, Lecture on Education, 2. 9 necessity," Partridge believes that a citizen's ability to endure fatigue and their ability to take care of themselves is critical to the creation and maintenance of the American workforce. 29 In order to have a strong, productive workforce, Partridge believes that it is up to the individual citizen to maintain a high level of physical fitness so that they do not "prematurely die or linger out a comparatively useless and miserable existence."30 Partridge additionally believes that it is important for citizens to be able of "enduring exposure, hunger, and fatigue."31 Partridge links one's ability to exert themselves physically to their ability exert themselves mentally and asserts that a strong body houses a strong mind. Partridge additionally identified that the current system of education fails to manage time adequately and creates an environment that fosters a sense of idleness and lackadaisicalness. Partridge believed that with proper time management, that the American youth could occupy their time with productive activities that reinforce what they are learning in the classroom. Fourthly, Partridge claims that students should live frugally while obtaining their education. He believes that access to more wealth allows students to live extravagant lifestyles that are "highly injurious" to the individual and are not conducive to a productive academic environment.32 Partridge states that giving youths money "and allowing them a portion of idle time and it may be viewed as a miracle if a large portion of them do not become corrupt in morals.[and] they are prepared to become nuisances" to society and not benefit the greater good.33 Fifthly, Partridge highlights that all students should not be required to pursue the same courses of study as everyone has their own strengths and weakness. Partridge believes that when 29 Partridge, Lecture on Education, 2. 30 Partridge, Lecture on Education, 3. 31 Partridge, Lecture on Education, 3. 32 Partridge, Lecture on Education, 4. 33 Partridge, Lecture on Education, 4. 10 one is forced to pursue a course of study that does not interest them that they will never excel in that field, achieve a state of proficiency in the subject, and will develop a general disdain to engage in academic activities. Finally, Partridge states that he does not believe there should be a set time limit to complete one's education and advocates for one to be able to work at their own pace. According to Partridge it is pertinent that a student is able to progress as quickly or as slowly as he or she wants so that they develop a "thorough understanding of the subject" that they choose to pursue. 34 Partridge sought to fix the deficiencies he presented in his lecture in his own institution where he would integrate military discipline and organization, the instruction of military science, history, and general sciences within the academic environment. It is through military organization and discipline that Partridge hopes to instill the Roman traits of honor, manliness, and obedience in the individual citizen to aid in his/her success in the academic environment. The instruction of military science reinforces the fostering of the traits of a soldier and strengthens the skill of the militia to eliminate the need of a large standing army that has the potential to infringe on the freedoms of the American citizen. Partridge believed heavily in incorporating the study of history to supplement the instruction of military science by providing case studies and context as to why military operations are conducted in the manner that they are and highlight the principles on which victory is created. Through this integration of military science, history, and general science instruction, Partridge hoped to increase the financial stability of the early American Republic by lowering defense spending and thereby decreasing 34 Partridge, Lecture on Education, 4. 11 national debt. Partridge's educational model would achieve this as a result of military training/defense spending would be tied to the general education of the American population. In examining whether the ideals of the Ancient Greeks and Romans influenced Alden Partridge, it is difficult to say given the time and access needed to peruse hundreds upon hundreds of documents. Partridge's life was devoted to the education of America's youth because he believed that the success of the American Republic pivoted on the education of the youth. It can safely be asserted that Alden Partridge's educational ideology correlates with the Greek and Roman values of civic virtue, and duty to state; however, correlation does not equal causation. In examining three archival sources from the Partridge Papers and other secondary sources pertaining to the subject of the early American Education system and Classical Education as a whole it can only be asserted that if Partridge was subject to Ancient Greek and Roman ideals, then they implicitly impacted his plan to rejuvenate the American system of education along with his experiences both good and bad instructing at the United States Military Academy at West Point. 12 Annotated Bibliography Archival Sources from Norwich Partridge, Alden. The Partridge Papers. 5th Floor Special Collections. Norwich University Archives, Kreitzberg Library, Norwich University, Northfield, Vermont, United States. • Partridge, Alden. Lecture on Education, 1828. 5th Floor Special Collections. Norwich University Archives, Kreitzberg Library, Norwich University, Northfield, Vermont, United States. • Partridge, Alden. Lecture on National Defense, 1824. 5th Floor Special Collections. Norwich University Archives, Kreitzberg Library, Norwich University, Northfield, Vermont, United States. • Observations on National Defense, Drawn from CPT Partridge's Lecture, 1824. 5th Floor Special Collections. Norwich University Archives, Kreitzberg Library, Norwich University, Northfield, Vermont, United States. These sources from the Partridge Collection at the Norwich University Archives provide Partridge's opinion on education, national defense, and the opinion of other key players in American history such as John Adams and John C. Calhoun regarding Partridge's idea of national defense. These sources are very cut and dry in addition to being easy to read and are critical to my research as they present the revolutionary ideas of the citizen-soldier concept and Partridge's educational reform straight from the man himself. Primary Sources Painter, Jacqueline S., Dean Paul. Baker, and United States. Army. Court-martial (Partridge : 1817). The Trial of Captain Alden Partridge, Corps of Engineers: Proceedings of a General Court-Martial Convened at West Point in the State of New York, on Monday, 20th October 1817, Major General Winfield Scott, President. Norwich University Library Occasional Paper; No. 3. Northfield, Vt.: Friends of the Norwich University Library, 1987. This source is the transcript from the court-martial of CPT Alden Partridge that led to his dismissal as superintendent of the United States Military Academy at West Point. This transcript is critical to my research as it gives historical context to a key event in CPT Partridge's life that pushed him to go out and create his own educational institution. This source reveals the immense controversy that surrounded the case and highlights a key time in the development of American Military education. 13 Secondary Sources Baker, Dean Paul. "The Partridge Connection: Alden Partridge and Southern Military Education," (PhD diss., University of North Carolina at Chapel Hill), 1986. This is a dissertation that was submitted to UNC Chapel Hill to satisfy the requirements for a History PhD for Dean Paul Baker. The fifth chapter titled "The Captain's Academy" provides a unique presentation of how Partridge's Academy fits in the larger picture of American Education at the time of the early 19th century. Baker additionally covers how Partridge spearheaded educational reform and inspired others to do so. Baker highlights while Partridge's academy specialized in training military leaders, its greatest contribution to society was training men for civilian careers. Harmon, Ernest N. Norwich University: Its Founder and His Ideals. Newcomen Address, New York: Newcomen Society in North America, 1951. MAJ. GEN. Ernest Harmon was the Professor of Military Science and Commandant of Cadets at Norwich University from 1927-1931. This is a small 31 paged primary source document that explains the founding of Norwich University and how it has contributed to American success both on the battlefield and on domestic soil. This document provides a look as to how the leader of Norwich University as an institution views the ideals of Alden Partridge and additionally provides an overview on Norwich's establishment following Partridge's removal from West Point. Hanson, Victor Davis., and John Heath. Who Killed Homer?: The Demise of Classical Education and the Recovery of Greek Wisdom. 1st paperback ed. San Francisco [Calif.]: Encounter Books, 2001. Victor David Hanson is a Professor of Greek at California State University at Fresno and is a renowned author, military historian. He additionally holds a PhD in the classics from Stanford University. Who Killed Homer? describes the importance of understanding Greek culture and its contribution to the development of the United States and Western Civilization as a whole. The second section of the work is entitled "Thinking Like a Greek" and provides a clear and concise overview of what ideas and ideology is considered to be "Greek" and gives a broad context as to the Greek influences on one's life. This is critical to this paper as it presents Greek ideas and ideology simply as interpreted by a leading expert in the Ancient Greeks. Herrera, Ricardo A. For Liberty and the Republic: The American Citizen as Soldier, 1775-1861. 1 online resource. vols. Warfare and Culture. New York: New York University Press, 2015. Ricardo Herrera is an associate Professor at the US Army Command General Staff College. This source relies primarily on unpublished manuscript sources to convey the ethos of the citizen soldier concept from America's birth to the breaking of the Civil War. Herrera goes into great detail as to how in the mind of an American, the idea of citizenship is closely linked 14 with being a soldier. This source is pertinent in my research because it displays how in early American History, the ideals of liberty, citizenship, republicanism, and democracy are linked to serving in the military. The identification of these ideals in the citizen-soldier ethos can be utilized to highlight similarities to the ethos that existed in Ancient Greek/Roman society and that has transcended the Hellenic age to the time of America's birth and the early 19th century when Alden Partridge founded his academy. Howe, Daniel. "Classical Education in America." The Wilson Quarterly (1976-) 35, no. 2 (2011): 31–36. The focus of this source is how classical education has developed and been implemented throughout America History starting just after the Revolution. The article gives a fantastic overview of how classical ideas influenced the creation of America and remained a cornerstone from which the republic was developed. I plan to implement this source in my research by using it to provide an overview of how classical ideas remain present during the time of Alden Partridge, and how they influenced his upbringing and his personal education in the late 18th and early 19th centuries. Gummere, Richard M. The American Colonial Mind and the Classical Tradition : Essays in Comparative Culture. Cambridge, Mass.: Harvard University Press, 1963. https://doi.org/10.4159/harvard.9780674284531. This source is a compilation of essays that discuss how the classical tradition influenced Colonial Americans. One essay is entitled "Colonial Reactions to a Classical Education" and discusses the classically based curriculum of the colonial grammar schools. Highlighting the emphasis placed on reading Greek authors such as Homer, Xenophon, Euclid, and developing an appreciation for learning Greek and Latin, this chapter aids me in my research paper by providing a detailed look as to what the curriculum of the early classical schools were and helps me develop a better picture of what Partridge's education was as an American youth. Norwich University Cadet Handbook. The Office of the Commandant, 2020. This is the handbook with all of the knowledge that is required to learn as a first-year cadet at Norwich University. The Office of the Commandant releases a new one each year. In this book you will find the Norwich Cadet's Creed, a brief history of Norwich University, a list and brief bio of the medal of honor winners and other things such as that. 15 Richard, Carl J. Greeks & Romans Bearing Gifts: How the Ancients Inspired the Founding Fathers. 1st Edition. Rowman & Littlefield Publishers, 2009. Carl J. Richard is a professor of history at the university of Louisiana. This source explains how the Founding Fathers of the United States were influenced by their education in the Greek and Roman Works. Richard explains that the ideals of civic virtue, individual liberty, checks and balances on government, were derived from the classics and aided the Founding Father's in their incitement of revolting against tyranny. This source critical to my research because it specifically outlines what about the Greeks and Romans influenced the creation of America and will provide ample amounts of evidence that I can tie to the ideology that Partridge shares with the Founding Fathers. Thelin, John R. A History of American Higher Education. Baltimore: Johns Hopkins University Press, 2004. This source covers the overview of higher education in America from the founding of colleges in the colonial era to the 21st century. This source goes into detail as to the curriculum and teaching methods utilized at early American universities such as Dartmouth, Alden Partridge's Alma Mater prior to attending the United States Military Academy at West Point. I plan to utilize this source in my research paper to provide insight as to what Partridge's educational experience was like at Dartmouth and sheds light as to what the potential influences are on his educational philosophy that was considered so radical at the time. Urban, Wayne J., and Wagoner, Jennings L., Jr. American Education: A History. London: Taylor & Francis Group, 2013. Accessed November 5, 2020. This source covers the history of American education from the precolonial era to the twenty-first century. The source develops a whole chapter to the development of the education system from 1776-1830 entitled "Education and the Building of a New Nation" that covers the influences of classical education on the development of civic virtue and duty to state that Partridge sought to instill in his students at his institution. The author covers the classical influences on the enlightenment that perpetrated the thoughts of the founders of America and explains how those classical ideas remained tied to the development of citizens within the educational system. I plan to use this work in my research paper by using it to explain the type of school that Alden Partridge attended and to show how common the proliferation of classical ideals were in 18th-19th century society . 16 Webb, Lester A. Captain Alden Partridge and the United States Military Academy, 1806-1833,. Northport, Ala.: American Southern, 1965. This source is a biographic overview of Partridge's upbringing in the Vermont frontier all the way to when he was fired at West Point. Lester Webb presents a thoroughly researched work that compiles information from varying primary sources regarding Alden Partridge and his career as a teacher of mathematics and military science. I plan to incorporate this source in my research paper by using it to help me provide context as to how Alden Partridge was brought up and to help me describe what educational influences he was subject to since not much is known about his childhood. Wood, Gordon S. The Idea of America: Reflections on the Birth of the United States. Penguin, 2011. Gordon S. Wood is a Pulitzer Prize winning historian that has written several books on the American Revolution. This work focuses on the emphasis that Ancient Greece/Rome played in the development of the American Republic and how education is a cornerstone of creating citizens and instilling a sense of pride and involvement in the activities of one's nation. I plan to implement this work in my research by using it to draw parallels between the ideals of the Greeks and Romans that the ideal of America was based on and the educational ideals and citizen soldier concept developed and implemented by CPT Alden Partridge.

The integration and inclusion of persons under international protection (i.e. persons granted asylum and refugees) into society proceeds through their contacts and interactions with institutions and residents in local communities where their reception and accommodation have been organised. In this process, the achievement of social, economic, cultural and all other dimensions of integration in local communities is facilitated by the activities of different national and local stakeholders in the integration system. Creating the conditions for Croatian citizens to familiarize themselves with refugees requires joint efforts by all system stakeholders and engagement to inform citizens and raise their awareness about the presence, rights and obligations of persons under protection, with a view to preventing and mitigating any negative manifestations of discrimination, exclusion and marginalisation, and to ensuring that persons under international protection become accepted and integrated members of local communities and society as a whole. With this in mind, this research has analysed capacities and challenges, and assessed the resources and needs of local and regional self-government units given their past or future experience with the reception and integration of persons under protection. Furthermore, this research has also identified the attitudes of Croatian citizens towards persons under protection and their readiness for the reception and integration of persons granted asylum in their local communities.The general purpose of the project is to support units of local (cities, towns and municipalities) and regional (counties) self-government in identifying the needs and challenges of integrating third-country nationals in need of international protection. To achieve the purpose of this research, both quantitative and qualitative research methodologies have been used. As a result, it was conducted as mixed-method research, that is, as two correlated studies. The quantitative segment of the research pertains to its first goal, which was to identify the attitudes of Croatian citizens and their readiness for the acceptance and integration of third-country nationals granted international protection in the Republic of Croatia, while its qualitative segment refers to the second research goal, to identify the needs of local and regional self-government units in the process of integrating third-country nationals granted international protection in the Republic of Croatia as well as the challenges they encounter or will encounter when it comes to the integration of persons granted asylum into Croatian society. The third research goal, to prepare checklists for assessment of needs and challenges of integration for local and regional self-government units and for persons granted international protection, has been achieved by synthesising the findings reached under the previous two goals and by preparing two checklists. One is intended for heads and staff of LSGUs and RGSUs so that they can assess the existing needs, resources and capacities of their communities in terms of planning and implementation of integration activities. The other is designed for persons granted asylum and serves for the self-assessment of their needs and the extent to which they are met. Accordingly, the starting point for tool selection and elaboration is the multidimensional concept of integration of aliens into the host society, which is focused on the processes and dimensions of integration of persons under international protection (either with full asylum or subsidiary protection status) into Croatian society as a whole, but also into individual local communities in Croatian regions covered by this research.Due to the specific character of the quantitative and qualitative methodological approaches, the report describes methodological aspects and results separately, first for the quantitative study conducted by a survey of citizen's attitudes towards the integration of persons under national protection, and then for the qualitative study of needs and challenges faced by local communities in the integration process. The target group of survey participants covered by the research was defined so as to include citizens living in selected counties (regional self-government units) and towns and municipalities (local self-government units). In order to form a sample of participants for the purposes of this research, Croatia was broken down into four regions: Eastern, Central and North-Western, Littoral and Istrian, and Dalmatian regions. In each region, the sample came to include between two and five counties (a total of 12) and between three and five towns (a total of 15). The Eastern Region encompassed the counties of Osijek-Baranja, Vukovar-Srijem and Požega-Slavonski Brod. The Central and North-Western Region included the City of Zagreb as well as the countries of Zagreb, Sisak-Moslavina, Bjelovar-Bilogora and Varaždin. The Littoral and Istrian Region covered Primorje-Gorski Kotar and Istria counties. The Region of Dalmatia consisted of Zadar and Split-Dalmatia counties.In the selected towns, the size of the sample was proportionate to the size of the town within its region, with the participants in each town selected by probability sampling. The sample of citizens aged 18 to 65 included 318 persons in each region, and probability sampling – together with the use of two levels of purposively selected clusters (region and town) – ensured that the sample structure, in terms of its socio-demographic profile, reflects the characteristics of the region's population, according to publicly available statistics. The sample formed in this manner and its size (N = 1,272) allowed inter-regional comparisons with regard to the relevant characteristics of the participants and measured constructs. Data were gathered using the CAPI (Computer Aided Personal Interviewing) method, in the period from 14 May to 10 June 2018. The response rate was 57%, which is quite high given the type of research in question.The survey questionnaire contained 67 items forming the following constructs and scales: (1) Attitude towards persons granted asylum; (2) Perception of realistic threat; (3) Perception of symbolic threat; (4) Support for the rights of persons granted asylum; (5) Perception of negative changes in the community; (6) Readiness to assist persons granted asylum; (7) Frequency of contacts with persons granted asylum; (8) Quality of contacts with persons granted asylum; (9) Sources of information about persons granted asylum; (10) Media portrayal of persons granted asylum; (11) Social proximity to persons granted asylum; (12) Attitude towards forms of acculturation; (13) Estimated number of persons granted asylum; (14) Change in the number of persons granted asylum; (15) Socio-demographic profile of participants. The scales used in this questionnaire show very good metric characteristics: a Cronbach's alpha internal reliability coefficient ranging from 0.77 to 0.93 and a clear construct validity and single-factor structure.The collected data were subject to a series of statistical analyses, including descriptive calculation of statistics (range, frequency, median measures, variability measures) at the levels of the aggregate sample and each region as well as inter-regional comparisons of the results derived from the measured constructs (variance analyses, t-tests, chi-squared tests). Also, by using regression analysis, a model was set to predict two forms of behavioural intentions among host populations: (1) readiness for social relations with asylum beneficiaries at different levels of proximity; and (2) readiness to help persons granted asylum in their integration. These two forms of behavioural intentions served as criterion variables, which were predicted on the basis of a set of predictors that included the participants' individual attributes (socio-demographic variables and regional affiliation), their religious and political orientation, their opinion about the number of asylum beneficiaries to be received by the country in future and about their social adjustment strategies (i.e. about acculturation strategies), their frequency of contacts with persons granted asylum and their perception of threats and expected changes in the community caused by the arrival of persons granted asylum (i.e. perceptions of realistic and symbolic threats, and expectations of negative changes in the community).The average results obtained on the aggregate sample show that, when it comes to attitudes towards persons granted asylum, the respondents express attitudes that are, on average, neutral. However, when assessing their perception of threat, they seem to feel a slight realistic threat, and a somewhat stronger symbolic threat. The participants also express what is, on average, a neutral attitude regarding the expected negative changes in the community. As for their readiness to help asylum beneficiaries personally, the participants are also neutral, stating they are not sure of their readiness in this regard, but showing a slight support for the rights of asylum beneficiaries. Concerning the frequency of contacts with persons granted asylum, slightly more than half of the participants (52.1%) reported that they had such contacts, describing them, on average, neutrally – as neither positive nor negative. Among those who reported such contacts, the majority stated that they were rare.The data collected clearly show that the mass media (print and online news outlets, television and radio) are the most common source of information for Croatian citizens – more than 90% of citizens receive information about persons granted asylum in this way. These are followed by social media, which are used as a source of information about asylum beneficiaries by nearly half of the participants (45.8%). It has been established that citizens deem the media portrayal of asylum beneficiaries slightly negative.As for social proximity, the participants are, on average, ready to accept persons granted asylum as their fellow workers or neighbours, where it is obvious that the citizens are, for the time being, not ready for the closest relations with asylum beneficiaries, although nearly 61% would be ready for friendly relations.The participants were also asked about acceptable acculturation strategies, that is, about how persons granted asylum should approach the Croatian culture and maintenance of their own culture. The majority of participants (70.7%) chose integration as the preferred acculturation strategy (both maintaining their own culture and accepting the culture of the host country). About one fifth of the participants champion assimilation as the preferred acculturation strategy; i.e. they expect persons granted asylum to relinquish their specific culture and accept only that of their host country. Separation, that it, the opinion that persons granted asylum should maintain only their own culture without accepting Croatian culture, is upheld by 3.7% of the participants. Looking at acculturation strategies as a continuum (from assimilation, through integration, to separation, or vice versa), the participants on average tend to support cultural integration of persons granted asylum.When it comes to estimating the number of persons granted asylum at the time of survey, only one fifth of the participants made a more or less accurate estimate. Somewhat more than a fourth of participants underestimated the actual number of asylum beneficiaries, whereas almost half of them overestimated the number of cases of granted asylum. These results are consistent with the replies regarding preferred projections of the number of asylum beneficiaries in the future. Specifically, the majority of participants (45.8%) feel that their number should remain the same, only slightly fewer are those who would reduce it (45.6%), while less than a tenth holds that the future number of asylum beneficiaries in Croatia should go up.The analysis of regional differences demonstrates that the least positive attitudes towards persons granted asylum, the highest perception of both realistic and symbolic threats, the lowest support for the rights of asylum beneficiaries, the highest expectations of negative changes, and the lowest readiness to assist are present among participants in the Dalmatian Region. It is followed by the Eastern Region, and then the Littoral and Central Regions, where these attitudes are more positive. The frequency of contacts with persons granted asylum is low in all the regions, with the lowest levels reported in the Eastern and Dalmatian regions. However, there are no regional differences in the quality of contacts, as it is everywhere seen as neutral. Readiness for close contacts is the lowest in Dalmatia, followed by the Eastern Region, with its highest levels reported in the Littoral and Central regions. The citizens of all regions choose integration as their preferred acculturation strategy, while participants in Dalmatia divided their preferences between assimilation and integration. The number of asylum beneficiaries is mistakenly estimated in all regions. Indeed, it is overestimated everywhere except the Eastern Region, where the figure is underestimated. Furthermore, while the citizens of the Central and Littoral regions would prefer to keep the future number of asylum beneficiaries at the same level, those in the Eastern and Dalmatian regions are keener to reduce it. When predicting the readiness for social proximity with asylum beneficiaries, the key predictors include the attitude towards the number of asylum beneficiaries in the future and acculturation strategies. The readiness for a higher level of proximity is demonstrated by those citizens who feel that the future number of asylum beneficiaries should be increased, as well as those who champion integration. The predictors of marginal importance include practising religion, where the participants who do not declare themselves as practicing believers tend to be ready for a higher level of proximity with persons granted asylum, as well as the perception of symbolic threat and the fear of negative changes in the community, where those who perceive a higher symbolic threat from asylum beneficiaries and expect more negative changes in the community due to the arrival of persons granted asylum tend to be ready for a lower level of proximity with them. These results generally apply to all of the four regions.When it comes to predicting the readiness to assist asylum beneficiaries personally, it can also be said that – allowing for minor regional particularities – the key factors include the participants' opinion that the number of asylum beneficiaries should increase in the future and, again, the perception of a higher symbolic and realistic threat. Those participants who feel that the future number of asylum beneficiaries should increase are readier to help, whereas those whose perception of threat from asylum beneficiaries is higher are also less prepared to assist them personally. Another highly significant predictor is the frequency of contacts with persons granted asylum. Those participants who reported more frequent contacts with asylum beneficiaries are also more prepared to assist them. Finally, the variables of marginal significance include gender and political orientation, where women and those on the left side of the political spectrum would be readier to help asylum beneficiaries.The conducted regression analyses show that the most frequent predictors for both criteria (social proximity and readiness for personal assistance) include the perception of symbolic and realistic threat, expectation of negative changes in the community due to the arrival of asylum beneficiaries, opinion that the future number of asylum beneficiaries in Croatia should be increased and the choice of integration as the preferred acculturation strategy. It follows that a more favourable attitude of Croatian citizens can be expected if they feel less threatened by persons granted asylum, that is, if they understand that their arrival does not pose a threat to the existing identity and culture nor jeopardise the resources of local communities, if they expect less negative changes in their communities due to the arrival of asylum beneficiaries, if they think that the number of asylum beneficiaries in Croatia needs to be increased in the future, and if they believe that integration is the acculturation strategy appropriate for Croatia.The second part of this research deals with the assessment of needs and challenges which are or will be encountered by LSGUs and RSGUs, and also of the capacities and resources required for integration with regard to the current or anticipated accommodation and stay of asylum beneficiaries in their local communities.This part of the research was conducted through a series of interviews and focus groups with different stakeholders in the integration system, which are in one way or another involved in or will in future be responsible for the processes of reception and integration of persons granted asylum. Stakeholders from LSGU and RSGU include representatives from county-level and town-level public authorities and various professional institutions, while the CSO stakeholders include representatives from the non-governmental sector, religious organisations and civic initiatives. The perspectives of integration processes were, whenever possible, complemented with those of asylum beneficiaries in the local communities in which they live. For sampling purposes, a list of 30 units (9 counties and 21 towns) was drawn up, taking into account the criteria of regional representation, town size, experience with the integration of asylum beneficiaries and available state-owned housing units. Along with the four regions, the City of Zagreb was taken separately as it considerably differs from other regions in terms of the number of integration stakeholders and capacities, as well as the number of asylum beneficiaries it hosts. The persons included in the sample had the attributes of schoolants based on their role and office they held, their experience and knowledge of the needs and challenges relating to the integration of asylum beneficiaries in local communities. In keeping with the principle of maximising the variability of key informants, a total of 168 interviews and four focus groups were conducted with 227 participants, including 26 interviews with persons granted asylum. Once all of the methodological requirements were met in the process of qualitative-data gathering, 158 transcripts obtained from 216 interviewees were subjected to analysis. The other transcripts did not contain any useful information because some interviewees were totally uninformed about the topic of the research. Of the total number of analysed transcripts, 143 contain data obtained from 191 representatives of municipalities, towns and counties, state-administration offices at the county-level, professional institutions and the civil sector, while 15 transcripts of interviews and focus groups contained information obtained from 26 asylum beneficiaries. The analysis made it possible to identify some specific features of statements made by representatives of the selected local communities about their needs, challenges, opportunities and expectations. A comparison has been made among the four regions and the City of Zagreb, and similarities and differences have been analysed among statements made by stakeholders from different sectors.The results for all regions (except the City of Zagreb) equally suggest that most of the integration-system stakeholders from LSGUs and RSGUs (towns, municipalities and counties) generally had no direct experience of contacts and work with persons granted asylum or, if they had, then they encountered asylum beneficiaries in rare, individual cases. On the other hand, interlocutors from Zagreb recounted and described experiences of direct and immediate encounters with persons granted asylum, mostly through participation in projects with SCOs and the OHRRNM, while CSOs in all the regions have very little direct experience with asylum beneficiaries. A large portion of LSGUs and RSGUs in each region state that they are not aware of the Action Plan for Integration, or are aware of it only partly, or since a short time ago. Stakeholders in various sectors and regions have not developed their own action plans and protocols for integration, independent of the Action Plan. Professional institutions do not have their own plans either, but many of them perform tasks relating to the integration of persons granted asylum as part of their daily work and remit, and some have their own internal prodecural protocols, most often based on their previous experience with marginalised groups or guidelines from relevant ministries. All stakeholders in all regions agree that the lack of funding poses a serious structural constraint and that allocations for integration activities should be increased. They stress that the entire budget is centralised and that they lack special resources earmarked for integration, noting, however, that budget allocations could be repurposed or activated if and when the need arises.When it comes to understanding the importance and indicators of successful integration, there are no major differences between either sectors or regions. As far as the key dimension of integration is concerned, all stakeholders across all regions highlight communication, that is, learning the Croatian language, as a crucial prerequisite for all other aspects of integration, especially for the inclusion of children in the education system, participation of adults in the labour market, addressing housing issues and, generally, enabling asylum beneficiaries to get along in local communities. In the Central Region, professional institutions claim that integration could also be facilitated by the community's experience with refugees during the Croatian War, and the history of coexistence with national minorities. In the Central Region, they feel that integration would be more successful if asylum beneficiaries were accommodated within the community rather than isolated, and if they were provided with appropriate care and inclusion in community life. All stakeholders across all regions voice some sort of concern because, when it comes to the accommodation of persons granted asylum, they expect negative reactions from the host population due to cultural and religious differences, especially in smaller communities, with the general opinion being that larger towns would be readier to accept asylum beneficiaries. Interlocutors in Zagreb are the most critical of the local community as a favourable environment for integration, with professional institutions stating that negative sentiments are the greatest problem, stemming primarily from fear of the unknown among the local population. Nonetheless, almost all of the interviewed asylum beneficiaries highlight the positive experiences they had with their acceptance in local communities, noting, however, that it took a while for them to feel accepted by their neighbours. Only three out of 26 interlocutors report having negative experiences upon their arrival in the community, consisting mainly of unpleasant verbal comments. Persons granted asylum generally do not see any major cultural barriers to their life in Croatia, but in their view the integration system is not well-organised and includes some contradictions.At the intraregional level alone, and particularly at the interregional level, the integration stakeholders from different local communities show considerable differences when estimating the integration capacity of their communities. The majority of LSGUs believe that organising language courses falls under the responsibility of the Ministry of Science and Education, expressing concerns about the duration of courses (too few lessons) and uncertainties about their funding, while RSGUs also stress their lack of human and logistic capacities to organise courses. Professional institutions shift the responsibility for organizing courses to administrative bodies – from the local, through the regional, to the national levels. Only representatives of Zagreb-based SCOs report more direct involvement in the organisation of courses – some of them offer them in a formalised manner, and others through voluntary engagement. As to the inclusion in the education system, most stakeholders stress the problem of slow-moving administration and emphasize the heavy teaching workload, suggesting that there is a need for additional teachers as well as the necessity to work additionally with asylee children. Further difficulties mentioned are related to the lack of personal documents and the issue of recognising diplomas and previously acquired qualifications. In the Littoral and Central regions, they also highlight a lack of interpreters and teaching assistants, over which they have no control, but depend on the relevant ministry.Most of stakeholders from LSGUs and RSGUs are actually unaware of the existing accommodation capacity because they do not own any housing units or have already allocated all they had to beneficiaries from certain social categories. They see a possible solution in the conversion of the existing vacant buildings or renting of private flats, where they report problems with landlords, i.e. the unwillingness of landlords to let out their flats to accommodate persons granted asylum and the high rents they impose. Persons granted asylum are mostly concerned about their initial accommodation in reception centres, with which they were partially (dis)satisfied and, in addition to prejudice by landlords, the interlocutors also stressed high prices. In their local communities, asylum beneficiaries have been recognised as a desirable workforce in sectors with labour shortfalls. The LSGU representatives stress the need for a skilled workforce in the construction and public works sectors and, in the Eastern Region, agriculture. In addition to feeling that employers should be informed of opportunities to hire asylum beneficiaries, LSGUs are somewhat keener to consider potential retraining and additional training schemes as well as efforts to overcome the language barrier, referring to professional services which should take over that task. Many see the opportunities to employ asylum beneficiaries primarily in low-skill and ancillary jobs, such as kitchen or warehouse assistants and so forth. While the asylum beneficiaries themselves are highly motivated to take part in the labour market, since they see employment as a key prerequisite to gaining independence, they are aware of the economic situation in Croatia and do not want to become a public charge, but rather an active and productive segment of the society.Almost all interlocutors attach great importance to public information and awareness-raising campaigns, and most of them also recognise the role of the media in this process and believe that it is extremely important to get the local population acquainted with good practices and examples of successful efforts to integrate asylum beneficiaries, and to inform them about their culture and customs. This would prevent the development of prejudice and discrimination, where the LSGU representatives often see their role in such efforts unlike RSGUs, among which only a few recognise it. Professional institutions also leave the role of awareness raising to the media and, for the time being, carry out awareness-raising activities in the form of workshops and cultural events mainly with support from CSOs in Zagreb. The training of staff members and professionals has also been stressed as extremely important, yet largely non-existent in most institutions, offices and organisations.Nearly all interviewees from all regions agree that asylum beneficiaries have been provided with adequate social welfare, just like all of its other beneficiaries. Some of the representatives of LSGUs and professional institutions from the Dalmatian and Eastern Regions noted that asylum beneficiaries were not supposed to be singled out, that is, afforded greater rights and priorities than domestic social-welfare beneficiaries. All local communities feel that asylum beneficiaries have been provided with adequate health-care, but the interviewees highlight a lack of physicians and the overload of the health system, as well as communications. When it comes to providing adequate social welfare and health care, a common problem stressed in all regions is the insufficient capacity of institutions, while other aggravating circumstances include slow systems, uninformed staff members, shortcomings in the monitoring of asylum beneficiaries, uncertainties about the financing of health-care services and lack of coordination between different stakeholders. The same issues are also reported by the asylum beneficiaries themselves.Professional institutions have, for the most part, already established cooperation with almost all stakeholders involved in the integration process. In this context, they most often point out line ministries, as well as significant cooperation with CSOs. Only the Central Region (including Zagreb) highlights the existing cooperation with LSGUs and the OHRRNM, or with international organisations. The LSGU and RSGU representatives are somewhat more likely to expect more significant engagement by and cooperation with CSOs, which they consider more capable of writing projects and mobilising funds for work with asylum beneficiaries or count on their human resources. Some professional institutions are also focused on inter-city and inter-county cooperation, for example, with other social-welfare centres, in order to compare their experiences and share good practices. The SCO stakeholders state national and local authorities make insufficient use of the capacity and experience of local SCOs.All stakeholders criticize administration primarily because of the lack of timely and transparent exchanges of information, given that they are perceived as responsible for the entire system. Stakeholders in local communities feel that they operate without specific guidelines and decisions, everything being left to improvisation. Professional institutions hold that the measures defined in the Action Plan are not applicable to the realities in the field, stressing that the system is not prepared to respond to current challenges and needs such as, for instance, securing accommodation and interpreters. There is also concern about the duplication of work by different institutions and organisations, and shifting responsibilities to CSOs. It has been stressed that a protocol in needed which would contain descriptions and guidelines for the implementation of steps in the integration of persons granted asylum, which should define the sequence of implementing integration measures, those in charge of their implementation, including their responsibilities, as well as the forms of their cooperation. Such a protocol and guidelines would enable LSGUs and RSGUs to rely on these documents in their work and to act in compliance therewith. All stakeholders emphasize the need to receive timely and reliable information about the number, structure and time of arrival of persons granted asylum in their areas because this information is crucial for them to be able to prepare themselves for different aspects of their integration. A distribution plan is a document cited by all self-government units as essential to launch preparations for the asylum beneficiaries, in accordance with the aforementioned protocol.All stakeholders highlight interpreters and cultural mediators as a very pressing need in all regions. It has been stressed that interpreters should be professionally trained, rather than semi-skilled individuals or family members, let alone children. All stakeholders realize that securing housing is a key prerequisite for the reception and integration of persons granted asylum, and that it falls within the remit of the central government, rather than the local community. The Eastern and Dalmatian Regions place special emphasis on the need to provide adequate accommodation for unaccompanied children under international protection. Also, all integration stakeholders feel that efforts are needed to speed up administrative procedures because there is a gap between what has been set forth in legislation and what can really be implemented due to technical barriers, including children's registration in school e-registers, medical records, access to Croatian language learning, and verification of previously acquired qualifications and job competencies which is a requirement for education or employment. To achieve all this, sound intersectorial cooperation is required.The integration stakeholders in all regions show a clear need to prepare, raise the awareness of and train the staff directly involved in the integration process for contacts with and providing services to persons granted asylum. Since professional institutions are places of direct and on-going contacts with asylum beneficiaries, there is a need for continuous training of their professional staff. The training of all integration stakeholders should include learning about the culture and customs of asylum beneficiaries and it should be based on the principles of intercultural communication. In some professional institutions whose staff are engaged in direct and intense work with families of asylum beneficiaries, such as counselling and psychosocial support, there is an increased need for continuous mental-health care and stress prevention among staff members through supervision and professional support.Given that they believe that the responsibility for integrating persons granted asylum rests primarily with the state, a number of LGSUs, professional institutions and some CSOs expect the state to bear the related costs. The LSGUs in the Central Region see the opportunity to secure funding by applying for EU projects and drawing money from EU funds. In the Dalmatian Region, the LSGUs expect the state to issue fewer instructions, and to focus more on direct care for asylum beneficiaries. At the LSGU level, help in meeting community needs in the integration process and their own efforts is expected from the Government of the RoC, primarily the OHRRNM as the central coordinating body. Some RSGUs believe that they will successfully carry out all tasks imposed by law and those received from the competent state authorities, and that they will tackle problems only once asylum beneficiaries arrive in their territory. LSGUs and RSGUs see their role in coordinating different integration process stakeholders, such as professional institutions and CSOs, at the town and county levels. Some LSGUs also see their role in supporting other stakeholders when they lack capacity in the integration process, and in networking with other institutions within the community. In this context, they stress their role in providing information to asylum beneficiaries and improving intersectorial cooperation because they "have a good overview of the activities of different services." Some LSGUs feel that a person should be assigned to each integration stakeholder as its key informant about how asylum beneficiaries can exercise their rights.The LSGUs see their key contribution to integration in their efforts to raise the awareness of and inform the public about the arrival of persons granted asylum and the process of their integration, being aware there resistance to their arrival in some communities. In the Eastern Region, they warn that greater resistance to the arrival of asylum beneficiaries may be expected in communities that are traditionally more closed and host a larger number of immigrants from Bosnia and Herzegovina, who were forced to leave their homes due to armed conflicts with the Muslims. In the Central and Littoral regions and the City of Zagreb, they believe that the experience they have with proven integration mechanisms for socially vulnerable groups, referring to members of the Roma national minority, will help them in the process of integrating asylum beneficiaries. The LSGUs feel they can also directly support integration efforts by providing initial financial assistance to asylum beneficiaries, helping in the process of their reception and accommodation, offering aid such as food and toiletries, facilitating children's inclusion in educational institutions, covering their kindergarten costs (Eastern and Littoral regions, Zagreb), as well as helping asylum beneficiaries to find employment. Professional institutions will address integration as part of their daily activities, by providing services for persons granted asylum as well as any other beneficiaries. The LSGUs, RSGUs and professional institutions see the important role of CSOs in complementing services provided to asylum beneficiaries by professional institutions. Most of the CSOs plan to expand their present activities to meet the specific needs of asylums beneficiaries, and represent a major integration potential for local communities, highlighting their networks of volunteers as a key asset in work with persons granted asylum. The CSOs feel that a coordination mechanism should be put in place at the LSGU level so as to bring together all the stakeholders, including the civil sector, and ensure transparent financing of services for asylum beneficiaries.Croatia has few communities with any reception and integration experience and most of the local communities covered by this research have not considered or prepared themselves for this challenge. Yet, the integration stakeholders in all units included in this research stress that they crucially need timely and reliable information about the plans for the arrival and distribution of persons granted asylum, and that information from the relevant ministries, particularly from the OHRRNM, will enable them to launch preparations for integration activities and possible reception of asylum beneficiaries. Finally, the recommendations derived from this research will facilitate improvements in policies and practices for the integration of persons under international protection, making it easier and less painful to achieve the objectives stemming from Croatia's commitments as an EU member state, as well as its legislation and action plans of the Government of the RoC.

Open Peer Review reports Background Perinatal mental health problems affect up to one in five women worldwide [1, 2]. Stress, anxiety and depression in pregnancy affect not only the mother but can also have long-term adverse effects on her child via biological mechanisms in utero [3]. Along with the impact on the mother and her developing infant, antenatal depression and anxiety are the most common predictors of postnatal depression [4, 5]. Postnatal depression can reduce her ability to provide sensitive and responsive caregiving that can potentially impair child development [6]. Mental health problems in the perinatal period are a particular challenge in low- and middle-income countries (LMICs) where they can be at least twice as frequent as in higher-income countries [1]. Our geographical context for this work will be The Gambia, in West Africa, where mental health services are minimal, services for perinatal mental health are non-existent and high levels of stigma associated with mental health issues, as well as specific local attitudes and beliefs, impede recognition and prevent help-seeking behaviour. It is thus of high priority to develop new low-cost, low-resource, non-stigmatising and culturally appropriate approaches to reduce symptoms of anxiety and depression perinatally, for the benefit of both the mother and child. The current project will test the hypothesis that the creative arts—in particular group-singing—will show special promise in alleviating perinatal mental distress in The Gambia. In high-income countries, such as the UK and the USA, singing in groups has been shown to be a powerful modulator of mood and emotion, evoking positive effects on mental health, well-being and social affiliation [7] via mechanisms involving synchrony and entrainment [8], the saliency of relational communicative features in musical interaction [9] and significant effects on the endocrine system [10]. In addition, the mother's voice is a key channel through which meaningful, sensitive and contingent interactions between the caregiver and infant can take place [11]. Recent studies have found that music and its use specifically during the perinatal period can reduce women's stress levels and depressive symptoms and increase women's attachment to their infant [12,13,14,15]. Music-centred approaches may be particularly fruitful in The Gambia as there are already a range of musical practices that specifically engage pregnant women and new mothers [16]. For instance, infant naming ceremonies occur 7 days after birth and are musical celebrations to recognise the new mother and her family [16]. Performances by Kanyeleng groups are closely associated with pregnancy and motherhood and are important in health communication [17]. These pre-existing cultural and creative practices provide an excellent context from which to explore, co-design and ultimately evaluate culturally situated, music-centred interventions that aim to reduce symptoms of anxiety and depression perinatally and facilitate mother-infant caregiving. Study aims This is a feasibility study which aims to inform the design of a larger trial to investigate a Community Health Intervention through Musical Engagement (CHIME) to help reduce symptoms of anxiety and depression in pregnant women compared to standard care. This article describes the trial protocol (version 1.0, 11/11/18). The protocol was prepared in accordance with the Standard Protocol Items: Recommendations for Interventional Trials (SPIRIT) guidance. The trial SPIRIT checklist can be viewed in Additional file 1. Objectives Our primary objective is to test (a) the feasibility of delivering a group-singing intervention to a sample of pregnant women in The Gambia using a stepped wedge design and (b) the feasibility of using standardised tools to measure the impact of this intervention on anxiety and depression symptoms, before and after the intervention. This objective can be broken down into five specific feasibility objectives: 1) To obtain demographic information on the eligible population 2) To determine if our measurement tools, the Edinburgh Postnatal Depression Scale (EPDS) and the Self-Reporting Questionnaire (SRQ-20), are useable 3) To determine if the intervention is deliverable 4) To determine if the stepped wedge trial design is deliverable and obtain information that will inform the definitive study. Specifically to: a. Assess recruitment and acceptability of randomising clinics b. Assess the recruitment rate of women to control and intervention groups c. Assess participants' adherence to the intervention group and follow-up in both arms d. Test the feasibility of data collection 5) To determine if this type of intervention is culturally appropriate and well received by the community and health workers. Methods/design We will be testing the feasibility of a stepped wedge cluster design, which differs from a parallel arm cluster design in that all clinics involved in the study receive the intervention [18]. Advantages over a parallel arm cluster trial include the requirement of a smaller sample size due to the availability of a within group comparison and prevention of potential disappointment for health clinics who are not randomised into the intervention. Study setting This multi-site study will recruit from four antenatal clinics in western Gambia. Study population All participants will be Mandinka or Wolof Gambian women who are pregnant. Inclusion criteria Pregnant (14–24 weeks gestation) Speak Wolof or Mandinka fluently Exclusion criteria At least one previous late term miscarriage Current psychosis or history of psychosis Withdrawal criteria If the participant develops any serious medical condition or the participant's mental health significantly declines (as assessed by the care team), and the care team deem it necessary, then she may be withdrawn from the study. Intervention The intervention will be delivered on the community level, meaning that it will include women with a range of anxiety and depression symptoms. Our primary aim is to reduce symptoms in those experiencing them (whether these are at a high level or a medium or low level). We anticipate this may also help to reduce their symptoms into the postnatal period. By including those with low and high levels of symptoms, rather than screening and including only those with high levels of symptoms, we will aim to avoid stigma and increase acceptability. The intervention has been developed following focus groups with various stakeholders including health professionals (midwives and community birth companions), pregnant women and musicians (griots and Kanyeleng groups). Four groups of 20 women between 14 and 24 weeks gestation will attend six 60-min group-singing sessions at their local antenatal clinic. This will take place in the morning as this is the time deemed to best suit the majority of women and clinics. Local Kanyeleng groups who specialise in musical practices to support women's health will lead the sessions. The content of the six sessions will be co-designed with the Kanyeleng groups via two extended workshops with the research team. All sessions will begin with a welcome song and end with a closing song. Some of the songs used during the main body of the session will cover topics including the (a) importance of the singing group in supporting each other, (b) importance of other positive relationships in their lives, (c) resilience to challenges and empowerment and (d) importance of being open, removing stigma to discuss challenges. One lullaby will be introduced at each session. Kanyeleng leaders will also be encouraged to ensure that all the women feel comfortable and are participating when they can. The nature of the intervention will necessarily vary somewhat across the four settings, especially as Wolof speaking groups and Mandinka groups have different and distinct cultural beliefs, practices and language. By using the Kanyeleng groups local to each of the four clinics involved, the sessions will be contextually appropriate, while the workshop with all four Kanyeleng groups before the intervention begins will ensure that the overarching goals, content and approach to session delivery are broadly standardised. Over the course of the 6-week intervention period, a research assistant will observe and video and audio record two singing sessions (the first and the fourth sessions) from each of the four clinics to ascertain, using a checklist, the extent to which the sessions conform to our articulated goals. A community health nurse at each clinic will be engaged to take attendance data and report any issues of concern to the research team. The control group will consist of four groups of 20 women between 14 and 24 weeks gestation from the same four clinics. These women will receive only standard care without any additional intervention. Randomisation and blinding As we will be testing the feasibility of delivering a stepped wedge cluster design, the four different antenatal clinics will be randomised with two sites starting first (creating the first sequence) and two starting 6 weeks later (the second sequence). Randomisation will be performed by the study statistician who will generate a randomisation list using software and apply it to the pre-concealed list of clinics. The researchers and participants will not be blinded to whether they are in the intervention or the control cohort. Outcome measurements Two local research assistants (RAs) will collect all measures orally as there is a high rate of illiteracy among the target population. All scales have been translated into Mandinka and Wolof. The translation method used was based on suggestions by the World Health Organisation, Hanlon et al. [19] and Cox, Holden and Henshaw [20]. First, the scales were translated into Mandinka and Wolof. An expert panel discussion then refined the translation before back translating it into English. The expert panel came together once more to resolve any remaining issues before finalising the translation. Two questionnaires will measure antenatal anxiety and depression symptoms. The Edinburgh Postnatal Depression Scale (EPDS) [21] is a ten-item scale that was developed to screen for postnatal depression. It has subsequently been validated to be used during pregnancy [22]. This measurement tool has been used and validated in other African contexts; however, there is no avaliable validated version of the EPDS in Mandinka or Wolof even though it has been used in The Gambia before [23]. The Self-report Questionnaire (SRQ-20) [24] is a 20-item scale developed by the World Health Organization to measure anxiety and depression symptoms in a variety of cultural contexts. It has been used in many different African contexts such as Ethiopia [19], South Africa [25] and Rwanda [26] and as a way to measure perinatal mental health [23]. However, the SRQ-20 has never been used in the Gambian context nor has it been translated into Wolof or Mandinka. Demographic outcomes We will collect demographic information about all participants. The data we will collect is as follows: date of birth, gestational age, time taken to get to the health centre, parity, gravida, place of birth, current place of residence, ethnic group, history of serious illness, occupation, husband's occupation, marital status, educational background and amount of regular musical engagement. Feasibility outcomes The feasibility outcomes are as follows: Recruitment rate Retention and attrition rates of participants Clinics' adherence to stepped wedge schedule Completeness of data by site and over time Video and audio recording of sessions to determine fidelity of the intervention at each site, i.e. whether key content emphasised in training workshops was being delivered at each site. Qualitative interviews with participants after the intervention to capture enjoyment and perceived benefit. Recruitment Four antenatal clinics will be chosen to take part in the study based on three criteria: (1) availability of a local Kanyeleng group to deliver the intervention, (2) the language group predominantly spoken in the area (with at least one clinic being in a predominantly Wolof speaking area) and (3) the type of community the clinic serves (with at least one within an urban area). The health professionals working at the health centre will first approach participants for the study. If they meet the criteria, they will be given information about the study and asked if they would like to be referred to the RAs. They will then be put in contact with one of the RAs who will meet them privately face to face. The information sheet will be read out in their native language verbatim to ensure participants' ability to give informed consent. Consent will be taken orally by the RAs and recorded by signature or thumbprint. If participants do not choose to take part we will record their reason, if it is given, to help understand why women might not want or be able to participate. Incentive and participant retention Participants in both groups will be offered a total of 600 Dalasi (about 12 USD) for their time, 200 Dalasi for each of the three data collection time points (baseline, post, follow-up). All participants will be reminded of the data collection and the group-singing sessions by phone call. Calls will be made by the RAs 3 days and 1 day before as well as on the day of these appointments. Where possible, a record will be kept of the reasons women give for failing to join the intervention or data collection session. Sample size As this is a feasibility study, it is not designed to assess the efficacy of the intervention, although pilot data on this will be collected. We will evaluate the feasibility of study design, data collection and whether the intervention is deliverable and acceptable to the participants. In the study, we will gather information to be used in the design of the future definitive study including an estimate of the standard deviation of potential primary outcomes to inform the sample size. We aim to collect data from a total of 120 pregnant women, 60 in the control condition and 60 in the intervention condition [27]. This number will be sufficient to provide estimates of binary feasibility outcomes with precision of at least ± 9 percentage points for the 95% confidence interval. Trial schedule This trial design involves a sequential crossover of clusters whereby each cluster (antenatal clinic) receives the control condition followed by the intervention condition. The four chosen clinics will be randomised to two sequences of a 12-week phase. A separate cohort of participants will be recruited to the control group and the intervention (singing) group. Each cohort will be recruited around 4–6 months into their pregnancy. The 12-week phase for both the control and intervention cohort will include data collection at week 1 ("baseline") and week 7 ("post") after either group-singing (intervention) or standard care (control) as well as at week 11 ("follow-up"), 4 weeks after the intervention finished. Contamination will be avoided by having data for the control group collected before the intervention groups start at each clinic. See Fig. 1 for a schematic for the study. Fig. 1 figure1 Schematic of the study Full size image Assessment and management of risk There are no high risks within our study compared to standard care. We have identified three areas of ethical concern and have outlined how each of these issues will be managed. 1. Mothers may experience an adverse effect such as a miscarriage, difficult birth, still birth, a sudden drastic change in physical or mental health, infant health problems or even a serious adverse effect such as death during the intervention. It is possible that a participant experiencing such an adverse event may attribute a causal link between the adverse event and their involvement in the study. We will mitigate this association being made, firstly, by clearly explaining the nature of the intervention and any possible risks to the women when they are recruited into the study. If, despite this, an association of this nature was still made, we would enlist the help of the Ministry of Health & Social Welfare (our partner on the project) to disseminate information to the women and the community concerning the incidence of such events occurring in the general population in an attempt to reassure those concerned that such adverse events should not be attributed to involvement in the study. 2. It is possible that some of the themes involved in questionnaires could lead to the women revealing episodes of self-harm. If this is the case, the woman will receive in the moment front-line counselling to talk through these issues with the RAs who are trained psychiatric nurses. Then, if needed, she will be referred on to the community mental health team (CMHT) for further management. If the CMHT deems it appropriate, they may then refer her on to the psychiatric team. 3. It is possible that some of the themes involved in questionnaires may also lead the women to reveal domestic abuse. If this is the case, the woman will receive in the moment front-line counselling to talk through these issues with the RAs. For emergencies and cases that require immediate intervention, the RAs will connect with the Gender-Based Violence focal person. For other cases, the RAs will refer the woman to the One Stop Center at Serekunda General Hospital or Edward Francis Small Teaching Hospital. 4. Women throughout the study will be monitored by the RAs, both trained psychiatric nurses. If the RAs feel that at any point a woman's score indicates a high level of symptoms and/or the women reveal that they are particularly struggling, the RAs will refer the woman on to the Community Mental Health Team (CMHT) for further management. If the CMHT deems it appropriate, they may then refer her on to the psychiatric team. Data management All consent forms will be stored in a master file, which will be kept in a locked drawer where only members of the research team have access. All case report forms will not be linked to names, just a participant number, and kept in a separate locked cabinet where only the research team has access. All data, including video and audio recordings, will be held on an encrypted hard drive only members of the research team can access. Data will be stored for 5 years after the study and will then be deleted or destroyed. Analysis All data will be entered into a database by an RA and verified by the second RA using double data entry to ensure data quality. As this is a feasibility study, we will examine missing data as an outcome. Descriptive statistics will be summarised to understand the demographic variables relating to the recruited population. Descriptive statistics and plots will be used to assess the distribution of the measurement tools, repeated at baseline and follow-up and by each arm. We will also examine the distributions of scores in the different language groups to see to what extent item scores and overall distributions differ or are similar. Correlations between our two measurement tools will be calculated. To determine if the intervention is deliverable, we will record the number of sessions that the Kanyeleng groups delivered, aiming to deliver two thirds of the sessions, and the duration of each session, aiming to last between 45 and 75 min. We will also perform a qualitative evaluation, using the video and audio recordings, to determine intervention fidelity at the four sites. Both RAs will watch the video and audio recordings of the first and fourth group-singing sessions at each clinic and complete a checklist to determine if all the necessary elements—as outlined in the training workshops—were included in the intervention. Reliability of the fidelity measure will be ascertained by measuring inter-rater consistency. We will also calculate the proportion of clinics approached that consented, aiming to reach over 50% recruitment rate, and record any scheduling problems in keeping with the stepped wedge timeline. Recruitment, adherence and completeness of data will be calculated for both groups. We aim to achieve a 60% recruitment rate and no more than 30% attrition in both arms. To determine if the intervention was culturally appropriate and well received by the community and health workers, we will collect qualitative data from post-intervention interviews and perform a thematic analysis. Discussion The absence of mental health services in The Gambia, coupled with the stigma associated with mental illness in general, results in high levels of unmet need for pregnant women dealing with mental distress in The Gambia. The development of a low-cost, low-resource intervention, which is rooted in local health and cultural practices, is of high priority, and the feasibility study we intend to carry out will inform a full-scale trial to investigate efficacy of such an approach. By employing local research assistants and creating a partnership with governmental agencies, such as The Ministry of Health & Social Welfare and The National Centre for Arts and Culture, this study brings the understanding of existing health services and access to a network of primary healthcare workers throughout the country as well as the diversity of local musical practices and the meanings attached to them. This valuable knowledge will help us cope with the practical and operational issues that may arise. We hope to disseminate our findings within various scientific publications, during field days in various areas in The Gambia, and during a meeting in London which will bring together the researchers as well community members, academic colleagues and health professionals interested in hearing about this work. Trial status This article describes the protocol for a Community Health Intervention through Musical Engagement (CHIME) for perinatal mental health in The Gambia (version 1.0, 11/11/18). The sponsor for this trial is Goldsmiths, University of London. The project is funded by the MRC and the AHRC. Ethical approval was obtained from the Goldsmiths University Ethics Committee, the Research and Publication Committee (RePubliC) from the University of The Gambia and the Australian National University ethics committee. Availability of data and materials All of the data will be held by the principal investigator, and the research team has exclusive use of the data until the publication of the results. Abbreviations AHRC: Arts and Humanities Research Council CMHT: Community mental health team EPDS: Edinburgh Postnatal Depression Scale LMICs: Low- and middle-income countries MRC: Medical Research Council PACTR: Pan African Clinical Trial Registry RAs: Research assistants SRQ-20: Self-Reporting Questionnaire References 1. Fisher J, de Mello MC, Patel V, Rahman A, Tran T, Holton S, et al. Prevalence and determinants of common perinatal mental disorders in women in low- and lower-middle-income countries : a systematic review. Bull World Health Organ. 2011;(90):139–49 Available from: https://www.scielosp.org/scielo.php?script=sci_arttext&pid=S0042-96862012000200014. [cited 2019 Jan 22]. 2. O'Hara MW, Wisner KL. Perinatal mental illness: definition, description and aetiology. 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Psychometric properties and longitudinal validation of the self-reporting questionnaire (SRQ-20) in a Rwandan community setting: a validation study. BMC Med Res Methodol. 2011;11(1):116 Available from: https://bmcmedresmethodol.biomedcentral.com/articles/10.1186/1471-2288-11-116. [cited 2019 Jan 23]. Article Google Scholar 27. Sim J, Lewis M. The size of a pilot study for a clinical trial should be calculated in relation to considerations of precision and efficiency. J Clin Epidemiol. 2012;65(3):301–8 Available from: https://www.sciencedirect.com/science/article/pii/S0895435611002642. [cited 2019 Jan 24]. Article Google Scholar Download references Acknowledgements We would like to thank Jane Offerman for her work in organising the budget and the travel plans for all the researchers. We would also like to thank Charlotte Hanlon for her advice in the development of this study. We would also like to thank all individuals who took part in our focus groups. Funding The funders (MRC and AHRC) and sponsor (Goldsmiths) have no roles or responsibilities in the design, conduct, data analysis and interpretation, manuscript writing and dissemination of results. Author information Author notes Katie Rose M. Sanfilippo and Bonnie McConnell are joint first authors. Affiliations Goldsmiths, University of London, London, UK Katie Rose M. Sanfilippo & Lauren Stewart The Australian National University, Canberra, Australia Bonnie McConnell Imperial College London, London, UK Victoria Cornelius & Vivette Glover The Ministry of Health and Social Welfare, Banjul, The Gambia Buba Darboe, Hajara B. Huma & Malick Gaye The National Centre for Arts and Culture, Banjul, The Gambia Hajara B. Huma, Malick Gaye & Hassoum Ceesay University of Cambridge, Cambridge, UK Paul Ramchandani & Ian Cross Contributions LS is the principal investigator and obtained grant funding and conceived of the study. KRMS wrote the first draft of this publication manuscript, helped with the ethics and grant application, the intervention design, and the data monitoring and data collection plan. BM helped with the ethics and grant applications, translations of questionnaires, administration of focus groups and design of the intervention. VC obtained study funding, designed the study and statistical analysis plan, contributed to writing the manuscript. BD helped with the grant and ethics application, translations of questionnaires, administration of focus groups and design of the intervention. HBH and MG helped with the translation of the questionnaires, administration of the focus groups and design of the intervention. HC helped with planning the logistics for running the study as well as with the translation of the questionnaires. IC, VG and PR all helped with the grant application and advised on research and intervention design. All authors reviewed and had input into the final submission. All authors read and approved the final manuscript. Corresponding author Correspondence to Katie Rose M. Sanfilippo. Ethics declarations Ethics approval and consent to participate Ethical approval was obtained from the Goldsmiths University Ethics Committee, the Research and Publication Committee (RePubliC) from the University of The Gambia and the Australian National University ethics committee. Members of the research team will carry out the consenting and conduct of this study orally. It will be emphasised that any participant is able to withdraw from the study at any point without any consequences. Consent for publication Not applicable. Competing interests The authors declare that they have no competing interests. Additional information Publisher's Note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. Supplementary information Additional file 1. SPIRIT Checklist. Rights and permissions Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Reprints and Permissions About this article Verify currency and authenticity via CrossMark Cite this article Sanfilippo, K.R.M., McConnell, B., Cornelius, V. et al. A study protocol for testing the feasibility of a randomised stepped wedge cluster design to investigate a Community Health Intervention through Musical Engagement (CHIME) for perinatal mental health in The Gambia. Pilot Feasibility Stud 5, 124 (2019) doi:10.1186/s40814-019-0515-5 Download citation Received 22 February 2019 Accepted 15 October 2019 Published 07 November 2019 DOI https://doi.org/10.1186/s40814-019-0515-5 Share this article Anyone you share the following link with will be able to read this content: Get shareable link Keywords Perinatal mental health Feasibility trial The Gambia Music Singing group Kanyeleng Comments By submitting a comment you agree to abide by our Terms and Community Guidelines. If you find something abusive or that does not comply with our terms or guidelines please flag it as inappropriate. Please note that comments may be removed without notice if they are flagged by another user or do not comply with our community guidelines.

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Siddharth Mallavarapu on International
Asymmetries, Ethnocentrism, and a View on IR from India












How is the rise of the BRICs in the international
political and economic system reflected in our understanding of that system?
One key insight is that the discipline of International Relations that has
emanated from the northern hemisphere is far less 'international' than is
widely thought. Scholars from the 'Global South' increasingly raise important
challenges to the provincialism of IR theory with a universal pretense.
Siddharth Mallavarapu's work has consistently engaged with such questions. In
this Talk, Mallavarapu, amongst
others, elaborates on IR's ethnocentrism, the multitude of voices in the Global
South, and why he rather speaks of a 'voice from India' rather than an 'Indian
IR theory'.




Print version of this Talk (pdf)






What is, according to you, the biggest challenge / principal debate in
current IR? What is your position or answer to this challenge / in this debate?



One of the things I constantly contend with in my work
is to think of ways of how we can widen our notion of the international. IR has been too closely linked to the fortunes of
the major powers, and this has been to our detriment, because it has
impoverished our sense of international. I think the spirit of what I contend
with is best captured by what Ngugi wa Thiong'o in his book Globalectics:
Theory and Politics of Knowing concerns himself with, namely '…the
organization of literary space and the politics of knowing'. My interest is to
grapple with the manner in which the discipline of International Relations in
its dominant mainstream idiom orchestrates and administers intellectual space
and the implications this carries for the broader politics of knowledge. Simply
put, the principal challenge is to confront various species of ethnocentrism –
particularly Anglo-American accents of parochialism in the mainstream account
of International Relations.



I am also keenly sensitive to some disciplinary biases
and prejudices, which I think sometimes take on tacit forms and sometimes more
explicit forms, and in which provincial experiences are passed off as universal
experiences. The whole question of 'benchmarking' is problematic, in that a
benchmark is set by one, and others are expected to measure up to that
benchmark. Then there is the question of certain theories, for example the idea
that hegemony is desirable from the perspective of international stability –
think of the Hegemonic Stability Theory in the 1970s, or the Democratic Peace Theory that assumes that liberal democracy is an unsurpassed
political form from the perspective of peace. Then there is human rights
advocacy of a particular kind, and the whole idea of the 'Long Peace' applied
to the Cold War years. In reality, this was far from a 'long peace' for many
countries in the Third World during the same era.



I am also interested right now in the issue of the
evolution of IR theory, and was really intrigued by the September 2013 issue of
the EuropeanJournal of International Relations, with its focus on 'the End of International Relations Theory': I find
this fascinating, because just at a time when there are new players or re-emerging and re-surfacing
players in the international system, there is a move to delegitimize IR Theory
itself. So I am curious about the conjuncture and the set of sociologies of
knowledge that inform particular terms and turns in the discipline.



My response to this challenge
is to consciously work towards inserting other voices, traditions and
sensibilities in the discipline to problematize its straightforward and
simplistic understanding of large chunks of the world. My work is informed by
what international relations praxis looks
like in other places and how it is locally interpreted in those contexts. There
are gaps in mainstream narratives and I am interested in finding ways to create
space for a more substantive engagement with other perspectives by broadening
the disciplinary context. This is not merely a matter of inclusive elegance but
a matter of life and death because poor knowledge as evident from the
historical record generates disastrous political judgments that have already
resulted in considerable loss of human life, often worst impacting the former
colonies.



The global south holds a particular attraction for me
in this context, especially given its often problematic representations in
mainstream IR discourse. The underlying premise here is that the discipline of
IR will stand to be enriched by drawing on a much wider repertoire of human
experiences than it currently does. The normative imperative is to nudge us all
in the direction of being more circumspect before we pronounce or pass quick
and often harsh political assessments about sights, sounds, smells and
political ecologies we are unfamiliar with. IR as a discipline needs to reflect
the considerable diversity.  



My doctoral research on the role of the International Court
of Justice advisory opinion rendered in July 1996 on the legality of the threat
or use of nuclear weapons provided an opportunity to probe this diversity
further. While advancing a case for categorical illegality of nuclear use under
all circumstances, Judge Christopher Gregory Weeramantry discusses at length the multicultural bases of
international humanitarian law. In doing so, he combines knowledge of world
religions, postcolonial histories and canonical international law to frame his
erudite opinion, which displays a thoughtful engagement with often neglected or
obscured sensibilities.



These examples can be exponentially multiplied. Such a
sentiment is most succinctly captured by Chinua Achebe in Home and
Exile where he argues that '…my hope for the twenty-first [century] is that
it will see the first fruits of the balance of stories among the world's
peoples'. It most critically calls for '…the process of 're-storying' peoples
who had been knocked silent by the trauma of all kinds of dispossession'. I would treat this as an important charter or
intellectual map for anybody embarking on the study of International Relations
today. I would also like to add that this storytelling would inevitably
encounter the categories and many avatars
of race, class, gender and nationality crisscrossing and intersecting in all
sorts of possible combinations generating a whole host of political outcomes as
well.  



The skewed politics of knowledge is most evident when
it comes to theory with a big 'T' in particular. Most theories of International
Relations emanate from the Anglo-American metropole and little from elsewhere.
This is not because of an absence of theoretical reflection in other milieus but
due rather to a not so accidental privileging of some parts of experiential
reality over others. IR has been too caught up with the major powers. I could
think of conscious efforts to theorize both in the past and in the present
elements of reality hidden from conventional vantage points. One recent illustration
of social and political theorizing from the context I am more familiar with is an
account by Gopal Guru and Sundar Sarukkai titled The Cracked Mirror: An Indian Debate on Experience and Theory. There
are on-going theoretical engagements in Africa, the Arab world, Asia and South
America reflecting an intellectual ferment both within and outside of these
societies. International Relations as a discipline has to find ways of
explicitly engaging these texts and relating it to prevailing currents in world
politics rather than carry on an elaborate pretence of their non-existence. I
am more troubled by claims of an 'end of International Relations theory' just
at a moment when the world is opening up to new political possibilities
stemming from the projected growth in international influence of parts of Asia,
Africa, the Arab world and South America. IR has to move beyond its obsession
of focusing on the major powers and seriously democratize its content. The
terms 'global' or 'international' cannot be a monopoly or even an oligopoly.
Such a view has severely impoverished our understanding of the contemporary world.





How did you
arrive at where you currently are in IR?



I cannot really claim that this was a neatly planned
trajectory. I stumbled upon the discipline by chance not design. My initial
curiosity about the world of social cognition emerged from a slice of my medical
history. When I was at school in my early teens, I developed a condition referred
to as Leucoderma or Vitiligo which involved skin depigmentation. I enjoyed
writing from an early stage and recall recording my observations of the world
around me in a piece titled Etiology
Unknown borrowing language from the doctor's diagnosis. I recall an urgency
to comprehend and make sense of what I perceived then as a fast changing world
where old certitudes were dissolving on a daily basis. I felt an outsider at
some remove from my earlier self and it gave me on retrospect a distinct
vantage point to witness the world around me. It was impacting who I thought I
was and thereby compelled me to confront issues of identity – individual and
social. An extremely supportive family made all the difference during these
years.



The turmoil and confusion in those years led me to
develop a deeper interest in understanding more loosely why people reacted in
particular sorts of ways to what was in medical terms merely a cosmetic change.
It also led me to informally forge community whenever I saw anybody else experiencing
similar states of being. I also internalized one of the first ingredients of
good social science – the capacity to be empathetic and put ourselves in others
shoes. I learnt that the discipline of Sociology among the available choices in
my milieu came closest to allowing me to pursue these concerns more
systematically further. I applied to a Sociology master's programme after my
undergraduate years at Jawaharlal Nehru University in Delhi, but I had also
applied simultaneously to the International Relations programme since in my
understanding it after all concerned the wider world – an extension of scale
but similar I imagined in terms of the canvas of concerns. The numbers in India
are large, the competition is stiff: I made it to the IR programme but did not
make it to the Sociology programme.



Having got there, I had some outstanding influences,
and I soon realized that one could also think about issues of identity (then
cast by me in terms of simple binaries – home and the external world, the
relationship of inside and outside, victors and the vanquished) in the
discipline of IR. I decided to stick the course and delve into these questions
more deeply while keeping up with a broader interest in the social sciences.



I could list a few influences that were critical at
various stages of my academic biography: at high school, an economics teacher S.
Venkata Lakshmi was very encouraging and positive and confirmed my intuitive
sense that I would enjoy the social sciences. Subsequently at college I had in
Father Ambrose Pinto a fine teacher of Political Science. He would take us on
small field excursions to observe first hand issues such as caste conflicts in
a neighbouring village, and all that helped me develop a sharper sense of the
political which moved away from the textbook and was strongly anchored in the local
context.



At the graduate level of study, Kanti Bajpai who later also became my mentor and advisor in the doctoral programme
exercised an enormous influence as a role model. I was convinced that a life of
the mind is worth aspiring and working towards once I came into contact with
him in the classroom. He also exposed me to all the basic building blocks of an
academic life – reading, writing, researching, teaching and publishing,
demonstrating at all times both patience and unparalleled generosity. We have
collaborated on two edited volumes on International
Relations in India and I continue to greatly value an enduring friendship.



For over a decade, I have also had the good fortune of
coming into contact with B.S. Chimni who is an exemplary scholar in the Third World Approaches to
International Law (TWAIL) tradition. It has been a great joy bouncing off ideas and discussing
at length various facets of International Relations, International Law and
Political Theory together over the years. I have learnt much from this rich and
continued association. In 2012 we worked jointly on an edited book titled International Relations: Perspectives for
the Global South.



I have also learnt (and continue to do so) from my
students both at Jawaharlal Nehru University (JNU) and at the South Asian
University (SAU). At JNU, I made my beginnings and continue to take some pride
in being intellectually home spun at one of the foundational and premier
crucibles of International Relations scholarship in India. I have also
thoroughly enjoyed my interactions over the years with the students drawn from
diverse backgrounds. At SAU, I have in the space of a short period been exposed
to some fine students from across the South Asian region. I have often been
impressed by their understanding of politics and on occasion have marvelled at
their demonstration of a maturity beyond their years. There is much I learn
from them particularly from their insider narratives of the unique political
experiences and trajectories of their specific countries.



Himadeep Muppidi has also been a remarkable influence
in terms of clarifying my thinking about the workings of the global IR episteme.
His receptivity to hitherto neglected intellectual inheritances from outside
the mainstream and most evidently his capacity to write with soul, passion and
character while retaining a deep suspicion of the 'objectivity' fetish in the
social sciences has alerted me to a whole new metaphysics and aesthetic of
interpreting IR. The thread that runs through all these interests and
influences is firstly the issue of context, and secondly the question of agency
–what it meant to be marginal in some sense, how could one think about
theorizing questions relating to dispossession, relating to a certain degree of
marginality– and also the broader issue of the politics of knowledge itself: of
how certain attitudes and concepts seem to obscure or deface certain
conditions, which seem to be quite prevalent.



I have also found excellent academic conversationalists
with sometimes differing perspectives who help sharpen my arguments
considerably. I would like to make special mention of Thomas Fues and the fascinating
global governance school that he offers intellectual stewardship to in Bonn. In
the years to come, I look forward to further intellectual collaborations with
scholars from Brazil and South Africa and other parts of South America and
Africa as well as the Arab world.





What would a
student need to become a specialist in IR or understand the world in a global
way?



The key without a doubt is curiosity. I do my best to
feed that curiosity as a teacher. I also think Gerardo Munck and Richard
Snyder's counsel and interviews in their book, Passion, Craft and Method in Comparative Politics are a useful
resource for students wanting to study International Relations. I also feel
strongly that classics need to be read and engaged with, by bringing them into
play in our contemporary dilemmas. I find that many of the questions we ask
today are not necessarily entirely new questions: there is a history to them
and there has been some careful thought given to them in the past, so it is
important to partake of this inheritance.



Then there is language: it is vital for students to
break out of one particular region or one particular set of concerns which flow
from a limited context, and in this way to become willing to engage with other
contexts. In this sense, language learning potentially opens up other worlds. I also believe that some exposure to quantitative methods is important:
you need to be able
to both contextualize and interpret data with some degree of confidence and not
overlook them when approaching texts. Not
everybody may choose it but we need to make the distinction between The Signal and the Noise as Nate Silverreminds us. I have found Marc Trachtenberg's The Craft of International History (chapter 1 in PDF here) a very useful text in providing
some very practical advice in fine tuning our research designs to weave the
past into our present. D.D. Kosambi's essay on 'combining methods' (PDF here) still
provides important clues to thinking creatively about method.



I also think it is important for students to avoid the
temptations of insularity and also pose questions in a fashion that allows them
to explore the workings of these questions in diverse settings. They should be open to a
diversity of methods from different disciplines such as ethnography, and
develop a deeper historical sensitivity, all these are crucial to shaping up as
a good scholar.



In sum, the importance of classics, fieldwork and
language acquisition cannot be emphasized sufficiently. Classics bring us back
to refined thought concerning enduring questions, language opens up other
worlds, and field work compels one to at least temporarily inhabit the trenches,
dirty your hands and acquire an earthy sense of the issues at hand.





Given the
importance you attach to the learning of language, among other things, and the
linguistic diversity that characterises India, do you often perceive language
to be a barrier to understanding?



I think language works in two ways. On the one hand,
each language has a specific manner of framing issues and a specific set of
sensibilities associated with it which in some respects is quite unique.
However, languages also lend themselves to different cross-cultural
interpretations and adaptations. Kristina S. Ten in an evocative piece titled 'Vehicles for Story: Chinua Achebe and Ngũgĩ wa Thiong'o on Defining African Literature,Preserving Culture and Self' maps some key lines of an enduring debate. Thiong'o
has a particularly strong position on this question of language: he says he no
longer wants to write in the English language, but instead in his native Gikuyu,
as well as Swahili. He argues that language has to do with memory, has to do
with what he calls a soul, and he maintains that language hierarchies are very
real and that we must contribute to enriching our own pools of language to
begin with, if we are to contribute to a much wider, global repertoire of
languages. In contrast, Chinua Achebe whom I mentioned earlier, very often wrote
in English and held the position that it was important to be accessible to more
people and to reach diverse audiences who would not necessarily be from his
home country. He said it was possible to use a language like English and permeate
it with local texture, wisdom and pulse – something he has exemplified in his
own work. I consider his writings a testimony to how well that can be done.



So there is a bit of a divide in terms of how one can
look at this question of language, but teaching in India I know that there are
students who may be very bright but who are constrained by the fact that they
have not had the same access to English schools, and therefore are restricted
to the vernacular. These students may have some very good ideas, but they feel disadvantaged
by the fact that their command of the English language is not sufficient to
guarantee close attention to what they wish to say. Some work hard to overcome
these challenges and meet with considerable success. While I think it is
wonderful to learn another language, it does not need to entail a diffidence or
neglect of one's own native language or any other vernacular language. My
impression is that if unimaginatively pursued something is lost in the process
and students end up feeling diffident and apologetic about their native language
which is entirely undesirable. I believe therefore that while one should enthusiastically
embrace new languages, the challenge is to accomplish this without unconsciously
obscuring one's native tongue. Having said that, all of us in India are keen to
go to English language schools. Vernacular languages have often lost out in the
process. So there is something to be said about this concern about language. We
have to tread carefully and remain attentive to how language hierarchies are
positioned and deployed for advancing particular species of knowledge claims.





From the
language issues flow conceptual questions: Asia is a Western construct, and
South Asia an extension of that. You reluctantly use this term, South Asia, in
what you call shorthand, and similarly terms "nation" and "state". How can we
break away from these concepts if we don't have a new vocabulary?



This really flows from the fact that IR is still very
much an ethnocentric construct. We are also suggesting in the same breath that
there is a particular form in which most concepts and categories tend to be
employed. I think IR language is imbued at least partly with the vocabulary of
the hegemon or of the dominant powers, so that it shares with the area studies' legacy the political connotations that are still very much with us. One
way that I try to break away from this when I introduce students to these
concepts and categories is by focusing on the lineage and the broader
intellectual history and etymology of concepts which come into play in IR.
Students are in any case acutely aware of the fact that there is a strong area
studies tradition which has mapped the world in a particular way which was not an
innocent discursive formation by any stretch of imagination. They also
recognize that this is not the only framing possible. The challenge for us is
of course to introduce new concepts and categories. I noticed for instance that
South Asia has become 'Southern Asia' for some strategic commentators (StevenA. Hoffmann among others) because 'Southern Asia' also includes China. However,
when it is done from the perspective of strategy there are other interests intertwined
such as specific geopolitical assessments.



What I try to do, rather, is to draw on the deeper
histories within the region itself, in order to arrive at concepts and
conceptions which are more germane to our context. I don't think I've succeeded
in this project as yet, but one of the reasons why I think it's important to
historicise these elements and even categories is to open up the possibility of
thinking about different imaginaries and along with that different categories.
I don't want to call it an alternative vocabulary, because I think that some
sensibilities have been given short shrift in history, and some provincial
experiences have more successfully masqueraded as universal experiences. Therefore,
part of the challenge is to call that bluff, while another part of the
challenge is to reconstruct and offer fresh perspectives. These may even be
questions about traditional issues such as order or justice, questions of
political authority, political rule or legitimacy. These are questions which
are of concern to all societies though individual responses may not echo the
language and slants of conventional IR theory. However, they may throw up some
sophisticated formulations on these very issues. A part of the challenge for
the IR scholar, then, is to recover and bring these ideas into the sinews of the
mainstream IR academia.



It is equally important to avoid any sort of nativism,
or to suggest that this is necessarily 'the best' approach, but to widen the
inventory before moving on to stimulating a real conversation between divergent
conceptions. We must avoid falling into the trap of what Ulrich Beck among
others has referred to as 'methodological nationalism'. I am by no means
suggesting that there is 'an Indian theory' of IR, but what I am curious about
is how the world is viewed from this particular location. That is quite
different from suggesting that there is a national project or a national school
of IR. I think that distinction needs to be made more subtly and needs to come
through more clearly, but one of the projects I am currently involved in is the
chronicling of a disciplinary history of IR in India and what that tells us
about Indians and their readings of the world outside their home. In that
process, I ask what the key issues that animated particularly an earlier
generation of scholars - how did they present these ideas and why did they
avoid using certain forms of presentation and framing? What were some of the
conspicuous presences and nonappearances in their work? Exploring these sorts
of issues will lead us forward by, firstly, bringing to bear all these pieces
of work which I feel have been ignored or have not received their due, and secondly,
by showing that there is a fair amount of diversity of thinking even in the
earlier generations of IR scholarship. The intent is to avoid a monolithic
conception of IR that emerges from India. I will have to make this point much
more clearly and emphatically in the future, and hope that my focus on
disciplinary history will contribute to some critical ground clearing. Similar
inventories of IR scholarship need to be assembled in different locations from
Africa, South America, other parts of Asia and the Arab world.



Many of these projects then also link up to very
practical questions. One of the issues that is of interest to me in this
context is that of South-South cooperation, such as for instance the IBSA Dialogue Forum, or the grouping known as BRICS, or the broader forum of
the G-20. There is evidence that the traditional structures and ways of doing
things are increasingly suspect and being viewed with suspicion by some actors
within the international system. It is therefore more important now to reopen
some of these questions and to think afresh about such things as institutional
design: what does it mean to be talking about "democratising international
relations"? How can we think of more inclusive and legitimate institutions? How
can we think about ways in which we can cooperate for the provision of global
public goods, but in a manner which is historically more legitimate and fair?
How can we address previous asymmetries that are not necessarily going to just
disappear? How do we deal with old power structures and their residual
influences in terms of the Westphalian state system? What legacy has been
enshrined for instance in the Bretton Woods institutions and what has that
legacy meant? What happened to non-alignment? Vijay Prashad chronicles
vividly the promise and unfulfilled promise of the non-aligned movement in
his fascinating account titled The Darker
Nations: A People's History of the Third World. How the past plays out in
terms of contemporary global governance questions and arrangements is fundamental
to my research interests. I have recently intervened on the Responsibility to
Protect (R2P) doctrine and its practice. I have been rather critical arguing that it
cannot be disassociated from a longer history of interventionism by the major
powers in the global south however benign its dressing. A thread that runs
through my work is to demonstrate how historical asymmetry continues to manifest
in terms of how the contemporary international system is structured. And I ask if
we are to arrive at a more legitimate, inclusive and effective international
system, then what are the mechanisms and steps which we need to work towards?





What do you
imagine that process might look like? Do we need to return to a 'world of
villages' (the 1300s) before we can reinvent IR, the national and the global?
Do we need micro histories before we can reassemble a bigger history or is a
subtle shift possible?



There are two levels on which this can happen: on one
level the changes that seem to work are incremental changes and not
lock-stock-and-barrel fundamental changes. In terms of scale, different
scholars do different things. Some scholars are interested in micro histories,
others are interested in macro histories and asking the big questions.



I imagine both these projects are important and there
should be more scholars from the global south as well who ask the big macro questions.
What has happened for too long is that we have relegated this responsibility to
the traditional post Second World War major powers and they have treated it as
natural to offer us macro-historical narratives and pictures. I think scholars
from the global south need now to attend to both tasks: to write good micro
histories as well as reframe the larger questions of macro history. I would add
that normative concerns such as the content and feasibility of global justice needs
also to be an integral part of contemporary international relations
scholarship. For instance, it would be fair to ask that in a world of plenty,
why do so many people go hungry?



So if you were to ask me about my dreams and my hopes,
I still think that the 1955 Bandung Conference and subsequent nonalignment visions
remain unfinished business. I hope that within the span of the current
generation there is greater egalitarianism accomplished in the international
system and ultimately a balance not just in terms of what Achebe called the stories
of the world, but also in terms of actual institutional designs and political outcomes.
This should translate into much better provision of various public goods to global
citizenry with special attention to those who have been historically
disadvantaged. For assorted reasons there have been deep asymmetries within the
international system which have persisted and resulted in diminishing the life
chances and collective self-esteem of various peoples in the global south. There
is an urgent need to both acknowledge and remedy the situation in the world we
live in.





In your
experience, what is the role of the IR scholar in India in relation to the
foreign policy establishment and the policy makers?



It is quite hard to find traction of one's ideas in
terms of any influence of scholars or groups of scholars on the social or
political establishment. Overall I would say that academia has for  a long time not been taken seriously by the
foreign policy establishment, and that has more to do with the institutional
structure where there is a pecking order and the bureaucracy sees itself as
being better informed. Even in academic conference settings, one could periodically
expect a practitioner of foreign policy to argue that they know best having
been present at a particular negotiation or at the outbreak, duration and
conclusion of any recent episode in diplomatic history. This does not in reality
translate into the best knowledge because there is the possibility that besides
the immediate detail, the absence of a larger historical context or even
unaccounted variables in terms of the contemporary political forces at work
during that moment could be blind spots in the narrative. It is fair to say
therefore that the influence of academia on the Indian foreign policy
establishment by and large has tended to be minimal. However, one could make
the argument today that there are some early stirrings of changes in the offing.




Quite evidently, the Indian Foreign Service is far too
miniscule for a country of India's size and desired influence in the
international system. There is a perceived need from within the foreign policy
establishment to draw on expertise from elsewhere and on occasion they do turn
to the academia to invite counsel on specific issues. From the perspective of
the IR academic, it is perhaps equally important to be not too close to the
corridors of power as it could alter the incentive structure to the detriment
of independent opinion making for securing short or long term political
patronage.





Siddharth Mallavarapu is currently Associate
Professor and Chairperson at the Department of International Relations at the South
Asian University in New Delhi. He is on deputation from the School of
International Studies at Jawaharlal Nehru University. He completed his doctoral
thesis on the politics of norm creation in the context of an Advisory Opinion
rendered by the International Court of Justice in 1996 on nuclear weapon threat
or use. This culminated in his first book, Banning
the Bomb: The Politics of Norm Creation. His principal areas of academic
focus include international relations theory, intellectual histories of the
global south, disciplinary histories of IR, global governance debates and more
recently the implications of recent developments in the field of cognition on
the social sciences. Mallavarapu retains a special interest in issues related
to the politics of knowledge and examines the claims advanced in the discipline
of International Relations through this perspective. His immediate teaching
commitments include a graduate course on 'Cognition and World Politics' and a
doctoral level course on 'Advanced Research Methods'. He has co-edited (with
Kanti Bajpai) two books on recent Indian contributions to International
Relations theory. In 2012 along with B.S. Chimni, he co-edited International Relations: Perspectives for
the Global South.





Related links

Faculty Profile



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Read
Mallavarapu's Dissent of Judge
Weeramantry (2006 book chapter) here (pdf)
Read
Mallavarapu's Indian
Thinking in International Relations here (pdf)
Read
Mallavarapu's Because
of America here (pdf)
Read
Mallavarapu's Nuclear
Detonations: Contemplating Catastrophe here (pdf)


Print version of this Talk (pdf)

SEXUAL SADISM AS EXPERIENCED BY LISBETH SALANDER IN STIEG LARSSON'S THE GIRL WITH DRAGON TATTOO Dea Anissa Rahmat English Literature, Faculty of Languanges and Arts, Surabaya State University dearbepe@gmail.com Drs. Much. Khoiri, M.Si English Literature, Faculty of Languanges and Arts, Surabaya State University much.khoiri@yahoo.com Abstrak Sadisme dalam seksualitas adalah perasaan gairah seksual yang disebabkan oleh pemberian rasa sakit, penderitaan, dan penghinaan kepada orang lain. Perilaku sadisme yang nampak secara langsung dan terang-terangan dalam pencapaian titik klimaks perilaku seks seseorang dapat dijadikan indikator bahwa orang tersebut mengalami penyimpangan. Penyimpangan seks dalam kasus sadisme sering mengalami penurunan signifikasi dan fungsi akibat perilaku menyimpang dalam berfantasi. Orang yang menjadi mitra atau objek yang dikenai perilaku sadis dalam hubungan seks belum tentu menjadi rekan yang bersedia. Jika kegiatan seks yang identik dengan perilaku sadis ini disetujui oleh kedua pihak ataupun hanya seorang saja, maka dapat diartikan pihak yang melakukan kegiatan tersebut mengalami kegagalan seksual secara normal dan perlu alternatif lain untuk mencapai titik klimaks. Misalnya, melakukan aktifitas kekerasan pada saat berhubungan. Dalam kajiannya, peneliti sengaja mengambil novel dengan judul The Girl With The Dragon Tattoo untuk menganalisis perilaku menyimpang dalam hubungan seks yang dialami oleh tokoh Salander. Teori yang digunakan untuk menganalisis perilaku menyimpang dalam tokoh utama dalam novel berasal dari teori Sigmund Freud tentang psikologi dan kepribadian. Dengan dilengkapi teori relevan, penelitian ini mengambil beberapa kutipan dalam novel yang mewakili perilaku menyimpang dalam seksualitas untuk dijadikan data dalam kajian peneliti. Hasilnya, perilaku menyimpang dalam seks ditunjukkan oleh tokoh Lisbeth Salander dalam novel memberikan dua hipotesis. Pertama, dalam novel muncul beberapa sadisme seksual yang terjadi pada rekan tokoh Bjurman yang teridentifikasi dari data berupa kutipan teksnya. Salander sebagai korban sadisme seksual dari pengacara rekan Nails Bjurman. Kedua, beberapa faktor yang berkontribusi Lisabeth Salander untuk melakukan sadisme seksual. Penelitian ini mencerminkan pengalaman deskriptif sampel perempuan yang terlibat dengan perilaku sadisme seksual beserta faktor-faktor yang berkontribusi dibaliknya. Keywords: Sexual sadism, sadistic behavior, The Girl with The Dragon Tattoo Abstract Sexual sadism is a feeling of sexual excitement resulting from administering pain, suffering, or humiliation to another person.When sadism becomes directly and overtly related to sexual gratification, they are considered perversions. Sexual sadism often experiences significant impairment or distress in functioning due to actual sadistic behaviors or sadistic fantasies. With regard to actual sadistic behavior, the person receiving the pain, suffering, or humiliation may or may not be a willing partner. Whether or not the partner is consenting, it is the very real suffering they are experiencing that is arousing to the sadist. This study examines Stieg Larsson's The Girl With The Dragon Tatttoo, which is about sexual sadism as experienced by Salander. This study uses theory of sexual sadism and Sigmund Freud's theory of Psychology and Personality. By using relevant theories, the study analyses the data—i.e. quotations from the novel that represent sexual sadism. The result of this analysis shows that sexual sadism experienced by Lisbeth Salander as reflected in Steig Larsson's The Girl With The Dragon Tattoo can be described by two parts. First, it shows that there are several sexual sadism which occurs from her guardian Bjurman. Salander as a victim of sexual sadism from the guardian laywer Nails Bjurman. Second is to reveal the factors that contributed Lisabeth Salander to do sexual sadism. It is about a descriptive experiences of a sample of women who have been consensually involved with sexual sadism and factors that contribute to sexual sadism. Keywords: Sexual sadism, sadistic behavior, The Girl with The Dragon Tattoo INTRODUCTION In human sexual life, there are certain conditions of sexual disorder which consider as embarassing and dangerous situations from the society's point of view. Normally, sexual activity is the union of the female and male's genital and other sexual activity besides it is taken as "abnormal". Few examples of sexual deviations are: homosexual, masochism, sadism, necrophilia, fetishism, etc (Barlow, 2009: 364). Sadism implies pleasure in inflicting. When sexual sadism is applied to show fantasies, urges or behaviors that involve real acts in which the suffering of another person is found sexually exciting. The essential feature of sexual become directly related sexual gratification. That sexual gratification it considered perversions. Sadism is a feeling of sexual excitement resulting from administering pain, suffering, or humiliation to another person. The pain, suffering, or humiliation inflicted on the other is real, it is not imagined and may be either physical or psychological in nature. A person with a diagnosis of sexual sadism is sometimes called a sadist. The name of the disorder is derived from the proper name of the Marquis Donatien de Sade (1740-1814), a French aristocrat who became notorious for writing novels around the theme of inflicting pain as a source of sexual pleasure. The sadistic acts performed or fantasized by a person with sadism often reflect a desire for sexual or psychological domination of another person. These acts range from behavior that is not physically harmful although it may be humiliating to the other person (such as being urinated upon), to criminal and potentially deadly behavior. Acts of domination may include holding or imprisoning the partner through the use of handcuffs, cages, chains, or ropes. Other acts and fantasies related to sexual sadism include paddling, spanking, whipping, burning, beating, administering electrical shocks, biting, urinating or defecating on the other person, cutting, rape, murder, and mutilation. Psychopathia Sexualis, later defined sadism as: "The experience of sexual, pleasurable sensations (including orgasm) produced by acts of cruelty, bodily punishment afflicted on one's person or when witnessed in others, be they animals or human beings. It may also consist of an innate desire to humiliate, hurt, wound or even destroy others in order, thereby, to create sexual pleasure in one self". This kind of sexual sadism has appeared in the literature (Kraft-Ebing, 1886: 274) . One of the writers that written about sexual sadism in a novel is Stieg Larsson. The novel was released to great acclaim in Sweden and later, on its publication in many other European countries. In the original language, it won Sweden's Glass Key Award in 2006 for best crime novel of the year. It also won the 2008 Booke Prize, and in 2009 the Galaxy British Book Awards for Books Direct Crime Thriller of the Year, and the prestigious Anthony Award for Best First Novel. Larsson was posthumously awarded the ITV3 Crime Thriller Award for International Author of the Year in 2008. The Girl with the Dragon Tattoo debuted at number four on The New York Times Best Seller list. The novel received mixed reviews from American critics. In a review for The New York Times upon the book's September 2008 publication in the United States, Alex Berenson wrote, "The novel offers a thoroughly ugly view of human nature"; while it "opens with an intriguing mystery" and the "middle section of Girl is a treat, the rest of the novel doesn't quite measure up. The book's original Swedish title was Men Who Hate Women, a label that just about captures the subtlety of the novel's sexual politics." The Los Angeles Times said "the book takes off, in the fourth chapter: From there, it becomes classic parlor crime fiction with many modern twists.The writing is not beautiful, clipped at times (though that could be the translation by Reg Keeland) and with a few too many falsely dramatic endings to sections or chapters. But it is a compelling, well-woven tale that succeeds in transporting the reader to rural Sweden for a good crime story."Several months later, Matt Selman said the book "rings false with piles of easy super-victories and far-fetched one-in-a-million clue-findings."Richard Alleva, in Commonweal, wrote that the novel is marred by "its inept backstory, banal characterizations, flavorless prose, surfeit of themes (Swedish Nazism, uncaring bureaucracy, corporate malfeasance, abuse of women, etc.), and--worst of all author Larsson's penchant for always telling us exactly what we should be feeling." Discussing and analyzing about character or human, they cannot be separated from personality terms. Personality derives from the Latin word persona, which refers to a mask used by actors in a play. The character is easy to see how persona came to refer to outward appearance, the public face we display to the people around us. Personality refers to the characteristics patterns of behavior and ways of thinking that determine a person's adjustment to his environment. The personality of somebody has built from the experiences that they got from the social surrounding and also the genetic factor gives the background of someone's personality Schultz (2009: 8). The direct influences of sexuality on personality comes from the effects of sex hormones. It influences body build, body functioning, and the quality of the individual behaviour. The indirect influence comes up from three sources: the effect of cultural influences sex drive, the attitudes of significant people and their treatment to the individual caused by sexuality, also the molding of personality pattern of sex appropriatenes, which admitted by society. To understand the aspect of psychology within literary work, needed psychology of literature, it is used to investigate the psychology aspect, which shown by the character within the novel The Girl with Dragon Tattoo by Stieg Larsso. Wellek and Werren (1989: 81) stated psychology of literature, mean the psychological study of the writer as type and as individual, or the study or creative process, or the study of the psychological types and laws present within works of literature, or, finally, the effects literature upon its readers (audience psychology). Sigmund Freud emphasizes how early stage of childhood is important part to create someone's adulthood personality and behavior. He says that part of our personality is formed on the basis of the unique relationships we have as children with various people and objects. Accordingly we develop a personal set of character attributes, a consistent pattern of behavior that defines each of us as an individual (Shannon, 2009: 64). Grossman (1991) states the psychological effects trauma, wheteher in infancy or adult life, are best understood in connection with the development and functioning of the capacity to fantasize. Here, a child which has been experienced physical and psychological trauma can build a fantasy refers to the violence.Violence can be in the form of hitting, slamming, humiliating, and so on. Consequently, a child can imagine that she/he is happy if he/she hurts and or being hurt by another people. This kind of fantasy can cause sexual sadism behaviour. In accordance of background study above, it can be simplify to discuss among two problems that emerge as significant concern toward this novel. How is sexual sadism as experienced by Lisbeth Salander reflected in Steig Larsson's The Girl With Dragon Tattoo? What factors contributed Lisabeth Salander to do sexual sadism in Stieg Larsson's The Girl With Dragon Tattoo? This study will uses two theories which are in line with the statement of the problems.The first is about review of related literature which contains the theories that are used in the analysis. In this chapter, the concept of sexual sadism and will be related to the concept of sexual sadism and theory of personality. The second will deal with the core of the study, which is the analysis of the study. The last chapter of this study is the conclusion as the result of the analysis. The additions will be added and got along with the analysis such as appendix, which consists of the biography of the author of this novel, and the synopsis of the novel. Those additions are to be the closing of this study. RESEARCH METHOD Research methodolgy that used in this analysis here must be qualified as an applying in literary appreciation. The thesis is regarded as a descriptive-qualitative study and uses a library research. This study uses novel of Stieg Larsson entitled The Girl with The Dragon Tattoo that published Seven Stories Press, 140 Watts Street, New York in 2007 as the data source of this study. The data are in the form of direct and indirect speech of the characters, dialogues, epilogues and quotations which indicate and represent aspect of power abuse and sexualization which is experienced by the main character. This thesis is using the library method in collecting the data. It does not use the statistic method. That is why it is not served in numbering or tables. Library research used an approach in analyzing this study. The kind of library research which is used here is intensive or closely reading to search quotations or phrases. It also used to analyze the literary elements both intrinsic and extrinsic. The references are taken from library and contributing ideas about this study from internet that support the idea of analyzing. The analysis is done by the following steps: (1) Classification based on the statement of the problems. This classification is used to avoid the broad discussion. There are two classifications in this study. (2) Describe the reflection of Sexual sadism as experienced.(3) To reveal the factors that contributed Lisabeth Salander to do sexual sadism in Stieg Larsson's The Girl With Dragoon Tattoo.The quotations that showed how the character's sexuality is affected by his power are taken as data. (4) Drawing the conclusion based on the analysis which is in line with the problems. ANALYSIS The first section is about the analysis of sexual sadism as experienced by Salander. The experience of Salander in sexual sadism is started when she meets her new guardian lawyer. Sexual sadism happened when she has an interview with Bjurman just after he became her guardian. Bjurman, on the other hand is recognize as a person who likes to do sex by sentence that is written in the novel. Salander is uncomfortable with Bjurman question and she feels that it is not her business by asking about sex in some kind of an interview. Salander's statement proves it. "No, it's not particulary nice to be fucked in the arse but what the hell business is it of yours?" . She left his office with a feeling of disgust. (Larsson, 2008: 220) The statement that Bjurman has no business with Salander sexual background, even he asks her impolitely. His authority is all about Salander legal powers, no more than that. Salander, moreover, express her disgust feeling to him after she feels that Bjurman was going too far. It can be concluded that she feels uncomfortable with Bjurman's questions. Salander thinks that it is not his right to ask her those questions. Then, she has been decided that she does not like Bjurman by leaving his office. The sex that is done by Bjurman is not like the sadist thing that he will do to Salander. He does some enjoyable acts to make Salander comfortable and feel horney. The nice thing is also given to her so she enjoyed the sex because Bjurman has a plan to have a sex with her again. The sex act done by Bjurman can be seen in quote below. He stood behind her. Suddenly he was massaging the back of her neck, and he let one hand slide from her left shoulder across her breasts. He put his hand over her right breast and left it there. When she did not seem to object, he squeezed her breast. Salander did not move. She could feel his breath on her neck as she studied the letter opener on his desk; she could reach it with her free hand (Larsson, 2008: 241). The incident happened when Salander comes to Bjurman office ask money to buy new computer, since her old laptop broken caused by an accident. She does not get the money easily because Bjurman forces her to do something. Bjurman assaults her by touching her breast. The quotation shows that Bjurman sexual sadism her by touching and squeezing her breasts. This is the one of sexual part that shows from the novel. Salander did nothing with all what Bjurman has already done to her. She got one lesson from Holger Palmgren that when there was an impulsive actions led to trouble, and trouble could have unpleasant consequences. Salander will never do anything without first weighing the consequences. In that quotation stated Salander feeling towards Bjurman. She has plan to use the letter opener as th weapon to fight againts him. Sexual sadism has formed her to be a person not easy to back down, she would always take revenge to all forms of act that try to hurt her. However, her status limits her to do that. Even, Salander cannot do something because she needs the money. All that she thinks is about the consequences. Bjurman starts to say what adult usually says which one another are known what the conversation means is. "I think you and I are going to be a good friend," he said. "we have to be able to trust each other." When she did not replay he said: "you're a grown woman now, Lisbeth" She nooded. "Come here," he said and held out his hand. (Larsson, 2008: 242) Salander just fixed her gaze on the letter opener for several seconds before she stood up and went over to him. In her heart, she says, consequences. It means that she knows the consequences by having such a lawyer guardian. The real acts that lead to sex activity are shown by Bjurman. The statement is explained bellow. He took her hand and pressed it to his crotch. She could feel his genitals through the dark gabardine trousers. While said, "If you're nice to me, I'll be nice to you." He puts his other hand around her neck and pulled her down to her knees with her face in front of his crotch. (Larsson, 2008: 242) It is shown that Bjurman rapes to her. In this case, he forces to suck his genital or can be called as oral sex. At the time she is just thinking that she did it for the money. In this case, Bjurman makes it difficulty to Salander in getting her money. In addition Bjurman treat her by saying: "If you're nice to me, I'll be nice to you," he repeated. "If you make trouble, I can put you away in an institution for the rest of your life. Would you like that?" (Larsson, 2008: 243) In this case, Salander cannot do anything to protect herself. She said nothing if Bjurman only gives words in order to treat Salander, without caring with Salander answer about his question, he continues the sex to Salander. He waited until she lowered her eyes, in what he regarded as submission. Then he pulled her closer. Salander opened her lips and took him in her mouth. He kept his grip on her neck and pulled her fiercely towards him. She felt like gagging the whole ten minutes he took to bump and grind; when finally he came, he was holding her so tight she could hardly breathe. (Larsson, 2008: 243). From the quotation above, it is clearly stated how Salander is forced to suck her guardian genital. He places his genital in Salander's mouth in order to get satisfied. Salander passively action towards those kinds of sadism makes Bjurman thinks more to hurt her. It is supported by (Krafft-Ebing, 2008: 14) that Sadism in sexual pleasurable sensations (including orgasm) produced by acts of cruelty, bodily punishment afflicted on one's own person or when witnessed in others, be they animals or human beings. The additional terrifying expression is shown by Salander in the quotation bellow. She realized with terrifying clarity that she was out of her depth. (Larsson, 2008: 273). It makes Salander in dead feeling. She thinks that Bjurman is doing something so serious and injury. What can help Salander this time is only keeping the pain that she gets? In another situation Bjurman turn mad and crazy. By taking metal stuffs that Salander hear from the sound of the clanking. The clanking sound of metal shows that Bjurman begins to do the sexual sadism, beside he says the words to treat Salander. The quotation is show at below: "You have to learn to trust me, Lisbeth," he said. "I'm going to teach you how this grown-up is played. If you don't treat me well, you have to be punished. When you're nice to me, we'll be friends."( Larsson, 2008: 274) From the quotation above Salander seems not to do anything. She only does what Bjurman wants and the only thing that she can feel is sick and gets more pain by Bjurman. Bjurman do not stop his act to Salander. In another situation, Bjurman asks Salander wheather she likes to do anal sex or not by asking "So you don't like anal sex, he said"(Larsson, 2008: 274). The more Salander keep silence, the more he maltreats her. Anal sex is the act of sexual by putting something in someone anus. It is really dangerous for someone's health or even can caused a great injury to victim. He also starts the sadism acts along sexual activity. The quotation below shows his sadist act that Bjurman does to Salander. Salander opened her mouth to scream. He grabbed her hair and stuffed the knickers in her mouth. She felt him putting something around her ankles, spread her legs apart and tie them so that she was lying there completely vulnerable. She heard him moving around the room but she could not trough the T-shirt around her face. It took him several minutes. She could hardly breathe. Then she felt an excruciating pain as he forced something up her anus. (Larsson, 2008: 274) The using of metal stuffs are cannot be tolerated anymore. The sadist action in sexual is real happening to Salander. Stuffed the knickers in Salander mouth is an act that hurt Salander physically. Bjurman spreads her legs apart and ties her so that she is completely vulnerable. Those acts are considered as physical sadism that she gets when having sex with Bjurman. Salander is completely pain of being sadistic by Bjurman when they having sex. It is shown when she felt an excruciating pain as forced something up her anus. Bjurman must do something to her anus that makes Salander in total pain. Beside, Bjurman did more and more tricks so that he could release his sadism along the act that he applied to Salander. Bjurman is going crazy more than before. The acts that Bjurman has done is supported by Matsumoto (2009: 490) theory about sexual sadism that defines sexual sadism is a paraphilia in which sexual arousal occurs as the result on inflicting physical or mental pain on another person as a means of exercising control over him or her. It means that the sadist feels pleasure and lust when he/she sexual partner suffered. Thus she/he can show his/her domination and power. Then, the second section will show factors contributed Salander to do sexual sadism. Then, the second section will show the factors that contributed Lisabeth Salander to do sexual sadism. This chapter will apply the theory in chapter two as the base theory, and hopefully this analysis will not deviate from the theory that has been explained before. Bjurman, now, has responsible for Salander's assets and financial, but he handles it out of his authority. He is a corrupt guardian that used Salander victim. He opened a new account in her name, and she was supposed to report it to Milton's personal office and use it from now on. The good old days were over. In future Bjurman would pay her bills, and she would be given an allowance each month. He told her that expected her to provide receipts for all her expenses."This had to do with the fact that i'm responsible with for your mone," he said. "You have to put money aside for the future. But don't worry; I'll take care all of that." (Larsson, 2008: 182) The quotation above shows that how Bjurman make Salander financially dependent happen is done by Bjurman. Although he is responsible for her assets and financial, but he handle it out of his authority. He is a corrupt guardian that used Salander victim. It is totally different with the precede guardian who let her free to manage her own money even though her status still under guardianship. Since, Bjurman is a corrupt, he take over and fully contol Salander money. He does not let Salander free access to use her money. Even, he force Salander to open a new account in a bank and requiring the victim to justify all money spent, so that Bjurman can control it. Besides, the statement in the quotation, "You have to put money aside for the future. But don't worry; I'll take care all of that"(Larsson, 2008: 182). Support the fact that Bjurman has abuse her financial as well. It is found that his life is to be a guardian of mentally disturbed likes Salander. He lives in her prosperity which is comes from his clients assets or money. He uses their weakness in legal status power, so that he is easily corrupt their money. Their weakness in legal status would make them afraid and do nothing about it. Obviously, it is form of economical as factor. The second form of economical that is done by Bjurman towards Salander is that by withholding the money or the access to the money. It is a complicated for Salander to ask her money, even for buying food. She has to work and Bjurman easily take over the money. It is prove by this quotation. Bjurman moved back to his side of the desk and sat on his comfortable leather chair. "I can't hand out money to you whenever you like,'' he said. "Why do you such an expensive computer? There are plenty of cheaper models that you can use for playing computer games." "I want to have control of my own money like before." Bjurman gave her a pitying look. (Larsson, 2008: 242) The quotation clearly stated can be concluded that Bjurman has underestimates her by saying that she did not need such sn expensive computer. It means that she is only a stupid girl that needs a computer just for playing games. Here, how Bjurman make a difficulty for Salander to get her money. He always ask or even demand her to do something first before she get the money. In this case, he would give Salander money after he takes advantages from her in terms of satisfying him by oral sex and anal sex, touching her breasts, and so forth. On the one hand, Bjurman has been abuse Salander by those various forms of violence. On the other hand, he has been abuse his profession as a guardian who is supposed to be protect the client. Here, he is withholding Salander own money that supposed to be her rights. Her authority is only take over Salander assests and financial so that the money can be used in a right way. However, Bjurman has been corrupted the money give some terms for her in getting her own money. Thereby, Bjurman has already one other forms ef economical as factor towards Salander. In the next meeting with Bjurman, Salander really need to buy a food. All the money that is kept by Bjurman is locked. It such the difficult thing to get the money like she must kill him first then she will get her own money. Psychological sadism is always given by the prepetator in order to treath the victims so they agree to do the sexual sadism. Psychological sadism also happen in the process of the sex itself in order to make the victims cannot avoid the prepetator to do sadism along the sex process. This is shown by Salander that she agree when Bjurman treat her to be nice with him. A threat could make the victim afraid psychologically. If the victim feels afraid with threat of the perpetrator, so they will be easily to do what they want to the victim. You have to learn to trust me, Lisbeth,'' he said. "i'm going to teach you how this grown-up game is played. If you dont treat me well, you have to be punished. When you're nice to me, we'll be friends (Larsson, 2008: 274) The quotation above shows Salander is threatened by Bjurman. After force to suck his genital, he threat her not to tell anyone about that. Salander just keep silence because she is feels afraid about the consequences related with her status if she reports it. He treats her as a whore not as a girl under his protection. In supported by Freud who insisted his sexual theory applied to all mental illness. However, in this moment, Bjurman not only threats her but he has done threatening harm. It is stated that threat and hurt her b slap and grip chin tight. It can be concluded that combine sadism always happened to Salander. Salander is not only facing of psychological but also accompanied by physical. The same thing also happened to her which is done by Bjurman. In another hand, the personality of somebody is built from the experiences they got from the social surrounding and also the genetic factor gives the background of someone's personality. Part of our personality is formed on the basis of the unique relationships we have as women with various people and objects. We develop a personal set of character attributes that defines each of us as an individual. The personality of Salander is considered as having a bad image. In her life, she likes to do dangerously violent things made her caught up by the police. One of her acts is explained below: When she turned fifteen, the doctors had more or less agreed that she was not, after all, dangerously violent, nor did she represent any immediate danger to herself. (Larsson, 2008: 174) Salander, in her life, she does not only danger someone near with her but also herself. Such of her bad behavior is leading her personality as a bad teenage. In other situation she has troubles with surrounding and herself by consuming alcohol and drug abuse. She builds an image that she has the negative attitude toward anybody and herself. It is said by Salander that the sex world is nothing new for her. It happens because she has already done the sex with more than ten people in her teen age. It is supported by the information she had had over fifty partners since the age of fifteen that she totally sex players. It is shown that by doing such of the sex activities will make her impression that going to be judge by other person. This is supported by Schultz (2009: 8) that based on its derivation, we might conclude that personality refers to our external and visible characteristics, those aspects of us that other people can see. Our personality would then be defined in terms of the impression we make on others that is, what we appear to be. In short, our personality may be the mask we wear when we face the outside world. CONCLUSION The analyzing of sexual sadism in Stieg Larsson's The Girl with Dragon Tattoo has give better understanding about several forms of sexual sadism as experienced that occurs and factors contributed Lisabeth Salander to do sexual sadism . Through the thesis analyzing, is is found that Salander has suffered from several forms of sexual sadism. As explained above that Salander as the main character experiences some forms sexual sadism, they are physical sadism, psychological and factor that contribute to do sexual sadism, they are threat and economical The conslusion of research question 1 are sexual sadism as experienced by salander is as an object. She gets both physical and psychological experiences by Bjurman asher guardian lawyers. She gets pain and suffer from physical experience. While in pysichological experience, she gets treatments from Bjurman. These are the conslusion of research question 2. The factors that make Salander to do the sexual sadism are unbelieveable because not all people want to be an object of sexual sadism. They are pyschology, personality, and economic factors. The psychology is like trearments that Bjurman has given to her and the personality is when Salander has such a bad personality backgrond, like havinh sex with many people. Finally, economic is the main factor for Salander to sexual sadism because if she wants to get her money, she must do the sex with Bjurman which bring her to sexual sadism. In Stieg Larsson The Girl with Dragon Tattoo, we can see Salander gets some forms of sexual sadism from Bjurman. There is not only sexual insult verbal, but also some kinds of sexual sadism of rape forms. The experience of Salander in sexual sadism is started when she meets her new guardian lawyer, Bjurman. On the other hand is recognize as a person who likes to do sex in the novel. Bjurman takes an opportunity by keeping Salander account and if she wants to get the money she must do the sex with him first. It is also supported by interview that is done, Bjurman asks about Salander sex life which is turn out to be another interrogation by asking her private aspect in her life, is that about her sexual background. All she wanted is about the money without making and giving any sexual sadism with him. With all scare feeling she agrees to do it again with Bjurman. The thing that she hates so much is having sex with a condition and compulsion. The fear is appears on Salander body language. This sexual sadism has made Salander suffered from some physically. It has become the worst experience ever in her life. Sexual sadism which is experienced by Salander is mostly done by Bjurman. Bjurman is not only doing the sexual sadism toward Salander in form of rape, but also psychological. In this case, Salander can be concluded to get she witnesses and watching other person, or even the person that she like, suffered from physical sadism. In this novel, Salander has been found experiencing sexual sadism. REFERENCES Barlow, H. David, Durand. V. Mark. 2009. Abnormal Psychology 5th edition. USA : Wadsworth Cengage Learning. Hoeksema, Susan Nolen. (2004). Abnormal Psychology. Third edition. New York: McGraw-Hill Comapanies Inc. Krafft-Ebing, Richard von. 1933. Psychopathia Sexualis: With Especial Reference to the Antipathic Sexual Instinct: A Medico-Forensic Study. New York: Physicians and Surgeons Book Co. Larsson, Stieg. (2008). The Girl with Dragon Tattoo. New York: Vintage Books. Matsumoto, David. 2009. The Cambridge Dictionary of Psychology. USA: Cambridge University Press. Schultz, D. P. & Schultz, S. E. (2009).Theories of personality 9th Edition. United States of America:Wadsworth Cengange Learning. Shannon, Joyce Brennfleck. 2009. Theories of Personality 9th Edition. United States of America: Omnigraphics, Inc.

THE CHOICE OF WORDS, TRANSITIVITY, AND IDEOLOGY OF THE HEADLINES IN THE JAKARTA POST REPORTING APEC IN INDONESIA 2013 Lydia Anggar Wati Language and Literature Department, Faculty of Languages and Arts, Surabaya State University lydia82012@gmail.com Lisetyo Ariyanti, S.S., M.Pd Language and Literature Department, Faculty of Languages and Arts, Surabaya State University lisetyo.a@yahoo.com ABSTRAK Penelitian ini fokus dalam menganalisa headlines mengenai berita APEC karena headlines menyimpan informasi penting dari peristiwa di dunia. Rumusan masalah diantaranya (1) apa saja word choice dalam headlines di Koran The Jakarta Post pemberitaan APEC di Indonesia 2013, (2) apa saja transitivity yang ditemukan di headlines The Jakarta Post pemberitaan APEC di Indonesia 2013, (3) sikap ideologis apa pada word choices dan transitivity di headlines The Jakarta Post pemberitaan APEC di Indonesia 2013. Penelitian ini menggunakan deskriptif kualitatif. Data dikumpulkan dari koran harian The Jakarta Post mengenai APEC tanggal 9 September 2013 sampai 9 Oktober 2013 (31 hari). Hasil penelitian ini: 1) word choice yang ditemukan dalam headlines ditulis dalam bentuk simple present tense menunjukkan peristiwa yang baru saja terjadi. Headlines ditulis dalam bentuk klausa penuh yang terdiri dari sedikitnya subjek dan kata kerja. Pada headlines terdapat bentuk omisi dari verba bantu be agar penulisan berita lebih efektif, 2) proses verba sebagian besar menggunakan material process. Sirkumtansi dalam headlines ditulis oleh frase nomina dan frase kata kerja. APEC sering disebutkan sebagai aktor atau pelaku dalam headlines yang memiliki verba positif seperti vows, talks, hopes, changers. Dari kata kerja tersebut terlihat kekuatan dominasi aktor pada tujuan. Kata Kunci: headlines, word choice, transitivity, ideology ABSTRACT This study focuses on the analysis of the headlines newspaper in APEC news event because headlines provide the main important information of the events in the world. The research questions are (1) what the word choice is found in the headlines of The Jakarta Post reporting APEC in Indonesia 2013, (2) what the transitivity is found in the headlines of The Jakarta Post reporting APEC in Indonesia 2013, (3) what ideological in word choice and transitivity found in the headlines of The Jakarta Post reporting APEC in Indonesia 2013. The study is descriptive qualitative. The data was collected The Jakarta Post daily newspaper about APEC news event from September 9th, 2013 until October 9th, 2013 (31 days). The study found: 1) word choice is found in headlines is written in simple present tense form to show the immediate past happening. The headlines are written by full clause form which consist of minimal a subject and a verb. There is omission in headlines as the aim of the effectiveness headlines writing, 2) the process of the verbs are mostly material process. The circumstances of the headlines are written by noun phrase and verb phrases. APEC is mostly mentioned as the actor or the doer in the headlines that has positive verbs such as vows, talks, hopes, changers. From those verbs that is seen dominance power in actor for the goal. Keywords: headlines, word choice, transitivity, ideology INTRODUCTION Language is very important in human life to make good interaction, people need language to communicate with other. The language in use for communication is called discourse (Cook, 1989:6). It means that all of the language to use for communicating with other people is named "discourse". In the recently times, Linguists' interest in discourse focus on the linguistic structure of the text into how texts draw in the social process. The reason is linguists' want to get satisfied more than analyzing linguistic text which focused in linguistic features only. The knowledge of understanding in grammar, syntax, morphology, semantic and phonology of the text have not need of understanding in a text. The rhetoric intent, the coherence, and the worldview that the author and receptor convey the similarity essential of the text (Kaplan, 1990) as cited in Taiwo (2007:218). Texts always produce and read in real world with all the complexity, not in the isolation area. Consequently, language can show the reality. Language delivers from word by word in written or oral a broad sense of meanings and the meaning delivers with those words in social, political, and historical condition. Language can bring the power that shows in written or spoken. Mass media, it means that delivery message. It has two types of mass media. There are printed mass media and electronic mass media. Printed media are newspaper, tabloids, and magazines. Electronic mass media includes radio, smart-phone, and television. It is used to communicate with other political as the instrument to convey idea, message, and political work program. It has hidden of power relation. As one of the printed mass media, newspaper become as one of the most popular mass media. It occurs because newspapers contain many variant of news every day. By using actions of outstanding figures and statement, newspapers have formed. Opinion leaders, government, newspaper editors, etc, play crucial role in shaping the issue in the society and setting the boundaries of what is talked about, how is talked about (Taiwo, 2007: 218). However, the critical reader frequently takes the new granted. The analysis focused on the analysis of the headline newspaper because the headline summarize the content of the news, and attract the reader to read the article. The writer of newspaper always makes the headline short but in a headline can describe the core of the complicated new story in a few words. In Richardson (2007), Van Dijk (1988) says that news headlines are particularly key for the way readers understand of news text, they stakes that monitor attention, perception and reading process. The study concerned on headlines since daily newspaper provides the main important information of events in the world. Nevertheless, it is difficult for readers to read all of the news articles in the daily newspapers because all the variant news are very interesting and the time restraint. Therefore, they have to be selective by looking on the headline. The main function of news headline is to make the readers easily to know the main content of the news and the general picture of the news stories although they do not read all news stories. The study chooses The Jakarta Post daily newspaper as the sources of data since The Jakarta Post is the leading daily English language newspaper in Indonesia that published since 1983. The newspaper was launched on April 25th 1983. The paper is owned by PT Bina Media Tenggara, and the head office is in the nation's capital, Jakarta. It is the largest English language newspaper in Indonesia with an average circulation of around 50,000 copies. (www.wikipedia.com/jakarta-post). The analysis of headlines reporting APEC (Asia-Pacific Economy Cooperation) 2013 in Bali, Indonesia was the focus of the research since the news in September 2nd 2013 until October 14th 2013. In that day, Indonesia prepare everything what is needed to annual meeting of APEC in this year held in Nusa Dua, Bali, Indonesia. APEC is established in 1989 which has the aim to strengthen economic growth and strengthen the community of nations in the Asia Pacific. In the annual meeting in this year, APEC generate seven agreement. APEC have the important role in economic global. In that meeting, there are delegates 21 state leader who are important people in their country as presidents and a hundreds business people from whole the world. However, there are many particular world of economy-politic that they used. (http://id.wikipedia.org/wiki/Kerja_Sama_Ekonomi_Asia_Pasifik) The study has There are two similar studies. First, a similar studies was conducted by Kirana (2009). She conducted a study entitled "Critical Discourse Analysis of Headlines in The Jakarta Post Reporting Invasion in Gaza". Kirana's study and this study are quite similar on the analysis of headlines. The difference is sited of the data. She uses the data of the event of conflict in Gaza. However, this study analyzes headlines in story event of APEC 2013 that held in Indonesia. Second, a study was conducted by Yunianti (2010). She conducted a study entitled "Critical Discourse Analysis in The Jakarta Post Reporting Ruhut's Behavior During Parliament Inquiry Session On The Bank Century". The difference between this study and Yunianti's study, we have the same case (power and ideology), but this study analysis newspaper headlines while her study analyses newspaper's article. In the end of her study, she found ideological value that is showed by kinds of syntactical and word choice features utilized by articles The Jakarta Post newspaper. Furthermore, this study analyzes the headlines as the aim was attempt to look at how the language is used headlines to show particular social ideologies and power relations. Critical Discourse Analysis (CDA) as the method of Discourse Analysis was used as the approach to show development of linguistics features which is used in the headlines focused in studying and analyzing the linking between linguistics analysis and social analysis, the ideology, and power relations. The analysis headlines are produced by actual and social matters. CDA was considerably useful to show the source of power, dominance, abuse, inequality and bias and how these sources are initiated, maintained, reproduced and transformed within specific social, economic, political and historical context. More specifically, the study focused on the analysis of ideological representation in the headline present in examining the word choice and transitivity, particularly transitivity of the headlines. Therefore, this study is written to know the ideological distance underlying the linguistics forms existed in the headlines in The Jakarta Post newspaper reporting APEC in Indonesia. Hence, the study wants to analyze the word choice and transitivity of the headlines in The Jakarta Post newspaper reporting APEC in Indonesia 2013 so that the research questions are as follows: 1)What word choice is found in the headlines of The Jakarta Post reporting APEC in Indonesia 2013?, 2)What transitivity is found in headlines of The Jakarta Post reporting APEC in Indonesia 2013?, 3)What ideological stance in the word choice and transitivity found in headlines of The Jakarta Post reporting APEC in Indonesia 2013?. Moreover, the purposes of the study are: 1)To describe the word choice found of headlines in The Jakarta Post reporting APEC in Indonesia 2013. 2)To describe the transitivity found of the headlines in The Jakarta Post reporting APEC in Indonesia 2013. 4)To reveal the ideological stance in the word choice and transitivity found of headlines in The Jakarta Post reporting APEC in Indonesia 2013. The study intends to analyze word choice items and transitivity of the headlines APEC in The Jakarta Post by using CDA theory. The study is expected to be able to give theoretical and practical contribution to the area of applied linguistics and CDA. By conducting this study, the study greatly expects that the finding will be useful to enrich the awareness of how language assists especially through mass media in the particular social ideology and power relations. METHODE The study will be conducted by using qualitative research. The study approaches to Critical Discourse Analysis (CDA). Furthermore, Fairclough (1989:26) states that CDA has three dimension, or stages, of critical discourse analysis: which include the relationship between texts, interactions, and contexts. Thus, there are three steps in analyzing discourse are through description, interpretation, and explanation. Data analysis in this study was also done in three steps which then results in three forms of analysis: first, the analysis of the text; second the analysis of the discourse practice which refers to the process of text production, text distribution and text consumption as commonly happen in the culture in which the writer and the participants live; third, the analysis of the social practice of the society in which the writer and participants live. The source of data in this study is taken from The Jakarta Post newspaper on alternate days from September 9th, 2013 until October 9th, 2013 (31 days). The data are the headlines which taken from The Jakarta Post newspaper. The study chooses the story event of APEC 2013 which held gathering in Indonesia. The data consist of 10 headlines. The data analysis technique in this research was applied descriptive analysis. The aim of the study was to describe certain phenomena occurred in this research setting. The certain phenomena probably occurred in terms of linguistic features. The stages of CDA are proposed by Fairclough (1989:26) was used in this research in the following procedure: 1)Description, In this stage which is concerned with formal properties of the text. There are several steps to describe the texts: Analyzing the word choice: the choices meaning of words used in the headlines, including all types of words, but particularly nouns, adjectives, verbs, and adverbs which carry connoted and denoted meanings. Analyzing the transitivity: sentence construction. There are three components to discuss in transitivity, they are the participant, the process, and the circumstance; 2)Interpretation, It is focused in relationship between text and interaction by seeing of the text as the product of a process of interpretation, notice that is used as the term interpretation for both the interactional process and a stage of analysis; 3)Explanation, It is focused in relationship between interaction and social context by determination of social process of production and interpretation, and their social effects. Then, the data collect based on the focus of this research. After that the data are analyzed based on word choice and transitivity. Thus, the data are interpreted descriptively and argumentatively by using critical discourse analysis devices in order to reveal the ideological stance of headlines of The Jakarta Post newspaper reporting APEC 2013 in Indonesia. DATA ANALYSIS AND DISCUSSION In line with study, the research question one, two, and three will be answered in this section. The data consist of 10 headlines which are displayed by three parts. In part A, the data will be analyzed by word choice, then part B analyzes transitivity and the last is part C that the data will be investigated by the ideological stance. Data 1: Protest in motion amid poor security (The Jakarta Post, Monday, September 30, 2013) In data 1, the situation is three days before APEC summit. APEC was held in Bali that got negative response from the activists and students Hundreds of activists and students came together on Sunday to plan protests against the Asia-Pacific Economic Cooperation (APEC) summit in Bali amid signs of heightened security at the venues that will host the powwow of 21 Pacific-rim leaders this week. Activist Ni Luh Gede Yastini from the Bali Legal Aid Foundation, confirmed that hundreds of activists from more than 30 local and international non-governmental organizations under the Indonesian People's Alliance would carry out protests against the summit. They had not been determined because they were aware that security forces could possibly block the moves as they could be considered a disturbance to the summit. In addition, the alliance will probably raise issues such as the environment, migrant workers, human rights and fair trade. Other issues will also include religious intolerance, unsolved killings of activists, alleged human rights abuses in Papua and foreign occupations of domestic natural resources. Activists reject "the liberalization of investments" which would provide red carpets to foreign businesses to easily exploit Indonesia's natural resources. Dozens of students had already staged a small "anti-APEC" rally outside the Ketapang Port in Banyuwangi, East Java, on Sunday. The port is the gateway for those who travel by land from Java to Bali. (The Jakarta Post) a. Word choice The headline in data 1 is written in simple present tense which omits being of the verb. The headline (3) may read: Protests in motion [is] amid poor security. The omitting being of the verb (is) as the aim to make the headline writing more effective so that it can shows clear, short, and interesting. The headline (3) consists of a subject protest in motion as noun phrase and the complement object amid poor security as prepositional phrase. The word protest means that to the expression strong disagreement with or opposition to something. Protest refers to the act that doing by hundreds activists and students who against APEC summit 2013 in Bali. b. Transitivity The headline in data 1 is written in active sentence which uses relational process. The headline (3) consist of a carrier protest in motion (noun phrase) and attributive amid poor security (prepositional phrase). The omission (is) is classified into relational processes, process of being abstract relations such as have, seem, and be (is), which involve an agent and attributive (e.g. 'You are x'; I have y'). The carrier is protest in motion and the attributive amid poor security. In the other written, it can be said that protest in motion is among poor security. Look at the fraction below: Protest in motion [is] Amid poor security Carrier Process: relational Attributive c. Ideological stance The headline in data 1 is negative side for delegates of APEC, 21 state leaders. In this case, it can unsafe for them. The summit is crucial to discuss economy growth. The headline tries to show protest motion that is done by hundreds activist and student to against APEC summit. Dozens of students had already staged a small "anti-APEC" rally outside the Ketapang Port in Banyuwangi, East Java, on Sunday. The port is the gateway for those who travel by land from Java to Bali. In the text tells who is the doer, the one who against APEC summit. Data 2: No game changers at APEC summit (The Jakarta Post, Wednesday, October 02, 2013) In data 2, Asia-Pacific Economic Cooperation (APEC) officials may drive a hard bargain to produce new tangible trade policies as the bloc's prestigious annual summit kicked off on Tuesday amid perturbing signs in the US economy that, once again, sent jitters across the globe. For the duration of the concluding senior officials meeting (CSOM), which will run from Oct. 1 to 2, officials from the 21 Pacific-rim economies would have to show their commitment to the "Bogor Goals" of free, open trade and investment. Officials expect no "big surprises" in the attempt to progress on the liberalization of trade, but are aware of several contentious issues that have the potential to hurt Indonesia and other emerging economies, if not addressed properly during the negotiations. According to documents obtained by The Jakarta Post, there are five deliverables to be discussed as first priorities of the summit. These include Indonesia's initiative to include crude palm oil (CPO) and natural rubber on the list of environmental goods subject for liberalization. Indonesia, which holds the rotating APEC chairmanship, has several requirements for businesses to use local products for certain industries, such as oil and gas. Economist Sri Adiningsih of Gadjah Mada University's APEC study center said Indonesia should focus on taking advantage of existing commitments rather than trying to push for a new agenda. While the summit is likely to produce few benefits for domestic interest, it is crucial to help facilitate other APEC priorities such as commitments to help avoid another round of impasse in the upcoming World Trade Organization (WTO) ministerial conference in December in Bali. APEC accounts for about 55 percent of the world's gross domestic product (GDP), some 44 percent of global trade and 40 percent of the world's population (The Jakarta Post). a. Word choice The headline in data 1 is written in full clause, consists of a subject no game (noun phrase), a verb changers (infinitive +s) and an complement at APEC summit. No classified in adverb, it means that used with a following adjective to imply a meaning expressed by the opposite positive statement, game (common noun) means a physical or mental activity or contest that has rules and that people do for pleasure, the verb changers means to replace with another. The verb summit means international meeting; a meeting or series of meetings between the leaders of two or more governments, so that the complement at APEC summit means that International organization meeting. b. Transitivity The headline in data 1 is written in active sentence. According to SFL: Transitivity, the process of the sentence is intransitive action which consists of only one participant no game, the actional verb changers which is intransitive verb which does not need object and circumstance at APEC summit, an additional information of the purpose of the action. The processes of doing in the physical world are shown in material processes that show the power of the doer of doing something to the real world, unlike mental processes which are abstract. Look at fraction below: No game Changers At APEC summit Actor Process: material Circumstance: purpose c. Ideological Stance The headline in data 6 is positive toward APEC. the word no as the negation of the verb game. APEC is the International organization. In this case no game can be changers in this International meeting. Indonesia no longer pushes for green goods. Another summit priority, is the US initiative to discuss barriers to trade, which includes opposition against local-content requirements implemented by several APEC members, including Indonesia. Indonesia, which holds the rotating APEC chairmanship, has several requirements for businesses to use local products for certain industries, such as oil and gas. While the summit is likely to produce few benefits for domestic interest, it is crucial to help facilitate other APEC priorities such as commitments to help avoid another round of impasse in the upcoming World Trade Organization (WTO) ministerial conference in December in Bali. The headline is definitely positive toward APEC. To know furthermore of the information, the study classified the analysis of the headline in the table below. No Headlines Word Choice NP FC Process Ideology 1. Competitive SMEs 'crucial' to APEC's growth Compe-titive SMEs - P Relational process Positive 2. Nusa Dua closed for tourists during APEC Nusa dua - P Relational process Positive 3. Protest in motion amid poor security Protests - P Relational process Negative 4. SBY to have bilateral talks with Obama in Bali SBY - P Verbal process Positive 5. APEC agrees to joint efforts to develop renewable energy APEC - P Material process Negative 6. No game changers at APEC summit No game - P Material process Positive 7. RI hopes for deal on rubber shattered RI - P Mental process Negative 8. Challengers force APEC to adjust Challen-gers - P Material process Positive 9 Giants exert clout at APEC Giants - Material process Negative 10 APEC vows to avoid mishaps APEC - Material process Positive Table 1. Word Choice, Transitivity, and Ideology *Note: NP= (Noun Phrase); FC= (Full Clause) Discussions Table 1 the word choice, transitivity and ideology of the headlines into who is the actor or doer, writing headlines, involving in which process, in the end of the analysis it can conclude that what the ideology inside of headlines. First is classified into who is the doer in that event which can show the subject or the doer regularly appear in headline newspaper. Here are the headlines which actors are APEC, it shows in headline in data 5 and data 10. Data 5: APEC agrees to joint efforts to develop renewable energy Data 6: APEC vows to avoid mishap APEC is classified in proper noun which is abbreviation from Asia Pacific Economy Cooperation. Proper noun is a word which is the name of person (e.g. Lisa, John, Marry, etc), a place (e.g. Surabaya, California, Sydney, etc.), an institution (State University of Surabaya, Oxford University, etc.), etc. And it is written with a Capital Letter wherever its located in a sentence. In these headline, the proper noun APEC refers to the International economy meeting summit. The member of APEC consist of Australia, Canada, Indonesia, Japan, South Korea, Malaysia, New Zealand, Philippines, Singapore, Thailand, United States, Chinese Taipei, Hongkong, China, Mexico, Papua New Guinea, Chile, Peru, Russia, Vietnam. Meanwhile, APEC as the doer or participants above, it is essentially useful to quantify the types of clause and verb processes used and their distribution across sampled newspaper. The table above is clearly that shows the principle difference between the headline: the ratio of noun phrase (NP) headlines to choose containing full clause (FC). All the headlines APEC summit 2013 in Bali are written in full clause, no one of the headline is written in noun phrase. Full clause consist of minimal one subject and one verb. The headline is written in full clause as the aim to give emphasize the actor or the doer who does the action towards the goal, not only states the noun phrase of the doer, the goal or the result that the doer does. Furthermore, classifying into processes that the processes which have four main verb processes across the headline. The process has four type which consist of material process, verbal process, mental process, and relational process. Look at the headlines below: Data 1: Competitive smes 'crucial' to APEC Data 2: Nusa dua closed for tourists during APEC Data 3: Protest in motion amid poor security The example of headlines above is classified in relational process which can show the typically retain the source responsible for the statement. The headlines is written in shorter, punchier headlines, and the omission of be (is, am, are) as the aim to make effectiveness in headline writing is classifies into relational process, process of being in the world abstract relations. According SFL: Transitivity, the abstract relationships generally finds between two participants associated with the process is regarded, however it is different from material process, a participant does not influence the other participant in a physical sense. The omission (is) is classified into relational processes, process of being abstract relations such as have, seem, and be (is), which involve an agent and attributive (e.g. 'You are x'; I have y'). The verbal process is used in this headline: Data 4: SBY to have bilateral talks with Obama in Bali The word talks is classified in verbal processes, a process of saying such as speaking, shouting, or singing. The word "talk" support of (Halliday 1994: 107) that the verbal process expresses the relationship between ideas constructed in human consciousness and the ideas enacted in the form of language. A verbal process is the process of saying, and it exists on the borderline between mental and relational processes. The participants roles associated with verbalization processes are the sayer, the individual who is speaking and that of the target, the addressee to whom the process is directed. This may be added with verbiage, that which is said. The mental process is used in this headline: Data 7: RI hopes for deal on CPO rubber shattered. From the headline in data 7, it can be shown that the headline includes Mental processes. That is the fact that theory from (Halliday, 1994: 117) that Mental processes are "internalized" processes which exists in processes of doing and speaking. The example are such as thinking, dreaming, and deciding. Mental process by encode the meaning of feeling or thinking. Mental process verbs can be subcategorized into three types; Cognition (verbs of thinking, knowing, understanding), Affection (verbs of liking, loving, fearing, heating), and Perception (verbs of seeing, hearing). The word "hopes" includes in dreaming as the article of the text tells that RI has dream or hopes to lift barriers to the trade in Crude Palm Oil (CPO). The material process is used in this headline below: Data 5: APEC agrees to joint efforts to develop renewable energy Data 6: No game changers at APEC summit Data 8: Challenges force APEC to adjust Data 9: Giants exert clout at APEC Data 10: APEC vows to avoid mishap According SFL: Transitivity, the headlines above belongs to the material process, processes of doing in the physical world. Material processes have two inherent participants involved in them. The first of these Actors, which is an obligatory element and expresses the doer of the process. The second is the Goal, which is an optional element and expresses the doer of the process. In addition to these two inherent participant roles, there is an extra element called Circumstance, which provides additional information on the "when, where, how, and why" of the process. Furthermore, the circumstance associated with the process also contribute to an ideological representation of the APEC summit. In the sampled headlines, the circumstance regularly exists in prepositional phrase which can be used to modify both noun and verb phrases, providing extra details on the time, place or the manner in which the action described in the process. They are identified by a preposition (e.g. 'in', 'of', 'on', 'for', 'to', 'with', 'as' etc). The use of preposition in each of these headlines is highly ideological. In each case, the prepositional phrase is underlined: Competitive smes 'crucial' to APEC Challenges force APEC to adjust The reporters or the publication is most often positive toward APEC. The headlines state APEC as the doer which has dominate power which does the actions towards the goal. It can be shown of 10 headline that the headlines writer does not want to cover or hide the subjects or the doers or the actions even the circumstances of the events. Actually, it is the fact that the way of reporting is very ideological since wants the readers to be clear on who is the doer is, the action and the effected entity. The writer wants the readers have the same thinks. Thus, most of the sample headlines have positive ideology towards APEC. Besides APEC, to increase the economy of 21 economies in Asia Pacific, there is Small and Medium Enterprises to unleash economic potential and drive growth. Smes is very useful to the advancement of the ASEAN community and the global community in 2020. Most of all the 21 APEC leaders had proposed bilateral meetings with Susilo Bambang Yudhoyono as the president of Indonesia. APEC was held in Indonesia has positive towards Indonesia so that's way the ideological stance is shown of the headline writer, in this case the editor of The Jakarta Post who represents the ideological stance of the institution. The Jakarta Post newspaper is daily English newspaper in Indonesia has budget of selection news which is showed for world so that people in the world will know Indonesia actually with reading The Jakarta Post newspaper. It is built in 1982 as the collaboration between four Indonesian media under the demanding of minister of information Ali Moertopo and politician Mr. Jusuf Wanandi, who represented the government-backed Golkar newspaper Suara Karya. Minister Moertopo mentioned the possibility of publishing an English-language newspaper of the highest editorial quality. The Jakarta Post newspaper is more than a decade of opening up the economy to the global community but more importantly one that would be able to provide an Indonesian perspective to counter the highly unbalanced Western-dominated global traffic of news and views. CONCLUSION AND SUGGESTION Conclusion The data consist of 10 headlines about news event of APEC. The study finds word choice in headlines that the headlines are written in simple present tense that is shown the immediately past event. The headlines that consist of 10 headlines are written by full clause (FC) form which consist of minimal a subject and a verb. The subject or the doer of the headlines are mostly APEC which can be seen that the focus of news reporting is APEC. From the subject or the doer of headlines, APEC is shown as active doer that has dominance power in APEC news event that APEC summit 2013 in Nusa dua, Bali. The most dominance verbs are mostly infinitive+s with singular subject that consist of such as the verbs talks, efforts, changers, hopes, vows. From the verbs are describe the active action for the power relation in the doer and the goal. Furthermore, the process of the verbs are mostly material process which have two inherent participant involved in them. According SFL: Transitivity material process is process of doing in the physical world. There are some omission in headlines as the aim of the writing of headlines more effective. The circumstance in the headlines are written by noun phrase and verb phrases, supplying extra details on the time, place or the manner in which the action described in the process. They are identified by a preposition (e.g. 'in', 'of', 'on', 'for', 'to', 'with', 'as' etc). The use of preposition in each of these headlines is highly ideological which concluded of the analysis in headlines that the study has positive appreciation, feeling, and judgment with APEC summit 2013 in Bali. APEC is mostly mentioned as the actor or the doer in the headlines that has positive verbs such as vows, talks, hopes, changers. From those verb that is seen dominance power in actor for the goal. Suggestion The study analyzes the headlines in The Jakarta Post newspaper which is as the object of study. The headlines are elaborated based on the word choice features, transitivity, and the end of the analysis can be investigated the ideological distance. It can be shown by the object of sentence in headlines. For the future, the study hopes the deeper investigation to have a more critical analysis and useful for studying critical analysis to be better. REFERENCES Brown, Gillian and Yule, George. 1983. Discourse Analysis. Cambridge: Cambridge University Press Cook, Guy. 1992. 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Ralph P. Vander Heide, October 3, 2013 ; The Weber State College Oral History Program was created in the early 1970s to "record and document, through personal reminiscences, the history, growth and development of Weber State College." Through interviews with administrators, faculty and students, the program's goal was to expand the documentary holdings on Weber State College and its predecessor entities. From 1970 to 1976, the program conducted some fifteen interviews, under the direction of, and generally conducted by Harold C. Bateman, an emeritus professor of history. In 1979, under the direction of archivist John Sillito, the program was reestablished and six interviews were conducted between 1979 and 1983, with additional interviews being conducted by members of the Weber State community. In 2013 the campus prepared to celebrate the 125th Anniversary of Weber State University in 2014. In order to document the student experience, interviews were conducted with Weber State College Alumni on an ongoing basis. ; This is an oral history interview with Dr. Ralph Vander Heide, conducted on October 3, 2013 in his home in Ogden, Utah, by Jamie J. Weeks. Ralph discusses his memories of Weber State College from 1955 to 1957 and his membership in the Sigma fraternity. Also present is his wife Judith Howell Vander Heide and our video technician Stacie Gallagher. ; 28p.; 29cm.; 2 bound transcripts; 4 file folders. 1 videodisc: digital; 4 3/4 in. ; Oral History Program Ralph P. Vander Heide Interviewed by Jamie J. Weeks 3 October 2013 i Oral History Program Weber State University Stewart Library Ogden, Utah Ralph P. Vander Heide Interviewed by Jamie J. Weeks 3 October 2013 Copyright © 2014 by Weber State University, Stewart Library ii Mission Statement The Oral History Program of the Stewart Library was created to preserve the institutional history of Weber State University and the Davis, Ogden and Weber County communities. By conducting carefully researched, recorded, and transcribed interviews, the Oral History Program creates archival oral histories intended for the widest possible use. Interviews are conducted with the goal of eliciting from each participant a full and accurate account of events. The interviews are transcribed, edited for accuracy and clarity, and reviewed by the interviewees, who are encouraged to augment or correct their spoken words. The reviewed and corrected transcripts are indexed, printed, and bound with photographs and illustrative materials as available. Archival copies are placed in University Archives, which also houses the original recording so researchers can gain a sense of the interviewee's voice and intonations. Project Description The Weber State College Oral History Program was created in the early 1970s to "record and document, through personal reminiscences, the history, growth and development of Weber State College." Through interviews with administrators, faculty and students, the program's goal was to expand the documentary holdings on Weber State College and its predecessor entities. From 1970 to 1976, the program conducted some fifteen interviews, under the direction of, and generally conducted by Harold C. Bateman, an emeritus professor of history. In 1979, under the direction of archivist John Sillito, the program was reestablished and six interviews were conducted between 1979 and 1983, with additional interviews being conducted by members of the Weber State community. In 2013 the campus prepared to celebrate the 125th Anniversary of Weber State University in 2014. In order to document the student experience, interviews were conducted with Weber State College Alumni on an ongoing basis. ___________________________________ Oral history is a method of collecting historical information through recorded interviews between a narrator with firsthand knowledge of historically significant events and a well-informed interviewer, with the goal of preserving substantive additions to the historical record. Because it is primary material, oral history is not intended to present the final, verified, or complete narrative of events. It is a spoken account. It reflects personal opinion offered by the interviewee in response to questioning, and as such it is partisan, deeply involved, and irreplaceable. ____________________________________ Rights Management University Archives All literary rights in the manuscript, including the right to publish, are reserved to the Stewart Library of Weber State University. No part of the manuscript may be published without the written permission of the University Librarian. Requests for permission to publish should be addressed to the Administration Office, Stewart Library, Weber State University, Ogden, Utah, 84408. The request should include identification of the specific item and identification of the user. It is recommended that this oral history be cited as follows: Vander Heide, Ralph, an oral history by Jamie J. Weeks, 3 October 2013, WSU Stewart Library Oral History Program, University Archives, Stewart Library, Weber State University, Ogden, UT. iii Ralph Vander Heide October 3, 2013 Abstract: This is an oral history interview with Dr. Ralph Vander Heide, conducted on October 3, 2013 in his home in Ogden, Utah, by Jamie J. Weeks. Ralph discusses his memories of Weber State College from 1955 to 1957 and his membership in the Sigma fraternity. Also present is his wife Judith Howell Vander Heide and our video technician Stacie Gallagher. JW: To begin with, why don't you tell us a little bit about your early life? You did start out in Ogden, right? RVH: Yes, I was born in Ogden on April 15, 1937 at the good old Dee Hospital, which was then on 24th and Harrison. My family lived in west Ogden. I come from an immigrant family; Dutch on my father's side and Danish on my mother's. We lived there with my grandfather actually. I like to say, we had a compound, you know like the Kennedys, and we had an aunt here and an aunt there. We had about three houses on the street, and that's where we lived until I was ten years old. I went to the Hopkins school, which is named after a man who was superintendent of schools in Ogden. Mister or Doctor I don't know, but his name is Hopkins. My dad worked for the railroad and mother started teaching again five years after I was born. I was in grade six when we moved to Cohen Street above Harrison and I went to Lorin Farr School then to Central Junior High and on to Ogden High School, and on to Weber State College. I looked around at other universities and colleges, I wasn't rejected but I thought well you know, I will spend the money somewhere in California or New York or Salt Lake City or I can put my feet under my dad's table. I could keep driving my leaded, lowered 1 Chevrolet, it was a fifty-something. Metallic blue and I didn't want to leave that behind you know, so I stayed in Ogden at Weber College. JW: And did you have any siblings? RVH: Me I'm it. They took one look at me and said that's enough. JW: So it's good that you were raised with all your aunts and cousins. RVH: Or they knew they could never do anything better, maybe that's the other way of looking at it. JW: I found and printed off your pictures in the 1956 and 1957 yearbooks and your pictures from Sigma. (App. 1-4; 1956 Acorn and 1957 Acorn) RVH: Yes. We are still playing with Sigma through to this day. We have regular meetings going again. We meet once a month. We have lunches and twice per year bring our mates. Not too many turn out, but we are working on it. JW: The move of the Weber campus from 25th Street to Harrison took place in 1954 and you attended campus in the fall of 1955, so where did you attend class? RVH: I was on both campuses. JW: Really? RVH: We all were back then. I wasn't on the lower campus much, you had to take PE down there I guess, so I did take PE classes on 25th Street. I can't recall anything else on that campus, I guess drama, but I didn't do anything with that. I was mostly on the upper campus by far. You could go early then and park right in front. I thought why not, so I would take my books and park right in front and crack the book open and that way you got to see the girls go by and your friends and everybody else too. 2 JW: So were there four buildings? RVH: There were those original four yes, and then we had something very famous call the TUB (Temporary Union Building). I did an article on the TUB. JW: Oh did you? RVH: The alumni association asked for some stories and I did one on my experience with the TUB and professor Sheldon Hayes. I took piano lessons from his wife, so I knew the family, I think they were from Brigham City. My mother knew them, and my grades were getting worse and worse in his class because I was stopping in at the TUB for coffee and conversation. It was a big deal to drink coffee there. I was that immature, as were several of us. So Sheldon Hayes took me aside and told me I better quite spending so much time playing "Joe College" and get with the program. I don't know to this day how he knew. My point of the story is that it shows how good our professors were, they did take care of us and they really did watch over us. JW: That seems to be an ongoing theme I hear from everyone. So what courses did you take your first year in 1955? RVH: Well that's a little harder. I was filling groups because I hadn't declared a major yet. I like languages, so I took Spanish and there was never a nicer old gentleman than Victor Hancock who taught Spanish and other languages. He noted my language interest and gave me a couple books and encouraged me along the way. I already knew some Dutch, so I knew what language learning was about, and I took some Spanish in high school and junior high. So Spanish was part of the deal and I took English and that I liked very much because I liked 3 to write. I had Bob Mikkelsen among others and he was very good I thought. He must have been around 38 or early40's, I don't know, but a young guy and someone I could relate to. They were all helpful to us. We had a really good program at Ogden High. It was an outstanding high school I think, but still we were just kids and immature. They knew that. I know now they knew that then, but we didn't know that then. They were really helping us along. You thought you wrote something brilliant and then Mikkelsen says, "Well you know, this isn't spelled right and that is a dangling participle." You didn't know as much as you thought you did. Let me just add, when I went down to the U (University of Utah), they used to say things like, "You will lose credits when you transfer from Weber." I did not lose one credit, it all transferred. It was good to know that the U had that much respect for us. JW: So back then, were most of the students attending Weber people that you had maybe gone to high school with? RVH: A lot of them were, yes, but I got to know some of the people from other high schools and that was nice too. I notice now when I go out with friends who went straight to BYU (Brigham Young University) or Utah, they don't know anybody at Weber, and I enjoy those relationships with the guys we knew back then. I know the president or the head of this department or this student or Sigma; it was good for me to be there. JW: What kind of activities did Sigma do while you were there? RVH: Oh we would have kegs. We had a stripper once. I believe our president of Sigma had to go in and explain that situation. We had some guys who had 4 returned from Korea and they weren't quick to take any flack. They ran Sigma for the most part and they weren't about to put up with this baby stuff. First of all they said we would have no initiations, like drowning us in reservoirs or waterboarding or anything like that. We were men, so when you got your bid to Sigma you were proud to be a man. We would go see a naughty movie and have a beer. You always had to have a keg that was big stuff. JW: So were you the "wild fraternity" on campus? RVH: Well yes. I read the blurb in here (yearbook) this morning, but I haven't read it for years. We were known for that and we did a lot of good too, so we were also do-gooders, but sometimes it got a little carried away I guess. We had our annual pajama dance and we all wore ten layers under the pajamas, but some of the guys are saying we didn't. However, I think I'm right on that, I don't think those mothers were letting those girls go out of the house… JW: Without several layers on? RVH: Well yes. We had those mothers where you know, you drove up after a date and they flicked the lights off and on when you were sitting in the car. Damn that was annoying, you would always park further down the street. JW: So were those most of your activities? I mean you guys were having fun, but I know you were doing good things because I think that was the point of the fraternity, to contribute back to the school right? RVH: Yes well, I wasn't in athletics but I was a music major when I started. I was a voice major, so I did some of that choir stuff and singing, and then I dropped that major along the line for different reasons. 5 JW: Who was your choir director while you were there? RVH: Mr. Hanson was there and Roland Parry, it was hard to beat [that level of musicianship] anywhere. Let me get this right, his wife Helen I'm pretty sure was the daughter of James E. Talmage, who was one of the best known authorities of the Mormon Church, ever. He was really an intellectual man and it turned out she was gifted herself, and so she came from that line of people. Parry was from the local Parry family who were here long ago and owned a lot in Ogden. He was a musician and teacher of some note. He wrote "All Faces West," the story of the Mormons coming here. He knew, because he met him in New York, Igor Gorin the baritone, who was not ever known well enough during his lifetime. That has been recognized since, but I knew Igor Gorin because I sang in a choir as a nobody at the age of 15 or 16. He let me speak to him in his trailer and that was fun because I was so interested in vocal training. I would ask, "What do you drink before you sing in this dry climate?" but we are off the subject I guess. JW: Well, that is interesting to me because we do have some Igor Gorin pictures and a few items about him left over from Roland Parry in the archives. RVH: It's hard to get a recording though isn't it? The Parry family does have records, but I don't know if or how they have released them. JW: As far as the social activities you are involved with, you enjoyed singing, and were you involved in the musical productions the college put on? RVH: Well, I was involved a little bit with music, but, I'll tell you one guy I sang with was Heber Jentzsch, who is the president of the Church of Scientology International. He had a marvelous voice and I think he went to Las Vegas as a bar singer, it's 6 hard to get employment, there's competition out there. He came from a polygamist family actually, and I don't think he would mind me saying this, that's just how it was. I was trying to think of where we had our school dances, that was always big stuff, the proms, the dances, kings and queens. JW: We already mentioned the TUB. I wondered if there was more to the TUB socially? RVH: The TUB was fairly big in my life because you'd go up there and you could have a snack or coffee and that was new, you can't do that in high school. That was kind of fun, I guess that made you feel grown up or like a real college guy. JW: Did they hold other activities there in the TUB? RVH: I don't think it was big enough. It was one of those government buildings which we had around Ogden from way after the war and it had been moved to the campus. Temporary did mean temporary and it went away. You know some of these things they have called temporary, like down at the U, and they are still there. JW: There isn't anybody that we've ever talk to that didn't have great things to say about the TUB and so it must have just been such a big deal. RVH: Well you couldn't study there very well because people were banging dishes and what not, but you went there and talked and had coffee I suppose. JW: So what was the dating scene like back then? RVH: Well you know, not much different I would say. It was the day of going steady right? 7 JPH: Getting pinned. RVH: Right, getting pinned. I guess we did some of that. I never did any pinning so I don't know. JW: So you kept your Sigma pins to yourself? RVH: Yes, well you had steady girlfriends and that sort of thing and that was big, but it caused too much trouble and concern when you went steady and would date somebody else, then you weren't steady anymore. There was a time when I thought I was steady, and I wasn't steady its turns out, but I think you're sort of stuck with one girl. JW: Was there a lot of group dating or a lot of friends hanging out together? RVH: Well yes, you hung out together, but you went with your girlfriend. Well I don't know, there were two or three girls that I was sort of steady with no matter what, that means eight dates or something, but I was just a little nerdy kid from Ogden High. I wasn't one of those cool guys from Korea, boy we thought they were really men you know. JW: Oh the ones that had been to war? RVH: Yes, and they had let us into their fraternity, wow. JW: So who was your favorite professor? RVH: Oh I guess I would have to say Jennings Olson. Jennings Olson knew about as much as any man I've ever known. JW: So did you have him your second year? RVH: All I could. JW: Really? 8 RVH: Yes. I would have private talks with him because he said things that I didn't hear in the church for example. He was so prepared he would write his whole outline of his lecture on the boards just after he walked in and then go through those points. He really introduced me to that stuff big time; philosophers and people that I had never even heard of. If you're receptive to that, as I was and I'm still very receptive to that, it was just mind boggling. I mean I'm still talking about it and I'm seventy-six. I saw him a few times after my Weber days. I would come home and visit my mother for example and he would be outside exercising and walking. He had polio when he was a boy and he started weight lifting. He did everything in his power to overcome that limp he had. He was as strong as an ox and he would win weight lifting competitions in the state. Besides his intellectual accomplishments, he had built a special room on his house for his weights and equipment. I've known people who have lifted with him and they say he was fantastic. He was very helpful to us meatheads. He would make time for you with all the intellectual ability he had. I often wondered why he didn't go somewhere else, which may be in your mind but I don't know, I absolutely don't know. He was not respected in the community because he was very anti-Mormon. He thought it was nonsense and that doesn't make you too popular at Weber State in 1955 because everybody else is involved with the church, or at least most of them were. Weber is very different that way now in having broadened the backgrounds of the people they hire. So he offended a lot of people just by being. 9 I thought they were all pretty good. People like Robert S. Mikkelsen in English. They had a man named H.E.D. Redford, no relation to Robert, but he was an actor and taught the drama and theater, he was outstanding. Thatcher Allred was a fine professor, a very knowledgeable man. I didn't take art, but a good friend of mine did, and the art people were as good as any. You go to the U, or you go somewhere else, and you have other professors then you can compare. I've been to school in Europe, I've been to the University of Zurich, I went to the University of Madrid, the University of Seville and I went to the University of New York at Albany. I never had anybody superior to, not even equal to Jennings Olson. Now he didn't know languages. I've had professors who knew maybe five or six languages, but I never had anyone better as a teacher. Maybe Dr. Paul Wyler at the U. There are some of these famous people around Brewster Ghesilin was one down there, a writing teacher, but we're talking about Weber. JW: So did you know President Miller? RVH: I did, my family knew President Miller, and he was superintendent in the Weber District before he went to Weber State. I remember when he came to our house, I was probably five, and he asked my mother to come back to teaching. He said, "We have got to have you." He came to our house! So, I got dragged along sort of at an early age and played behind the piano because I wasn't supposed to be there I guess. She taught out in west Weber, and that was quite a drive, do you know where that is? JW: Well I guess I'm thinking out past Marriott-Slaterville? 10 RVH: Yes, out there. So yes, President Miller and his wife had four daughters and were highly respected here. I was interested to learn when I taught at Clearfield High, the principal there, Joseph Cook was a good friend of his, and they both went to the Weber Academy, and it was a big deal that you drove all day to get into Ogden I guess. So those two men, well Cook didn't have a doctorate, but he had a masters, that's pretty high education back then for the rural communities. A lot of being a good teacher, principal or superintendent is common sense anyway and Miller had that. Miller was a scholar and a gentleman and a very nice man. JW: So how did he interact with the students? I mean you knew him on a personal level, but what about the regular student. RVH: Well yes that's true, somewhat I did. I thought he interacted well, but not in the way some do. He wasn't among us every day and walking around or anything. He was receptive and listened to you, helped you, warned you, and put up with things like Sigma. Some professors wanted to drive us off the campus with whips, and with our beer in our cups. JW: What kind of diversity was there on campus? RVH: I don't think there was any diversity back then, but it began to change rapidly starting about then. Some of the best students I knew at Ogden High came over to Weber. I was sort of surprised, some went off, but it was a money issue. If they could afford to go to Colorado, or California, some of the very best scholars went to places like Columbia. I could name names but I won't, or Stanford maybe we had one go to Stanford I don't know. 11 JW: So was there any kind of political activity going on on campus? RVH: Not really back then. I go over there now and I enjoy it cause I see these kids and they are every color and their hair is kinky or straight, and some of them are smoking cigarettes right outside doors as close as they are allowed to stand, and they are just fun. And then inside they have this cause and that cause, and I would go up and read their causes so I can take a piece of candy or whatever they are offering there. There's always somebody there it seems to me every time I go over there. Then they are grabbing coffee there at Starbucks, that's a cut up from the TUB. JW: Are you still involved with Weber? RVH: Well yes, I'm on the AHA Committee, the Arts and Humanities Advisory with Dean Madonne Miner, who is one of the people who has come fresh to the college without local baggage. Not that local baggage is all bad but you have to have some variety and she's part of that. We do a lot with Weber. We go to some of the plays and concerts and some of the things are in people's homes. We support them quite a bit. JW: And so why did you return back to Ogden? RVH: Well I returned because it was home and I was happy here. My mother was here and she was alone because I am an only child as we mentioned earlier, and she was getting older and it was harder to get around, and I wanted to be closer to her to help her out. It was time to retire somewhere and we could have stayed where we were, Judy liked it more than I did, but it was a very nice place to be. We looked at houses here for a while and we found this house and Judy liked the 12 house a lot, and it was okay with me. Sometimes we say, this is really mean I guess, but we say we live here because it's closer to Salt Lake. We came back and I felt real good about that because we were here three years before Mother died and I was really glad I was here. JW: Is there anything that we haven't covered? RVH: Probably. JW: Anything that you would like to talk about, about Weber and your days there? RVH: I'm concerned that Weber can hold onto that now. Weber keeps selling itself this way, as a place that cares for students and so on. I've seen a lot of evidence of that. I have taught some classes there in Spanish for example with Tom Mathews and sat in on some other classes. I observe professors if I'm over there in the halls and they are greeting students and so on, some more than others. I think that still does exist even though classes are bigger and you can't know everybody like you could back then. We probably really did know just about everybody but that is harder and harder and it is a problem as the place gets bigger. We've got the other campus now, but I think that special care for certain students who really need it is good. You know we used to call Weber, Harrison High as it was just an extension of high school. Ogden High was much bigger and seemed to be more sophisticated to me than maybe Weber was. Everybody went to school there; the wealthiest kids in town, the poorest kids in town, so Weber was different than that, but I don't know how you hold onto that. I have gone to school many places, 13 but I never saw more of that than I have here, caring for students. So how do you hold onto that? JW: I don't know. I earned my bachelors at Weber and I felt the same way and it wasn't that long ago. I think for the face-to-face courses, the professors are still the same way and just as involved with the students as the students would like them to be. I think the real issue, because I teach online classes, I think that's where some of that is starting to come in. When you have online classes it's really hard to build a rapport with someone you have never met face-to-face. There's no way we cannot move in that direction, we have to, in order to remain competitive, but I do think that is the place where we are starting to lose that close rapport with students. RVH: I have seen students, like with Tom, and he will tell me, "Oh she is married and she's got three kids, or this guy just came back from here and he works over there," and he knows and he doesn't just walk out the door. I've had these guys they walk in, look at their clock, start the lecture, then walk out, and I haven't seen that at Weber. JW: I've never experienced that at weber. JPH: Well you know, having gone to Stanford, and I'm two years ahead of him academically, I did know a couple of professors. Actually one was William Scowcroft, who's from Ogden originally. I was a creative writing major and I knew Wallace Stegner and my freshmen Western Civilization professor, but the rest of them didn't know you from a hot rock, they didn't have any interest in knowing you. I mean when I go back to reunions, and I love the people I went to 14 college with, there are 1500 people in my class. Obviously I didn't know everyone, but it's so different from the way he is describing this experience where the professors actually knew you. I mean I had classes with 300 people in them. RVH: Maybe Weber doesn't want to grow that much anyway. I know we've talked to the new president about this very thing, and he likes that about Weber. JW: Right, and he comes from the U which has their share of walk-in, walk-out professors. RVH: Yes, he has a prestigious background, but I still think he is down to earth and will mingle. JW: He is new to us, and it's always hard to move from one president to another one. However, I've been impressed with the events that I've gone to and having talked to him I think he's going to do a good job. RVH: Ann Millner has awfully big shoes to step into; I've never seen anybody give more than she did to the job. JW: She was nonstop. RVH: She could tell you about an injured football player, how he was recovering, and in the next minute talk about next year's budget in the drama department. She was just up on stuff like that, all the time, everything that happened. JW: Right, and that's the thing, it's hard to fill a previous president's shoes, but I think that he is going to do okay. He seems to be sliding in pretty easily and he really has shown his face all over campus, which is appreciated. I mean if they're not walking into your building and they are not paying attention, then people notice. 15 RVH: I tease him about about that. I say, do you know my name? JPH: His mother went to Skidmore. RVH: Yes, his mother went to Skidmore, so he got me back. JPH: Which is where Ralph taught. RVH: He asked, "Did you teach my mother?" and I said, "Thanks, thanks a lot." JW: Well good, he has a sense of humor then. RVH: Yes, he does, it's real subtle. JW: Yes, you have to catch it. Well, unless there's something else you would like to add, I think we've covered your time at Weber, and I know you're still involved. RVH: Yes, and for ten years we worked with school accreditation. Mainly in Utah, but internationally as well, so schools from New York to Bangkok. That was something that Weber can help prepare you for too. You have so many experiences during your life, but they all add up. We got to see some good teaching and some bad teaching in that experience too. One or two were colleges, so again you compare Weber in the mix. JW: Well we appreciate being able to come here and appreciate our time with you. It has been really interesting. I love that every story is different and yet they all come back to this warmth for Weber that most people don't feel for their alma mater, so it's nice to hear. RVH: In the last three years I have finished and published a book and an anti-Nazi magazine published in Chile by the Germans who fled their homeland. Judy and I wrote a second one as well. I was pleased that Weber's Radio Station student 16 personnel were very helpful in giving me interview time (i.e., same old spirit of cooperation). By the way, no married couple should write a book together—the marriage did survive. 17 1 Appendix 2 3 4

Glatfelter, Charles H.; Oral History Collection To read the transcript and access the audio/video (if available) of this interview at the same time, first download the pdf of the transcript by clicking on the link at the top of this screen. The transcript will open in a separate window. Next, select the or option to the right of the screen to access the media player. Special Collections & College Archives Musselman Library Interview with Michael Birkner Interviewer: Rebecca Duffy Interview Date: November 22, 2013 Interview with Michael Birkner Rebecca Duffy, November 22, 2013 1 Rebecca Duffy: [Today is November 22, 2013. I am Rebecca Duffy and I will be interviewing Professor Michael Birkner in Special Collections at Gettysburg College's Musselman Library.] We will start with you as a student here, so that we can get some insight. I think that's really special that we have an alumnus [that is so accessible] from the 1970s. You graduated in 1972? Michael Birkner: Yes. Duffy: Did you start here in 1968 and go straight through the four years? Birkner: Yes, I did. Duffy: You were a History major. Did you have any other majors or minors? Birkner: Actually, I was a back-ended History major. I was a Political Science major for three years and I intended to go into political journalism. That was my interest. I was always a politics junkie, so it was a natural for me to be interested in that. If you know anything about American History from 1968 to 1972, you know it was a very tumultuous time. Being interested in history as it was being made was particularly attractive to me. But by the time I was finishing my junior year as a student I looked back and thought about what I had done in Political Science and what I still had to do and I wasn't impressed by the coherence of the Political Science major. Specifically, I also had been avoiding a particular faculty member who was terrible and who taught a required course in International Affairs. I thought about it and I said [to myself], "I don't want to take this person's course just for the sake of getting a major that I'm not even convinced is worth having. So I went over to see Dr. [Charles] Glatfelter. I said to him, "I realize I am a second semester junior, but I think I would rather major in history. Is that possible?" [Pause] I don't want to make myself out to be special, but the people in the History department knew me and I had taken courses in history because I had liked history. They [Norman Forness, George Fick, and Charles Glatfelter] pitched to me that I should switch majors and become a history major. The important thing was they said, "if you just take this and this and this, you have got your major." So I did. I had probably seven or eight courses in Political Science, but I didn't [think well enough of my 2 experience to] declare it a minor. I just left and became a History major and then wound up going on to graduate school. Duffy: What were some of the courses that you took in History while you were here? Birkner: Well, I won't go into all the details because that will bog you down, but I will say that the program in History at the time was Euro-centric. If you look at the catalogue you will see that there really was very little World History. You took courses on the western historical tradition, you took courses on the European and British history, and you took courses on American history. There was no Africanist in the department, there was no Latin Americanist, and there was no Middle Eastern person. We did have a person that did Asian history, but half of that person's courses were focused on American diplomatic history which was not unusual at that time. So, essentially outside of the West we actually had half of a person to do anything else in the world. It was a provincial kind of historical learning. I did take a course in Chinese history, but I cannot say I had a good grounding in anything more than the Western traditions. The other thing I can abstract for you about my experience is that I was again unusual in that my interests were American history, but I took more non-American history than American history. My attitude- and I think it was justifiable- was that if I went to graduate school in History, I would be doing almost all American history and why should I not have the opportunity now to get a little wider range. In retrospect now there are all kinds of ways I could have broadened my education in college [with]. I was not adventurous and the college wasn't particularly adventurous in its curriculum. When you think about it, the one smart thing I did was not do all of that American history when I was going to get [plenty of] it in graduate school. Duffy: That Professor that you had for Chinese history, was that Professor Stemen? Birkner: Yes, Roger Stemen. Duffy: He was in charge of anything East Asian, sometimes even Indian history, I think I noticed? 3 Birkner: He might have done that once and that was it. He wasn't really interested in Indian history. We had a woman named Janet Gemmill [whose maiden name was Powers], so [after her divorce] she is Janet Powers. She taught Indian Civilization, but for reasons I have never really understood- this is before my time as a faculty member -I think she and the History department were not on the same wavelength, so she didn't teach it through the History department, she taught it through IDS. Mr. Stemen was the Asianist. He came in 1961 and he was the first to teach that. Duffy: I noticed that. I also noticed that the courses at that time [during the 1960's primarily] were dual courses, such as 201 and 202. Were you required to take both of them if you took one? Birkner: No, but you are right, they were sequenced. I'm guessing a lot of that was because a good percentage of undergraduates in those days went on to social studies education. They probably wanted to fill out a card of having the 201, 202 of History. That wasn't anything that affected me as a student. That wasn't a requirement. [Pauses to collect thoughts] The only requirement where we had to go through both parts of the sequence were interdisciplinary courses called "Contemporary Civilization" and "Literary Foundations of Western Civilization." Duffy: What was required by the History department [when you were a student] was passing a few three hundred level courses, the Methods course and Senior Seminar, right? Birkner: Right. Duffy: So you completed all of those? Birkner: Absolutely. Duffy: Did you have Professor Glatfelter for Methods? Birkner: Absolutely, everybody took Methods with Dr. Glatfelter. Except for the semesters when he was on sabbatical, he was it. Duffy: What was that experience like? How would you have described it when you were in the class? 4 Birkner: Maybe, it was a lot like what you experience with me. However, Dr. Glatfelter was a very different personality than I am . He was very Germanic. He had been trained originally to be a high school social studies teacher. Now he was a very smart man and wound up getting a PhD from Johns Hopkins. You don't do that unless you have some brains. He was one of these people who went by categories--one, two, three- which is not the way I do things. His approach to teaching was not very exciting to me. Just to give you an example of the way he taught Methods, one-third of the course he lectured about the historiography of Western Civilization, the writing of the history of the West from Herodotus until the Progressive Era in the early 20th century. Each day he would come in for seventy-five minutes and lecture about Herodotus or Livy or Gibbon or Voltaire- who was a historian not a very good one, but a historian [none the less]- [hand motions and voice indicating droning on], Prescott and Parkman and Bancroft. Your first big paper in the course was to read three of these historians--one from the Ancient World, one from Early Modern Europe and one from the 18th or 191h century--and write a comparative [paper]. He did that every semester. I benefited from it, though I have not read those historians since. But [in general] this was dull. The second part of the course was more "Nuts and Bolts." That's where he talked about doing footnotes and bibliographies and reference books. Of course [this was] the pre-computer age so he would bring in a cart and show you reference books. Again, it wasn't too exciting. The third part of the course was the "Philosophy of History'' in which he would talk about a range of things from why we do history to the discourses of history. It was very conservative. As I may have said in class, we read one article about Oral History and he basically said, "I made you read this because it is possible this may be interesting, but it is also possible that it may just be a fad." We didn't do anything more with that. We did the same thing with Psychohistory; maybe we read an article on it. Now Psychohistory came and went really, it is not much today talked about. But he was not an adventurous person. So why is it that he is remembered? Because Dr. Glatfelter had extremely high standards and he challenged you to be the best that you could be. He was a very demanding task-master. 5 When you handed in a paper, he read every line and corrected every line. You got away with nothing. He was a person of tremendous integrity and he wanted you to be. That's what really affected me the most, to be honest with you. The specifics of what he was teaching didn't grab me much, but his ethos, that's what really grabbed me. I don't know what students think about me, but I would guess I am considered "old school" and that's okay, because you need to authentic. Dr. Glatfelter was authentic. And I like to think I am. Some students probably think it is good and some maybe think I am too hard [and demand too much work]. Again, I don't know what the word on the street is, but you've got to be what you are as long as you're nice and fair and all those things- some [professors] can be mean and that's not a good thing [chuckles], but I don't think I am that! [In the end] I think I took away [Dr. Glatfelter's] sensibility about doing history and that has always had an impact on me- [even] forty years on. If you talk to other graduates, I bet you would get similar responses. Duffy: That he was a challenging teacher, but certainly worth it in the end for [the experiences] you get out of it? Birkner: Yeah, sure. Duffy: More than [simply] as a historian? Birkner: [Thoughtful] Yeah, absolutely. [Pauses to collect thoughts] He and I were colleagues for a year when I was back in the late seventies teaching here. When he retired [in 1989], I took his job. We became close [friends] and for the last 24 years of his life- he died in February [2013]- we did a lot of things together. For [many] years I brought him into the Methods class to talk to the students about a specific project or brought the students down to Weidensalllobby to talk with him if they had questions about a particular topic. He was wonderful. Duffy: What was that like when you first came back here having Professor Glatfelter and I can't remember exactly who was still here then who had been here when you were a student­Birkner: Everyone 6 Duffy: Everyone? Birkner: Everybody. Duffy: [So then,] what was that department dynamic like when you joined, having your old professors [as colleagues]? Birkner: . As a student was I was very close with faculty, more close than I think [most] students are today. Just to give you an example, there was no Specialty Dining in those days, there was the Bullet Hole- [though] it was in a different part of the CUB- and there was a group of about 8-10 faculty that ate there every day and talked politics- remember, it's a very interesting time- and they talked campus business as well. They invited me to eat lunch with them. So, I ate lunch in the Bullet Hole every day with the faculty. Now, you say you already know a creepy amount of information about me, but one thing [is that] I belonged to a fraternity. The fraternity I belonged to only ate dinner together in our house; we didn't eat breakfast or lunch together. We were on our own for lunch. Most of my fraternity brothers after class went back to the house and ate lunch together; probably watched Jeopardy or something and just hung out. I never did. I always went to the Bullet Hole and ate lunch with the faculty. Secondly, I was the editor of the Gettysburgian. At the time newspapers were different then they are now. They were really newspapers as opposed to mostly opinion. [Pauses to collect thoughts] The paper [during my years in college] was well respected. So, faculty members wrote for it, faculty members called me up. I had a kind of elevated sense of myself. To answer your question, it wasn't a hard transition to come back in 1978 to teach because people had always treated me collegially as opposed to say you were simply a student. Duffy: As a subordinate71 Birkner: Yeah, well [Pauses to collect thoughts] I hope I don't treat you [quite] like that. We all have different roles to play. It was an easy transition is the short of it. 1 Intended to say something which more conveyed the mentor-student relationship 7 Duffy: What about the transition that we started to talk about before- when you took over the Methods class? What was that like? Did you see that you wanted to make a lot of changes? Did you make them right away? Birkner: That's a good question. Dr. Glatfelter was not a controlling person, but on the other hand he was a very "tracked" person. As I said there wasn't a lot of change [over time] . I was hired, in some measure, because [members of the History department] felt the Methods course was an important course and they felt that I would be the person who could make it matter in the future. When I came back, Dr. Glatfelter said [something like], "You do what you want with the Methods course, but here's the way I do it." The first year I tried to teach it along the track he laid out. I used some different books, but I basically had the same structure he had. I was bored teaching it! Teaching about Medieval historians and giving students bits and pieces about historians -I could see that nothing was going to stick with them. I just said [to myself], "I can't do this!" That's when I said to myself, "this course is going to need re-tooling." That's how you have more or less greater extent what you are experiencing [this semester in Methods]. Dr. Glatfelter was the one who had the three projects and I have three projects, but he never would have assigned an Oral History! Here's the other interesting thing, he didn't assign any manuscript, original material research because we didn't have an archive for the students to work in! We really couldn't do a lot of that. Dr. Glatfelter's laboratory was the Adams County Historical Society where he was the director. He never had the students [go there]. I was surprised about this because we could have done that. We had an archive [at the college]; it just wasn't a place where you could work. He could have assigned us to have stuff to work on and under controlled conditions we could have done it. He just never did it. The part that really surprised me was that here he is the director of the Adams County Historical Society, which has tons of great [material] to work on. I've used it many times in my Methods class- just not this semester because they have had some difficulties moving out of the old Schmucker building [and into a much smaller facility]. So, one of the things I said was that 8 were going to start doing this! What I did [was encourage the creation of a facility for storing a working with archival material on Gettysburg College's campus]. I had something to do with the fact that this [special collections research room] exists because [as department chair] I was able to get a very unusual bequest which had not originally been directed to Gettysburg College. I was able to convince Homer Rosenberger's executor [Attorney William Duck of Waynesboro, PA] that Gettysburg College would be the place to house the Rosenberger Collection, with the idea we would get his estate. The money we got from that estate allowed Robin Wagner, the library director, to hypothecate into other money which enabled them to build this room- which is an enormous asset to students of history, and not just in Methods. Plus we have all of these great internships etc. which we didn't have before that. So, [to go back for a second] in 1990-1991, which was my second year here, I revamped the course really along the lines of what you are taking now. Duffy: So has it not changed so much in the past few decades? What would you say has changed? Birkner: What has changed in part is that the discourses in history have grown increasingly focused on anthropology. The opportunity for students to do more intensive work in Special Collections has probably been the biggest change. They can do much more in Special Collections than they could when I first started teaching here. The idea is always to give students opportunity to work with the stuff of history and be historians rather than just write about [secondary works]. I'm a little off sync with some of my colleagues who are so emphatic that what students need to learn is historiography and what I think is what students need to learn is to feel confident about doing history and that means doing it, instead of writing about historians doing it. I want you to do it. Now, of course the two are not mutually exclusive. You should learn that history is an evolving discipline and there is always an on-going dialogue -that's of course important. But to me, for the Methods course, what's really important- if I can put it this way- is to get your hands dirty doing it, [for example] have that one-on-one experience doing an Oral History with a senior citizen; it will stick with you for a long time. 9 Duffy: Definitely. I think I have noticed that. I feel like I live in Special Collections sometimes! Birkner: And that's a great thing because it is your laboratory! You may have friends that are Environmental Science majors, they're working in a lab. Your lab is right here. Duffy: [Pauses] [So then,] If we could just go back one moment to when you were a student and there weren't as many opportunities [to research in-depth on campus]. I know the senior seminar was molded into a course throughout the sixties Uust before and during your time here as a student]. so I was wondering about your experience in the senior seminar and how you were able to do the research you needed to do [without the facilities here]? Birkner: That's a good question; I think it was only in the late 1960s that they developed the senior seminar more or less the way we know it. Until then, students had to take comprehensive exams and they also wrote a senior thesis, [but there was no senior seminar]. The problem with that program is number one: camps terrify students. A high percentage of the students were not capable of engaging them very effectively, which depressed the faculty. [Further], the quality of the senior theses was generally pretty low, in part because there was little faculty supervision. If you have say forty seniors who are majors and you've got the faculty you have, they just weren't [able to] give the time to the students on an independent study basis to do the senior thesis. So that is when they came up with the seminar notion. As far as being able to do the research- it was unusual for you to be able to spend time doing anything original. Today, more and more of our students [are doing original research]. I was talking to Lincoln Fitch the other day, he's a senior and he is doing his senior thesis on Reconstruction and he's going down to the Library of Congress and working with the papers there and he is making some interesting finds. We wouldn't have thought of that because nobody was encouraging us to do that. I wrote my senior thesis on Christian Humanism in England in the early 16th century. I read a lot of first-hand accounts, they were printed, but they were still primary sources. I read secondary sources about the Humanist movement, which is part of the Renaissance, as it affected life in England. 10 Duffy: So you feel that students now have a better opportunity to delve in deeper? Birkner: Yeah. The other thing that should be emphasized is that our faculty are more "teacher-scholars" or "scholar-teachers" than was the case in the sixties when their primary emphasis was on teaching. Again, you can't draw with too broad a brush because Dr. Glatfelter was always doing scholarship of a kind. He was very productive, but his focus tended to be narrow--on Adams or York counties or religions of York and maybe Pennsylvania. Few people in the department were pursuing active research agendas because they didn't have the same emphasis on scholarship and mentoring students as scholars as we have today. I think having a teaching faculty that is also a scholarly faculty is going to make for better mentors at the senior level or any level. Think about someone like David Wemer, who is a senior History major and just won a prize for the best paper by an undergraduate in the United States. [The prize was sponsored by the American Historical Association.] It was published in a student scholarly journal. What a great recognition for Gettysburg College. He is an exceedingly talented person, but having someone like Dr. Bowman advising him and mentoring him made it [possible]. I mentored three students [over the past several years] who were [George C. Marshall] Scholars. Each was invited down, at my nomination, to become an undergraduate fellow in Lexington, Virginia [under the auspices of] the George C. Marshall Foundation. Each of them did outstanding work and each was recognized for that work. By coincidence, I had lunch today with one of those students. He was a History major and now works as an archivist for the CIA and wanted to come back and talk to me about graduate school. That kind of mentoring I don't think would have happened forty years ago. [However,] I have a certain reputation in the field, I know people, I know what my students are doing and I can then recommend them. The sad thing with the Marshall Program is that they blew through all their money. So, after the program existed for four or five years they ran out of money and I can't recommend students to it anymore because it doesn't exist. The two other students who I recommended for it and got accepted, 11 one is now working on his PhD in Cold War History at Ohio State and the other one is doing a PhD in Early American History at William and Mary, so clearly they moved on and did good things. Duffy: So you would say that the faculty dynamic today- [a group made up of a dozen or so] individuals each scholars and, I would say talented, teachers is creating these opportunities for students? Birkner: I think it enhances and enriches the environment for our History students; hence, it gives them an extra boost toward having a valuable college experience. Dr. Glatfelter had the right standards and the right spirit. But I think that what we have today, is not only that among most of our faculty -I wouldn't say everyone does because Dr. Glatfelter was pretty much the top of the line in that- but they are committed on both the teaching and scholarly side and that's good modeling for students. When you are a senior taking a seminar you will be asked to attend a seminar session in which you will read a faculty member's paper in advance and then go in and hear that faculty member describe how he or she got into writing that paper and then you will be able to ask questions of that member about it. We do that every semester. That's a bit of modeling. You can see what the faculty member does and say to yourself, "Maybe that's how I can do it." That didn't exist forty years ago. We do a lot more stuff you would take for granted, but didn't exist then. Such as, Career Night, Grad School Night, bringing in alumni who are successful in the field of history to talk, the Justin DeWitt Lecture. How about two student journals? The Civil War Journal and The Gettysburg Journal of History again didn't exist forty or even, fifteen years ago, but they do now. That's how David [Wemer] got this national recognition, because he published his article in the History journal. [Earlier today] I was talking to Sam Cooper-Wall today about his thesis for me and I was saying how he really had potential to publish it or expand it as his master's thesis. "Don't forget," he said, "I published it in the Gettysburg Historical Journal." That's right, he did. That's the kind of thing that gives you value added. 12 Duffy: I guess my last question is just going back, once again in a more comparative way, you said the time that you were here was a very [tumultuous] time. Did the faculty use any of those current issues as teaching moments in the classroom? Birkner: Not really. I think one faculty member who taught American Cultural History picked up on environmental issues, which was one of the pieces of the puzzle in the late sixties. Earth Day started when I was college student. He tried to connect Post- Civil War environmentalism, Darwinism, with the new environmental ethic of the late sixties- early seventies. I thought that was good, but he was the only [one]. Professor Stemen, who taught Chinese history, was teaching at the very time that Nixon made his initiative to open doors to China, and he would mention it, but it wasn't integral to the teaching. We were aware of it. I think people made a definite effort not to politicize the classroom. It's not a good idea for teachers at any level to voice their ideas about politics to students. So, that didn't happen really. People were very focused on the subject matter. Duffy: I think that is about it for the questions that I have- Birkner: I think that the one piece of this you are not getting is the student side. You don't want to assume that everything is always [better each year]. I think, today, our students are more sophisticated in many ways about history. You are much more cosmopolitan and you are much more adventurous than our generation in many respects. Just think about that fact that students take courses in fields I never took courses in because they weren't even there, but nobody is afraid to take a course in Middle Eastern history or Australian history or African history. [Today's] students are interested. That's a very good sign. On the other side ofthe coin, I wouldn't disparage students from the late Sixties who were, like me, first generation college students who had a hunger for education and were willing to work hard . . , , There were a lot of people in that circumstance. So, the students were a little bit more aggressive for their education in the late sSxties. Now I will tell you also, that when I came back in the late Seventies the students were not what I remembered them being. They were very self-focused and 13 [pauses to collect thoughts] uninterested it seems to me in the same kinds of issues I had been interested in in college, so that was a little bit of a disappointment. Duffy: I read that I think in one of the oral histories with Professor Glatfelter. He had realized a shift around the mid-Seventies. [He noticed] students were changing what they wanted out of school and how they felt about school. So, I think he saw as well, a decline in the level of learning or [rather] interest in learning. Birkner: I think this is not just a Gettysburg story. Duffy: Right. Birkner: I think it would [have been the case] at you name the place. I remember when I taught my first class at the University of Virginia. This is almost hilarious in a way because I taught a course in [19]74 at the University of Virginia as a grad student. It was a seminar and we read a book on the Sixties. The kids were all like [Raises voice, indicates excitement], "What were the sixties like? What were the sixties like?" and I was thinking [Chuckling between words], "Whoa, whoa!" [To them] It was like "what was World War One like?" It was 1974 and I thought, "Whoa, how quickly the gestalt of the times changes." So, what Glatfelter noticed is certainly what I noticed. Now, particular students, of course, were terrific. They are wonderful and friends of mine now, but the mentality [gestalt] of the campus was very different. Just as an example, the fraternity that I was in had disappeared by the time I came back to teach because it was a more alternative, non-conformist fraternity [and there was no market for that at Gettysburg after 1975]. We didn't do hazing and hell week. We invited the faculty to our parties and they came. Duffy: [Laughs] Birkner: Seriously! It was kind of an admixture of fraternalism, but not the dopey stuff. Obviously, to each his own, but I never had a use for anything [like that]. I remember Dr. Glatfelter- he was not a funny man- but I remember one of the funniest things he ever said. I once said, "Charlie, I know when 14 you were a student at Gettysburg College they still had traditions during orientation where they would punish [underclass] students [for infractions of the rules]. They would cut men's hair off, make women wear side-boards over their front and back with their hometown and phone number on it." Duffy: [Laughs] Birkner: Oh yeah, absolutely! And I said to him, "What if you had ever been brought up by the Tribunal for some infraction when you were a first year student?" Without missing a beat he said to me, "I know exactly what would have happened. I would have packed up my suitcase and gone home because I wouldn't have put up with that nonsense for one second!" That was Charlie. I can't claim that I was as individualistic as he was. For all I know I would have accepted [hazing], but it was nice to find a home [in a fraternity] where it really wasn't practiced. But by the late seventies students weren't into that. They didn't want an alternative fraternity, they wanted a gung-ho fraternity experience. Again, that's okay. I would wish that a fraternity like the one I was in would exist again today because I think there is something to be learned from living in a house with people from different backgrounds [with] different values in some cases. Learning how to live together, learning how to keep a place up [is important]. I don't regret for one minute that I did that. I also had a [fine] experience in that I was a free agent to do what I wanted. Duffy: You got to go to lunch! Birkner: Yeah, I got to go to lunch and I got to eat dinner with my fraternity brothers and party with them and make those horrible road trips down to Wilson College. You did the things that college students do, but you also did it on a slightly different track. When I came back in the late eighties the college was in transition. It had become by then a more national institution, so students were coming from a larger swath of the country, which was a good thing. [It reflected] a more cosmopolitan view. [The population] was still very white, not as diverse as it is today, but moving in the right direction, I think. I would honestly say that your generation of students on the whole is a lot more fun to teach than 15 any generation I have taught before. Just take for example class yesterday on the "Cat Massacre." You are willing to buy into reading something challenging, thinking about it and then talking about it. To me that is learning. But that wasn't really the pedagogy [in the 1960s and 1970s] and when the transition was made a lot of students just wouldn't buy into it because they were [satisfied] being more passive. Learning should be active. It seems to me we have got that buy in from our majors and more generally, too. Hopefully, what you do in my class and your other history classes carries over into Poli Sci and the other courses you are taking, because again, why should it not? [From here we continue to talk for the next few minutes about the intersections between disciplines in the case of myself and my partner Ryan, as well as the possibilities of support from the government for public history and the National Park Service]. 16

Peggy Grimm Pierce ; The Weber State University Oral History Project began conducting interviews with key Weber State University faculty, administrators, staff and students, in Fall 2007. The program focuses primarily on obtaining a historical record of the school along with important developments since the school gained university status in 1990. The interviews explore the process of achieving university status, as well as major issues including accreditation, diversity, faculty governance, changes in leadership, curricular developments, etc. ; This is an oral history interview with Peggy Grimm Pierce. It was conducted on November 11, 2011 and concerns her recollections and experiences with Weber State University and specifically the Stewart Library. The interviewer is Ruby Licona. ; 18p.; 29cm.; 2 bound transcripts; 4 file folders. 1 video disc: digital; 4 3/4 in. ; i Oral History Program Peggy Grimm Pierce Interviewed by Ruby Licona 11 November 2011 ii Oral History Program Weber State University Stewart Library Ogden, Utah Peggy Grimm Pierce Interviewed by Ruby Licona 11 November 2011 Copyright © 2012 by Weber State University, Stewart Library iii Mission Statement The Oral History Program of the Stewart Library was created to preserve the institutional history of Weber State University and the Davis, Ogden and Weber County communities. By conducting carefully researched, recorded, and transcribed interviews, the Oral History Program creates archival oral histories intended for the widest possible use. Interviews are conducted with the goal of eliciting from each participant a full and accurate account of events. The interviews are transcribed, edited for accuracy and clarity, and reviewed by the interviewees (as available), who are encouraged to augment or correct their spoken words. The reviewed and corrected transcripts are indexed, printed, and bound with photographs and illustrative materials as available. Archival copies are placed in Special Collections. The Stewart Library also houses the original recording so researchers can gain a sense of the interviewee's voice and intonations. Project Description The Weber State University Oral History Project began conducting interviews with key Weber State University faculty, administrators, staff and students, in Fall 2007. The program focuses primarily on obtaining a historical record of the school along with important developments since the school gained university status in 1990. The interviews explore the process of achieving university status, as well as major issues including accreditation, diversity, faculty governance, changes in leadership, curricular developments, etc. ____________________________________ Oral history is a method of collecting historical information through recorded interviews between a narrator with firsthand knowledge of historically significant events and a well-informed interviewer, with the goal of preserving substantive additions to the historical record. Because it is primary material, oral history is not intended to present the final, verified, or complete narrative of events. It is a spoken account. It reflects personal opinion offered by the interviewee in response to questioning, and as such it is partisan, deeply involved, and irreplaceable. ____________________________________ Rights Management All literary rights in the manuscript, including the right to publish, are reserved to the Stewart Library of Weber State University. No part of the manuscript may be published without the written permission of the University Librarian. Requests for permission to publish should be addressed to the Administration Office, Stewart Library, Weber State University, Ogden, Utah, 84408. The request should include identification of the specific item and identification of the user. It is recommended that this oral history be cited as follows: Peggy Grimm Pierce, an oral history by Ruby Licona, 11 November 2011, WSU Stewart Library Oral History Program, University Archives, Stewart Library, Weber State University, Ogden, UT. Peggy Grimm LaDianaeda Sorority 1956 Peggy Grimm Pierce & Don Pierce 50th Wedding Anniversary 2008 Peggy Grimm Pierce ca. 1977 1 Abstract: This is an oral history interview with Peggy Grimm Pierce. It was conducted on November 11, 2011 and concerns her recollections and experiences with Weber State University and specifically the Stewart Library. The interviewer is Ruby Licona. RL: I'm Ruby Licona from the Stewart Library at Weber State University. Today is November 11, 2011. I'm speaking today with Peggy Grimm Pierce, who worked at the Stewart Library from 1977 to 2000. She retired as the Coordinator of the Interlibrary Loan Department. We are speaking at her home in Santa Clara, Utah. Peggy, why don't we start with some general background information? Tell me about your family background, where you were born, and how you ended up at Weber State. PP: I was born and raised in Grand River, Iowa. My father was a truck driver so we moved all over. When I was fifteen, he decided to move to Ogden and we stayed put. That was wonderful for me. I didn't want to leave Iowa because I was dating Don, who is now my husband. My mother caught me in my room crying a few times, but I loved Weber High School. Dr. Rowley, who is also a professor at Weber State, was the drama coach at the high school at the time. I'd never done anything like that before, but I signed up for the class and he took me under his wing. So while I was in high school, I was in a few plays. I came from a hillbilly background in Iowa and I blossomed under Dr. Rowley's care. I was also the homecoming queen, junior prom queen and vice president of the student body. My world had changed immensely from where I came from. Don would come to 2 visit Utah on occasion to see my brother. While I was at Weber State, he came to visit and we got back together again. Before that, I had signed up for a scholarship at Weber under the directions of the girls' advisor. She found out that I didn't intend to go to college because we were too poor. She insisted that I sign up for this scholarship and I got it. I attended Weber State for four quarters, intending to become an elementary school teacher—that was the desire of my heart—but then Don and I decided to get married. I transferred from the telephone company, where I was working even though I was a student at Weber State, and I transferred to Des Moines. We got married in 1958 and Don went to school at the University of Iowa. I longed to complete my degree, but it wasn't possible. We had three children very quickly and I was working. We eventually ended up moving out of state so Don could get his degree. I put him through his Bachelor's and his Master's at Texas A&M. The agreement was that he would then put me through school. But we ended up in Redmond, Oregon, and it was not possible to attend college there, I would have had to leave my family for extended periods of time, which I wasn't willing to do. Don decided, after five years as an administrator in the Redmond School District, that we would come back to Utah. We came back for a summer vacation in the summer of 1977—my parents still lived here—and Don decided to look for work. He went to the Weber State campus to look and when he came back, he told me that there was a job for a Reserve librarian. I said, "I'm not going to interview for a job until you get one." He said, "Just go ahead and interview, at least, and I'll be interviewing in other places." I interviewed with 3 Craige Hall and we then went home to Oregon because Don hadn't found a job. When we got home, Craige called and told me that he'd like to offer the Reserve librarian job to me. I said, "Thank you, I appreciate the offer, but I will not be taking it because my husband did not get a job in Utah." I hung up and took our three daughters and went shopping. While we were shopping, Don called Craige back and told him I'd take the job. [Laughter] Craige, then, was laboring under the false impression that I was this little lady who did everything her husband said. RL: He was in for a rude awakening. [Laughter] PP: When I did accept the position, I told Craige that I would be working for three years because I intended to get my degree and then become an elementary teacher. Well, seven years later I was still working in the library and I did, finally, graduate with an elementary education degree. RL: When was that? PP: That was in 1984. I then had to go to the hospital and have gall bladder surgery, but I had already interviewed for an Interlibrary Loan position. While I was in the hospital, Scott Burkenshaw peeked around the corner and said, "Peggy, you got the job." I said, "Oh my goodness, you must be desperate." That was the Interlibrary Loan coordinator position and I just loved it. RL: You did it for a long time. PP: There was so much that had to be learned. I had to learn the OCLC system. It was like getting another degree and I thoroughly enjoyed it. Working with all the faculty and staff was a real treat, as well. During that time, I was selected as the 4 Presidential Outstanding Staff Member. I think it must have been just because I had so many contacts with faculty and they had been so happy to get the materials that they needed for their research. Here's a funny story from Interlibrary Loan: there was a student who was doing research on swine waste and methane gas. I did a lot of searching in order to get the materials that he needed for his research. He earned an award for his research. He came in and told me how happy he was and said, "I just wish there was something I could do for you." Over the course of the conversation, we had talked about how he was gardening and I was gardening and he had a lot better tomatoes than his dad had and it was because of this swine waste. Then it was like a light bulb went on above his head and he said, "Oh! That's what I can do for you—I can bring you swine manure!" [Laughter] A couple of weeks before that, I had been talking to Joan Hubbard because she had worked in Interlibrary Loan also. She said, "That's the only job in the library that I know of where you get candy and flowers for your efforts." I could hardly wait to tell her that there was one other thing that you could get as a reward for your efforts. RL: After forty years of working in libraries, I have to say that you're the first person I've ever heard of that got swine waste as a thank you gift. I can imagine that it was very rewarding to be able to help people with their research. I know that in Interlibrary Loan you get to work with people all over the world. PP: You certainly do. Some of them were the students working in the library under my supervision. I started out with Kim Wynn working there as a student; she was from Vietnam. Her family was still in Vietnam, but she had been working for the 5 United States government. Without any warning, she was told that she needed to pack a sack of belongings and get on the plane because the Communists were coming and she would be killed because she was working for the United States government. So she did and ended up in a small apartment working at Weber. She was an excellent worker. She came to me one day and said, "I have two brothers that are in Communist prisons who are working for South Vietnam in the military." A while later, she came back and said, "My brothers have escaped." She got them to the United States—I don't know how. She came to me one day and said, "Peggy, I need for my brothers to have jobs." They could barely speak English. I told her I could employ one, but not both. So Tuan started working in the Reserve Department. He had a wonderful work ethic. When we had days that the campus was closed because of snow, the library wouldn't be closed, but Tuan would get to work before I did and he was always there. Very dependable. Later on, Tuan asked me if his nephew, who had just arrived from Vietnam, could work in the library. They were a very fine family. I had a Japanese boy who worked for the library under my supervision and an Iranian man, too. It was just delightful. RL: It sounds like you had your own little Diversity Department right there in the library. PP: We really did. [Laughter] RL: Let's back up a little bit. When you arrived and took the position as the Reserve librarian, how many people were employed by the library at that point? Do you have any idea? 6 PP: I do not, but it certainly did grow after that. RL: When you arrived, was the library already in both wings? PP: Yes. We had both—with the accompanying heat problems. RL: Do you remember some of the people that you worked with at the beginning? PP: Louise Larkin comes to mind. And the lady who worked with her—they were delightful. They were working in the back—classifying and cataloging books as they came in. One of my very best friends was Linda Heinze. It turns out that Linda went to Weber High School at the same time I did. RL: Did you know one another? PP: No. She joked about how she was in the parking lot crowd while I was in with the student counsel trying to decide what to do about the parking lot crowd. She was working on the keypunch. RL: Doing the cards for the checkout system? PP: Yes. I had done that when I was employed by Internal Revenue, so I was well aware of what kind of work she was doing there. I don't want to digress, but I don't want to miss telling you about this, too. The summer that Craige decided to become a part-time director of the library— RL: He became part-time director of the library and also the director over the computer center. PP: Yes. That was the most horrendous summer that I have spent on the campus. It was partly because of Craige having to leave, but mostly because we had this huge steel corrugated panel that was being pounded into the earth behind the library to prevent water from coming into the basement. They pounded that all 7 summer long. If that wasn't enough, we also had a new online system come into the library that summer. RL: The online checkout and cataloging? PP: Yes. That had to all be learned from scratch. It was so demanding. But we got through it and what a wonderful library. RL: That was in the middle of the '80s? PP: Probably. When you talk to Craige, you'll be able to figure it out. I'm sure he remembers it well. RL: So you essentially worked with Reserve and then went to Interlibrary Loan? PP: Yes. I also worked at the Reference desk while I was the coordinator of Interlibrary Loan. Boy, that was interesting. My favorite saying about working in the library was that I never had a day working there when I didn't learn something. It was stimulating. I have worked for JC Penney, for the Bell Telephone Company, for the Army, and for the Air Force, and I have never found better people to work with than the people on that campus. I found the morals to be higher and the friendships to be long-lasting. The help, when you needed it, was there. RL: Now, I believe that the Presidential Distinguished Staff Award that you got was not only for your work in the library but you were also involved in things on campus outside of the library. PP: Yes. I was part of the Employee's Association. It was state-wide and it was to negotiate for salaries and to try to get better benefits and so on. I became the president for that association on campus. One summer, some officials from 8 campus came to me and said that they had a Centennial Court that they had built on campus and that they were going to dedicate it and that it would have my name on it. I went to the dedication and found out that my sister's name was also on the wall. RL: That would have been 1989? PP: Yes. My sister had been vice president of the student body when she was a student there. So it was fun to see that my name was there along with hers. RL: That puts you into the Weber State history. PP: Well, you know, I started as a student in the old campus before we had a dedicated library building. It was in what we called "the tub." I attended classes on the lower campus. In fact, I was taking a swimming class and then I would have to rush to my photography class on the upper campus. They wanted me to do the modeling for their class even though I didn't have a hairdryer and all the things that you have now in order to fix yourself up rapidly. That was interesting. [Laugher] I loved my classes when I finally got into the elementary education classes. We had the "Wilkits" at that point. If you weren't organized, then you very well better get organized. You had things you had to do at a specified time. RL: Were these teaching kits? Kind of teaching you pedagogy? PP: Yes. Teaching all the kinds of things you had to know in order to teach elementary education. RL: Lesson plans and activities and so forth? PP: Yes, we also had formal classes, but those "Wilkits" were the primary part of that course work. A few years later, my daughter was in the same program. In fact, I 9 have three daughters that graduated from Weber State. My brother and my sister did, as well, and my husband and my niece attended there. RL: Other than the Employee's Association, were there other associations or committees on campus that you were involved in? PP: Yes, but I'm sorry, I can't recall the name of the committee. I spent a lot of time on it, too. It was for employees but it wasn't with the Employee's Association. RL: I seem to remember that when Paul and Carolyn Thompson came to campus, you had known them from when you were in school. PP: I had known them from high school. They were a little bit younger than I was. We weren't super close because I was older than them. RL: So you were not on campus at Weber when they were students there? PP: I think I left just before they became active at Weber State. RL: And were you able to interact with them after you came back to the campus? PP: Yes, I think they're really very fine people. I said to Paul one time, "Paul, I'm going to have to just start shaking hands with you when I meet you in a line of people because I think there's some people who don't like it when I get a big hug." [Laughter] He said, "That's ridiculous." We've been friends for a long time and he knows my family. RL: Now, you mentioned some of the different places you've worked. When you worked for JC Penney, was that in Ogden? PP: Yes, it was in Ogden. Let me tell you how I started there. I was sixteen years old. We'd lived in Ogden for a year—I came from a background of wearing flannel shirts, jeans, moccasins and two pairs of socks—and I found out that that was 10 not the way you dressed in Ogden. When you went downtown in the '50s, you wore your best attire and gloves. So here I was, sixteen, by myself, downtown, and dressed up with my gloves. I was going through the JC Penney store and a very distinguished-looking gentleman came up to me and he said, "Miss, how would you like to work here?" I tipped my nose in the air and I walked off. I didn't know him and I didn't know what he was up to. It turned out that he was Ted Schmidt, the manager of JC Penney and Mayor of Ogden, as well. RL: Oh my goodness. PP: So one year later, I was walking through JC Penney with my aunt and we were both dressed up with our gloves. Ted Schmidt came up to me and made the same approach and I started to tip my nose up and Auntie said, "Just a minute, dear, let's go talk to the gentleman." So Ted took us upstairs to his office and offered me a job as a model. I'd never modeled before in my life! But I accepted the job and Ted taught me how to pivot, how to hold my hands, how to dress and how to walk. Then, there was a stand by the elevator where the models stood and wore the dresses that were on sale in the store. One day as I was turning, the elevator door opened and this little boy came out with his mom and he looked up and said, "Wow, look Mom, the dummy moved!" [Laughter] Another day, I caught a lady shoplifting while I was standing on that platform. Another time, it was approaching Easter and they had a lot of hats for sale. They set up a store window with all of these hats on the floor, a dressing table, a mirror, and me. I was sitting there and as people would walk by, they'd point to a hat and I'd model it for them. It was so much fun! 11 RL: You also mentioned that you worked for the military. What did you do there? PP: I was a keypunch operator for the Air Force. I also worked for Internal Revenue as a keypunch operator. I didn't do well at typing. My worst class and lowest grade in high school was in typing. So when this job came up with Internal Revenue Service as a keypunch operator— RL: Was that in Ogden? PP: Yes, it was in Ogden. For the job, you needed to be able to do twenty-five words per minute typing. I rented a typewriter and practiced and practiced. I took the test three times and never got to twenty-five words per minute. Finally, the gentleman in the employment office took pity on me and said, "I'm going to put you through, anyway." So I took the training and eventually, after I had worked there for a while, my accuracy and speed got so good that I received a monetary award. RL: In your time at Weber, are there particular incidents or movements that stand out? PP: The emphasis on diversity really changed all of us, I think. While we may have already believed in the premise, there wasn't much said about diversity until that time. We even had contests where we decorated doors with the diversity theme. I did that for a few years in the library. RL: They also started making a lot more services available for the different groups. PP: Yes. They also installed the little island, if you will, in the back parking lot. That was during President Nadauld's terms. At the time, it was suggested that the staff could use that for breaks and lunches and things. 12 RL: They took away the parking lot and put in that little plaza. PP: There was a lot of debate at the time. I didn't agree with it, but it looks nice now. I don't know how it's used. I hope the fire trucks can get around it. RL: Yes, the fire trucks can get around there. This past year, they made that back area of the library the only spot where the shuttle buses from the Dee Events Center stop. We get a lot of traffic in the library because it drops the students right there. PP: Very good. There was quite a long time there where they weren't able to be dropped off close to the library. It was quite a trip for them. RL: Anything in the library in terms of the organization of it? You mentioned the summer that Craige became part-time director of the library and was over the computing center. Did that affect the people in the library? He was a good administrator and he was organized. PP: He did and he had a lot of experience before that. I really didn't notice huge problems as far as him being gone. He managed to keep us working smoothly in spite of all that was going on during that summer. RL: Were there things that happened that were less than perfect? I'm not asking for dirt or anything, but are there things that stand out in your mind from your time? PP: It was a time when most people in the library didn't think that the evaluation form that we were using—and it was the same that they were using daily—was something that we should continue with. They were considering changing that, but it just happened to fall on me to be the first person that they evaluated. RL: Was this under Craige? 13 PP: Yes, but he wasn't involved. Five faculty members evaluated me for one hour and the very first thing that one of them said was, "Your previous evaluation forms looks like you can walk on water and that's just not possible." They then decided to downgrade my evaluation. Not because I hadn't performed adequately, but because they didn't think that I—or anybody else—should be graded so highly. So after an hour of this grueling situation, we were closing and one of the faculty said, "Peggy, how do you feel about this?" I said, "I feel like I've been run over by a truck and you'll be hearing from me again." Then I went to Human Resources and told the director what had happened. RL: Was that Stan Greenhalgh? PP: Yes, it was. Stan said that should not have occurred because an evaluation is to make you feel better, not worse. You should not be evaluated by five people; it should be a one-on-one. RL: And it should be your direct supervisors. PP: They weren't. The result was that I was evaluated again by Craige. I think, eventually, we got a different evaluation form. I remember going to Enable Industries, the firm where my husband was president. Every time I heard negative remarks in the library about the work and the jobs, I kept thinking off all of these disabled people at Enable Industries and everything they had to go through to get a job and keep a job. Joan suggested that we take a group of people over there and we decided to take a group from the library to tour Enable Industries. During that time, Joan was with us and she 14 was quite intrigued by the evaluation methods that they were using there. I think that some of those methods were initiated later on. RL: We can always learn from one another. I think the people on that tour benefited from seeing how bad they didn't have it. PP: Absolutely. That was an eye-opener. RL: I remember that in addition to your responsibilities in working at the Reference desk, you acted as the bibliographer for the children's books for a while. Was that because of your teaching experience and background? PP: When I was taking classes in elementary education, several times I would take an armload of books from the young people's collection to class and tell them about them. They weren't aware of having such a wonderful young people's collection in the Stewart Library. Even the faculty was intrigued by the beautiful books that I was showing. When it became my opportunity to work directly with the young people's collection, I loved it. RL: Did you buy the books? PP: I ordered a minimum amount of them. Our library budget, at that time, was very small. We would regularly get the Newberry Award books and so on. When we had a tour that was being scheduled to come through with children in it, the other faculty members would shy away from that group. Finally, they asked if I wanted to do it and so I got to conduct several tours with children's groups. I got to read them stories in the library. 15 RL: We had a group just two weeks ago that came through. I think they were three and four years old. It is a great resource for the education students—knowing about that collection is important. PP: True. I took a class on children's literature. What helped my interest to grow was that I had been the children's librarian in several different schools in Oregon, so I was aware of the many books available. I had children of my own and I found it fun to give birthday gifts and Christmas gifts to my children and grandchildren in the form of books. I've always loved books. RL: It's good for a librarian to love books. It's a disappearing art. So, Peggy, any more memories that you'd like to share from the years of your tenure at the library? PP: There's one disturbing situation involving a student worker and a student who used Interlibrary Loan heavily. Actually, let me backtrack a little bit. My sister-in-law works at the University of Iowa where they had a shooting incident. I think three people were killed because of a student being angry. After that, there was a lot of work in compiling information and finding out what could be done to avoid that sort of thing. I called Linda and asked her if she could send me some of this information. I gave the information to Joan and it wasn't very long after that that we had a student from Vietnam or Thailand who was a student worker at the main desk and used Interlibrary Loan extensively. A brilliant young man. He got involved with a young woman whose husband was still in Asia. He loaned her a large amount of money and was very fond of her. When her husband came to 16 Ogden, everything kind of fell apart. We started having meetings about this trio of people and what could be done because it was very disruptive. RL: Disruptive in what way? PP: He was angry at her because she had gone back to her husband and had not paid him back his loan. He still cared for her and he was losing face, which is upsetting in the Asian culture. Well, a meeting was called. It was to be held in the Union Building with the campus attorney, the three individuals, and the head of the department where he worked in the library. RL: Circulation? PP: Yes, Circulation. So they all congregated for the meeting and this young man came in with a backpack. RL: It was a disciplinary hearing, wasn't it? PP: Yes, it was. It just happened that the campus police officer was there, as well. That was unusual because he didn't usually attend those meetings. Well, the student employee pulled a gun out of his backpack and started shooting. He shot the attorney in the arm. He was trying to shoot and kill the woman's husband. He shot the police officer in the nose. Finally, the student was killed by the police officer. It was so very upsetting to all the library personnel who had known him and to the young woman, as well. RL: It created a lot of grief and consternation. It must have been about the lowest point in your library career. What was the highest point? 17 PP: It was very good to receive an award and be recognized for the hard work that I had done in Interlibrary Loan. I had a couple of people mention me on books that they had written. RL: Dedications? PP: That I had helped contribute. That was great. RL: In any work situation, there's the good and there's the bad and those are the incidents we remember. PP: And here I am now, retired. When I retired in 2000, it was in winter—January. I went home to cold, wintery days and I realized, "What have I done?" Then Joan offered me the opportunity to come back part-time at the Reference desk. I think it was about two years that I worked there so I could transition into being retired. RL: My memory of your time in the library was a time when we had had a horrible snow storm. I had a house that had a triple-wide driveway and I had spent an hour and a half clearing the snow off of it, then I went inside, showered, got dressed, got to work, and you were the only one in the building. You had this really nonplussed expression on your face and I said, "What's going on?" You said, "They closed the university." [Laughter] Essentially, we both laughed that someone had called off the party and didn't bother to let us know. PP: Most of the time, the library stayed open. We maintained that there were still students on campus that needed to have a place to go to. I remember one time, the sky light on the third floor was blown off and there we were with Reference on the third floor. We were still working and all the buildings around the library had been closed because of the wind. And here we were, still working. 18 RL: At least you can laugh about it. I know that your time in the library was very much appreciated and the time that you've taken to talk with me today is appreciated. Thank you. PP: You're sure welcome.

Food, water, and shelter, as fundamental components of human existence are no less critical in an aviation unit than the number of enemies shot down, as a combat force can be made or broken over necessities. During World War II, Russian pilots returned to bases where food and housing were not to be taken for granted, and free time was dictated by forces largely outside their control. The overall living conditions of Russian pilots during the war were varied, unpredictable, and improvised. ; Winner of the 2020 Friends of the Kreitzberg Library Award for Outstanding Research in the Junior Arts/Humanities category. ; Borscht, Barracks, and Bears: How Russian Pilots Lived in WWII Sarah Clark HI 355: WW2 Colloquium Phase 3 Word Count: 3,307 December 6, 2019 Clark-Borscht, Barracks, and Bears-page 1 Introduction What were the living conditions of Russian pilots in WWII? Food, water, and shelter, as fundamental components of human existence are no less critical in an aviation unit than the number of enemies shot down, as a combat force can be made or broken over necessities. During World War II, Russian pilots returned to bases where food and housing were not to be taken for granted, and free time was dictated by forces largely outside their control. The overall living conditions of Russian pilots during the war were varied, unpredictable, and improvised. When the war began, pilots unused to wartime conditions had to adapt quickly to their new conditions. One pilot recalled: the sun was baking hot on the street. I walked slowly towards the airfield and came up to the dispersal area. It was like a disturbed anthill. They were repairing the old shelters. Here and there they were digging new ones. They assigned the headquarters dug-out for the use of the staff. Fyodorov and Godunov decided to use an enormous plywood container in which, at one time, an aircraft had arrived from the factory in parts…We had supper –field rations, as if we were at the front—and spent the night in the dug-out. Tired after the day's work and even more so after the previous sleepless night, everyone soon dropped off. Of course, after comfortable quarters, snow-white sheets and a soft bed, it is not cosy to sleep on a plank bed; but aircrew get used to anything.1 Food Sources Throughout the war, sources of food varied, but the three most common were rations, villagers, and American Lend-Lease food. Rations were the primary source of food for Russian pilots. The military had its own rationing system, separate from and prioritized above the civilian system.2 At first, most foods were produced and distributed by state associated farms and collectives. Throughout the war, more and more initiative was given to peasants to make food production a private enterprise to increase production and reduce the burden on state-owned 1 Kaberov, Swastika in the Gunsight, 5. 2 Ganson, "Food Supply," 78. Clark-Borscht, Barracks, and Bears-page 2 sources.3 Typical rations for the Russian armed forces consisted of a simple breakfast of porridge known as kasha, a type of soup called borscht for lunch, and bread with pickles or cucumbers for dinner, and for aviators 100 grams of vodka after combat missions.4 In general, variety and items such as meat, fat, and fresh fruits and vegetables were hard to come by. Throughout the war, Russians both were allocated and received fewer daily calories than the soldiers of several other countries. In early 1941, Russian infantrymen were allocated 2,954 calories a day, which was increased to 3,450 in September.5 Members of active flying units were supposed to receive 4,712.6 Compared to other Allied nations, this basic allowance was low. For instance, the United States allocated 4,748 calories for front-line soldiers, and Britain allocated 5,300 for soldiers fighting in cold weather.7 Despite official instructions, it was common for Russians to receive less than their daily allotted calories, placing them even farther below their Allied comrades. Pilots overcame the lack of food and added variety by trading with nearby villagers if based near or in a village. There are multiple accounts of pilots and technicians going into towns to exchange unused items such as underwear or more common items such as "tobacco, cigarettes, bread, and sugar for milk, sour cream, eggs, and butter and sometimes meat."8 Exchanges could be a one-time or reoccurring transaction. For instance, while in Romania, one squadron member paid a Romanian for a daily supply of ten eggs.9 However, making deals with the locals was not always favored by senior officers, as squadron members were arrested and 3 Moskoff, "The First Priority," 126; Ganson, "Food Supply," 75-76. 4 Collingham, "Fighting on Empty," 319. 5 Collingham, "Fighting on Empty." 319. 6 Moskoff, "The First Priority," 127. 7 Collingham, "Out of Depression," 434; Collingham, "Fighting on Empty," 319. 8 Noggle, A Dance with Death, 145, 186. 9 Mariinskiy, Airacobra, 142. Clark-Borscht, Barracks, and Bears-page 3 imprisoned in some units.10 Yet, the prevalence of such transactions illustrates the desperation for sufficient and adequate food. Pilots not only traded with villagers and peasants, but they also took advantage of their surroundings. They scavenged through the remains of old villages, especially on the way towards Berlin in 1944 and 1945.11 One of the most common items searched for was alcohol. For instance, one fighter pilot, heading towards Berlin, recalled that "in the deserted workshops of the sugar mill the omnipresent procurement officers…found tanks of spirits."12 In other locations, where natural resources such as rivers were more abundant, pilots occasionally resorted to fishing to provide fresh meat in desperate times, when the food supplied in the mess hall was either meager or nonexistent.13 Another way variety was increased was through the introduction of American Lend- Lease items, especially in 1943 and after. For instance, dairy items from America like dried eggs and milk powder, hard to come by in Russia, supplemented protein and fat intake, and packaged meats such as Spam were a welcome respite from dried fish.14 To show this one pilot reported that "American food, it was a feast—canned meat, dried eggs, canned milk."15 While American food was only a tiny sliver of what the air forces ate during the war, it certainly provided a respite from the standard fare. 10 Noggle, A Dance with Death, 145. 11 I Remember, "Airmen: Ivan Konovalov," https://iremember.ru/en/memoirs/airmen/ivan-konovalov/ [accessed 14 October 2019]. 12 Kramarenko, Combat over the Eastern Front, 77-78. 13 Timofeyeva-Yegorova, Red Sky Black Death, 114. 14 Collingham, "Fighting on Empty," 340; I Remember, "Airmen: Kolyadin Victor Ivanovich," https://iremember.ru/en/memoirs/airmen/ kolyadin-victor-ivanovich/ [accessed 14 October 2019]. 15 Pennington, Wings, Women, and War, 119. Clark-Borscht, Barracks, and Bears-page 4 Factors that Affected Food Squadron location, when correlated with timeframe, was one of the most significant factors affecting food availability and type, including geographic location, distance relative to frontlines, and proximity to inhabited villages. Geographic location was significant because Russia is a massive country, and front lines stretched for hundreds of miles. Food supplies were inadequate to begin with, and the distribution system was incomplete and inefficient. These issues were only compounded by the rapidly advancing German forces during Operation Barbarossa.16 Not every unit received equal amounts of food, and food reserves were not in place, especially at the beginning, resulting in troops at the front and rear being shorted.17 To show the variation, one fighter pilot, who spent some time near the front lines at Smolensk, wrote "I'm still amazed that—whether advancing or retreating—we were always well supplied with food."18 Conversely, other pilots reported periodic food shortages lasting several days near front lines.19 Therefore food availability varied greatly from one unit to the next. Distance from the front impacted food supply because it affected the ability of food to reach airfields. At the beginning of the war, food shortages were common in contested areas, such as the North Caucasus and Ukraine.20 Plus, reserves were either too far away or not built up enough to sustain prolonged shortages.21 During German advances supplies were not always able to be delivered, causing aircrews to survive on what meager items they had stockpiled.22 Other 16 Moskoff, "The First Priority," 113. 17 Moskoff, "The First Priority," 115. 18 Drabkin, Barbarossa, 85. 19 Noggle, A Dance with Death, 186. 20 Pennington, Wings, Women, and War, 79. 21 Moskoff, "The First Priority," 115. 22 Noggle, A Dance with Death, 186; Pennington, Wings, Women, and War, 79. Clark-Borscht, Barracks, and Bears-page 5 times, aircrews were forced to pick up supplies with their aircraft because the ground vehicles were unable to reach their airfields.23 The type of action an air unit was supporting, such as a retreat or an advance, also affected their food supply. When a regiment formally moved to a new airfield in preparation for an operation, and if time allowed, the airfield would be prepped by a service battalion consisting of combat support and maintenance personnel, who stocked up supplies and prepared the housing and airfield facilities for the arrival of the unit.24 Thorough preparation resulted in efficiency and ease of movement. However, when movement to a new airfield was either hastily planned or unplanned as a result of an unexpected retreat, there was no preparation, resulting in the opposite effect: no supplies. For instance, while retreating in 1942, one pilot wrote that upon reaching the assigned base they "found nothing there—no staff, no mess hall, no fuel" because the ground support had been unable to reach the base in time to prepare it.25 However, the unit in that scenario ended up being fed by a woman from a local village, illustrating the last essential component of location: proximity to an inhabited area.26 Airfields were frequently built near villages. Consequently, instead of official housing, pilots would be billeted with the town residents. Occasionally villagers had items unavailable to military members, such as fresh vegetables from their gardens or dairy products, such as milk. 27 One last factor to consider in analyzing food supply is unit type: bombers versus fighters. Food for both types of units was dreary and monotonous with occasional highlights of canned 23 Noggle, A Dance with Death, 67. 24 Bessette, "Soviet Military Transportation Aviation," 196. 25 Timofeyeva-Yegorova, Red Sky Black Death, 108. 26 Timofeyeva-Yegorova, Red Sky Black Death, 108. 27 Timofeyeva-Yegorova, Red Sky Black Death, 85, 176. Clark-Borscht, Barracks, and Bears-page 6 American food, items gained from the locals, or the rationed chocolate and Coca-Cola.28 For instance, in 1942, one bomber pilot reported eating brown bread, a lot of cereal, and in the fall-potatoes, while another bomber pilot reported eating a breakfast of gruel, bread, butter, and tea the following year.29 Fighter pilots reported similar types of food including soup, tea, and bread.30 Overall, food was more affected by location, type of action, and timeframe than type of unit because units across all aircraft types experienced times of relative abundance and shortage, based on locational and situational factors. Housing Housing was also based on location and situation. The spectrum ranged from sleeping in and under aircraft using tarps and covers as blankets to large houses in nearby villages, and later even villas. Pilots were usually billeted separately from the enlisted technicians. Commonly, the technicians were kept closer to the aircraft in dugouts, huts, or trenches, so that they were quickly accessible and ready for action, while it was more common for pilots to live outside the airfield. However, there were times when pilots and technicians lived together, such as one tail gunner who lived in the same local home as her pilot.31 Housing Situations One of the main differences in airfield accommodations was the age of the airfield. New airfields were usually less developed because they were formed during war when a base was needed during a rapid advance or unplanned retreat. Hasty quarters usually consisted of dugouts built into the ground, sometimes made by female workers from nearby cities, such as 28 I Remember, "Airmen: Kolyadin Victor Ivanovich," https://iremember.ru/en/memoirs/airmen/ kolyadin-victor-ivanovich/ [accessed 14 October 2019]. 29 I Remember. "Airmen: Kolyadin Victor Ivanovich," https://iremember.ru/en/memoirs/airmen/ kolyadin-victor-ivanovich/ [accessed 14 October 2019]; I Remember, "Airmen: Ivan Konovalov," https://iremember.ru /en/memoirs/airmen/ivankonovalov/ [accessed 14 October 2019]. 30 Kramarenko, Combat over the Eastern Front, 78. 31 Timofeyeva-Yegorova, Red Sky Black Death, 176. Clark-Borscht, Barracks, and Bears-page 7 Leningrad.32 Pilots also lived in trenches or around the aircraft until more permanent quarters could be made.33 Again, there were exceptions. New airfields were better prepared when movements were planned well in advance, and airfield service battalions were available to go to the airfield first and prepare it for the unit, which included billeting arrangements.34 Conversely, older airfields, many of which had been training schools or air bases before the war, already had a developed infrastructure. They had permanent quarters or at least buildings that could be readily turned into barracks. For instance, one pilot recalled living in an old school building on an airfield that had been a training school two years before the war.35 Even in 1944, when the Russians refitted three Ukrainian air bases for the Americans, they refitted an artillery barracks and school buildings for the Americans to live in.36 Also, as the Russians moved east in 1944 and 1945 they utilized barracks on former German airfields. If housing was not available on the airfield, pilots were billeted in the homes of villagers or other available buildings, within several miles of the airfield. Even within the homes there was a lot of variation. Usually the home's residents still lived there, and one of two scenarios occurred: either a couple or as many as possible pilots would be billeted there. For example, one pilot recalls that "the overcrowding was horrendous, but room was found for me. In a crooked hut…having delicately pushed the hostess to the oven in her kitchen."37 Houses could become crowded and uncomfortable when pilots, other officers, and non-maintenance personnel, were forced to live together. Alternatively, other pilots were billeted alone and given a lot of space and 32 Kaberov, Swastika in the Gunsight, 91. 33 Timofeyeva-Yegorova, Red Sky Black Death, 106. 34 Bessette, "Soviet Military Transportation Aviation," 196. 35 Reshetnikov, Bomber Pilot on the Eastern Front, 33. 36 Plokhy, Forgotten Bastards, 35. 37 Reshetnikov, Bomber Pilot on the Eastern Front, 138. Clark-Borscht, Barracks, and Bears-page 8 relatively nice accommodations. Also, nearby villages were occasionally abandoned, resulting in pilots living in vacant homes.38 Overall, village billeting was varied. Uncontrollable Factors Another variable that should not be overlooked is the effect of the war on housing options. Barracks and dugouts were not immune to German air raids. When permanent buildings or dugouts were destroyed, pilots slept in hastily rebuilt dugouts or under the aircraft. Combat readiness also dictated how close aircrews slept to their aircraft because if a raid was expected, pilots needed to be ready to defend their airfield at a moment's notice.39 Bombings, when the signal of a German advance, also contributed to units moving from new bases and having to find new quarters altogether. Other times, the housing at a new base was inhabitable. For instance, one mechanic wrote that "all of the habitable dwellings nearby were mined by the Germans, so we had to live under the wings of our aircraft."40 Therefore, stable and safe housing was not to be taken for granted in combat conditions. Weather also played devil's advocate with housing. Mud, rain, and snow are all part of life in Russia and had devastating effects on airfield usage and quality of life inside aircrew quarters. During the rainy season, dugouts were flooded with inches to feet of water, either forcing pilots to pump the water out in colder seasons or live under the aircraft in warmer weather.41 Snow, on the other hand, made its way into primitive buildings in the form of ice. Escaping the cold was impossible. Changes in weather patterns and the beginning of colder seasons also resulted in insect and animal infestations, such as fleas, rats, and mosquitos. One rat 38 Kramarenko, Combat over the Eastern Front, 26. 39 Tomofeyeva-Yegorova, Black Sky Red Death, 106. 40 Noggle, A Dance with Death, 151. 41 Noggle, A Dance with Death, 110, 173. Clark-Borscht, Barracks, and Bears-page 9 infestation was so bad a pilot remarked that "they were routinely crushed under people's feet."42 Overall, weather was just one more variable that made housing unpredictable. Commodities Not only was housing itself varied and often improvised, but commodities nowadays taken for granted were as well. Most of what the pilots had for furniture, light, and linens were makeshift. Oil drums and shell casings were used as crude lamps and stoves. Any available material was burned in those stoves, including used bomb fuse-boxes.43 Beds, tables, and any other furniture were typically cobbled together from planks, wood scraps, straw, and aircraft covers. Pillows were stuffed with everything from weeds to straw. Again, there were exceptions, especially later in the war, when air units took over German airfields or lived in residences currently or previously owned by the wealthy. For example, one pilot wrote that his unit was "billeted for a rest in some factory-owner's villa…on soft feather beds," and remarked that "the conqueror's position has its advantages."44 Overall though, pilots did not live in luxury. They made what they needed from what was available. Personal Free Time The small amount of free time in between tasking, or during rough weather, helped the pilots let loose and mentally cope with being in combat. On a personal level, people kept busy with what was available. Those who had books read them and then shared them, which led to book discussions.45 Games requiring little space, such as dominos, chess, and cards were played; although, some commands forbade cardplaying, calling it bourgeois.46 People who were musically gifted and carried their instrument, such as a guitar or accordion, around would play 42 Pennington, Wings, Women, and War, 116. 43 Noggle, A Dance with Death, 124. 44 Kramarenko, Combat over the Eastern Front, 73. 45 Reshetnikov, Bomber Pilot on the Eastern Front, 138. 46 Drabkin, Barbarossa, 42. Clark-Borscht, Barracks, and Bears-page 10 for their fellow airmen. Some of the women would knit, embroider, or sew new pairs of silk underwear. And everyone looked forward to letters from home, especially when the Germans occupied territory where their loved ones lived. For instance, one pilot wrote that when she received the first letter from her mother, five months into the war, she "felt such relief! All these months I had worried about my family, whether they were suffering somewhere under German occupation."47 Pilots were desperate for news about the wellbeing and whereabouts of relatives and friends. Unit Free Time Beyond the personal level, units organized events amongst themselves. Some had a newsletter that members would write in and distribute amongst the unit.48 Usually those had a political overtone. Nevertheless, they were an opportunity for people to use skills other than flying, such as creative writing, journalism, and drawing. Activities such as talent shows and performances were also organized, including events such as formal readings, performance of plays or sketches, and solo acts. For example, one squadron had the only Gypsy to fly for Russia in the war, who performed dances of his culture, until he died in combat.49 Parties and dances were also held, especially in some of the female units, to celebrate successful missions with dancing and singing.50 Celebrations were an outlet for the emotion created by the stresses of combat and unpredictable living conditions. Occasionally if located near a larger city, such as Leningrad, and if tasking allowed, pilots were able to partake in urban activities, such as movies, concerts, and dance classes. At times, events were formally organized by unit commanders to increase morale and let their 47 Timofeyeva-Yegorova, Red Sky Black Death, 81. 48 Kaberov, Swastika in the Gunsight, 6. 49 Kramarenko, Combat over the Eastern Front, 61. 50 Noggle, A Dance with Death, 71 . Clark-Borscht, Barracks, and Bears-page 11 personnel get away from the humdrum of front-line duties, while other times, attending a movie or performance was not command mandated. For instance, one corps commander gave circus tickets to his officers and ordered them to go on a night when no flights were scheduled.51 While in a different squadron a group of pilots was invited to a musical premiere in Leningrad while the city was being barraged by the Germans.52 Not only did pilots seek out entertainment, but entertainment sought them out, in the form of traveling performers, artists, and mobile theaters that traveled throughout the eastern front, providing performances for units unable to go to a city or populated area. Relationships Beyond mere activities, relationships were another way to pass the time. Wedding ceremonies were a change from the more frequent funeral ceremonies. Pilots married either pilots from other commands or members of various service battalions. To illustrate the difference between a funeral and wedding, an airman wrote, "the regiment personnel celebrated a festive and memorable event. And it had nothing to do with war, blood, or death. It was quite the opposite of a funeral."53 Joyous occasions were a welcome relief from the cruel ways of combat. Relationships were unavoidable in squadrons where technicians and combat support staff were frequently female. Even in units with only female pilots, relationships were not uncommon with male members of the same or other units. There was one female pilot, for example, whose former commanding officer proposed after the war ended.54 Relationships were crucial in motivating pilots to return from every flight and survive the war, while also serving to satisfy the soft side of human existence. 51 Reshetnikov, Bomber Pilot on the Eastern Front, 157. 52 Kaberov, Swastika in the Gunsight, 178. 53 Antipov & Utkin, Dragons on Bird Wings, 75. 54 Timofeyeva-Yegorova, Red Sky Black Death, 201. Clark-Borscht, Barracks, and Bears-page 12 However, humans were not the only ones to fulfill this need for affection, as pets were not forbidden. Often, stray dogs or cats were picked up when a unit passed by an abandoned area. They were either adopted by a whole unit or individuals, as was the case with the Gypsy and his dog, Jack.55 However, there were other scenarios, where a pet would be left behind by higher-ups who briefly visited the unit. For example, Alexander Novikov, then Air Force supreme commander, left behind a bear cub he had been given. At the squadron, the small cub ate and slept with the men, which became difficult as she grew. In the end, she was killed by outsiders, and the air unit refused to eat her.56 While an unusual scenario, it still shows the connections unit members made with animals that ended up in their possession. Focusing on caring for a pet was a needed distraction. Conclusion During World War II, the men and women in the Russian air forces lived an unpredictable life, dictated by the whims of combat. Food would be available one day and not the next. Moving from base to base increased unpredictability, as not all locations were supplied equally, especially when close to combat or advancing German forces. Air force units stretched from Leningrad to Ukraine, which strained the initially inadequate supply system. Time was not always available for building new housing, resulting in external billeting and quickly-built dugouts. Improvisation was the name of the game, as the pilots had to make do with the food, materials, and housing they could scavenge or trade for. Pilots with imagination and creativity were able to create a home away from home that at least met the bare minimum of their needs, despite limited free time to decompress and get away from combat stressors. 55 Kramarenko, Combat over the Eastern Front, 61. 56 Kramarenko, Combat over the Eastern Front, 69. Clark-Borscht, Barracks, and Bears-page 13 Research Question: What were the living conditions of Russian pilots in WWII?Outline 1. Introduction 1.1. Research question 1.2. Idea of the variability, range of living conditions 2. Living Conditions 2.1. Food 2.1.1. Food sources 2.1.1.1. Rations 2.1.1.1.1. Calorie comparison 2.1.1.2. Local sources 2.1.1.3. American food 2.1.2. Factors affecting food 2.1.2.1. Location 2.1.2.1.1. Timeframe 2.1.2.1.2. Movement type 2.1.2.1.3. Billeting 2.1.2.2. Unit type 2.2. Housing 2.2.1. Introduction 2.2.2. Housing Situations 2.2.2.1. New Airfields 2.2.2.2. Old Airfields 2.2.2.3. Living in Villages 2.2.3. Uncontrollable Factors 2.2.3.1. Combat Conditions 2.2.3.2. Weather 2.2.4. Commodities 2.3. Free Time 2.3.1. Personal Level 2.3.1.1. Hobbies: sewing, knitting, poetry, music 2.3.1.2. Letters from home 2.3.2. Unit Level Activities 2.3.2.1. Newspapers, performances 2.3.2.2. Nearby towns 2.3.2.2.1. Leader/command initiated 2.3.3. Relationships 2.3.3.1. People 2.3.3.2. Pets 3. Conclusion Clark-Borscht, Barracks, and Bears-page 14 Bibliography Primary Sources Drabkin, Artem. Barbarossa and the Retreat to Moscow: Recollections of Fighter Pilots on the Eastern Front. South Yorkshire: Pen & Sword Books LTD, 2007. I Remember. "Airmen: Kolyadin Victor Ivanovich." https://iremember.ru/en/memoirs/airmen/ kolyadin-victor-ivanovich/ [accessed 14 October 2019]. I Remember. "Airmen: Ivan Konovalov." https://iremember.ru/en/memoirs/airmen/ivan-konovalov/ [accessed 14 October 2019]. Kaberov, Igor. Swastika in the Gunsight: Memoirs of a Russian Fighter Pilot 1941-1945. Stroud: Sutton Publishing, 1999. Kramarenko, Sergei. The Red Air Force at War: Air Combat over the Eastern Front and Korea: A Soviet Fighter Pilot Remembers. Barnsley, England: Pen & Sword Military, 2008. Mariinskiy, Evgeniy. Red Star Airacobra: Memoirs of a Soviet Fighter Ace, 1941-45. Solihull: Helion & Company, 2006. Noggle, Anne. A Dance with Death: Soviet Airwomen in World War II. College Station: Texas A&M University Press, 1994. Reshetnikov, Vasiliy. Bomber Pilot on the Eastern Front: 307 Missions Behind Enemy Lines. South Yorkshire: Pen & Sword Books LTD, 2008. Timofeyeva-Yegorova, A. Red Sky, Black Death: A Soviet Woman Pilot's Memoir of the Eastern Front. Bloomington: Slavica Publishers, 2009. Scholarly Books Pennington, Reina. Wings, Women, and War: Soviet Airwomen in World War II Combat. Modern War Studies. Lawrence: University Press of Kansas, 2001. Plokhy, Serhii. Forgotten Bastards of the Eastern Front: American Airmen Behind the Soviet Lines and the Collapse of the Grand Alliance. New York, NY: Oxford University Press, 2019. Clark-Borscht, Barracks, and Bears-page 15 Scholarly Articles Bessette, John. "Soviet Military Transport Aviation" in The Soviet Air Forces edited by Paul Murphy, 188-211. Jefferson, NC: McFarland, 1984. Collingham, Lizzie. "The Soviet Union—Fighting on Empty" in The Taste of War, 317-346. New York: Penguin Press, 2012. Collingham, Lizzie. "The United States—Out of Depression and into Abundance" in The Taste of War, 415-466. New York: Penguin Press, 2012. Ganson, Nicholas. "Food Supply, Rationing, and Living Standards" in The Soviet Union at War, 1941-1945 edited by David Stone, 69-92. South Yorkshire: Pen & Sword Books Ltd, 2010. Moskoff, William. "The First Priority: Feeding the Armed Forces" in The Bread of Affliction: The Food Supply in the USSR During World War II, 113-134. Cambridge: Cambridge University Press, 2002. Additional Sources Antipov, Vladislav, and Igor Utkin. Dragons on Bird Wings: The Combat History of the 812th Fighter Regiment. Translated by James F. Gebhardt. 1st English ed. Kitchener, ON: Aviaeology, 2006.

El estudio de la historia tiene un atractivo particular para los investigadores de las demás ciencias sociales. En el taller del historiador es donde naufragan nuestras más ambiciosas generalizaciones. Pero cuando un ejemplo histórico nos da la razón es el momento en el que nuestras hipótesis comienzan a parecerse a buenos argumentos teóricos. Esta doble faz de la investigación histórica hace que los demás cientistas sociales (sociólogos, politólogos, economistas) nos acerquemos a ella con cautela, sabiendo que estamos caminando sobre territorio ajeno. ¿Por qué esa sensación de ingresar en territorio ajeno? Porque en las ciencias sociales no históricas hay un fuerte predominio de los enfoques deductivistas de investigación. Esto hace que sociólogos, economistas y politólogos tengamos una fuerte inclinación a la teorización como paso previo a la investigación empírica. Por el contrario, en historia es donde más fuertemente los investigadores se inclinan a primero conocer los hechos y después teorizar (si es conveniente hacerlo o si queda tiempo). En suma, es en historia donde el enfoque es más inclinado hacia procedimientos de tipo inductivo. Esta diferencia hace que muchas veces los historiadores comenten las interpretaciones históricas de los sociólogos con un escéptico: "a esta investigación le falta trabajo de archivo". Y el archivo, suele ser un lugar poco frecuentado por sociólogos y politólogos. De ahí también surge cierta incomodidad: en las demás ciencias sociales hay muy sofisticados desarrollos metodológicos, pero algo tan básico como "saber moverse en un archivo" es un saber del que disfrutan casi exclusivamente los historiadores. Marc Trachtenberg (1), historiador con más de 40 años de experiencia de investigación en historia diplomática es consciente de estas ambigüedades y limitaciones. Por eso escribió un libro en el cual precisamente se concentra en demostrar la utilidad de la investigación histórica para el desarrollo de teoría en política internacional: The craft of international history. A guide tomethod (2). La lectura de este libro es altamente recomendable para aquellos estudiantes e investigadores en Relaciones Internacionales interesados en hacer investigación histórica. Las razones para esta recomendación son muy sencillas. Es un libro pensado para que el lector pueda entender el valor de la investigación histórica. Pero además es una buena fuente de consejos metodológicos sobre cómo realizar una investigación histórica. Podría bastar con estas dos afirmaciones para estimular la lectura del libro, puesto que si buscamos manuales de investigación la producción en sociología y ciencia política supera largamente a la producción en historia. Por tanto, estamos ante un libro infrecuente por su contenido y por el origen académico de quien lo escribe. Pero hay una razón más importante aún. Es un libro bien escrito, sistemáticamente dedicado a interesar al lector con ejemplos, a repetir argumentos para que se entiendan mejor y a mostrar desde la experiencia del autor cómo es que se hace investigación histórica en diplomacia. En suma, el libro tiene "lo que debe tener" un buen libro de metodología. En el resto del artículo nos dedicaremos a probar la verdad de la anterior afirmación (3).Estructura del libro. El libro consta de 7 capítulos y 2 anexos. Los dos primeros capítulos abordan problemas epistemológicos de la investigación histórica y tienen un alto valor para introducirse en los debates más relevantes acerca de la misma en los últimos 60 años. Los capítulos 3 y 5 ("The critical analysis of historical texts" y "Working with documents" respectivamente) son los capítulos donde se concentra el contenido metodológico del libro. En estos capítulos el autor intenta establecer una serie de consejos de experiencia para manipular creativamente dos herramientas básicas de la investigación histórica: los libros escritos por historiadores y las fuentes primarias. Entre estos dos capítulos centrales en el enfoque metodológico del autor hay un capítulo dedicado a mostrar un ejemplo de análisis textual que proviene de una investigación realizada por el autor (capítulo 4). Los capítulos finales abordan el problema de la escritura. El capítulo 6 aborda el problema de iniciar y escribir un proyecto de investigación histórica. El capítulo 7 está dedicado a la escritura de un informe de investigación. Los anexos cubren aspectos muy interesantes sobre la identificación de la literatura relevante en un tema y el trabajo con fuentes primarias. Ambos están centrados en Estados Unidos, Inglaterra, Francia y Alemania. El elemento más destacable del libro es cómo el autor ilustra sus ideas con ejemplos. En los mismos toma clásicos de la historiografía en política internacional (fundamentalmente centrados en temas de power politics) y desmenuza pacientemente sus argumentos mostrando aciertos y debilidades tanto en lo que respecta a fundamentación teórica como al aval empírico de sus afirmaciones. Por ejemplo, se repasan las obras clásicas de autores como Elie Halévy, A. J. P. Taylor y Fritz Fischer. Por tanto, el libro oficia también como una excelente introducción a argumentos clásicos de gran utilidad para quienes se están iniciando y ven en la historia un campo de estudios valioso. La perspectiva epistemológica. Los libros de metodología suelen evitar definiciones epistemológicas básicas. Estos tienden a escribirse con un criterio político. Todas las tendencias de las humanidades deben estar representadas y todas son igualmente válidas, más aún, suelen presentarse corrientes antitéticas como "formas diferentes" de hacer ciencia. Trachtenberg, por el contrario declara cuál es su visión epistemológica, pero lo hace luego de presentar de forma clara y amena los debates filosóficos que han tenido por objeto la meta y el contenido de la investigación histórica. El recuento del autor comienza con lo que él llama la perspectiva clásica y que remite a las posiciones de Carl G. Hempel (1905-1997) y R. G. Collingwood (1889-1943). En el modelo de Hempel una explicación de un hecho consiste en poder deducir el mismo de la operación de leyes que funcionan si se está frente a la presencia de ciertas condiciones iniciales claramente establecidas (4). Para Collingwood, por el contrario, explicar un evento histórico implica capturar los motivos de los agentes que participan en dicho fenómeno (5). Ambos modelos han sido discutidos largamente en las ciencias sociales (Little, 1991). En el campo de la historia, según Trachtenberg, ninguno fue recibido como especialmente fructífero al momento de ofrecer una guía filosófica a la investigación: "The two schools represented opposite ends of a spectrum: one emphasized structure and law-like regularity, and the other free will and human agency. But every practicing historian knows that both sorts of factors come into play. Part of the art of doing history is being able to figure out how exactly in any particular case the balance between them is to be struck, and this of course is an empirical and not a philosophical problem" (Trachtenberg, 2006, 7). A la discusión entre defensores de uno y otro enfoque explicativo durante los años '60 le sucede lo que Trachtenberg llama "el desafío constructivista". Se conoce por constructivismo (6) un variado grupo de enfoques en ciencias sociales que tiende a cuestionar la existencia de una realidad objetiva por fuera de las interpretaciones que una mente humana pueda concebir. En consecuencia, considera inútil todo intento de encontrar alguna realidad objetiva por fuera de los textos que producimos para interpretar dicha realidad. Aplicado a la historia esta concepción establece que el pasado no puede ser conocido directamente sino a través de los relatos acerca del mismo. Por tanto, el historiador no tiene nada objetivo que descubrir en el pasado, la investigación histórica es un acto creativo (poético) mediante el cual el investigador "construye" una cierta imagen del pasado. Esas imágenes pueden ser muy diferentes dependiendo de la perspectiva del investigador, y lo más importante, todas son igualmente legítimas. La consecuencia de la aplicación de este enfoque a la investigación histórica fue el descrédito de la vieja idea de "contar la verdad sobre el pasado" basándose en evidencia válida y confiable. Para tener una acercamiento vívido a la polémica entre constructivismo e historia "científica" (para llamarla de algún modo que sea identificable por el lector, aunque muchos objetarían esta denominación) puede leerse con provecho el capítulo IX de "Yo, Claudio" de Robert Graves (ambientada en los primeros años de la era cristiana). En dicho capítulo se sucede una discusión entre dos historiadores Tito Livio y Polión (7) en la biblioteca pública de Roma. El siguiente fragmento es ilustrativo, aunque es altamente recomendable leer el capítulo completo: "-Lo malo de Polión –dijo Livio- es que cuando escribe historia se cree obligado a suprimir sus sentimientos más delicados y poéticos, y a hacer que sus personajes se comporten con una vulgaridad concienzuda, y cuando los hace hablar les niega la menor capacidad oratoria. -Sí –replicó Polión-, la poesía es poesía, la oratoria oratoria, y la historia historia, y no es posible mezclarlas. -¿No se puede? Pues yo puedo –dijo Livio-. ¿Quieres decir que no debo escribir una historia con tema épico porque esa es una prerrogativa de la poesía, ni poner en boca de mis generales dignos discursos, en vísperas de las batallas, porque componer tales discursos es prerrogativa de la oratoria? -Eso es precisamente lo que quiero decir. La historia es un registro veraz de lo que ha sucedido, de cómo vivió y murió la gente, de lo que hizo y dijo. Un tema épico no hace más que deformar los hechos. En cuanto a los discursos de tus generales, son admirables como oratoria, pero condenables por anti históricos. No sólo no existe la más mínima prueba de su existencia, sino que además son inadecuados. He escuchado más discursos en vísperas de combate que la mayoría de los hombres, y aunque los generales que los pronunciaban, en especial César y Antonio, eran magníficos oradores, eran también soldados demasiado buenos para tratar de endilgar a las tropas un discurso de púlpito. Hablaban con ellos en tono de conversación familiar; no pronunciaban discursos" (Graves, 1996, 131-132). La visión de Trachtenberg sobre la investigación se ubica lejos del constructivismo y por tanto, es más cercana a las pretensiones de Polión que a las de Livio. Retoma las ideas del filósofo N. R. Hanson acerca de la investigación científica para proponer que una buena investigación en historia (así como en las ciencias naturales y sociales) se basa en la articulación de preguntas sustantivas orientadas teóricamente y evidencia empírica.Teoría de las Relaciones Internacionales e investigación. Las ideas de Trachtenberg tienen una gran afinidad con las ideas de A.Stinchcombe (8). Para ambos autores la investigación histórica no debe limitarse a ser el escenario para verificar teorías. La investigación histórica sirve para desarrollar, construir, limitar, modificar teorías. La primera recomendación de Trachtenberg es: haz que tu pregunta de investigación tenga sentido en términos teóricos. Si puedes hacerlo, tendrás resuelto un problema clave: cómo avanzar, qué evidencia es útil recoger, cómo analizarla. "But note the role that that theory, if you can call it that, actually plays. It does not provide any ready-made answers. Instead, it serves to generate a series of specific questions you can only answer by doing empirical research (…)The theory, in other words (if it used correctly), is not a substitute for empirical analysis. It is an engine of analysis. It helps you see which specific questions to focus on. It helps you see how big issues (like the origins of the First World War) turn on relatively narrow problems (like what Russia calculated about Britain and France, and how that affected its behavior in the crisis). It thus helps you develop a sense for the 'architecture' of the historical problem you are concerned with and helps you see how you can go about dealing with it. It thus play a crucial role in the development of an effective research strategy". (Trachtenberg, 2006, 31). Siempre hay un riesgo presente: al enamorarse de una teoría podemos forzar la evidencia para que se adapte a ella. Pero, éste es un riesgo manejable. Lo importante de pensar el problema de investigación desde una cierta perspectiva teórica es que ésta, en primera instancia, ayuda a focalizar las preguntas. Y es a partir de este foco que la evidencia comienza a tener sentido. En palabras del autor: "As you deal with a particular historical problem, you are constantly trying to see how things fit together. You never want to interpret history as just a bunch of events strung together over time. Your goal instead is to understand the logic that underlies the course of events. And it's in that context that theoretical notions come into play" (Trachtenberg, 2006, 32). El segundo punto que Trachtenberg establece con relación a la importancia de la teoría en la investigación en historia de las Relaciones Internacionales es que la misma ayuda a forjar una hipótesis guía sin la necesidad de hacer un gran esfuerzo en el estudio de la documentación sobre el asunto. Esta posibilidad, la de tener una hipótesis guía antes de zambullirse de lleno en el estudio del problema, tiene dos grandes valores. Primero permite discriminar qué es evidencia y qué no lo es. Por tanto, ayuda al investigador a economizar esfuerzos y concentrarse en los materiales empíricos que son importantes para responder su pregunta. En segundo lugar, una hipótesis es una de las herramientas más importante que posee el investigador al momento de analizar los datos recolectados. Los datos resultan sorprendentes sólo si los contrastamos explícitamente contra ciertas hipótesis iniciales. Al tratar de explicar la distancia entre lo esperado y lo encontrado en el terreno es que surge la posibilidad de "descubrir" la realidad tras las apariencias, o si se quiere, de aproximarse a la lógica oculta detrás de los hechos. Robert Jervis (citado por Trachtenberg) lo establece claramente de la siguiente manera: "Without a theory, you can´t be surprised by anything –i.e., events are surprising because they do not feet our expectations, and these can only come from implicit or explicit theories. People sometimes think that not being surprised is evidence for a great deal of knowledge; in fact, it is the reverse. People who know nothing cannot be surprised by anything" (Trachtenberg, 2006, 38).El historiador en acción. Para realizar investigación histórica, el investigador puede seguir (según Trachtenberg) dos caminos tradicionales: estudiar lo que otros historiadores han dicho sobre el problema de interés (fuentes secundarias) o ir directamente a las fuentes primarias del asunto (documentos, correspondencia diplomática, archivos gubernamentales, etc.). En los capítulos 3 y 5 el autor aborda por separado ambos caminos de investigación sugiriendo cómo proceder con la literatura y cómo trabajar con los documentos. Debido a que el autor considera que buena parte de las investigaciones históricas realizadas por investigadores de Relaciones Internacionales utilizan más fuentes secundarias que primarias, la discusión metodológica es complementada con un capítulo (el número 4) dedicado enteramente a mostrar cómo hacer un trabajo de investigación basándose exclusivamente en el análisis crítico de fuentes secundarias. Repasaremos aquí alguno de los principales consejos en el manejo de fuentes secundarias y primarias. La forma de proceder respecto a fuentes secundarias puede resumirse, según el autor, de la siguiente manera: Hallar el argumento. Se trata de encontrar cuál es la tesis que sostiene el autor sobre el problema de interés, para Trachtenberg se resume en la siguiente pregunta: "¿qué es lo que el autor que estamos leyendo nos quiere hacer creer?". Encontrar el argumento es una habilidad que se desarrolla con el tiempo. Sin embargo, Trachtenberg hace algunas recomendaciones muy útiles: leer selectivamente (privilegiando en esta etapa la lógica del argumento antes que la evidencia empírica que soporta al mismo), prestar especial atención a título, subtítulo, títulos de capítulos o secciones de interés para el trabajo que está realizando el lector, introducción, conclusiones, el primer y último párrafo del libro o artículo, el primer y último párrafo de cada capítulo o sección. Preguntarse por la lógica del argumento (y su cohesión a lo largo del texto). Una vez que se posee la estructura del argumento del autor que se está leyendo, el lector puede dedicarse a una lectura "activa" del conjunto del trabajo. Una lectura "activa" es una lectura orientada por preguntas específicas acerca del argumento y sus fundamentos. Esta condición es clave para desarrollar una lectura crítica de los materiales de investigación que han producido otros. Cuando se analiza la lógica de un argumento el lector debe responderse la siguiente pregunta: ¿las diferentes afirmaciones que hace el autor sobre el problema encajan o se disparan hacia direcciones disímiles? Preguntarse por la evidencia brindada para defender el argumento. Cuando se analiza el soporte empírico de un argumento el lector debe preguntarse: ¿la evidencia presentada permite probar las afirmaciones que hace el investigador sobre el problema? ¿hay evidencia presentada en el texto que permita dudar de las afirmaciones realizadas por el autor? Estos consejos promueven en el investigador el empleo de una lectura activa y crítica cuya consecuencia es desarrollar poco a poco una perspectiva propia sobre el problema de interés. En mi propia experiencia como profesor en Seminarios de investigación para tesistas he podido comprobar las dificultades que genera en el alumno el no poseer una metodología para interactuar críticamente con los materiales producidos por historiadores. La tendencia es a creer que el historiador está en lo cierto (¡por algo es historiador, por algo publicó un libro!), a no dudar ni cotejar afirmaciones versus información. Por tanto, es altamente recomendable prestar atención a estos consejos. Pero además, el libro de Trachtenberg no se limita a enunciar fórmulas, describe pacientemente, con múltiples ejemplos, cómo usar sus consejos. Respecto al manejo de fuentes primarias, los consejos de Trachtenberg se dividen en dos grandes tópicos: principios generales útiles para guiar la búsqueda y utilización de documentos; tips para evaluar la validez de la evidencia recolectada en documentos. En los principios generales de búsqueda de fuentes primarias Trachtenberg muestra su fuerte inclinación hacia el realismo (en teoría de Relaciones Internacionales). Para el autor, la disciplina tiene que ver con el estudio del conflicto entre Estados. Basado en esta idea recomienda ubicar las fuentes teniendo en mente las siguientes preguntas a la manera de guía: ¿Qué quería obtener cada Estado en el conflicto? ¿Qué tipo de política estaba persiguiendo? ¿En qué clase de perspectiva ideológica está enraizada dicha política? ¿Qué acciones efectivamente emprendió cada Estado? ¿Cómo reaccionaron los otros Estados a las acciones tomadas por sus contrapartes? El objetivo de responder a estas preguntas es tratar de construir una narrativa histórica que tenga un objetivo preciso: intentar reconstruir qué fue lo que ocurrió. Determinar, en palabrasdelautor: "What (…) is the basic story here? And by 'story' I mean not just a mindless chronicle of all the different things that happened. I mean a story with some sort of causal structure –a story that gives some sense for why things took the course they did, for how we get from point A to point B" (Trachtenberg, 2006, 141). El objetivo central de este trabajo tiene que ver con la búsqueda activa de preguntas, cada vez más focalizadas, que permitan al investigador estudiar problemas concretos y no perderse en una colección de hechos sin sentido. Porque ante todo, la investigación histórica debería responder a problemas llamativos o desconcertantes acerca del fenómeno de interés. ¿Cómo realizar esta tarea? Trachtenberg sugiere comenzar estudiando fuentes que permitan detectar los grandes momentos, las grandes decisiones que constituyen los hitos del fenómeno de interés. Para ello, recomienda trabajar en dos frentes: leer cronológicamente las fuentes diplomáticas y leer prensa (diarios y revistas) del período de interés. Este primer acercamiento sugiere los hitos, el paso subsecuente es entender el pensamiento que está detrás de quienes tomaron las grandes decisiones. Para ello es necesario leer documentos que registren el pensamiento de los hombres y mujeres clave en la toma de decisiones. Una primera tarea es ubicar documentos ya sea gubernamentales o partidarios en los que esté registrada la perspectiva sobre el problema que mantenían los principales actores. Una segunda tarea puede ser ubicar documentos personales de los involucrados, como ser memorias. Al realizar esto es necesario tener presente que en tanto evidencia los registros de discusiones a nivel gubernamental o partidario tienen un valor diferente que las memorias publicadas por los involucrados. En estas últimas los autores se dirigen al gran público y por tanto la selección de ideas y hechos está sujeta a la imagen que el autor quiere dejar sobre sí mismo para la posteridad. Un nivel más de profundización en el hecho histórico de interés es realizar trabajo de archivo. Este punto es abordado con profundidad por el autor, a lo largo del libro y en los apéndices. Por último, los consejos sobre la validación de información son muy útiles para quien se inicia en la investigación histórica. Sobre todo porque el autor sabe mostrar cómo la aplicación de criterios de sentido común puede ayudar a discriminar la validez de cierta información cuando no se tiene a disposición una opinión autorizada. Al respecto, ejemplifica el autor: "suppose, for example, you see President Eisenhower talking about the need for America to pull out of Europe and for Europe to become an independent force in world affairs. How can you tell if such comments are to be taken seriously? For one thing, you see him talking in that vein over and over again, in all kinds of situations and to all kinds of people, before he became president, throughout his presidency, and after he left office. You see him at times making that point quite passionately. You work out what implications of that sort of thinking would have had to be if the president were serious about it, and you look to see what was actually done. You do this sort of work and draw whatever conclusions you think are appropriate" (Trachtenberg, 2006, 156-157). Una afirmación polémica del autor es que siempre hay que preferir los documentos a las entrevistas personales (con los partícipes en el problema que se está investigando). En este punto, es cierto que las personas pueden adecuar su relato a sus intereses, también es cierto que la memoria es falible y el recuerdo selectivo. Pero también es cierto que es posible contraponer lo dicho por un entrevistado con lo que otros partícipes han declarado y de esta forma validar la información. Por tanto, y dependiendo de los objetivos de la investigación y de los materiales disponibles, las entrevistas pueden ser una valiosa fuente de información. Comentarios finales. Marc Trachtenberg ha escrito un libro valioso, más allá de las críticas que se le puedan hacer a su enfoque. Es inevitable escribir desde una cierta perspectiva sobre temas metodológicos (por mucho que las editoriales se esfuercen en producir manuales políticamente correctos). Es claro que el autor tiene un enfoque epistemológico determinado y que el mismo es discutible (como lo son todos), es claro que tiene un sesgo hacia el Realismo, es claro que privilegia la historia diplomática sobre otras variantes de historia importantes en Relaciones Internacionales, etc. Sin embargo, ninguno de estos sesgos le quita valor al conjunto de consejos metodológicos que hace el autor sobre cómo focalizar y ejecutar una investigación histórica.Bibliografía. GRAVES, Robert. 1996. [1934]. Yo, Claudio. Altaya, Barcelona. LITTLE, Daniel. 1991. Varieties of social explanation: An Introduction to the Philosophy of Social Science. Colorado: Westview Press. TRACHTENBERG, Marc. 2006. The craft of international history. A guide to method. Princeton University Press, New Jersey. (1) Para conocer el perfil del autor ver: http://www.polisci.ucla.edu/people/faculty-pages/marc-trachtenberg/ Lo más interesante de este link es que si se entra al Curriculum vitae de Trachtenberg es posible descargarse los dos primeros capítulos del libro que estamos reseñando y los dos apéndices. (2) Marc Trachtenberg. 2006. The craft of international history. A guide to method. Princeton University Press, New Jersey.(3) Para leer una crítica de este libro desde la perspectiva de académicos de Relaciones Internacionales es recomendable leer la siguiente mesa redonda: http://www.h-net.org/~diplo/roundtables/PDF/CraftofInternationalHistory-Roundtable.pdf(4) Para una exposición breve del covering law model de Hempel ver mi artículo "¿Para qué sirve la Historia? Los usos de la Historia en las ciencias sociales". Revista digital "Letras Internacionales", FACS, Universidad ORT. Disponible en: http://www.ort.edu.uy/facs/boletininternacionales/contenidos/117/baudean117.html. En dicho artículo también se refiere literatura ampliatoria sobre el tópico.(5) Giuseppina D'oro resume la concepción de Collingwood de la siguiente manera: "the subject matter of history, understood as a science of the mind, is actions--actions understood not simply as the doings of human beings but of human beings in so far as they are rational. Actions, in the sense in which they constitute the subject matter of historical investigation have an 'inside' that events lack. To explain an event all we need to do is to subsume it under a general law that is obtained by inductive generalization, through the observation of repeated events of type B following events of type A. In order to understand an action, by contrast, we need to render it intelligible by reconstructing the thought processes that inform it. Whereas in event-explanations the relation between the explanans and the explanandum is empirical, in action-explanations the relationship between the explanans and the explanandum is a logical or conceptual relation. To explain an action is not to look for an antecedent condition that, together with a general empirical law, explains the occurrence of an event, it is rather to look for the motive that renders behaviour intelligible and as such more than mere behaviour."Tomado de Stanford Encyclopedia of Philosophy. Disponible en: http://plato.stanford.edu/entries/collingwood/#HisStuMin Consultado el 26/06/12.(6) Quien desee profundizar en las tesis constructivistas y sus implicaciones puede leer dos obras escritas recientemente sobre el tema por eminentes filósofos: John Searle. 1997. La construcción de la realidad social. Paidos. Barcelona. Ian Hacking. 2001. ¿La construcción social de qué? Paidós, Madrid.(7) El diálogo es ficticio, pero Tito Livio y Polión son personajes históricos que fueron contemporáneos. No se conservan las obras de Polión pero se sabe que fue crítico con los trabajos de Tito Livio por las razones que aparecen en el diálogo imaginado por R. Graves.(8) Para conocer de manera simplificada los argumentos de Stinchcombe sobre los usos de la historia en sociología ver mi artículo "¿Para qué sirve la Historia? Los usos de la Historia en las ciencias sociales", ya citado. Sobre el autorProfesor de Fundamentos de la Investigación Social, Métodos de Investigación y Taller de Monografía. Dpto. de Estudios Internacionales. FACS, Universidad ORT Uruguay. (ma.baudean@gmail.com)

Este trabajo analiza la manera cómo España construyó, a finales del siglo XIX, una imagen de nación moderna fundamentada en la conciencia de un pasado glorioso, el del descubrimiento de América o del Nuevo Mundo. La atención se enfoca en el análisis de la participación del país ibérico en las Exposiciones Históricas (EH) que tuvieron lugar en Madrid, en 1892, precisamente en el marco de la celebración del IV centenario de dicho suceso. Evento de gran trascendencia para la coyuntura política española de fin de siglo, caracterizada por la profunda crisis que había dejado la pérdida de supremacía sobre la mayor parte de sus antiguas colonias en el continente americano. No es gratuito, pues, que en este contexto se asista a una especie de competencia, entre tres naciones, por conseguir el predominio de la conmemoración. Italia, por ser la cuna de Cristóbal Colón; España, por haber apoyado de forma decida el proyecto colombino; y, Estados Unidos, por considerarse heredera directa de la civilización occidental. En las tres, los eventos expositivos constituirán el eje central de la celebración. Para el caso de España, tras una primera iniciativa, en 1888, de celebrar una exposición de carácter universal -como la inaugurada ese mismo año en Barcelona-, en 1891 se decanta por la realización de dos, de carácter histórico e internacional, "detenidas en el siglo XVI". A diferencia de las ferias mundiales, donde primó el sello arquitectónico que le otorgó cada nación, en las EH a cada nación le será asignada una o varias salas dentro del Palacio de Biblioteca y Museos Nacionales, inaugurado para la ocasión. El piso principal albergará a la Histórico-Europea (HE), proyectada con el propósito de mostrar los testimonios históricos y de las artes provenientes de aquella época y conservados por los países europeos. La planta baja, acogerá a la Histórico- Americana (HA), que busca dar cuenta del estado de desarrollo alcanzado por los pueblos americanos al momento de la llegada de los españoles. De esta manera, las EH se convierten en las más importantes de su género, no sólo en ámbito español de la segunda mitad del siglo XIX sino de todo el orbe. La primera, por reunir objetos de carácter histórico y artístico de varias naciones europeas, pero especialmente de la anfitriona; la segunda, por exponer por primera vez, y a la vista de Europa y el mundo, el panorama de las culturas prehispánicas conocidas hasta ese entonces, algo que no habían logrado ni siquiera los Congresos Internacionales de Americanistas. En ellas, pues, se hace imposible separar lo histórico, cultural, artístico o científico, de sus implicaciones políticas. No es de extrañar, pues, que España hiciera un despliegue de la gran riqueza de su patrimonio histórico-artístico y de material americano, acumulando durante siglos por la casa real y la nobleza; los museos, archivos y bibliotecas; la iglesia; y, los coleccionistas privados, en su mayoría pertenecientes a la aristocracia y a la naciente burguesía. Es, precisamente, la participación de España en estas EH la que interesa en esta investigación, pues tuvo presencia en las dos. En la HE ocupará la mayor parte de los salones que la conformaban, a través de una gran una gran variedad material bibliográfico y documental, pinturas de reconocidos artistas, piezas de arte decorativo, mobiliario litúrgico, tapices y, sobre todo, objetos de valor histórico que hacían alusión a hechos o personajes destacados del devenir nacional, entre los siglos XV y XVII. Por su parte, en la HA, participa con documentación y material arqueológico fruto de su presencia, por más de tres siglos, en territorio americano. De tal manera que, el estudio de dicha participación constituye un prisma privilegiado de observación de sus implicaciones políticas y culturales. El trabajo se divide en cinco partes, cada una de ellas dividida en dos capítulos. La primera aborda, por una parte, los postulados que rigieron las políticas del recuerdo asumidas por Italia, Estados Unidos y España, los tres países que, a uno y otro lado del Atlántico, asumieron la delantera en la celebración del IV centenario del descubrimiento de América (IV centenario); por otra, analiza los sentidos divergentes que adoptaron las exposiciones que, como eventos centrales de la conmemoración, se proyectaron en cada una de dichas naciones, haciendo énfasis en el proceso de delimitación de la naturaleza de las circunscritas para el caso español. En la segunda, emprende el acercamiento al contexto específico del país ibérico, explorando cómo una retórica visual concreta, la relacionada con la iconografía colombina, coloca la figura de Colón y el suceso del descubrimiento al servicio de la imagen de España como nación imperial, en la que confluirán una serie de prácticas del recuerdo circunscritas no solo a la pintura de historia sino al espacio público y a la industria editorial. La tercera, pone el foco de atención en el complejo exhibicionario que tuvo lugar en Madrid en 1892 que muestran, de alguna manera, una jerarquización de imaginarios nacionales en torno a la historia, las artes, la arqueología y la industria. En primera instancia, aborda los proyectos expositivos distintos a las EH, tales como la Exposición Internacional de Bellas Artes, la Escolar y el Certamen de labores, así como pequeñas iniciativas de diversa índole; para luego centrarse en las EH, especialmente en los difusos límites que acompañó el proceso de delimitación de su denominación y naturaleza, y cómo esta situación se exteriorizó en el discurso museográfico que ellas desplegaron. Las dos últimas partes asumen un estudio pormenorizado de la participación de España en las EH. La cuarta, analiza su presencia en la EHA, mostrando cómo dicha participación se inscribe en el contexto geopolítico colonial finisecular abordando, en primer lugar y de manera general, la presencia en dicha exposición de otras naciones que disputan este contexto imperial, en sus múltiples aristas, como Portugal, Dinamarca, Noruega, Francia y los Estados Unidos. En segundo lugar, se examinan las instalaciones de España, que exhibirán material de minería y objetos etnográficos procedentes, especialmente, de las que aún eran sus colonias; así como antigüedades precolombinas conservadas en sus museos. La quinta, explora las implicaciones políticas e históricas que subyacen bajo el propósito de configurar una unidad nacional que subraya la continuidad histórica entre los reyes católicos y la España finisecular en crisis, en la que confluyen: monarquía, instituciones estatales, iglesia y coleccionistas particulares. Así, en primera instancia se estudia el despertar de una conciencia imperial basada en la posesión de un patrimonio histórico y artístico por parte de la casa real; museos, bibliotecas y archivos estales; y, la iglesia católica. Por último, se explora el papel que desempeñaron las colecciones particulares, especialmente de aristócratas, en la ratificación de una línea de tiempo entre los reyes católicos y los soberanos del siglo XIX. En un intento de España por recuperar la credibilidad de un gobierno finisecular en crisis, tanto a nivel interno como hacia el exterior, su participación en las EH fue concebida, dado su alcance ibérico, americano y europeo, como una estrategia política para afirmar y consolidar su lugar como una nación con conciencia imperial; una táctica de visibilización para combatir tres frentes geopolíticos diferenciados. Por una parte, el europeo, en el que predominaba la historiografía de la decadencia expresada en la Leyenda Negra; por otra, el norteamericano, que se proyecta como una nueva potencia que puede desplazar su protagonismo en Hispanoamérica; y, por último, las recién independizadas naciones americanas que, al estar definiendo sus referentes identitarios, y ante las cuales convenia estrechar los lazos que la unían a ellas. De tal manera que, la actualización de una conciencia imperial adquiere, en la coyuntura centenarista, una dimensión enfocada en nuevas formas de colonización, desde el ámbito cultural e histórico, liderado por el movimiento hispanista, en el que historia, raza y religión compartidas, a uno y otro lado del Atlántico, se resignifican como los estandartes de una nación con conciencia imperial. La investigación permitió inferir que, en términos de patrimonialización de un pasado glorioso, se llevó a cabo una diferenciación entre el material de origen europeo, convertido ahora en argumento del grado de civilización alcanzado por España durante la Edad Moderna, expuesto en la EHE; y, el material americano, que adquiere la connotación de prueba y trofeo, exhibido en la EHA. En este contexto, el espectacular despliegue de España en las EH, a través de colecciones históricas, artísticas y de arqueología americana, contribuyó al proceso de patrimonialización de un pasado imperial que, después de cuatro siglos y a través de sus vestigios, ratificaba el aporte del país ibérico a la expansión de la civilización occidental. Logrando unir, como nunca antes, a diferentes estamentos oficiales y particulares, bajo un solo objetivo, el de traer a la memoria los cimientos que sustentaron el "descubrimiento y la conquista" del continente americano. Para el gobierno, la monarquía y la nobleza constituyó un momento propicio para reevaluar su prestigio, a través de una resignificación de sus bienes patrimoniales, que implicaría un giro en su sentido de apropiación, pues se extendería del ámbito particular al nacional. Estableciendo, de esta manera, una línea de tiempo entre la época de los Reyes Católicos, suscrita a la conquista y descubrimientos en ultramar, que elevó a la corona española a la categoría de imperio, y la de la nueva era de los imperialismos de finales del siglo XIX, en la que España necesita competir para expandir su imaginario colonizador, ahora, desde lo cultural. En este propósito, los vestigios de las glorias del pasado se actualizan con el propósito proyectar un imaginario imperialista-paternalista sobre el otro americano, el de una nación con expectativa civilizadora, bajo la que subyace la noción de una raza trasatlántica, cuyos cimientos serán una historia, una lengua y una religión compartidas. ; This work analyzes the way in which Spain built, in the late nineteenth century, an image of a modern nation based on the awareness of a glorious past, that of the discovery of America or the New World. The focus is on the analysis of the participation of the Iberian country in the Historical Exhibitions (EH) that took place in Madrid, in 1892, precisely within the framework of the celebration of the IV centenary of that event. Event of great importance for the Spanish political situation at the end of the century, characterized by the deep crisis that had left the loss of supremacy over most of its former colonies in the American continent. It is not gratuitous, therefore, that in this context we should witness a kind of competition, between three nations, for the predominance of commemoration. Italy, for being the birthplace of Christopher Columbus; Spain, for having decisively supported the Columbian project; and, the United States, for considering it the direct heir to Western civilization. In all three, the exhibition events will be the central axis of the celebration. Event of great importance for the Spanish political situation at the end of the century, characterized by the deep crisis that had left the loss of supremacy over most of its former colonies in the American continent. It is not gratuitous, therefore, that in this context we should witness a kind of competition, between three nations, for the predominance of commemoration. Italy, for being the birthplace of Christopher Columbus; Spain, for having decisively supported the Columbian project; and, the United States, for considering it the direct heir to Western civilization. In all three, the exhibition events will be the central axis of the celebration. In the case of Spain, after a first initiative, in 1888, to hold an exhibition of a universal nature -such as the one inaugurated that same year in Barcelona-, in 1891 it opted for the realization of two, of historical and international character, "arrested in the sixteenth century". Unlike the world fairs, where the architectural seal awarded by each nation prevailed, in the EH each nation will be assigned one or more rooms within the Palace of Library and National Museums, inaugurated for the occasion. The main floor will house the Historical-European (HE), designed with the purpose of showing the historical testimonies and the arts from that time and preserved by European countries. The ground floor will house the Historic-American (HA), which seeks to account for the state of development reached by the American peoples at the time of the arrival of the Spaniards. In this way, the EH become the most important of its kind, not only in the Spanish field of the second half of the nineteenth century but of the whole world. The first, for bringing together objects of historical and artistic character from several European nations, but especially from the hostess; the second, for exposing for the first time, and in view of Europe and the world, the panorama of the pre-Hispanic cultures known until then, something that had not been achieved even by the International Congresses of Americanists. In them, therefore, it becomes impossible to separate the historical, cultural, artistic or scientific from their political implications. It is not surprising, then, that Spain made a display of the great wealth of its historicalartistic heritage and American material, accumulating for centuries by the royal house and the nobility; museums, archives and libraries; the church; and, private collectors, mostly belonging to the aristocracy and the nascent bourgeoisie. It is precisely the participation of Spain in these HE that is of interest in this research, since it was present in both. In the HE will occupy most of the rooms that made it up, through a great variety of bibliographic and documentary material, paintings by renowned artists, pieces of decorative art, liturgical furniture, tapestries and, above all, objects of historical value that alluded to facts or outstanding characters of the national future, between the fifteenth and seventeenth centuries. For its part, in the HA, it participates with documentation and archaeological material fruit of its presence, for more than three centuries, in American territory. Thus, the study of such participation constitutes a privileged prism of observation of its political and cultural implications. The work is divided into five parts, each divided into two chapters. The first deals, on the one hand, with the postulates that governed the policies of remembrance assumed by Italy, the United States and Spain, the three countries that, on both sides of the Atlantic, assumed the lead in the celebration of the IV centenary of the discovery of America (IV centenary); on the other, it analyzes the divergent senses adopted by the exhibitions that, as central events of the commemoration, were projected in each of these nations, emphasizing the process of delimitation of the nature of the circumscribed for the Spanish case. In the second, he undertakes the approach to the specific context of the Iberian country, exploring how a concrete visual rhetoric, related to Columbian iconography, places the figure of Columbus and the success of the discovery at the service of the image of Spain as an imperial nation, in which a series of practices of remembrance confined not only to history painting but to the public space and the publishing industry will converge. In the second, he undertakes the approach to the specific context of the Iberian country, exploring how a concrete visual rhetoric, related to Columbian iconography, places the figure of Columbus and the success of the discovery at the service of the image of Spain as an imperial nation, in which a series of practices of remembrance confined not only to history painting but to the public space and the publishing industry will converge. The third, puts the focus of attention on the exhibition complex that took place in Madrid in 1892 that show, in some way, a hierarchy of national imaginaries around history, the arts, archaeology and industry. In the first instance, it addresses the exhibition projects other than the HE, such as the International Exhibition of Fine Arts, the School and the Work Contest, as well as small initiatives of various kinds; to then focus on the HD, especially on the diffuse boundaries that accompanied the process of delimitation of their denomination and nature, and how this situation was externalized in the museographic discourse that they deployed. The last two parts assume a detailed study of Spain's participation in EH. The fourth, analyzes its presence in the EHA, showing how this participation is part of the finisecular colonial geopolitical context addressing, first and foremost, the presence in this exhibition of other nations that dispute this imperial context, in its multiple edges, such as Portugal, Denmark, Norway, France and the United States. Secondly, it examines the facilities of Spain, which will exhibit mining material and ethnographic objects from, especially, those that were still its colonies; as well as pre-Columbian antiquities preserved in its museums. The fifth, explores the political and historical implications that underlie the purpose of shaping a national unity that underlines the historical continuity between the Catholic kings and the finisecular Spain in crisis, in which they converge: monarchy, state institutions, church and private collectors. Thus, in the first instance the awakening of an imperial consciousness based on the possession of a historical and artistic heritage by the royal house is studied; museums, libraries and state archives; and, the Catholic church. Finally, it explores the role played by private collections, especially of aristocrats, in ratifying a timeline between Catholic kings and nineteenth-century sovereigns. In an attempt by Spain to recover the credibility of a finisecular government in crisis, both internally and externally, its participation in the EH was conceived, given its Iberian, American and European scope, as a political strategy to affirm and consolidate its place as a nation with imperial conscience; a tactic of visibility to combat three distinct geopolitical fronts. On the one hand, the European, in which the historiography of decadence expressed in the Black Legend predominated; on the other, the North American, which projects itself as a new power that can displace its prominence in Latin America; and, finally, the newly independent American nations that, being defining their identity referents, and before which it was appropriate to strengthen the ties that united them. In such a way that, the updating of an imperial consciousness acquires, in the centenarist conjuncture, a dimension focused on new forms of colonization, from the cultural and historical field, led by the Hispanist movement, in which shared history, race and religion, on both sides of the Atlantic, are resignified as the banners of a nation with imperial consciousness. The research allowed to infer that, in terms of patrimonialization of a glorious past, a differentiation was carried out between the material of European origin, now converted into an argument of the degree of civilization reached by Spain during the Modern Age, exposed in the EHE; and, the American material, which acquires the connotation of test and trophy, exhibited in the EHA. In this context, the spectacular deployment of Spain in the EH, through historical, artistic and American archaeology collections, contributed to the process of patrimonialization of an imperial past that, after four centuries and through its vestiges, ratified the contribution of the Iberian country to the expansion of Western civilization. Managing to unite, as never before, different official and private strata, under a single objective, that of bringing to mind the foundations that supported the "discovery and conquest" of the American continent. For the government, the monarchy and the nobility it was a propitious moment to reassess their prestige, through a resignification of their patrimonial assets, which would imply a turn in their sense of appropriation, since it would extend from the particular scope to the national one. Establishing, in this way, a timeline between the time of the Catholic Monarchs, subscribed to the conquest and discoveries overseas, which elevated the Spanish crown to the category of empire, and that of the new era of imperialisms of the late nineteenth century, in which Spain needs to compete to expand its colonizing imaginary, now, from the cultural. In this purpose, the vestiges of the glories of the past are updated with the purpose of projecting an imperialist-paternalistic imaginary on the other American, that of a nation with civilizing expectation, under which underlies the notion of a transatlantic race, whose foundations will be a shared history, language and religion.

Background: The Atlantic Forest is one, if not the most, diverse ecosystem in the planet. The Atlantic Forest contains an estimated 250 species of mammals (55 endemic), 340 amphibians (90 endemic), 1,023 birds (188 endemic), and approximately 20,000 trees, half of them endemic. Unfortunately, several of these species are currently threatened to become extinct. Amongst those, a tree species from the Araucariaceae family called Araucaria angustifolia can be found. Known as Brazilian Pine or just araucaria, this tree occupies the higher forest stratum, characterizing the landscape of the Atlantic Forest highlands, thus being considered a symbol of the Brazilian southern region. Araucaria trees are profitable regarding non-wood utilisation. The species produces a highly nutritious seed (pinhão in Portuguese), appreciated by humans and animals. There is a culturally established market around the seed, which, unfortunately, is not developed enough to allow sufficient economical return. Araucaria trees are also attractive due to its high quality and aesthetically pleasing wood, which led to its intense exploration in the 1960s and 1970s. Nowadays, the species is classified as critically endangered and is protected by law against illegal logging. However, such restrictive laws have resulted in further threat to the species. Knowing the legal difficulties to remove a grown araucaria tree from their property, landowners remove new natural saplings. Practices have been proposed to promote other sustainable uses for the species. Still, lawmakers in consort with researchers and specialists can only legislate upon detailed data regarding the species. In order to collect such paramount information throughout the species occurrence areas (approx. 200,000 km2 ), specialists face an extremely very fragmented environment, which poses operational and financial difficulties to acquire the data. Aims: The aim of this thesis was to introduce a methodology to automatically detect and measure Araucaria angustifolia in complex native forest formations in southern Brazil. The proposed methodology leverages on light detection and ranging (LiDAR) as well as high resolution aerial imagery. Normally, species mapping and measurement is conducted by combining LiDAR and spectral information (e.g. aerial, satellite or drone imagery). In this study, an analysis was performed to determine if there is, in fact, the necessity to add spectral information to map araucaria trees. Lastly, an alternative method was proposed, where no LiDAR data is required. A novel methodology was developed to detect araucarias from unmanned aerial vehicles (UAV), as an alternative to LiDAR-based methodologies. Research questions: 1. Is spectral information imperative to map A. angustifolia or LiDAR data alone is enough? 2. Can A. angustifolia trees be detected and measured in dense forest formation using Remote Sensing data? 3. If araucaria trees are detectable, can tree parameters (e.g. total height, diameter at breast height (DBH) and crown area) be acquired with reasonable accuracy? 4. Can A. angustifolia trees be detected based on their morphology, i.e. branches distribution? Study site and data: The data analysed in this thesis come from a municipality called Lages, located in the state of Santa Catarina in the Brazilian southern region. The two study sites contain fragments of the Atlantic Forest, where the target species A. angustifolia can be found with 38 and 34 ha for study site A and B, respectively. Both study sites are covered with LiDAR data with an average point density of 14 points/m2 and aerial imagery with 0.1 m spatial resolution. The datasets were collected in the same flight performed in June 2019. In addition, field data from March 2016 was available from 10 plots, each with 0.2 ha (total sampled area of 2 ha), located in site A, where all araucaria trees within the plots were measured and georeferenced. Lastly, UAV imagery with ground sample distance of 5 cm was also available for study site A, also collected in March 2016. Methodological approach: The methodology implemented in this thesis consisted mainly of two parts: (1) araucaria tree mapping and forest parameter estimation using LiDAR and aerial imagery; (2) detection of araucarias based on branch recognition from UAV imagery. 1. In order to map araucaria trees employing LiDAR and aerial imagery, a Random Forest classification was conducted. An analysis was performed to determine the efficiency of the classification when using only LiDAR data and when adding spectral information to it. Moreover, the random forest classifier was trained in site A and tested in site B. With the result of the mapping, a clipping mask was generated and used to clip the LiDAR point cloud. The clipped point cloud was assessed in terms of individual tree detection (ITD) as a means to determine the number of stems per hectare, total tree height and crown area, as well as estimate DBH. 2. A new methodology was developed as an alternative for LiDAR-based approaches. The approach consists of recognizing araucaria branches and use their orientation to determine A. angustifolia tree locations. The approach was implemented using a computer vision method called Probabilistic Hough Transform associated with other image processing techniques such as morphological filtering and image segmentation. By employing such techniques, the branches were detected as lines, which then could be used to calculate branch orientation, culminating on tree location. Results and discussion: LiDAR data is commonly used for commercial conifer tree species mapping and have been used for inventory purposes operationally in many countries such as Finland, Sweden, Canada, the United States and others. However, fewer have explored the applications of LiDAR data in complex environments such as the Atlantic Forest. The reason is mainly due to the multi layer structure in native forests and the high occurrence of tree occlusion, which affects the stems count, an important forest parameter for inventory purposes. In this study, such reasons were also noticed, even considering araucarias' crown size and the fact that the adult individuals of the species usually are located in the upper layer of the forest canopy. Nonetheless, it was possible to determine that the majority of A. angustifolia trees were successfully mapped employing LiDAR data. Moreover, there was enough statistical evidence to state that no difference was found when mapping A. angustifolia employing only LiDAR data and combined spectral information and LiDAR data. When comparing both maps derived from the Random Forest classification, it was possible to observe similar performance from both datasets. Overall accuracies of 90.8% and 89.8% were observed for sites A and B, respectively. Even though adult trees of araucaria are usually visible in the upper forest canopy, a more basic operation such as a height threshold would not be able to separate araucarias from the rest of the species. This happens since there are many other species that occupy the same height level, which could result in commission errors. Hence, a supervised classification such as RF was efficient in removing the remainder of the tree species. When addressing the stems count, after running a ITD approach using local maxima detection an overall accuracy of 73.34% was reached. That resulted in a density of 43 stems/ha, which is below the 61 stems/ha calculated from the field data. This difference in mainly due to tree occlusion, which is often observed in multi layer structure of complex natural environments such as araucaria forests. If a comparison is performed against the actual visible trees, the accuracy would be increased to 87.9%. There is still 12.1% error considering the upper visible forest canopy, which is caused by smaller trees close to dominant ones, resulting in further omissions. One of the challenges of working with LiDAR and araucarias is the species morphology. Araucarias possess a unique crown shape, commonly described in the literature as being similar to a wine glass or an inverted chandelier. However, a combination of uneven terrain and oddly shaped crowns results in a distorted normalized point cloud, which in turn, affects the total tree height generated from it. As a solution, the ITD was performed using the digital surface model (DSM) to detect the local maxima. Once the coordinate of the highest point of a tree was determined, these coordinates were used to retrieve the tree height from the CHM. As a result, the total height and crown diameter measurements reached errors of 1.44 m and 1.72 m, respectively. However, point cloud normalization was not the only probable source of variation. The field measurements were performed in March 2016, while the LiDAR data was acquired in June 2019. This represents a difference of 39 months between measurements. Evidently, adult trees are not expected to grow too much, specially when a slow-growth native species such as araucaria is concerned. Yet, this discrepancy needs to be considered when assessing the results. Hence, it was not possible to determine if the height and crown measurements were affected by the field measurements procedure (field measurement errors), the time difference between LiDAR and field data acquisitions or the methodology proposed in this study. Lastly, considering that the DBH was estimated from the total height and crown diameter, these inconsistencies are carried over to the estimates, yielding a DBH error of 9.89 cm. Araucaria trees are easy to distinguish from other tree species when observed from nadir. Due to the unique format of the species crown, a novel approach based on the branch distribution from an orthogonal view was proposed to automatically detect araucaria trees.After implementing and testing this approach, an overall accuracy of 93% was achieved. During the analysis, a difficulty index was introduced, in which trees easily distinguishable were assigned difficulty level 1 (easy), partially occluded ones received index 2 (medium) and severely occluded but still partially visible ones were assigned index 3 (hard). The highest accuracy was achieved with difficulty index 1 with overall accuracy of 98%, followed by 92% and 89% for difficulty index 2 and 3, respectively. If the difficulty index is ignored and the tree detection is assessed as a whole, an overall accuracy of 93% was reached. The methodology demonstrated to be robust, considering it relies solely on branches to determine the tree location. Nonetheless, limitations were observed with this approach. Considering that branches are the main element of this methodology, if they are not visible, trees are simply not detected. Adult araucaria trees present visible branches, which are commonly very thick (reaching up to 30 cm in diameter based on field observations). However, a high density of secondary and tertiary branches may interfere in the visibility of primary branches. Lastly, adjacent trees with branches similarly oriented also result in omissions, since they seem merged in the image, resulting in only one branch being detected. Conclusions: In this thesis, evidences demonstrated that LiDAR data can be used for A. angustifolia mapping and forest parameter estimation. Moreover, when considering the test sites addressed in this study, the addition of spectral information didn't significantly improve the mapping, leading to the conclusion that LiDAR data alone is enough for A. angustifolia mapping. Lastly, when working with native species, conventional methods might not be the best practice and approaching issues with different perspectives can yield new solutions. The new proposed method is a clear example of that. By using the species unique morphology as basis, the approach has showed promising results, which could be further improved in future research. This thesis constitutes the first study to provide an in-depth analysis on the use of LiDAR data to automatically map Araucaria angustifolia in natural dense forest formations. Moreover, considering the current situation of the species, this work contributes to a better understanding of the challenges when working with araucaria trees as well as working with complex forest structures. In addition, further work can be developed based on this study, which could provide even more accurate large-scale information to lawmakers, researchers and specialists when developing new strategies to sustainably manage the species. ; Hintergrund: Der Atlantische Wald ist eines, wenn nicht das vielfältigste ökosystem der Erde. Der Atlantische Wald beherbergt ungefähr 250 Arten von Säugetieren (55 endemisch), 340 von Amphibien (90 endemisch), 1.023 von Vögeln (188 endemisch) und etwa 20.000 von Bäume, von denen die Hälfte endemisch sind. Leider sind mehrere dieser Arten derzeit vom Aussterben bedroht. Darunter befindet sich auch eine Baumart aus der Familie der Araukariengewächse (Araucariaceae), die Araucaria angustifolia genannt wird. Dieser Baum, der als Brasilianische Kiefer oder einfach Araukaria bekannt ist, nimmt die höhere Waldschicht ein und prägt die Landschaft des Hochlandes des Atlantischen Waldes und gilt daher als Symbol der südlichen Region Brasiliens. Araukarienbäume sind hinsichtlich der Nicht-Holznutzung rentabel. Diese Baumart produziert einen sehr nahrhaften Samen (pinhão auf Portugiesisch), der von Mensch und Tier geschätzt wird. Um das Saatgut herum gibt es einen kulturell etablierten Markt, der leider nicht genügend entwickelt ist, um einen ausreichenden wirtschaftlichen Ertrag zu ermöglichen. Araukarienbäume sind auch wegen ihrer hohen Qualität und ihres ästhetisch ansprechenden Holzes attraktiv, was in den 1960er und 1970er Jahren zu ihrer intensiven Erforschung führte. Heute gilt die Baumart als kritisch gefährdet und ist gesetzlich gegen illegalen Holzeinschlag geschützt. Solche restriktiven Gesetze haben jedoch zu einer weiteren Bedrohung der Baumart geführt. Im Wissen um die rechtlichen Schwierigkeiten, einen gewachsenen Araukarienbaum von ihrem Grundstück zu schlagen, entfernen Landbesitzer neue natürliche Sämling. Es wurden Praktiken zur Förderung anderer nachhaltiger Nutzungen der Art vorgeschlagen. Dennoch kann der Gesetzgeber in Zusammenarbeit mit Forschern und Spezialisten nur auf der Grundlage detaillierter Daten über die Art Gesetze erlassen. Um solch überragende Informationen in den gesamten Vorkommensgebiete der Baumarten (ca. 200.000 km 2 ) zu sammeln, sehen sich Spezialisten mit einer extrem stark fragmentierten Umwelt konfrontiert, was operative und finanzielle Schwierigkeiten bei der Beschaffung der Daten verursacht. Ziele: Das Ziel dieser Doktorarbeit war die Einführung einer Methodik zur automatischen Erkennung und Messung von Araucaria angustifolia in komplexen einheimischen Waldformationen im Süden Brasiliens. Die vorgeschlagene Methodik stützt sich auf light detection and ranging (LiDAR) sowie auf hochauflösende Luftbilder. Normalerweise wird die Kartierung und Messung von Baumarten durch die Kombination von LiDAR und spektralen Informationen (z.B. Luft-, Satelliten- oder Drohnenbildern) durchgeführt. In dieser Studie wurde jedoch eine Analyse durchgeführt, um festzustellen, ob tatsächlich die Notwendigkeit besteht, spektrale Informationen zur Kartierung von Araukarienbäumen hinzuzufügen. Schließlich wurde eine alternative Methode vorgeschlagen, bei der keine LiDAR-Daten erforderlich sind. Als Alternative zu den LiDAR-basierten Methoden wurde eine neue Methode zur Erkennung von Araukarien aus unmanned aerial vehicles (UAV) entwickelt. Forschungsfragen: 1. Ist spektrale Information für die Kartierung von A. angustifolia zwingend erforderlich oder reichen LiDAR-Daten allein aus? 2. Können A. angustifolia-Bäume in dichter Waldbildung mit Hilfe von Fernerkundungsdaten erkannt und gemessen werden? 3. Wenn Araukarienbäume erkennbar sind, können Baumparameter (z.B. Gesamthöhe, Brusthöhendurchmesser (BHD) und Kronenfläche) mit ausreichender Genauigkeit erfasst werden? 4. Können A. angustifolia-Bäume anhand ihrer Morphologie, d.h. der Verteilung der Äste, erkannt werden? Versuchsflächen und Daten: Die in dieser Arbeit analysierten Daten stammen aus einer Gemeinde namens Lages, im Bundesstaat Santa Catarina in der südlichen Region Brasiliens gelegen. Die beiden Versuchsflächen umfassen Fragmente des Atlantischen Waldes, wo die Zielart A. angustifolia zu finden ist, mit 38 bzw. 34 ha für das Versuchsfläche A bzw. B.Beide Versuchsflächen werden mit LiDAR-Daten mit einer durchschnittlichen Punktdichte von 14 Punkten/m2 und Luftbildern mit einer räumlichen Auflösung von 0,1 m abgedeckt. Die Datensätze wurden im selben Flug gesammelt, der im Juni 2019 durchgeführt wurde. Darüber hinaus standen Felddaten vom März 2016 von 10 Parzellen mit jeweils 0,2 ha (gesamte beprobte Fläche von 2 ha) zur Verfügung, die sich an Standort A befanden, wo alle Araukarienbäume innerhalb der Parzellen gemessen und georeferenziert wurden. Schließlich waren auch UAV-Bilder mit einem Bodenprobenabstand von 5 cm für Versuchsfläche A verfügbar, die ebenfalls im März 2016 gesammelt wurden. Methodischer Ansatz: Die in dieser Arbeit implementierte Methodik bestand hauptsächlich aus zwei Teilen: (1) Kartierung von Araukarienbäumen und Schätzung von Wald-parametern mit Hilfe von LiDAR und Luftbildern; (2) Erkennung von Araukarienbäumen basierend auf der Asterkennung aus UAV-Bildern. 1. Zur Kartierung von Araukarienbäumen unter Verwendung von LiDAR und Luftbildern wurde eine Random Forest Klassifikation durchgeführt. Es wurde eine Untersuchung vorgenommen, um die Effizienz der Klassifikation bei ausschließlicher Verwendung von LiDAR-Daten und beim Hinzufügen spektraler Informationen festzustellen. Darüber hinaus wurde der Random Forest Klassifikator in Standort A trainiert und in Standort B getestet. Mit dem Ergebnis der Kartierung wurde eine Ausschnittsmaske generiert und zum Ausschnitt der LiDAR-Punktwolke verwendet. Die abgeschnittene Punktwolke wurde im Rahmen des Einzelbaumnachweises (ITD) als Mittel zur Bestimmung der Anzahl der Stämme pro Hektar, der Gesamtbaumhöhe und der Kronenfläche sowie zur Schätzung des DBH bewertet. 2. Eine neue Methodik wurde als Alternative für LiDAR-basierte Ansätze entwickelt. Der Ansatz besteht darin, Araukarienäste zu erkennen und ihre Ausrichtung zur Bestimmung der Baumposition von A. angustifolia-Bäumen zu verwenden. Der Ansatz wurde mit Hilfe einer Computer Vision Methode namens Probabilistic Hough Transformation in Verbindung mit anderen Bildverarbeitungsverfahren wie morphologischer Filterung und Bildsegmentierung umgesetzt. Durch den Einsatz solcher Techniken wurden die äste als Linien erkannt, die dann zur Berechnung der Astausrichtung bis hin zur Baumposition verwendet werden konnten. Ergebnisse und Diskussion: LiDAR-Daten werden häufig für die Baumkartierung von kommerziellen Nadelbäumen verwendet und wurden in vielen Ländern operationell für Inventurzwecke eingesetzt wie zum Beispiel Finnland, Schweden, Kanada, Vereinigte Staaten und andere. Weniger haben jedoch erkundet die Anwendungen von LiDAR-Daten in komplexen Umgebungen wie dem Atlantischen Wald. Der Grund dafür ist vor allem die mehrschichtige Struktur in einheimischen Wäldern und das hohe Vorkommen von Baumokklusion, die sich auf die Anzahl der Stämme auswirkt, ein wichtiger Waldparameter für die Inventurzwecke. In dieser Studie wurden auch solche Gründe festgestellt, sogar unter Berücksichtigung der Kronengröße der Araukarien und der Tatsache, dass sich die erwachsenen Individuen der Art normalerweise in der oberen Schicht des Walddaches befinden. Dennoch konnte festgestellt werden, dass die Mehrzahl der Bäume von A. angustifolia erfolgreich mit LiDAR-Daten kartiert wurde. Darüber hinaus bestand genügend statistischer Nachweis, um festzustellen, dass bei der Kartierung von A. angustifolia, bei der nur LiDAR-Daten und kombinierte Spektralinformationen und LiDAR-Daten verwendet wurden, kein Unterschied festgestellt wurde. Beim Vergleich beider Karten, die aus der Random Forest Klassifikation abgeleitet wurden, konnte eine ähnliche Leistung beider Datensätze beobachtet werden. Für die Standorte A und B wurden Gesamtgenauigkeiten von 90,8% bzw. 89,8% beobachtet. Obwohl ausgewachsene Araukarienbäume normalerweise im oberen Kronendach des Waldes zu sehen sind, wäre eine einfachere Operation wie eine Höhengrenze nicht in der Lage, Araukarienbäume von den übrigen Arten zu trennen. Dies geschieht, da es viele andere Baumarten gibt, die das gleiche Höhenniveau besetzen, was zu Kommissionsfehlern führen könnte. Daher war eine überwachte Klassifikation wie RF effizient, um den übrigen Baumarten zu entfernen. Bezüglich der Anzahl der Stämme, nach Durchführung eines ITD-Ansatzes mit lokaler Maxima-Erkennung wurde eine Gesamtgenauigkeit von 73,34% erreicht. Daraus ergab sich eine Dichte von 43 Stämmen/ha, die unter dem aus den Felddaten berechneten 61 Stämmen/ha liegt. Dieser Unterschied ist in hauptsächlich auf die Baumokklusion zurückzuführen, die oft in einer mehrschichtigen Struktur von komplexen natürlichen Umweltumgebungen wie Araukarienwäldern beobachtet wird. Wenn ein Vergleich mit den tatsächlich sichtbaren Bäumen durchgeführt wird, würde sich die Genauigkeit auf 87,9% erhöhen. Bei Betrachtung des oberen sichtbaren Kronendaches des Waldes, der durch leinere Bäume in der Nähe der dominanten Bäume verursacht wird, ergibt sich immer noch ein Fehler von 12,1%, der zu weiteren Auslassungen führt. Eine der Herausforderungen bei der Forschung mit LiDAR und Araukarien ist die Morphologie der Baumarten. Araukarien besitzen eine einzigartige Kronenform, die in der Literatur häufig als einem Weinglas oder einem umgekehrten Kronleuchter ähnlich beschrieben. Allerdings ist eine Kombination aus unebenem Gelände und unregelmäßig geformten Kronen führt zu einer verzerrten normalisierten Punktwolke, die sich folglich auf die daraus generierte Gesamthöhe des Baumes auswirkt. Als Lösung wurde das ITD mittels des digitalen Oberflächenmodells (DSM) durchgeführt, um die local maxima zu ermitteln. Nach der Bestimmung der Koordinaten des höchsten Punktes eines Baumes wurden diese Koordinaten verwendet, um die Baumhöhe aus dem CHM abzurufen. Infolgedessen ergaben die Messungen der Gesamthöhe und des Kronendurchmessers Fehler von 1,44 m bzw. 1,72 m. Die Normalisierung der Punktwolken war jedoch nicht die einzige wahrscheinliche Quelle von Abweichungen. Die Feldmessungen wurden im März 2016 durchgeführt, während die LiDAR-Daten im Juni 2019 erfasst wurden. Dies entspricht ein Unterschied von 39 Monate zwischen den Messungen. Offensichtlich wird von erwachsenen Bäumen nicht erwartet, dass sie zu viel wachsen, besonders wenn es sich um eine langsam wachsende einheimische Baumart wie die Araukarien handelt. Diese Abweichung muss jedoch bei der Bewertung der Ergebnisse berücksichtigt werden. Daher war es nicht möglich festzustellen, ob die Höhen- und Kronenmessungen durch das Feldmessverfahren (Feldmessfehler), die Zeitdifferenz zwischen LiDAR und Felddatenerfassung oder die in dieser Studie vorgeschlagene Methodik beeinflusst wurden. Letztendlich da die BHD aus der Gesamthöhe und dem Kronendurchmesser geschätzt wurde, werden diese Abweichungen auf die Schätzungen übertragen, was einen BHD-Fehler von 9,89 cm ergibt. Araukarienbäume sind einfach von anderen Baumarten zu unterscheiden, wenn sie von Nadir aus beobachtet werden. Aufgrund des einzigartigen Kronenformats der Baumart wurde ein neuartiger Ansatz vorgeschlagen, der auf der Astverteilung aus orthogonaler Sicht basiert, um Araukarienbäume automatisch zu erkennen. Nach der Implementierung und dem Testen dieses Ansatzes wurde eine Gesamtgenauigkeit von 93% erreicht. Beider Analyse wurde ein Schwierigkeitsindex eingeführt, bei dem leicht unterscheidbare Bäume der Schwierigkeitsstufe 1 (leicht) zugeordnet wurden, teilweise okkludierte erhielten den Index 2 (mittel) und stark okkludierte, aber noch teilweise sichtbare Bäume den Index 3 (hart). Die höchste Genauigkeit von 98% wurde beim Schwierigkeitsindex 1 erreicht, gefolgt von 92% und 89% beim Schwierigkeitsindex 2 und 3. Wenn man den Schwierigkeitsindex ignoriert und die Baumerkennung als Ganzes bewertet, wurde eine Gesamtgenauigkeit von 93% erreicht. Die Methode erwies sich als robust, da sie sich zur Bestimmung des Baumstandortes ausschließlich auf äste stützt. Trotzdem wurden bei diesem Ansatz Einschränkungen beobachtet. Da die äste das Hauptelement dieser Methodik sind, wenn sie nicht sichtbar sind, werden Bäume einfach nicht erkannt. Ausgewachsene Araukarienbäume weisen sichtbare Äste auf, die in der Regel sehr dick sind (bis zu 30 cm Durchmesser, basierend auf Feldbeobachtungen). Eine hohe Dichte von sekundären und tertiären ästen kann jedoch die Sichtbarkeit der primären äste behindern. Schließlich führen auch benachbarte Bäume mit ähnlich orientierten ästen zu Auslassungen, da sie im Bild verschmolzen erscheinen, so dass nur ein Ast erkannt wird. Schlussfolgerungen: In dieser Arbeit wurde nachgewiesen, dass LiDAR-Daten für die Kartierung von A. angustifolia und die Schätzung von Waldparametern verwendet werden können. Darüber hinaus hat die Hinzufügung von Spektralinformationen bei der Betrachtung der in dieser Studie behandelten Versuchsflächen die Kartierung nicht signifikant verbessert, was zu der Schlussfolgerung führt, dass LiDAR-Daten allein für die Kartierung von A. angustifolia ausreichen. Letztlich, wenn es um die Arbeit mit einheimischen Baumarten geht, sind konventionelle Methoden möglicherweise nicht die beste Praxis, und die Herangehensweise an Probleme mit unterschiedlichen Perspektiven kann zu neuen Lösungen führen. Die neue vorgeschlagene Methode ist ein klares Beispiel dafür. Durch die Verwendung der einzigartigen Morphologie der Baumart als Grundlage hat der Ansatz vielversprechende Ergebnisse gezeigt, die in der zukünftigen Forschung weiter verbessert werden könnten. Diese Doktorarbeit stellt die erste Studie dar, die eine vertiefte Analyse über den Einsatz von LiDAR-Daten zur automatischen Kartierung von Araucaria angustifolia in natürlichen dichten Waldformationen liefert. Außerdem trägt diese Arbeit, unter Berücksichtigung der aktuellen Situation der Baumart, zu einem besseren Verständnis der Herausforderungen bei der Arbeit mit Araukarienbäumen sowie bei der Arbeit mit komplexen Waldstrukturen bei. Darüber hinaus können auf der Grundlage dieser Studie weitere Arbeiten entwickelt werden, die Gesetzgebern, Forschern und Spezialisten bei der Entwicklung neuer Strategien zur nachhaltigen Bewirtschaftung der Baumart noch genauere Informationen in großem Maßstab liefern könnten. ; dados LiDAR são suficientes para o mapeamento de A. angustifolia. Finalmente, quando se trabalha com espécies nativas, os métodos convencionais podem não ser a melhor prática e abordar problemas com perspectivas diferentes pode gerar novas soluções. O novo método proposto é um exemplo claro disso. Utilizando a morfologia única da espécie como base, a abordagem mostrou resultados promissores, que poderiam ser melhorados ainda mais em pesquisas futuras. Esta tese constitui o primeiro estudo a fornecer uma análise aprofundada sobre o uso de dados LiDAR para mapear automaticamente Araucaria angustifolia em formações florestais naturais densas. Além disso, considerando a situação atual da espécie, este trabalho contribui para uma melhor compreensão dos desafios ao trabalhar com araucárias, bem como ao trabalhar com estruturas florestais complexas. Além disso, mais pesquisas podem ser desenvolvidas com base neste estudo, as quais poderiam fornecer informações ainda mais precisas em larga escala a legisladores, pesquisadores e especialistas, auxiliando no desenvolvimento de novas estratégias para administrar a espécie de forma sustentável.

To make a summary of a book that contains so many different threads is no easy task. One should, on the one hand, refer to its conceptual contribution to the paradigm of sustainable agriculture, and on the other hand, consider the conclusions drawn from the studies conducted at international, national and regional level. It is clear that changing the paradigm of agricultural development from an industrial to a sustainable one will be neither easy nor quick. Agriculture must satisfy the demand for food products while lowering the pressure on the environment, providing for technological and biological progress, meeting the need to ensure a secure supply of food, and ensuring global economic, social and environmental rationality. The discussion in this book has concentrated chiefly on the last two questions. This is because certain dimensions of environmental and social rationality have so far been poorly researched. Environmental rationality means not only protecting the natural environment and reducing the pressure placed on it by agricultural production. The authors have pointed out that the assumption of an intrinsic value of land changes the expected productivity of capital in the sectors which utilise that production factor, namely in agriculture. This has far-reaching theoretical and practical consequences. The statistical data that have been presented demonstrate that utilities are discounted in Polish land prices to a much greater degree than would result from the agricultural functions of land. A similar situation is found in other EU countries. Where does this excess value of land come from? It is undoubtedly a result of the expectations of political rents, of speculative motives, and also of non-agricultural amenities provided by land. However, it is hard to determine the proportions of these factors. Moreover, new utilities of land have the nature of public goods, which further complicates the problem of seeking a market equilibrium. Similarly, recognition of the fact of the absolute and relative deprivation of farmers in the long term changes the balance of intersectoral flows, because it means a drainage of surplus from agriculture to other branches of agribusiness. This drainage is understood as a permanent mechanism by which economic rent flows out of agriculture as a result of market imperfections, in particular the flexible prices of agricultural products. More space should be given to studies of this problem in the world literature. 135 Poznan University of Economics and Business, anna.matuszczak@ue.poznan.pl Summary: Political Rents and the European Model of Agriculture 239 The second thread of the theoretical considerations relates to the problem of whether the concept of political rent, as found in the literature, fits the processes taking place in European agriculture. A review of the literature on rent seeking suggests that these theories provide only a partial explanation of the level of political rents and lobbying actions in European agriculture. Although there is a vast theoretical literature on rent seeking and collective action at global level, there is not much empirical work done with regard to these problems relating to the Common Agricultural Policy. Particularly problematic is the question of measuring political rents in particular EU member states. It has been found that, on a global level, it is European agriculture that best meets the criteria of viability and sustainability. Viewed against the backdrop of global agriculture, it is economically effective (in the institutional conditions guaranteed by the CAP), satisfies a variety of economic and social needs, and is developing in a way that reduces the burden on the environment. In 2012, based on the results of social consultations, the European Commission published a strategy and plan of action relating to the bioeconomy in Europe. The strategy creates a cohesive framework for a comprehensive approach to the solution of complex social problems (challenges) in Europe and worldwide. The measures undertaken with respect to the bioeconomy are focused on three pillars: investment in research, innovations and skills; strengthening the impact of the policy and engagement of interested parties; and strengthening competitiveness in sectors of the bioeconomy. The bioeconomy strategy represents an important step towards solving contemporary economic and social problems. The model of the development of agriculture in the EU can thus be considered an appropriate path to be followed in relatively densely populated countries, in which food producing area per capita is small. However, does this model require institutional support and the payment of political rents? The question arises as to whether these are in fact political rents, if in return society receives a package of specified benefits, and there is a net increase in social well-being. Empirical analyses have shown that up to the mid 1980s the level of support for agriculture in the EU (measured by the NRA indicator) was constantly increasing. The decline in support in subsequent years was maintained by payments of the decoupled type. Based on NRA values it can be concluded that nominal support in 2011 was at a level comparable to that recorded prior to the creation of an organisation of agricultural markets, that is, before 1962. This means that the CAP is distorting world prices to an ever smaller degree, and agricultural producers are losing their competitive advantages (although to differing extents). An important observation is the fact that, although the CAP applies to all member states, the level of support varies between those countries. In 2005-2011 it was the highest in Ireland, Slovenia, Poland, Belgium and the UK, and the lowest in Italy and Bulgaria. This observation 240 Summary: Political Rents and the European Model of Agriculture is confirmed by a second indicator constructed for the purposes of this research by the authors of Chapter 2.3 – the Farm Receipts Gap Estimate (FRGE). Despite the fact that in principle agricultural policy has a universal application, the amount of financial support given to agricultural producers measured as a percentage of gross farm receipts is not uniform between countries, with differences as high as 17 percentage points in 2012136 (cf. Table 2.4.). We should add that, according to the OECD, the value of the PSE for the whole of the European Union is 22.6% (of gross receipts). The differences between the PSE and the FRGE result partly from the methodology used for calculation. Most importantly, however, the FRGE shows how little uniformity there is across the EU in terms of support for agricultural producers in different countries. The differences are even more marked when we consider the contribution of pure political rent137 to the revenue of producers in various countries. In the Netherlands this contribution is just 4.3%, while for Ireland it is 25.8% (although the highest value, 28.7%, is recorded in Finland; cf. Table 3.12.). These data also demonstrate one more thing: that the PSE should not be used as a measure of political rents, because it significantly overstates them. The mechanisms shaping the structure of transfers in the selected countries also exhibited clear differences. This applies in particular to the two main streams of transfers: from taxpayers to producers and from consumers to producers. There has also been a gradual change in the structure of support, away from consumer transfers towards taxpayer transfers. This has resulted both from changes taking place in the global economy and the rise in prices of agricultural products, as well as from transformations in agriculture's role in the economy. A key part of the book proved to be Part 3, which presents the concept and the effects of long-term surplus drainage from agriculture under the various support models applied in the EU as regards equivalent payments (for specific public goods) and the different models for the taxation of agriculture. The analysis leads to what are called pure political rents, being what remains when the value of the aforementioned flows (drainage and net subsidies for public goods) is deducted from the sum of CAP subsidies. It should be noted that only rents calculated in this way meet the definition of political rent found in the public choice theory. Another important thread in this discussion concerns price fluctuations and their consequences. Agriculture is characterised by a high variability of prices in particular markets, which leads to adjustments of supply. This reaction is not always as described by neo-classical concepts – the spider's web and King's effects. Farmers' expectations in different countries may be more or less adaptive, and are sometimes 136 From 19.99% in the Netherlands to 36.96% in Ireland. 137 After adjusting the support by that part the receipt of which is conditional on the supply of specified public goods, and by the value of long-term drainage resulting from market failures. Summary: Political Rents and the European Model of Agriculture 241 rational. This depends on the degree of horizontal and vertical integration of sale channels, and on access to information. This price variability leads to unexpected flows of economic surplus into and out of agriculture, and in the authors' view, this produces a drainage effect in the long term. In response, there is a fluctuation in economic activity and in the economic situation in agriculture. This process is not uniform, however, and varies between different EU countries, as the authors observe. They propose an economic indicator based on surplus flows as a result of price fluctuations, based on an input-output table. The largest fluctuations were recorded in such countries as Germany, Denmark, the Czech Republic, Slovakia, Estonia and Lithuania. At the other extreme (with the smallest amplitudes of variation) are Portugal, Greece, Cyprus and Malta. At the same time, the value of the computed indicator determined the changes in farms' output and receipts, although in some countries this was a concurrent response, while in others it was delayed. This partly confirms the hypothesis that the outflow of economic rent from agriculture means a drop in productive activity, and vice versa (in some cases, however, such as in Poland, the response was delayed – recalling the spider's web theory). It was also shown that the relationship between the economic indicator and the production of agricultural raw materials differs between countries. In Germany, for example, the variation in output as a response to price changes is relatively low. Even in the most difficult period for agriculture (2009) production fell there by just 1%, compared with 15% in Portugal and as much as 30% in Poland, despite a smaller drop in the economic indicator. The authors believe this to be a result of the different agrarian structure, scale and technology of production, differences in the functioning of market institutions (integrative links, contracting systems), and the reactions of the producers themselves to the situation. To sum up, drawing conclusions about the general economic situation based on flows of economic rents is an atypical approach, but one that can identify the causes of variation in the productive activity on farms and help compare the scale of such variation between countries. This approach may also be a useful analytical tool for agricultural policy, which becomes particularly important in conditions of the intensification of processes of globalisation. In generalising the conclusions drawn from the analysis of the structure of CAP support in selected EU countries, three different models were identified138. Only 138 The structure of support is described based on the contribution of the following variables to total variable subsidies: X1 – the value of payments for public goods, being the sum of set-aside, agri-environmental and less favoured area payments and other subsidies for the development of rural areas; X2 – the value of subsidies for plant and animal production (the sum of other payments to plant and animal production plus the balance of subsidy and penalties for milk production, subsidy for other cattle production and subsidy for sheep and goat production); X3 – the value of single farm and area payments; X4 – the value of subsidies for indirect consumption; X5 – the value of investment subsidies. 242 Summary: Political Rents and the European Model of Agriculture two of them – model A (dominated by single farm and area payments, and with payments for the supply of public goods making up 17% of the total) and model C (combining different mechanisms of support for farms, with the highest contribution from payments for public goods, 33%) – were in accordance with the development priorities of the European agricultural model as defined in the new programming period of 2014-2020. These operated throughout most of the area of the EU in 2012, particularly in the new member states (cf. Figure 3.3.). Nonetheless, in most regions of the "old" EU-15 member states, the model in operation in 2012 was model B, oriented exclusively towards direct payments, which are treated as a substitute for support for production and produce a relatively weak stimulus for sustainable development. Further calculations showed that these countries receive more than 80% of the pure political rents derived from the CAP. There is also a large variation between EU countries as regards agricultural income. The tax systems applied to agriculture, however, are very similar (with certain exceptions, such as the case of Poland). They incorporate taxes on income, assets and consumption (VAT). The Polish system is different in that it does not include a tax on income from agricultural production. Based on an evaluation of the tax systems applied to agriculture in selected EU countries, it is possible to identify countries having the most restrictive tax policies towards agriculture (Belgium, Portugal, Ireland, Spain) and those where such policies are less restrictive (the UK, Germany, Italy, the Netherlands). Taking account of the long-term surplus drainage from agriculture and the net equivalent subsidies (in exchange for specific actions relating to public goods), an estimate was made of the value of "pure" political rents for individual countries of the EU-27. The analysis carried out here points to the conclusion that agricultural interventionism in the EU requires a special conceptual approach, since it is not sufficient to simply treat all subsidies as political rents. The new approach proposed by the authors is necessary, as it provides an indication of how to improve the effectiveness of allocation of support for agriculture in individual EU countries. Quantification of the political rent in agriculture enables a more rational and socially appropriate distribution of assistance from the CAP in accordance with the goals set for agricultural policy in the new financial framework after 2014. Although the division of payment envelopes between member states has already been decided, since 2014 the CAP has gained flexibility in terms of the structure of both pillars and transfers between them. These matters remain in the hands of the governments of member states. Another issue is the aforementioned contribution of political rents to the gross receipts from agriculture in a given country (cf. Tables 3.12. and 3.13.). On average in the EU-27 this contribution is 13.63%, and although in the EU-12 it is slightly Summary: Political Rents and the European Model of Agriculture 243 higher, and in the EU-15 somewhat lower than average, there are countries in which that value is exceeded almost twofold. Redefinition is required as regards the issue of social fairness in the determination of the sizes of national CAP envelopes. The calculations of political rents show that historical payments are neither a rational nor a just solution, because the structurally low profitability of agriculture in certain countries should be compensated for by a higher supply of public goods, and this is not happening. Perhaps countries with structurally inefficient agriculture should supply more public goods than they do at present, if they wish to maintain their current ratio of political rents to gross added value, or else subsidise their agriculture to a greater degree out of national funds. Part 4 of the book contains case studies. These demonstrate the applicative dimension of the paradigm of sustainable development and methods of evaluating the effectiveness of agricultural policy in supporting such development in rural areas. Naturally, the results of these studies are not representative for agriculture as a whole (at national or EU level). Nonetheless, they indicate a direction for discussion concerning the development of sustainable agriculture in theory and in practice, and provide methodological guidance. They develop a methodology for examining regional sustainable development, which enables not only a sustainability assessment, but also a comparison of synthetic indicators over the whole of the analysed period. Also a set of analytical models is proposed, which make possible not only a better management of human and material capital in firms in agricultural and food sectors, but also the identification of areas that need to be improved to enable these resources to be used more competitively. Among the detailed findings, the following are particularly striking: • The location-specific factor "type of rural area", based on land functions, is of key importance for land value in the SAPS. The area type determines whether particular use values, such as area or shape coefficient, and amenities, such as the possibility of building, as well as payments under agricultural policy, affect the land price. • There is a very large variation in land prices in the SAPS, and prices are strongly affected by speculation, which has driven the upward trend since the introduction of area payments in 2004. However, the impact of speculation is relatively small in areas with agrotouristic features. • Agricultural policy, in particular payments for public goods, has a very large significance (marginal effects) for the value of agricultural land compared with other parcel-level attributes of properties. • Payments for public goods are however capitalised in land prices only in peripheral areas. Elsewhere they fail to perform their role, and are even associated with the decapitalisation of the value of land. In particular, in 244 Summary: Political Rents and the European Model of Agriculture agrotouristic areas these schemes should be complementary and not substitutive with respect to the multifunctional development of the countryside. Therefore, in most places at present, single area payment support is not a differentiating factor for land value, in view of its general availability and low requirements, and the other payments do not compensate for the opportunity costs related to alternative ways of deriving rent from land. • Similarly, support for agrotouristic activity did not have a significant effect on the level of income from agrotourism among the analysed farms. This was because interest in such support came from those farms that did not yet obtain relatively high amounts of income from agrotourism; and moreover the instrument was not of a universal nature, but required the fulfilment of specified conditions. It can be expected that the situation was similar throughout Poland. • The relationships between agriculture and agrotourism are symbiotic in nature. Their common plane includes both the income of farms engaged in agricultural and agrotouristic activity, and the support provided by CAP instruments. In consequence, the preliminary conclusion can be reached that direct subsidies favour the economic activation of farms in non-agricultural activity. • The instruments of the CAP can be expected to evolve to favour the creation of public goods at local authority level rather than the development of agrotouristic activity itself at farm level. A particularly striking aspect of the findings of these case studies is that they point towards a common problem: the idea of payments for public goods under agricultural policy is set forth as a leitmotif of the European agricultural model, but in practice the CAP does not succeed in valuing these goods accurately. Perhaps this value is too low compared with the funds allocated indirectly to support production and efficiency, perversely given the name "decoupled"? Hence, the idea remains more a declaration than reality. This conclusion is confirmed by the variation in pure political rents obtained by agriculture (one might say non-equivalent rents) between EU countries in 2004-2012: ranging from approximately 9% of value added by agriculture in the Netherlands, to over 95% in Ireland. Are such disproportions, which it is hard to justify by any objective criteria, acceptable from the point of view of social justice and common community ideology? Alluding to the hypothesis put forward at the outset: there is something called the European model for the development of agriculture, but it is implemented in a minority of EU countries. Their common denominator is that pure political rent, after taking account of public goods and market corrections, accounts for a similar proportion of agricultural income. ; National Science Centre ; Bazyli Czyżewski