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Part one of an interview with Mrs. Charles Laserte of Leominster, Massachusetts. Topics include: She was born in Manchester, New Hampshire. How her parents came to the U.S., met and were married. How she moved from Manchester, NH to Leominster, MA. How she met her husband. The work she did on the city council. The social clubs she belonged to. The Franco-American community in Leominster. Her husband's family history and his work as a doctor. Her work on the school committee. Women in politics. Mrs. Laserte was the first woman on the school board and the city council. ; 1 SPEAKER 1: Mrs. Laserte, where are you from? Where were you born? MRS. LASERTE: I was born in Manchester, New Hampshire. SPEAKER 1: Uh, is that where your parents are from also? MRS. LASERTE: And I lived -- yes. Well, my parents had lived in Manchester, New Hampshire. My father came to Manchester in the 1870s, and my mother came in the 1880s, about a year or so before I was born. And, uh, she was a bride shortly after she came here. She, um, came over not with the intention of getting married but with the intention of living here because her brother was living in Manchester. SPEAKER 1: I see. Why did she -- uh, besides the fact that her brother was living in Manchester, did she have any other reasons to come to Manchester? MRS. LASERTE: Yes, she did. Of course, she was born in, uh, 1863, before the war of 1870 in Alsace. And she did, did receive a German certificate and then went to Paris to a school where they trained them for specific careers. It was run by two cousins in Paris. Uh, she became a telegrapher for the railroads and did not like the job. Then she was a governess and didn't care too much for the job. So she thought she would come to this country, perhaps to do something she would prefer. SPEAKER 1: I see. And she ended up with her brother in Manchester. And what did she do in Manchester? MRS. LASERTE: Well, in Manchester, she did not do a great deal because, uh, soon after she came here, he proposed and they decided to get married. Uh, they came over, interestingly enough, in 1886, when the Statue of Liberty was, uh, uh, shall I say accepted? And they were there when the ceremonies were going on. So my mother came over… SPEAKER 1: With the statue. MRS. LASERTE: … with the statue, you might say. SPEAKER 1: [Laughter] 2 MRS. LASERTE: [Laughter] SPEAKER 1: [Laughter] And your dad, was he always from Manchester, or…? MRS. LASERTE: No. He was born in Canada, at [la Baie-du-Febvre], which is a small town in Nicolet. And he went to Nicolet College and got a job as a grocer boy in Drummondville, where incidentally, he met my husband's father. And then he came to Manchester and worked as a grocery man and eventually had quite a large store in wholesale as well as retail. SPEAKER 1: And maybe at this point, I should ask you your maiden name so we know who your father is. MRS. LASERTE: Well, my maiden name used to be a problem for people of English speech. The name is Grenier. And of course, Grenier Field is named after Grenier, but that is a very distant cousin, very distant cousin who was killed when he was working for the government to deliver mail. SPEAKER 1: I see. MRS. LASERTE: He was in an airplane when he died. SPEAKER 1: So now, you have one parent that came from France and one that came from Canada, and they were married in Manchester. MRS. LASERTE: Right. SPEAKER 1: And apparently, they lived most of their lives in Manchester. MRS. LASERTE: That's right. SPEAKER 1: And you are the one that left the family home to come to Leominster. MRS. LASERTE: That's right. SPEAKER 1: Was that a direct move from Manchester to Leominster? MRS. LASERTE: Oh, no. I went to Wellesley College and graduated from there, and then I taught school in Wellesley High School and Newton High School before I was married. SPEAKER 1: Oh, I see. MRS. LASERTE: Then I came to Leominster. 3 SPEAKER 1: Then you came to Leominster. And at that… I'm sorry. MRS. LASERTE: And my husband was taking courses at Harvard and in the hospitals when I met him. SPEAKER 1: Oh, you met your husband at Harvard… or at a hospital, anyhow, while you were there. MRS. LASERTE: Well, through there, because he stopped on the way, so to speak. SPEAKER 1: [Laughter] And then you came to Leominster after you were married? MRS. LASERTE: Right. SPEAKER 1: I see. Now, you had one child. Is that correct? MRS. LASERTE: Yes. SPEAKER 1: Right. And from there, I noticed some time back from an article in the paper that you were active in the city council. When did you first become an elected member of the city council? MRS. LASERTE: Well, before I was on the city council, I was on the school committee. SPEAKER 1: Oh, you were on the school committee first. MRS. LASERTE: First. SPEAKER 1: Right. MRS. LASERTE: I was on the school committee when my son was in the high chair, so to speak, because I thought the schools might possibly be improved because of my experience in Wellesley and Newton. And I have served on the school committee for about 23 years. When my son became interested in teaching here, I thought it was time to get out. SPEAKER 1: [Laughter] MRS. LASERTE: So I got out. [Laughter] SPEAKER 1: Oh, I see. You left the school committee about the time that your son came into the Leominster School District. MRS. LASERTE: Yes, I finished up my term, but I was not a candidate again, naturally. So then I became interested in the council. I had a grief 4 against the council because they were not in favor of building the Northwest School. I had had a struggle to get the Gallagher Junior High and was on the publicity for that, and also on the building committee so that I was very much interested in having Northwest School. So I was on that building committee. But I always found that the council was a little bit stingy for the schools. So I thought I might be interested in being on the council. SPEAKER 1: If I had more time, I'd be interested in getting contemporary opinion, but I won't at this point. [Laughter] MRS. LASERTE: Well, I ran in '49 when Mr. Crossman became mayor. I ran as councilor from Ward 5. And the very same year, we had elections, you see, in '49, and I thought, "Well, it would be more interesting to be councilor at large." So in one year, I was both councilor… SPEAKER 1: And councilor at large. MRS. LASERTE: Yeah. SPEAKER 1: I see. Now, as a member of the Franco-American community, did you have many contacts in the Franco-American community in Leominster? MRS. LASERTE: Not so many contacts, no. Of course, my husband had many contacts, and through him I did. But I didn't go out very much socially. I belonged to the Fortnightly Club and Musical Club in that. So of course, I didn't get to know the people very well. But I did belong to the Alliance Française, which is of course promoted by France, and I became a president of that organization and received a medal, shall I call it, from the government, because of my work initiating that group. SPEAKER 1: Oh, I see. Oh, you were one of the founders of the group? MRS. LASERTE: Yes. SPEAKER 1: Oh, I see. As a result… well, you joined these organizations in the what, '30s, '20s approximately? MRS. LASERTE: Yes. Mostly in the '30s. 5 SPEAKER 1: Mostly in the '30s. And you mentioned that your contacts with Franco Americans were probably slight. That would indicate then that there were many Franco Americans who were not involved in such groups as the Fortnightly and the…? MRS. LASERTE: Oh, yes, very few. When I first belonged to Fortnightly, that was in 1916. I'm an honorary member because I belonged so long. There was a sort of snobbish element there, I regret to say. SPEAKER 1: In the Fortnightly, or…? MRS. LASERTE: Yes. SPEAKER 1: I see. MRS. LASERTE: Well, then I became president in 1931. So in some way, I erased it. SPEAKER 1: I see. And were there… at that time, did it encourage Franco Americans to belong to the Fortnightly, or…? MRS. LASERTE: No. SPEAKER 1: No. Why? Do you think it's because of simply the Depression years and they were too involved in trying to make a living, or…? MRS. LASERTE: Well, I don't know just what the trouble was. I think the tendency was to be among themselves in one section of the city. I think the Fortnightly would have welcomed them in a way. I regret that I did say they were snobbish. It isn't quite snobbishness. It's because they didn't know them. SPEAKER 1: I see. I see. Now, when, to your recollection did, as you see it, did the Franco Americans become a little bit more involved with the community at large? MRS. LASERTE: Well, I think it helped when some of our men became interested in politics. I really think that did help. For instance, when Mayor Cormier went in. There was quite a change then. SPEAKER 1: I see. MRS. LASERTE: Mayor Lapierre of course had been in before. But there was probably some of it then, but I didn't notice it so much. 6 SPEAKER 1: Right. Right. So you think that the Franco Americans began to be more involved in the city then as a result of some of their members becoming active in politics then? MRS. LASERTE: I do, yes. SPEAKER 1: I see. Did you know any of these people, let's say those that are active in politics? Did you know any of these personally or only through your contacts in politics? MRS. LASERTE: No, just through contacts. SPEAKER 1: Through the contacts in politics. MRS. LASERTE: Yes. SPEAKER 1: Do you think that they were truly representative of the Franco-American community or not? MRS. LASERTE: Well, I think some of them were. I think Henry [Boven] was. I think to a degree Mayor Lapierre was. I think Mayor Cormier was. But I think Mayor Cormier was a little different. He seemed to be a part of the whole city more than just his own section. SPEAKER 1: He was mayor in the what, '50s? MRS. LASERTE: Yes. SPEAKER 1: Would that indicate that possibly the Franco-American community had become a real member of the community at this point, or do you think that might be the reason? MRS. LASERTE: Well, I think the women had come in to the community quite a bit. SPEAKER 1: The women had. Before the men? MRS. LASERTE: Before the men. SPEAKER 1: Is that right? MRS. LASERTE: Yes. And I say that I… back there, I said that I helped to erase the snobbishness. Well, we had quite a number of women belonging to Fortnightly and being members of the whole city group or the city community. SPEAKER 1: I see. 7 MRS. LASERTE: And I do think the schools had quite a bit to do with it, more of the French group were going to high school as time went on, and I think that had a great deal to do with it. SPEAKER 1: And you think that was more responsible for the mingling of French Canadians into the entire community more than, say, World War II, or do you think that World War II might have contributed to this turnabout? MRS. LASERTE: I don't think World War II necessarily contributed very much. It did with a very few, but not so much with the whole. Perhaps it would be better if there was just one veteran group in the city, but that's my personal opinion. SPEAKER 1: Right. Well, that was my opinion, too, a few years back, and I don't think it's changed, but you know, isn't that way… MRS. LASERTE: Yeah. SPEAKER 1: Then as far as I can see, your feeling is that Mayor Cormier was different than Mayor Lapierre, that he didn't just represent the French community, or not as much as Mayor Lapierre, that he was truly a… although of French-Canadian descent, he represented more of the entire city. Is that what you're saying? MRS. LASERTE: That's exactly what I feel. Because I worked with him. I worked with every mayor, do you realize that, from the beginning of the city in 1915, except Mayor Allen. Now, Mayor Allen wasn't in very long, and he would have tended to be more like Mayor Cormier. SPEAKER 1: Is that right? MRS. LASERTE: Yes. SPEAKER 1: Oh, I see. MRS. LASERTE: But I didn't work with him. And of course, I haven't worked with Mayor McLaughlin, but I've worked with every other mayor because I was on the library board, you see, for quite a while. And I got to feel the difference between the various mayors and what 8 they contributed to the community. And I do feel too that a good mayor can contribute a great deal to the community as a whole. SPEAKER 1: Certainly. Just for a brief moment now, let's go back to the Alliance Française that you helped to establish. Was this joined by many of the French-Canadian group, or was it a group which had contacts with the French language, say, at college or at some other place? Which was it? Do you know? MRS. LASERTE: It started with people who were interested in French from college or teaching experience. SPEAKER 1: Oh, I see. MRS. LASERTE: But as time went on, the group did go the other way. Absolutely. SPEAKER 1: You mean it was joined by many of the French Canadians, or…? MRS. LASERTE: That's right. SPEAKER 1: Is that right? MRS. LASERTE: Yes. But, you know, some of those have dropped out, and it's come back to what it was in the first place. SPEAKER 1: Is that right? MRS. LASERTE: Yes. SPEAKER 1: Could you mention at this time—I know this is putting you on the spot in a sense—could you remember any of the French Canadians that belonged to the Alliance Française as they've heard about it, became aware of it, that is still around? [Laughter] MRS. LASERTE: That's still around? That is difficult, because I think most of them were older at the time they joined. SPEAKER 1: I see. MRS. LASERTE: Because Dr. [unintelligible - 00:16:42] was in just for two years, I believe, then he died, you see. And we've lost many in that way who were… were too old when they joined, and we lost them. SPEAKER 1: I see. Let's go back a little bit now to Dr. Laserte. His parents were from Canada? MRS. LASERTE: Right. Yes. 9 SPEAKER 1: His father was from, you mentioned, Drummondville? In that area? MRS. LASERTE: Yes, he stayed in Drummondville. He lived near there. Yes. SPEAKER 1: In that area? I see. What brought Dr. Laserte's father to this part of the country? Do you know? MRS. LASERTE: Well, he came in the early '70s. SPEAKER 1: 1870s. MRS. LASERTE: And he worked for a Mr. Patch. He was a blacksmith by trade, but he did very different things in other ways, in crafts. SPEAKER 1: I see. MRS. LASERTE: So that F.A. Whitney came into existence, and he worked for F.A. Whitney until he died. And he did some of the craftwork for them as well as the heavy blacksmith work. SPEAKER 1: I see. MRS. LASERTE: He was a craftsman. SPEAKER 1: Right. And did he come directly -- do you know if he came directly from Canada to Leominster here? MRS. LASERTE: Yes, he did. SPEAKER 1: What attracted him particularly to Leominster? MRS. LASERTE: Because of this job that he could get… SPEAKER 1: The F.A. Whitney job. MRS. LASERTE: Well, first with Mr. Patch, and then with the F.A. I don't know how we heard about it, but… SPEAKER 1: Probably through a relative, or…? MRS. LASERTE: Yes. SPEAKER 1: … neighbors, probably, who were [unintelligible - 00:18:38]. MRS. LASERTE: Yes. SPEAKER 1: And how about Mrs. Laserte? MRS. LASERTE: Her maiden name was Lord, L-O-R-D. Now, that family goes way back to a time when the British government was given land for development, and the Lords got it. And I imagine that their name 10 might have been something else and it was changed to Lord, but I don't know. SPEAKER 1: Well, the name Lord then is English rather than French or Canadian? MRS. LASERTE: I think they may have had an Englishman in the family originally. SPEAKER 1: Right, right. And of course, she came down with Mr. Laserte to live in Leominster also. MRS. LASERTE: Yes. SPEAKER 1: Right. And was your husband born in this area, or was he born in Canada? MRS. LASERTE: He was born in Leominster and went to the Leominster public schools. He went to Field School and then went on to the University of Ottawa and the University of Maryland. As a doctor, he kept on studying. He took courses with the Mayo brothers in Rochester, Minnesota; with Dr. Murphy, the well-known man in Illinois; and also with Dr. Joslin and Dr. -- I think his name was McLaughlin, the bone doctor; and with Dr. White, the heart doctor; and the other Dr. White who liked to reduce weight for people. SPEAKER 1: So I gather Dr. Laserte was continually studying while he was practicing his medicine. Is that correct? MRS. LASERTE: That's right. SPEAKER 1: Dr. Laserte practiced medicine in Leominster for quite a number of years. MRS. LASERTE: Yes, from 1906 to 1944. SPEAKER 1: 1906 to 1944. SPEAKER 1: Did Dr. Laserte retire shortly before he passed away, or was he active to the very end? MRS. LASERTE: He was active to the very end. In fact, he died at a patient's home, suddenly. And that very day, I had talked about retirement, and he said, "No, you can't imagine me sitting in a rocking chair, and you never will see me sitting in a rocking chair." 11 SPEAKER 1: Well, I don't remember Dr. Laserte that well because I was rather young, but he had a very good reputation in the Franco-American community. Do you know why that might be? Do you think it was because he himself was Franco American, or what? MRS. LASERTE: No, I don't think it was that. I think he had a way with them that they rather liked, because he had probably as many who were not Franco Americans as patients. SPEAKER 1: So he… I'm sorry. MRS. LASERTE: He must have had a way with them that they liked. I don't know any other reason. SPEAKER 1: I know there were people, Franco Americans, who did not go to Dr. Laserte. But I know that he had… from everything that I've heard, he enjoyed a good reputation with them. So apparently, Dr. Laserte served the entire community and did not confine his practice to any section of the city. MRS. LASERTE: That's right. SPEAKER 1: Mrs. Laserte, what… as a member of the school committee, what would you consider as some of your accomplishments? What are some of the things that you tried to do even though you may not have been successful? MRS. LASERTE: Well, I tried to get adequate buildings, for one thing, and we did the best we could under the circumstances. I also tried to make the expenses as low as possible but still have a good education for the children. One of the things that we did when I was a member was to raise the salaries because they were out of proportion with the state salaries. Another thing that was interesting was that during the Depression, the teachers were going to be cut 20 percent, and I conferred with some of the teachers and said what I thought was inevitable, and it was. It proved so. Well, if you offer to take off 10 percent, you will be considered very fine citizens and very fine teachers, and they won't dare take the other 10 percent away. That 12 came out as I wanted it to. I was auditor for 21 years and found that there are, in some cases, things that we needed that we were not getting and pushed for getting them through the council when the budget was regulated by the council, as it always has been. And we sometimes got what we needed. I was very much interested in vocational education and worked to get the Saxton Trade High. It was not a glamorous place by any description, but it really filled the bill. The Saxtons whom I knew were willing to give the building, the first building, providing we use their name. That seemed to be the answer. We had been going from pillar to post in the vocational buildings. So they had that. I was completely interested in having a part of the vocational education as a part of the high school because I thought that some of the subjects were necessary for vocational students. That has not happened yet because the state insisted on keeping the two schools separate in reference to finance, especially. And they do not, or have not, in other years, wanted to have a comprehensive high school. SPEAKER 1: You mentioned teacher salaries, that you helped to improve them. What was a beginner's teacher's salary in the '20s, say, in Leominster? MRS. LASERTE: Well, sometimes as low as $700 a year. Our superintendent, Perry, who was the first superintendent I worked with, left with a salary of $3,700 when he retired. SPEAKER 1: That's quite a difference between $32,000. MRS. LASERTE: Yes. SPEAKER 1: [Laughter] Do you think that one of the reasons then that we have not made a comprehensive high school is because of the financial support that we would probably not receive from the state if we did? 13 MRS. LASERTE: Yes, that has been the reason in other years. I don't know what the situation is now, but perhaps it has improved. In Newton, we have two separate schools in the same way when I left, but I have heard that more has been done in that direction in Newton. SPEAKER 1: Now, you said that you were interested in getting the proper kinds of buildings for the students in Leominster. Were you responsible in any way for any particular building? Did you work towards the building of any particular building? MRS. LASERTE: Oh, yes, I worked for the Gallagher Junior High School, and I was, as I said before, chairman of the furnishings there, and also worked of course on the whole program. I thought that architects sometimes could produce a high school that would be… or a building that could be found in another city at a cheaper cost than we find it is. So we went down to Malden, I believe, and found a school very much like ours. But the architect could not be convinced that he could use that, and his fee was about the same as if we had had an entirely different plan. There was a slight difference, but not enough to show. I feel sometimes that the architects' fees are tremendous. I also worked on the Northwest School. There again, I was on the furnishings committee. I found quite a difference there. The state took over some of the things we were supposed to be doing. For instance, in the cafeteria, the state said we were having [unintelligible - 00:29:35] where we might have preferred it our way. SPEAKER 1: Do you know why that was? MRS. LASERTE: Well, they claimed that the traffic would be easier, but we found that it wasn't afterwards. The traffic in the, you know, in the cafeteria. SPEAKER 1: In the billing and the handling of the students. MRS. LASERTE: There are cases where city people know more than the state people, and that was one of them. We had a free hand with the Gallagher 14 Junior High School, and I think that people have not made too many complaints about it. SPEAKER 1: No, that building will be up for a long time. Do you think that the demands made by the state in the case of the Northwest School was because the state was giving more money, more state aid at that time? MRS. LASERTE: I do, definitely. SPEAKER 1: So they figured if they're going to pay for it, they're going to tell you what's appropriate. MRS. LASERTE: Yes, and don't forget, we do have a certain bureaucracy that tends to think it knows the answers more than other people do. SPEAKER 1: Now, these two buildings you felt you were active in promoting and working towards getting built, was there any particular resistance in the community? And more specifically, do you feel that there was a particular resistance with, say, the Franco-American community because they already had their elementary school? MRS. LASERTE: Oh no, there was no resistance among the Franco Americans at all about either building, or any building, as far as I know. But there was a fire up there at Saint Cecilia's School. SPEAKER 1: Yes. MRS. LASERTE: I pleaded there with Mayor Burdett and the rest of them that we [furnish space] which we had at the time for them. Well, we could go just so far within the state laws. We did what we could, and I think that must have been appreciated, at the time anyhow. Now, the resistance for Northwest was the greatest, perhaps, of the two. People in the Lancaster Street District were very vocal about saying that they needed [unintelligible - 00:32:33] instead of those [affordables]. SPEAKER 1: Oh, I see. You had affordables up here. 15 MRS. LASERTE: And then our answer to that was -- of course, we had affordables at Northwest too, but that was a political thing, I think, perhaps with certain people that promoted the [unintelligible - 00:32:53] than with the people as a whole. Because the Italians have been very cooperative, too, as well as the French. And now, the Gallagher, well that came from city hall, and that came from the fact that we had a treasurer there, whose name we are not going to mention, who it was found defrauded us for a good sum of money, almost $200,000. Now, I had an argument with that fellow when I was working on a publicity, and I said, "Why is it that Framingham can build a junior high school and we can't?" At that time, Framingham was comparable to Leominster. Well, he pounded on the counter and said, "That situation is different." Well, I said, "You have to show me." And it was different, too. SPEAKER 1: Is this the time that the town hall burned down? MRS. LASERTE: Yes. Well, the town hall had burned down. SPEAKER 1: Oh, it had burned down. I see. You referred to the fire at Saint Cecilia's Parochial School. I had heard all sorts of rumors. For example, the Ku Klux Klan was responsible for the fire, might have been responsible. There was some fellow up there, I think, one of the French Canadian community, that had been apparently getting into a little bit of trouble, that he may have been the cause of the fire. What was the cause of the fire from your point of view? Do you recall? MRS. LASERTE: Yes. Well, we've talked about that, and it was thought that one of the young boys had left some rags in the wrong place, and perhaps another boy might have thought a match would be a good idea to put on the rags. Then it was not a plot or anything of that kind. That's the solution we had. I think one of the members of the school committee was very much interested, and he didn't want the 16 Klan to be blamed. So he worked on it, and we got the answers that way. SPEAKER 1: I see. MRS. LASERTE: He had to admit that. Well, even [unintelligible - 00:35:38] I say. [Laughter] SPEAKER 1: Yeah. MRS. LASERTE: He had to admit it. SPEAKER 1: Right, mm-hmm. So from what I gather, you didn't find any necessary strong resistance in the French community to building schools even though they supported their school? MRS. LASERTE: No, no. I remember so well when we had our opening of the Gallagher Junior High School and the people were visiting around, and I was so happy because quite a number of the French people came up and told me what a fine building it was. So that showed their spirit, too. SPEAKER 1: Right, the community spirit, the fact that they would take time out to visit the public school, so to speak. MRS. LASERTE: Yes. SPEAKER 1: Now, you mentioned Dr. Perry. Now, he was a superintendent of schools. Is that correct? MRS. LASERTE: Yes. SPEAKER 1: Wasn't he active in the French community, or was that his wife that was active? MRS. LASERTE: His wife was. She belonged to that French group, the Alliance. SPEAKER 1: The French Alliance? That's it? MRS. LASERTE: Yes. SPEAKER 1: I see. MRS. LASERTE: Yes, she was quite interested in French. So of course, naturally, she was also interested in Italian. SPEAKER 1: I see. Did she have to do something with citizenship training in the French community? 17 MRS. LASERTE: Oh, yes, she did. And she did quite a good piece of work there, I think. SPEAKER 1: What did that consist of? What do you recall? I mean, this goes back a few years. MRS. LASERTE: Well, she would tell them how to become American citizens process-wise and help them with their papers. SPEAKER 1: Preparing the papers… MRS. LASERTE: Yes. SPEAKER 1: Yes. Was this a night school situation, or…? MRS. LASERTE: Yes, it was night school. SPEAKER 1: I see. MRS. LASERTE: Yes. That's when she saw them. SPEAKER 1: I see. And she taught them some English there and helped them to get organized. MRS. LASERTE: Yeah, we had what I was very proud of, a so-called steamboat class. SPEAKER 1: Steamboat. MRS. LASERTE: Yes. It was finally a relief for the Italian people that came and did not know English. And we had one teacher take care of that, and she was one of the finest teachers I ever knew. Well, quite a number of the French people from Canada were in her classes. Now, when they speak of bilingual classes in Boston, I think of that. And that was way back in the '20s when we had those classes, and I think we'd better be proud of it. And I was very much interested in those. In fact, I knew this teacher from Newton. She came from Newton, and I knew her possibilities when we accepted her. SPEAKER 1: This teacher then knew a couple of the foreign languages than Italian and French, or…? MRS. LASERTE: No, she did it through English. SPEAKER 1: Did it through English. 18 MRS. LASERTE: Her idea was, "You have to sink them right into English." SPEAKER 1: I see. MRS. LASERTE: "Then they sink or swim," she used to say to me. SPEAKER 1: I see. MRS. LASERTE: I suppose that was steamboat, too. [Laughter] SPEAKER 1: [Laughter] MRS. LASERTE: But there's only the two languages, she thought. And I agree, because I went through the process myself. I'm proud of it. We always spoke French at home. And when I went to school, I didn't know any English at all. And I got to. So I can't understand these expenses that we have to have for Puerto Ricans or others. SPEAKER 1: I see. I see. So you have a feeling that bilingual is not something that we should have, that they should be exposed to the English immediately. MRS. LASERTE: That's correct, Neil. SPEAKER 1: I see. MRS. LASERTE: Yes. Another thing in which we were very strong was the domestic science and the tinkering. We call them the tinkering boys, those that did home repairs. We had that way back, and I was very much interested in that. And then the evening school started with very little and progressed to all kinds of subjects as we have them now. SPEAKER 1: Was the evening school instituted while you were a member of the school committee? MRS. LASERTE: Yes, I would say it was very soon after I came into the program. And I was very much in favor of a limited evening school. I wanted to have the essentials taught. My idea was more for helping people who are, well, illiterates—and we had them—and who had not finished even the grade schools—and we had them—as well as high school and so on. So they're a little different from 19 what we have now where we expand and give them other types of courses. SPEAKER 1: Mrs. Laserte, you mentioned that you served on the school committee 23 years. Are there any other women that served with you during that period of time? MRS. LASERTE: No, I was the only woman that served at that time. I will say I also was the only woman on the city council when I served. SPEAKER 1: So you have several firsts to your name then? MRS. LASERTE: Yes, first woman on the school committee, first woman on Ward 5 council, first woman councilor at large. And when there was a plan to give certificates for firsts, our [unintelligible - 00:42:04] president asked me if I was willing to go into the contest, and I said, "Well, I am, but I probably won't get it." So they sent my name in, and I got the certificate. SPEAKER 1: So the Franco-American community can take pride in your achievements as well as the Women's Liberation Movement. [Laughter] MRS. LASERTE: I don't believe in the Women's Liberation Movement. I always considered myself a person when I was serving, on the school committee or council. I never thought of myself as a woman. I'm a person. I'm a citizen. And I think some of that liberation business is not in my line at all. In fact, perhaps most of it isn't. SPEAKER 1: Let's go to the years on the city council. Now, how many years did you serve there? You mentioned it before. MRS. LASERTE: Well, I served just a few months as ward councilor and two years as councilor at large. SPEAKER 1: What prevented you from becoming the first mayor, lady mayor? MRS. LASERTE: I think there are certain places where a woman does not belong because of the feeling that people still have about women. And one of those places is mayor, being mayor. Also, I was asked to run as representative in our legislature, and I felt the same way 20 about that. I think I like my sex well enough so I don't want it to be criticized. And one reason for criticizing women is that they're trying to place themselves in the wrong place, politically. SPEAKER 1: Do you see as a possibility that later on maybe women themselves will be better prepared to accept some of these jobs as well as the community as a whole being more receptive? MRS. LASERTE: I think many women know more than men do. I am very much impressed by these secretaries that know more than the bosses do. SPEAKER 1: Okay. That's true. That's true. The secretary is a very valuable asset in an office. While you were a councilor, either as a ward councilor or a councilor at large, what were some of the activities you participated in? If you recall, what were some of the situations that required action? MRS. LASERTE: I voted for the Northwest School. SPEAKER 1: The program which you had begun as a member of the school committee? MRS. LASERTE: Way back then. When we were getting affordables, I knew it was time to have either an addition or a new building. I did not approve an addition because of the small area at George Street. I was very glad to vote for the Northwest School. SPEAKER 1: And time has shown that you were correct by adding another building. MRS. LASERTE: Yes, I think so. We weren't sure that that was where we should put it, but because George Street could be used for a good many years, we felt, it would be a good idea to have them near together./AT/mb/es

Transcript of an oral history interview with William Sawyer Gannon, conducted by Joseph Cates at Gannon's home in Manchester, New Hampshire, on 18 July 2016 as part of the Norwich Voices oral history project of the Sullivan Museum and History Center. William Gannon was a member of the Norwich University Class of 1958; his family history, experiences as a student at Norwich University, seminary education, and post-Norwich career as a church priest are all discussed in the interview. ; 1 William S. Gannon, Class of '58, Oral History Interview July 18, 2016 Bedford, New Hampshire Interviewed by Joseph Cates JOSEPH CATES: This is Joseph Cates. Today is July 18, 2016. I'm interviewing William S. Gannon. This interview is taking place at his home in Bedford, New Hampshire. This interview is sponsored by the Sullivan Museum and History Center and is part of the Norwich Voices Oral History Project. Do you go by Rev. Gannon? WILLIAM S. GANNON: Rev. Gannon, Father Gannon, Mr. Gannon or Bill. JC: [Chuckles] Or Bill. Okay. WG: (Chuckles) JC: Well, I'll tell you what, tell me your full name. WG: William Sawyer Gannon. JC: And what's your date of birth? WG: May 30, 1936. JC: Okay. And where were you born? WG: In Manchester, New Hampshire. JC: Okay. And what Norwich class are you? WG: Class of '58 JC: Tell me about where you grew up and what you did as a child. WG: Well, I grew up in Manchester, New Hampshire for the first 6 years. And being born on the day that the whole country celebrated Memorial Day, which was always May 30th, whenever it fell. We lived opposite Stark Park. And there were cannons at Stark Park. The Gannons lived by the cannons. And the parade ended at Stark Park. And when I was three years old, they shot their guns off three times. So, I of course, assumed that that was in honor of my birthday. And when I was four and they still shot them only three times, I was upset. JC: (Laughs) 2 WG: (Laughs) So, that was the first part of life here. I still have my three-year-old nursery school report and I'm very impressed with the quality of the thinking of the writer of the report. It was a page and a half. And I was amused by some of the comments that every dog I met I thought was my own. And, that when I was asked to do something I didn't understand, I would cry. But once it was explained to me, I was alright. I love to say, "And nothing has changed." JC: (Chuckles) WG: (Chuckles) And I guess I feel especially blessed by both my early – my preschool education, which started at the age of three and my musical education which started before I was born because my mother was a concert pianist and the church organist and a teacher of piano. So, I was hearing Bach, Mozart, Beethoven and Chopin, and Romanov and Debussy before I was born. And much later in life is when I had a very deep and still do have, a love of progressive jazz. That's the jazz from the 40s, 50s and 60s and 70s I'd say. I read somewhere something that lead me to realize that my hearing Debussy early on had set me up for the cords that are present in modern jazz. And recently some social psychologist was telling me that when babies are adopted at the year of one year old from Russia, they come to this country, something that is often unanticipated by the parents is, all they have heard, even though they aren't speaking yet, are the sounds of Russia, the Russian language. They have to pick up on the sounds of English language. As adults, we tend to think that language is only important once you start speaking, but clearly, it's important even before you're born, you're hearing sounds from people's speech. So, I really thank my mother. She started me on the piano at age five and I still play but not publicly, on the piano. It never took with the seriousness that I wish it had. And I went on later, that was 11 or 12 to a piano teacher, another teacher in high school and nothing really got started until I took up the trombone in high school. But, my mother was very important to my early life, I now know, in ways that I didn't always appreciate when I was growing up and when I was an adult. We moved to Concord when I was six. I went to the first grade in Manchester. And, then we moved from Concord to Chester, New Hampshire, when I was ten and that would have been 1946. My father had always been, or for a long time, a grain salesman and he also owned a couple of grain stores. And he had bought a coal company in Derry, New Hampshire, and stopped his traveling. He worked for a grain company, a national company that sold to grain stores called, Park & Pollard. And their slogan was Lay or Bust and on his stationary, there was a picture on one side, at the top, of a chicken laying an egg. And on the other side, of a chicken busting apart. And in between was the slogan, "Lay or Bust." And, I kind of felt delighted in realizing how profoundly in the 20s, 30s, 40s when he was on the road as a salesman, agriculture was where most people earned their living and got their sustenance. And it was coming to an end that was probably part of 60, 80 maybe 100-year decline in this country. So, that was partly brought home to me, as I think back. When I was 11, I believe it was, he bought a chicken coop and got 25 little chicks, and grew them. And, I became 3 their keeper. And, I had an egg route. And then the next year, we added onto the garage and I had the use of a horse and it was borrowed from a company that rented horses out during the summers; summer camps and places like that. And I'm surmising that we did them a favor by feeding and boarding the horse for the winter. And they did us a favor in giving me a horse to ride. And that was all part of the fact that my father had been in World War I in the cavalry, which sounds amazing. And that's partly probably why Norwich's cavalry past had some appeal to him and to me. And that's partly how we got the horse. So, in high school, which was Pinkerton Academy in Derry, New Hampshire, I guess I had a somewhat uneventful time. I played football on the varsity team, beginning my junior year and also my senior year. And then, when I came to Norwich, it seemed as if everybody was too big on the football team and I was heavily into the trombone. And I had practiced eight hours a day, as I noted in a piece that the Norwich Record had published, because I was afraid I wouldn't make it into the Norwich band. And – but I did. And, the trombone was the important thing to me and I can remember, and I think I mentioned this in the article, being at an alumni reunion and standing at the old SAE house, where I had been a member, with three or four other alums who I didn't know until that moment, and they were talking about the sports they played at Norwich. And they turned to me and said, "What did you play?" Then I said quite proudly, "The trombone." So, I started thinking I was going to be a businessman in my father's business. I'd worked part time, and on Saturdays for him, from the age of 13 on up to when I left for Norwich. And, it turned out that an ambition of my mother took over. So, in my sophomore year, I changed my major to history in preparation to going to law school. My grandfather had been a New Hampshire chief justice and the William Sawyer in my name was his name, William H. Sawyer. So, that lasted through a couple of years at Norwich, even up into my senior year. I'd been accepted at law school, but changed my mind at the last minute to go to seminary. And that was the influence of an episcopal church chaplain who was also a professor at the school of a number of courses that I took, and I just had a very deep interest in the subject matter, and those courses included Old and New Testament, one course for each. And, ethics and there was a political philosophy class that I took that was also, I would say, in the philosophy direction. And it was basically a love of the subject matter that brought me to seminary. I was commissioned in the signal corps. So, that was deferred for four years. Normally a seminary education is a three-year event, but I stayed for an extra year and got two master's degrees when I graduated. Actually, one was – the first three years was then a bachelor and was later changed to a master's degree. It was a Master of Divinity. But, I had some sense that I wanted to be like my mentor. His name was Hershel Miller, Father Hershel Miller. And he had an extra year of seminary. And I discovered when I was in full time church work in Manchester, that the extra degree, I guess, helped me get a part time teaching job at St. Anselm College, and I think I was the first Protestant in their religion department. And, that went on for a couple of years. And, it led me into full time teaching, which 4 was first at the Groton School in Groton, Massachusetts. And then at St. Paul's School in Concord, New Hampshire. And from there, I went to being a head of a school in Peekskill, New York, and later, briefly, the head of a New York City private school. And about that time, I got divorced and needed to make more money, so I went into the business world in New York City for 13 years. And, I enjoy telling people I worked for 10 years for a company, American Credit Indemnity, selling a product to businesses on their business to business transactions in which we insured the transactions so if their customer didn't pay them, and we'd insured it, we paid them and we went after the debt. And, at a certain point, my boss, who in many ways was a real scoundrel, but I enjoyed working for him, he retired. And, for some reason, I didn't have the same feeling for the new sales manager and began to think that I was really better at the church stuff than at the selling game. Although I think I was pretty good at it. And, I sort of euphemistically say that I made a lot of money in New York, but I got no respect. And then I went back to being the church priest where I got a lot of respect and no money. And a friend of mine, who is an Episcopal bishop, when I told him that he said, "Well, if you were a bishop, you'd make no money and you'd get no respect." (Laughs) JC: (Laughs) WG: That was only partly true, all that stuff. And, the church I went to was a – named Christ Church. It was in Glen Ridge, New Jersey. And, it had a reputation of being a rector, that's the position I had, a rector killer church. My immediate predecessor had been in there only three years. He was fired by the bishop because he first divorced his wife, kicked her out of the rectory and brought in some other woman. And, of course, enraged the congregation with that behavior. So, the bishop did what he should do and fired him. And, 30 years prior, this was 1991 when I went there, the rector had had some involvement with, probably a parishioner. He was married with children. And in a New York City hotel, he killed himself. JC: Oh, my goodness. WG: And it was – in some ways it was as if that event has still clung to the walls of the church. Its impact was so profound. I met somebody that had attended the church for eight months after that event and did not know about it, indicating that nobody talked about it. It was too painful to communicate. So, I was taking – I knew I was taking on a church that was a tough place and it took, I would say, a good three to four years before things really calmed down and we got going again. And, when I retired in '03, I continued to do part time interim work as a priest in Episcopal churches. And I realized very quickly that when you come newly into a leadership position, whether it's a church or something else, you are inheriting a great deal and the trust relationship that either did or didn't exist with the prior administrator, is going to bedevil you or bless you. And, places where there's been a profound leadership, I discovered it was very easy to come in and I 5 would be immediately trusted and we'd get going and have fun. And places where there had been a succession, would have to be more than one succession of bad leadership, it was going to be a battle of sorts to exert any kind of leadership. And, at this point, I'm just a pew sitter. (Laughs) And enjoying it. JC: Well, we're going to back up a little bit – WG: Sure. JC: -- and we're going to fill in some questions. You talked a little bit about why you chose Norwich. Can you elaborate more on that, why you chose to go to Norwich? WG: Well, I think I chose mostly because of my father. I'd had relatives that went to Dartmouth, and perhaps – and UNH. Perhaps that would have been my mother's choice. But, it was the military that intrigued me. I had a cousin who had been in World War II and I worked with him – he worked for my father. He was about 10 years older and I had, just a high regard for him and I would guess that it was the military side. And I had a classmate, Harry Parkinson at Pinkerton who also got interested in Norwich. And, I remember him saying that he had had an uncle who'd been a soldier in World War II and had died. And I think that was part of his interest in going to Norwich. JC: And you said your major, you majored in history and you kept with that? WG: Yes. JC: Why do you think you chose history, particularly? WG: Good question. I think I had a love of history born of my mother and she had genealogy interests. We were – I learned early on we were descended from Mayflower people and – on her side, not on my father's side. In fact, my ancestors on my father's side fought on the other side during the Revolutionary War. (Laughs) JC: (Laughs) WG: And went from New York City to Canada (chuckles) – came back through New Brunswick, through Maine at a certain point later, several generations later. That kind of had something to do with it. And, I guess other than I'm – I still love history, read a good amount of military history. I sort of think I may be drawn to military history as one who hadn't served because when I got out of seminary there was nothing happening. And, I think if I had thought I should go into the service, it wouldn't be as a chaplain, it would be in the signal corps where I'd started out. I'm not sure if that would be true. And, where was I headed with this – what was the question again? 6 JC: Why you chose history as your major. WG: Oh, why I chose history as my major. I just – I'm not sure. Oh, I was talking about military history. Oh, and I think I had in the back of my head -- When I was a priest in Harrington Park, New Jersey, in a second church, I had a celebration for Veteran's Day in November, whether it fell on Sunday or one of the days before or after. So, I had a breakfast for veterans and their families. And the World War II veterans have a great reputation that no one ever talked about their experience. Well, this was in between an 8:00 and a 10:00 service and I discovered that when the veterans got together, whether it was World War II or later, you couldn't shut them up! (Laughs) JC: (Laughs) WG: And it made sense that they were talking because they knew the people they were talking to would understand where they're coming from. That was their military service. And I wonder if maybe my father's – he was in every battle in World War I, in Europe and was never wounded. So, I sort of grew up with hearing all that kind of stuff. JC: Was he in the first division or was he in the 76th? WG: The 76th Field Artillery Horse Drawn Cavalry. That's where the cavalry part came out of there. But he trained with horses. JC: Who were your roommates at Norwich and where did you live? WG: It was Jackson Hall. I can picture them. I'm not sure I can remember their names. Harry Parkinson was one. And there was a kid from Vermont that went on to West Point after the first year. And we were all bandsmen. And there was a guy, Lemons was one of the guys. He was an upper classman. That was in a subsequent year. But that leads me to an event that happened, I think, in my junior year, when there was a shooting in a room. I think I was on the first floor of Jackman. And across the hall, a guy named Tony Reddington, was with a roommate who had a .45 pistol. And an upperclassman of mine, Norm Elliott, came in the room and saw it and said – the two guys being rooks, "Let me see that." Pick it up. Took the clip out of the handle and aimed it at Tony Reddington and pulled the trigger. And it hit him in the body somewhere. Just unthinkable behavior. You would think. So, he, Tony was taken by ambulance to Hanover. The first successful aorta transplant kept him alive. He was able to survive about an hour's trip at least. However long it took the ambulance to get there and he came back to the school I think the next year and graduated. I'm pretty sure he graduated. And just recently, last year, I think it was last year. Or the year before. No, it was last year, I think, at a Saturday evening dinner at the hotel in Montpelier, I was 7 sitting at a table with my wife and I heard this voice saying, "Who are you?" And I didn't recognize him. And he said – "I'm Bill Gannon." And he said, "Bill Gannon?" And it was Tony Reddington. (Laughs) JC: (Laughs) WG: First time I was seeing him I think, since Norwich. And there he was. JC: Now, you were in band company. WG: Yes. JC: What can you tell me about band company? WG: Well, I'm sure we had – I'm trying to think if we ever played our instruments. I think we did. But I'm not sure when we might have done that. We got to play quite a bit, as a band. And, I think that was daily, which is important to do. I still play the trombone every day, because I play in a couple of concert bands. And I also play in a swing band. A couple of different ones. So, that was an important aspect because you have to keep your armature up if you're a brass player. And we would be playing for the bringing of the flag down. And that would be a daily event. And one of my favorite stories and memories of a time when our band had a major leader, not the professional guy but the cadet, determined that he was going to have a yacht cannon that would shoot, just a blank, and it was positioned under one of the real cannons by the flag pole, and nobody knew that he was going to be doing this, that we were going to be doing it. And he had explained to us, probably about this time, that the bass drum was always hit, this was something we did to simulate a cannon going off. And then we would start with the National Anthem. And on this occasion, I remember seeing a rook standing at attention, holding a string. His arm was up, he was holding a string and he was going to pull the string on – connected to the yacht cannon. So, he was given the command. And he pulled the string. And there was this huge roar and blue or black smoke and we started playing. And I remember looking because the trombones are in the front line, so I remember seeing both columns of cadets down the parade ground. And I was looking at the ones on the left as we faced east, I guess, and the whole column jumped at the cannon sound. And I'm sure the same thing was happening on the other side. There were three regimental officers in the middle and the cannon was sort of aimed at them. I'm not sure of this, but I believe I saw them leave the ground. JC: (Laughs) WG: And, the best part is, they came down saluting. (Laughs) 8 JC: (Laughs) WG: And held the salute for the duration of the National Anthem. (Chuckles) Well, our leader got fired from his – he was reduced from a sergeant to a private. And, (laughs) was discipline. I'm not sure how else he was disciplined and eventually became a leader again. That's a story worth – and, that was the beginning of a tradition of a 105 howitzer being deployed in the things that take place with the flag coming down on the parade ground. JC: Okay. Now, you said you didn't play any sports, you just played the trombone. WG: Right. JC: And, did you participate in any other activities? WG: I skied, but not on the ski team. And, I think that was part of the appeal of Norwich. And back then, there was a ski slope right across from the school. And, on a Saturday for sure and on Sunday, you could just walk across with their skis and just ski. And I remember that those of us in the signal corps course were a part at Mt. Mansfield, of setting up a communication system for some ski races that occurred there and to do that of course, we all got free skiing (laughs) as part of our setting of it up. JC: What did you do to relax when you were at Norwich? WG: Well, I think an important part of my Norwich experience was the fraternity life which we – we joined fraternities – was it our freshman year? I think so. And if it wasn't, it was the sophomore year. Because we ate in – the mess hall is the current chapel, and after the chapel mess hall, it was in the fraternities that most, but not all, that most of the school had their meals, lunch and dinner. And, the social life of the fraternity, I think, was very important. We had parties just about every Saturday night and we had a beer keg. And the commandant came around to make sure we weren't drinking. And the word went out ahead of his visiting, to the first fraternity. There were six, I think. And, that fraternity spread the word around the others that he's on his way. And when we got that word, we all had paper cups, so that by the time he got there, the keg was behind a two-part door. When it was open, the top part was open, but when he was coming, the top part was closed so you couldn't see the keg. And he would come down, this was in the basement, and he'd come down and we'd all start singing "For He's a Jolly Good Fellow." (Laughs) JC: (Laughs) WG: And I'm sure he knew what was going on. And I would have to say, I would expect that the benefit in part was, and I don't know if anybody's studied this, but I'll bet there was a minimum of drunken driving accidents on the highways if all 9 the drinking was happening at the school. So, the social life centered – and Vermont College was a place where we got dates. Sometimes we went south, I can't remember the name of the school or the town, but it was in south Vermont. Some guys went to New York state for drinking purposes, because you could drink at 18 in New York state. And I remember one – I had a very close friend, Carl Haskell, who was a year older. And I remember on one occasion he had a musket and he and I went out to a nearby bridge and I got to fire the musket and the fun part of that was learning that you pull the trigger and then you wait. (Laughs) JC: Yes. (Laughs) WG: And I swear I could see the bullet flying through the air! JC: (Laughs) WG: (Laughs) And I know that there were some others who – I didn't go hunting. I hunted squirrels when I was growing up in Chester. But some guys were hunters and that was part of the relaxing. I played the trombone in a dance band, The Grenadiers. There was some pick up jam sessions. I remember a classmate who has become a famous military historian, Carl Estes, Este, I'm not sure which it is. JC: I think it's Este1 WG: Este, right. And he played the jazz guitar in the group. So that was – I've always been a big reader. Tony Reddington told me when I saw him that he started reading Soren Kierkegaard because he saw a copy in my hip back pocket of the paperback, by that Danish existentialist philosopher. JC: What fraternity were you in? WG: SAE. Sigma Alpha Epsilon. JC: Okay. And, tell me a little bit more about The Grenadiers. WG: Well, it was a dance band. I think there were – there's a full sax section or if not full, at least almost. Which would mean four saxes, full would be five, usually. And there were either two or three trumpets. There were two or three trombones. Maybe there are four, I'm not sure. Double bass, stand-up bass, drums and I'm not sure if we had, we probably had a pianist. And that was the standard – maybe also guitar, I'm not sure about that. That was the standard makeup of dance bands in those days. Still is for that matter. And, I don't remember – we must have 1 Carlo D'Este 10 played for dances. I don't remember doing it. But, the music was fully, I would have to say, at the top of my relaxing moments. I can play the piano. When I was 12, I had lessons from a jazz piano player who taught me the chords and I had – as I said, this was on the piano, of all the chords. So, what happens is, you can get what's called a fake book which has the melody line and the chords. Guitar players use them, of course. But on the piano, you can play the chord with the left hand, melody with the right. And, I used to do some of that stuff in the fraternity house on the piano. And I remember one fun time at the fraternity house, at a party, they had – I didn't have anything to do with this – but they had taped the girl's restroom. And at the conclusion, after all the dates had been taken home or left to however they got home, I mean, I think it was around 12:00 or 12:30 at night, we gathered in the kitchen to listen to the tape. And we roared with laughter when we heard one girl say, "This party shits. Let's go down to Dartmouth where they really know how to party!" JC: (Laughs) WG: (Laughs) JC: Do you remember any particular song that y'all would play? WG: Songs? Well, the songbook back then, which is still true for me now, "How High the Moon," "Sunny Side of the Street," "Body and Soul," "There Will Be Another You," "The Very Thought of You," and all those. I mean there are about – there's got to be over a thousand of them that are in my head. JC: What about some Norwich songs? WG: Well, there is the school song, which I don't think I ever fully learned the words to. JC: (Chuckles) WG: It doesn't really impress me, musically. (Chuckles) JC: Most alma maters don't. (Laughs) WG: Right. JC: What about "On the Steps of Old Jackman?" WG: Is that a song? JC: Do you remember that one? 11 WG: No, I don't. JC: Oh, okay. WG: I think that's since my time there. And I remember it being sung at some reunion recently. JC: That's one a lot of people sometimes mention. What instructor – who were the instructors who were most influential to you during your time at Norwich? WG: Well, Rev. Hershel Miller was one, and he was the priest of a small Episcopal Church in Northfield as well as on the faculty of Norwich University in the religion department. There was a Roman Catholic priest who taught courses in the religion department and Hershel and that was the makeup of the department. In the – the head of the history department was a Dr. Morse, who was a Harvard graduate, I'm pretty sure. And, my – I took a number of courses, and the name is escaping me, but he was published. He was Eisenhower's historian. [Albert Norman?] And probably the name will come to me. And he lived a long time after retiring, and always sent me Christmas cards. And, I wasn't always an "A" student in his classes, usually a "B" student, I guess. But he seemed to have taken – I think he liked the fact that I went on to seminary. Eber Spencer was the government professor that I had in philosophy – political philosophy course. And he wrote my recommendation for law school. I was very fond of him. There was an English teacher who was the – this was a big part of my life were the Pegasus Players. And the advisor for the Pegasus Players, I think his name was Nelson but I'm not sure. But, in my sophomore year, a friend got me involved in the Pegasus Players and a play called "Time Limit." And, for some reason, I got to lead. I don't know why. And that was the beginning of – that changed my life. My first year I was basically a "C" student. And my second year, I became a dean's list student. And I think that was true for the rest of my life at Norwich. And it was theatre that did it for me. And I found that after getting involved in theatre that I studied less and got better grades. So, I was being more purposeful and with it in my studying. And, in my junior year, I think, I was playing King Creon in the Sophocles play "Antigone" and I think it was somewhat influential in my life. I had a line that I gave in the play. I was speaking to a subordinate person in the play, and the line was, "You dazzle me." And it was a put-down. And the mostly cadet audience roared. It was a total surprise to me that that would happen. And I think I grew to like hearing people laugh. (Laughs) JC: (Laughs) WG: And it's been true in my teaching and church (?) [0:47:04] life since I tended to be somewhat entertaining. 12 JC: What were your favorite classes and least favorite classes? WG: My history classes were – that was one of my favorites. The philosophy classes were all my favorite. I took economics and I would say that had less interest to me but money had less interest to me later. Biology was okay and my first-year math class was so-so. I had had everything in high school, including calculus and I think I could have gone on and majored in math if I wanted to, but the math class was business math. And, much later in life, this could be the reason I didn't like it as much, I got tested for what I should be doing which really didn't provide any surprises. Part of the test was a math test and I'm surprised to have the guy tell me, this was a phycologist that administered the tests, that I'd gotten all the easy questions wrong and all the difficult questions right. (Chuckles) JC: (Chuckles) WG: Which, I guess, means if I'm not entertained, my mind goes to sleep. (Laughs) JC: (Laughs) WG: And I don't pick up on stuff, which could mean I should never fly an airplane. JC: (Laughs) Probably so. What do you remember about being a rook? WG: Well, I remember being yelled at. I remember, I almost didn't come back. And, I think that that was partly – I got one – I remember getting 16 demerits one month. 12 was the limit. And for every demerit over 12 you had to march with a rifle for an hour around the parade ground. So, when I was doing my four hours, I was saying to myself, "This will never happen again," proving that harsh punishment can educate. I remember, but this was true later on too, but I remember feeling somewhat awed and admiring of the senior leaders in the barracks. The company commander and the first and second lieutenant. And I remember in the junior ROTC summer camp, which was Ft. Gordon in Georgia for me in signal (?) [0:50:43] corps, finding one of my first-year cadet officers who had inscribed his name in the firing range. When you were firing, you were behind the targets, underground, the bullets flying over your head, and it was a great pleasure that I saw that. And I have since made a great deal, I think, in my own mind, and to a few people who are considering Norwich, of the importance of the cadre that first year. And I believe that it is somewhat rare today for young people whose peer group up through last year of school, is their age group, and that's somewhat adjusted by the Norwich experience because your peer group at Norwich, your first year is your age group and then the rest, older cadets who are teaching you and that makes a lot of sense to me. And whether they're being nice about it or not, you still learned how to make the beds the way they wanted you to and shining your shoes and polishing your brass, pressing your pants and shirt and where to keep 13 stuff in a drawer, in a bureau drawer in the room. And the other aspects of getting ready for a daily inspection. And I think, generally, post-Norwich thinking, that most people, it's not until they hit the work world, that their peer group is other than their age group and it makes it, in my mind, much more important to have intergenerational experiences. This is true in the music world. And I think when you learn an instrument you have a non-parent teaching you how to play something, that's different. And parents are probably not so good at teaching because they have such an emotional investment. And when I was teaching in my private schools, three of them being boarding schools, I always thought that we teachers were doing a better job of parenting because we didn't have the emotional investment that the parent has. And very recently I've read that up until the 1970s, the nurturing community in a family wasn't just the two parents. It was grandparents, aunts and uncles, cousins, older kids, non-relatives that were functioning as aunts and uncles and somehow, at some point, maybe it's not the 70s, maybe it's the 50s, who knows. Life changed in the nurturing experience growing up, which could make the Norwich experience that much more important. JC: Now, you said you got 16 demerits. Do you remember what you did? WG: I don't. It was sloppy, whatever it was. I didn't – I may have missed a class. That was worth two. And, I don't know, if I didn't shine my shoes or something. But it was dumb stuff. JC: What was the hardest part of attending Norwich? WG: I would guess the first three months was the hardest part. And what you learned over the four years was – and I retained this in my head at least – is the non-military person is just clueless about what's happening in the military. And what's happening is you're gaining mastery over a whole culture and living in that culture. And once you gain the mastery, you're just doing what you knew how to do. And, that's relaxing. (Laughs) And the – I can remember coming back as the sophomore and how happy everybody was. And when we visit Norwich, we – and they mix the cadets up with the visiting people, it seems as if the cadets all have a very high spirit of being at ease and happy and on top of things and I think that's part of, that's part of the musical experience, is gaining mastery at an early age over something. And somebody's written a book recently called Grit, I don't know if you know of it. JC: I've heard of it. WG: You've heard of it. And she's a social psychologist. And her main point, which is present in advertising for the book is, it's not the smartest people who become 14 the most successful. It's people who've learned perseverance. And I think that's part of the Norwich experience for those who don't drop out. JC: What was your favorite part about Norwich? WG: Going back. (Laughs) And not being part of the cadet corps. JC: (Laughs) WG: (Laughs) I guess the mess hall was a favorite part. The fraternities were a favorite part. I loved the parading, in the band. That was a favorite part. Still, when I hear a marching band drums, I get a special tingle. And the two bands that I play in, we're playing mostly serious and semi-serious music. Stuff like medleys from Duke Ellington or Broadway show medleys, that kind of stuff, but we also play marches. And I always enjoy playing the marches. And, I think the dance band is the direct descendent of the marching band. JC: What was the most important thing you think that Norwich taught you? WG: Good question. I would think it was perseverance. Now, that's somewhat influenced having just read this book. But, I tend to – well I'll tell you a musical story. I was living – I was single, living – having broken up with my wife, in Peekskill, New York and all – forever after Norwich, I was always active as a musician, mostly in jazz swing bands. So, I had a job at a New York City college, Hofstra I think, but I'm not sure that that's in New York City, but there's one that is in New York City. And, I was to play, I also play the double bass, I was to play there one night and my car broke down. I was to play both instruments, trombone and bass. So, I determined that I would try, by taxi and then by train, to get into the city with a standup bass and a trombone. Most of my playing in these swing bands is without music because it's usually improvised. So, I got myself into the city. Got through the subway turnstile, was standing on the subway, bass in one arm and trombone being held by the other, and a Chinaman came up and looked at me and twisted around me, and I was saying to myself, "Is this guy going to steal one of my instruments and run off and how will I chase after him?" And it looked up, and in sort of broken English, he said, "You musician?" (Laughs) JC: (Laughs) WG: Which, of course I was. And the thought now of the effort I went to get from Peekskill to the gig and back, was rather extraordinary. But it has been true of my life generally that I push hard. JC: Norwich's motto is "I Will Try." What does that mean to you? 15 WG: Well, I always thought it was a dumb motto. I thought they could do better. Even "Lay or Bust" is a better motto, maybe. (Laughs) JC: (Laughs) WG: I mean, it's clear that some ad man hasn't designed it. But I actually think, my second and third thoughts about it is, it's pretty good. And I just read that infants – we saw a 12 month or 14-month-old boy in a restaurant waiting room with grandparents, parents surrounding it and he was standing with his arms out, back and forth as he maintains his balance. Is he going to take a step, or isn't he? That being hugely entertaining to the family and everybody else. That infants have to try again and again and again and they don't experience shame or failure. So, that could say that one of the more inhibiting aspects of adult life is when we fail and get all hung up over it, rather than trying again. And, it turns out, in science and in life generally, so much of the best stuff that happens, happens because you don't give up. JC: What does Partridge's idea of a citizen soldier mean to you? WG: Well, it means that I would vote for universal military training. (Laughs) JC: (Laughs) WG: I think that there is a national community that is being addressed by that identity. And the contributions that we make as citizens to our national life are going to all be happening locally, to be sure. But, we are citizen soldiers in any – in many of the contributions that we make whether it's in the military or not. And, I just think – especially at the late adolescence early adulthood stage of life, there are advantages to the military experience. I had a cab – a driver from an automobile company give me a ride home while they fixed my car and she'd just gotten out of a four-year air force stint and she told me – I asked her if she'd gone back to college because she had gone into the air force after high school. She said she had tried community college but it just didn't take, and my sense of it was that she couldn't stand the people she was going to school with. That they didn't have the dedication and seriousness that (inaudible) [1:05:21] the air force had had. And I've also read recently, I don't know if you've read Sabastian Junger's book Tribe but I can recommend it. It's short. The pages are short. And it's about our society and its brokenness and how people coming out of the military, coming from such a self-sacrificing, dedicated community oriented life into a me-too-ism, lack of community life in our country generally. And he's attributing that, rightly or wrongly, I'm not sure, but it makes some sense. Attributing to that, the post – PTSD depression. He points out that after 9/11 in New York City, the murder rate was cut in half, the suicide rate was cut in half because it was such – it was a greater sense of community. And I think Norwich has that sense of community that he's saying is missing. So, maybe Norwich 16 people should be prepared for the dysfunctional world they're entering and how to cope with it. JC: Now, after graduation, you went on to seminary. You never did join the military. WG: Right. JC: How did your training at Norwich prepare you for life? WG: Well, I think that's the same question as earlier. I think it prepared me for perseverance. I was a preacher at Norwich after I graduated from seminary. And, Herbert Spencer, my philosophy politics teacher, told me after the sermon that he was just amazed at how much more mature I was than I was at Norwich. And I believe that this may be true of graduate study generally that you learn to think in a more disciplined way than you did in college, which is not a commentary on Norwich necessarily but perhaps on our expectations of what college is supposed to do. And my experience in graduate school was reading a – I'm a big reader – and when I got there I took a speed reading course knowing that a huge amount of time was going to be spent reading. And it was very effective. But I believe part of what was happening to me was, in seminary I was learning how other people of great skill think. Doesn't mean that I bought their thought, but I knew how they were thinking. And I think that's – that was something that I – I would have to say that whatever I learned at Norwich, that deepened the thinking aspect of life that I received. JC: How do you think your professional life would have been different had you not been a Norwich graduate? WG: Well, that's good. I don't know. It could go back to perseverance. I've been a very outspoken person in my professional life. And, I think that could have been nurtured at Norwich, calling a spade a spade when I would see it, regardless of the consequences. And I think I sort of have a reputation in that way. Some people tell me that they are amazed at my courage, that I don't seem to be scared by what other people are scared of. And I think I was a very fearful person my first year at Norwich. And that may have – when I went to the summer camp training, I had what I regard as a very important experience. There were about 750 or 800 cadets. And we were taken into a field and told to yell as loud as we could. And so I was chosen of the three to be the regimental cadet colonel for marching all of the cadets from the barracks area to a parade area and doing the parade thing and marching back. And a regular army lieutenant took me – I didn't have any misgivings about this because part of the Norwich experience, even if you weren't in a command position, I was a private all first three years, was that you've seen people do this over and over again. So, you're ready to mimic what you see. And – but he took me over the trip I'd be taking, so we rehearsed. I knew what the commands were going to be but I'd hadn't known where I'd being going. So, we rehearsed the whole thing. 17 Now, I can tell you, as a priest, it became – that inspired me always to have wedding rehearsals. (Laughs) JC: (Laughs) WG: And the value of rehearsing is huge in my head. And I think that could be part of the Norwich experience. But, by the time I got to Ft. Gordon, Georgia, I was relatively fearless at, I think, a lot of the military stuff that other people were probably somewhat wary of because of the Norwich experience. And when I didn't go in the military, my feeling was, because of Norwich, I've done that. I'm not interested in doing it again. (Chuckles) JC: (Chuckles) WG: I want to get onto other things. JC: Do you think being a Norwich graduate opened doors for you that wouldn't have been open otherwise? WG: Well, that's a good question. I don't know. I also would say, and I think it's important to know this, that when I was there, partly the influence of this religion teacher, there were a high number of Norwich guys that went to seminary, and it could be partly the military because a big part of Sunday morning life is ritual. But – and I think it could be the emphasis on surface that the military had and Norwich has. And I don't know what the situation is now. I don't think being a minister today has the social significance that it once had. It's not something everybody's dying to do. But that, I think there was a – I would think that probably more people were going to seminary in those old days from that school than perhaps from others. JC: Do you think Norwich graduates have a special bond that other military or civilian schools don't have? WG: I don't know. JC: What about band (?) [1:14:33] company? Now I've heard – WG: Oh yes. Yes. Yes. JC: -- that kids have very close knit bonds. WG: Yes, yes. That's also true in my jazz life. You meet a jazz musician anywhere, you're totally at ease. And he may be totally untrustworthy but you don't know that and you're willing to trust him until he proves otherwise. And, yes, I would guess that the Norwich – certainly the band's people at Norwich this is true of. And it's just partly because you know – you both know what the other one has 18 been through. And, to a certain extent, I wouldn't be surprised if the same thing is true for all of the Norwich graduates. JC: Now, have you been involved with Norwich since you graduated? WG: I was part of the alumni association in the 80s. I was asked to be the baccalaureate speaker at a graduation in '86, when the president was – JC: General Todd? WG: Yes. General Todd. And, I've occasionally gone to the send offs of, and to the occasional (sic) when Schneider came to Bedford within the past year. And, that's what I think. JC: Do you stay in touch with any of your classmates? WG: I've got one that I stay in touch with, who has been forbidden from coming to the school because he threatened to tear off the veil of a Muslim – JC: Oh! (Laughs) WG: -- cadet. And I just don't agree with that at all. I think there's a lot of stupidity at work in the anti-Muslim feeling. And the real situation is that Saudi Arabian Wahhabism which merged the tribal culture of Saudi Arabia with Islam and which has been exported both to this country and to other parts of the world which has resulted in ISIS and such a bad reputation for Muslims. But, there you go. JC: What advice would you give a rook today on how to survive and thrive at Norwich? WG: (Laughs) They should try. JC: (Laughs) WG: Whatever it is. Keep trying. JC: Now, did you have any other relatives that attended Norwich? WG: No. JC: Is there anything else you'd like to add or have a comment? WG: I'll probably think of it after you leave. 19 JC: (Laughs) WG: (Laughs) JC: That's generally the way it goes. Alright, well I thank you very much for this interview. WG: You're welcome. It's been very enjoyable. JC: Thank you. (end of audio)

Die vorliegende Arbeit befasst sich mit der Synthese und Charakterisierung von nanostrukturierten Mikropartikelpulvern mit einstellbarem Zerfalls- und Dispergierungsverhalten und deren Anwendung als verstärkender Füllstoff sowie deren Eignung für Sensoranwendungen. Sie ist in drei Teilbereiche gegliedert: Der erste Teil beschreibt die Synthese der nanostrukturierten Mikropartikelpulvern durch Sprühtrocknung von kolloidalen oxidischen (silicatischen und eisenoxidischen) Nanopartikeln. Es wird ausgeführt, wie durch Variation der Art und Größe der Primärpartikel und deren mengenanteiligen Kombination Mikropartikel unterschiedlichster nanostruktureller Maserung und Ausprägung erhalten wurden. Das Spektrum dieser Partikel reichte von homogen verteilten Strukturen bis hin zu Kern-Satellit-Struktur, von kontrollierter Aggregierung bis hin zur vollständigen Dispergierbarkeit. Im zweiten Teil der Arbeit wurden die Partikel im Hinblick auf ihre Eignung und Verwendung als Füllstoffe für Elastomer-Matrices untersucht. Im Fokus stand die Verstärkungswirkung und die Korrelation mit dem Dispergierverhalten in PDMS. Im dritten Teil der Arbeit wurde das Syntheseprinzip der Herstellung nanostrukturierter Mikropartikel auf Hydroxid-basierte Systeme wie LDHs erweitert. Teil I: Von Silica-NP zu nanostrukturierten Mikropartikeln mit einstellbarem Zerfallsverhalten Um nanostrukturierte Mikropartikel mit einem integrierten Zerfallsverhalten zu erzeugen, wurden zunächst kolloidale Silica-NP mit einer Größe von 20 nm abgestuft mit unterschiedlichen Mengen (0, 1/10, 1/5, 1/3, 1/2, 2/3, 1) eines hydrophobierend wirkenden Silans (Triethoxyoctylsilan, OCTEO) modifiziert. Neben den beiden Extremen der vollständigen und unmodifizierten Varianten (1 und 0) wurden teilweise modifizierte Zwischenstufen erhalten, indem die Silanmenge auf 2/3, 1/2, 1/3, 1/5 und 1/10 im Vergleich zu den vollmodifizierten Silica-NP verringert wurde. Die modifizierten Nanopartikel zeigten beim Dispergieren in verschiedenen Flüssigkeiten (Wasser, Toluol) eindeutige und graduell klar differenzierbare Unterschiede in Abhängigkeit vom Bedeckungsgrad der Partikeloberfläche mit dem Silan. Wie erwartet nahm das hydrophobe Verhalten der Nanopartikel mit zunehmendem Bedeckungs- und damit Modifizierungsgrad zu und die Nanopartikel waren in unpolaren Flüssigkeiten wie Toluol gut dispergierbar, während sie in polaren Flüssigkeiten wie Wasser zur Agglomeration und Sedimentation neigten. In einem nächsten Schritt wurden die zu unterschiedlichen Graden mit OCTEO modifizierten kolloidalen Silica-NP mittels Sprühtrocknung in mikroskalige Pulver überführt. Die nanostrukturierten Mikropartikelpulver wurden mit verschiedenen Analysemethoden wie REM-Aufnahmen, BET-, FTIR- und TG-Messungen untersucht, und die Eigenschaften der gebildeten Partikel charakterisiert. Die nanostrukturierten Mikropartikel zeigten auf den REM-Aufnahmen abhängig vom Modifizierungsgrad der Nanopartikel ein sehr unterschiedliches Aussehen. Während die Mikropartikel aus vollständig modifizierten Nanopartikeln eine eher raue Oberfläche besaßen, hatten die aus unmodifizierten Nanopartiklen gebildeten eine sehr glatte, kompakt erscheinende Oberfläche, was als Hinweis auf eine Kondensation und eine damit verbundene Aggregation der Nanopartikel gewertet wurde. Da sich diese Hypothese anhand der Aufnahmen aber nicht beweisen ließ, wurden in einer nächsten weiterführenden Testreihe Nano-Indenter-Experimente unter dem REM mit den aus voll- und unmodifizierten Nanopartikeln aufgebauten Mikropartikeln durchgeführt. Die Ergebnisse bestätigten den ersten Eindruck der REM-Aufnahmen insofern, als das sich die sehr kompakt wirkenden unmodifizierten Partikel nicht mit einer Wolfram-Spitze eindrücken ließen und damit die Hypothese mechanisch stabiler Aggregate untermauerten. Ganz anders verhielten sich die vollmodifizierten Partikel, die mithilfe der Wolfram-Spitze so eingedrückt werden konnten, dass die Nanopartikel aus dem Mikropartikelverbund herausgelöst wurden und teilweise vereinzelt vorlagen. Hier handelte es sich mit hoher Wahrscheinlichkeit um Agglomerate, die unter der Einwirkung einer Scherkraft wieder vereinzelt werden konnten. Da es mit mikroskopischen Verfahren wie REM nicht möglich war, unmittelbare Aussagen bezüglich der Wechselwirkung der Nanopartikel im Mikropartikel zu treffen, wurden zunächst die Oberflächeneigenschaften mittels BET-, FTIR- und TG-Messungen untersucht. Im Hinblick auf die spätere Anwendung war es sehr wichtig, die Oberflächeneigenschaften der Mikropartikel möglichst umfassend zu charakterisieren, da diese entscheidend zur Dispergierbarkeit der Partikel in einem Matrixsystem beitragen. Mithilfe der FTIR- und TG-Messungen konnte die Anwesenheit und Menge von Silan auf der Partikeloberfläche bestimmt werden. Es zeigte sich ein klarer Trend für die zu verschiedenen Graden mit OCTEO modifizierten Silica-NP. Mit zunehmender Silanmenge nahm sowohl die Intensität der FTIR-Bande für die CH2- und CH3-Streckschwingung als auch der Masseverlust zu. Im Gegensatz zu diesen Messungen zeigte sich bei den BET-Messungen kein klarer Trend in Abhängigkeit vom Bedeckungsgrad der Silica-NP. Die höchsten Werte für die spezifische Oberfläche hatten Mikropartikel, die aus 1/5- und 1/3-modifizierten Silica-NP bestanden. Eine schlüssige Erklärung wird darin gesehen, dass durch die Alkylgruppen auf der Oberfläche ein Kondensieren der Silica-NP weitestgehend verhindert wurde und gleichzeitig noch genügend Mikroporen vorhanden blieben, die mit den Stickstoffmolekülen wechselwirken konnten. Neben den Standard-Analysemethoden wurden Dispergierbarkeitsuntersuchungen durchgeführt sowie die Hansen-Dispergierbarkeitsparameter (HDP) und die ET (30)-Werte mit dem Reichardt-Farbstoff bestimmt. Anhand der Dispergierbarkeitsuntersuchungen konnten erste qualitative Aussagen getroffen werden, ob es sich um hydrophile oder hydrophobe Partikel handelt. Diese ersten Ergebnisse und Trends konnten anschließend mit den HDP und dem RD quantitativ untermauert werden. Die Polarität der Mikropartikel, die aus zu unterschiedlichen Graden mit OCTEO modifizierten Silica-NP aufgebaut waren, nahm mit zunehmender Oberflächenbedeckung ab. Dieser Trend korrelierte mit den aus den FTIR- und TG-Messungen erhaltenen Werten. Da es mit den Silica-basierten Mikropartikeln nicht möglich war, unmittelbare Aussagen zum Agglomerations- bzw. Aggregationsgrad der Nanopartikel im Mikropartikel zu treffen, wurde das Prinzip der Agglomerations/Aggregationssteuerung über Oberflächenmodifikation auf magnetische Nanopartikel übertragen und so ein Modell geschaffen, das die Wechselwirkung auf nanopartikulärer Ebene sichtbar und messbar macht. Diese Informationen zum Agglomerationsgrad der Nanopartikel lieferten wertvolle Hinweise im Hinblick auf die Dispergierbarkeit der Partikel in einer Matrix: Handelte es sich bei den Partikeln um lose Agglomerate, könnten diese zum Beispiel in einem Elastomer wieder auf Primärpartikelgröße dispergiert werden, während Aggregate nur in undefinierte Sekundärstrukturen zerfallen. Gleichzeitig wurde mit dieser Systemübertragung die Frage beantwortet, ob es sich bei den teilmodifizierten Partikeln um eine Mischung aus voll- und unmodifizierten Partikeln handelte oder ob das Silan statistisch über die komplette Oberfläche verteilt war. Wie auch schon beim Silica-System wurden die Nanopartikel zunächst abgestuft mit OCTEO modifiziert (0, 1/10, 1/3, 1/2, 2/3, 1) und anschließend sprühgetrocknet. Aufgrund ihrer magnetischen Eigenschaften konnten die Eisenoxid-Partikel mittels ZFC- und FC-Messungen untersucht werden. Diese spezielle Analysemethode erlaubte es, Aussagen über den Grad der magnetischen Wechselwirkung der Partikel zu treffen und somit indirekt auch über den Grad der Agglomeration/ Aggregation der Nanopartikel im Mikropartikel. Es zeigten sich klare Unterschiede in den Werten für die Blocking-Temperatur (TB) zwischen den voll- und unmodifizierten Partikeln. TB ist die Temperatur, ab welcher die Magnetisierungsrichtung der Partikel aufgrund der thermischen Energie frei fluktuieren kann. Die vollmodifizierten Partikeln hatten einen sehr niedrigen Wert für TB, was auf eine schwache Dipol-Dipol- Wechselwirkung zwischen den einzelnen Eisenoxid-NP schließen ließ, während die unmodifizierten Eisenoxid-Partikel einen hohen TB-Wert hatten, woraus zu schließen war, dass es sich um Aggregate mit einem sehr geringen Partikel-Partikel-Abstand handelte und einer deshalb höheren Wechselwirkung. Die Werte der teilmodifizierten Partikel folgten dem Trend, dass mit zunehmender Silan-Bedeckung der TB-Wert abnahm. Um die Frage der Silan-Verteilung zu beantworten, wurde zusätzlich ein Mischsystem aus voll- und unmodifizierten Eisenoxid-NP versprüht. Sollte es sich bei den teilmodifizierten Partikeln (als Beispiel 1/2) nicht um eine statistische Verteilung der Octylgruppen auf der Oberfläche handeln, müssten die beiden Messungen Übereinstimmungen aufweisen. Dies war allerdings nicht der Fall, was mithilfe der ZFC- und FC-Messungen gezeigt werden konnte. Der TB-Wert des Mischsystems lag zwischen dem der voll- und zu 2/3-modifizierten Partikel, während der Tir-Wert dem der unmodifizierten Partikel entsprach. Die Breite der Aufspaltung zwischen TB undTir konnte als breite Partikelverteilung (Mischung aus Agglomeraten und Aggregaten) interpretiert werden. Im Hinblick auf die Anwendung als Füllstoff wurden die Mikropartikel in eine PDMS-Matrix eingearbeitet und erneut ZFC- und FC-Messungen durchgeführt, wobei die gleichen Trends wie bei den reinen nanostrukturierten Mikropartikeln erhalten wurden. Das bedeutete, dass sich die vollmodifizierten Eisenoxid-NP gut im Elastomer verteilt hatten und somit eine nur sehr geringe Dipol-Dipol-Wechselwirkung vorhanden war. Mit dem entwickelten System der nanostrukturierten Mikropartikel lässt sich der Agglomerations- bzw. Aggregationsgrad der Nanopartikel mehr oder weniger gezielt einstellen, und es können zusätzlich Voraussagen über die Redispergierbarkeit des Partikelpulvers in einer geeigneten Matrix gemacht werden. Basierend auf den gewonnen Erkenntnissen, die zum Verständnis der nanostrukturierten Mikropartikel beitrugen, wurden in einem nächsten Schritt gezielt komplexe Strukturen aufgebaut. Für eine gezielte Strukturierung von Nanopartikeln in Kern-Satellit-Partikel wurde zunächst große 100 nm Silica-NP mit einem PCE funktionalisiert und anschließend mit kleinen und großen unmodifizierten Silica-NP versprüht. Wurden die geeigneten Verhältnisse (70:20:10; 100 nm Mel : 100 nm blank : 20 nm blank) der Partikel zueinander gewählt, konnten Kern-Satellit-Strukturen auf der Mikropartikeloberfläche erzeugt werden. Beim Dispergieren der Mikropartikel in einer Flüssigkeit und in einem Elastomer (PDMS) konnten vereinzelte Kern-Satellit-Strukturen erhalten werden. Um zu bestätigen, dass es sich bei den dispergierten Kern-Satellit-Partikeln nicht um durch Trocknungseffekte entstandene Strukturen handelte, wurden in-situ-Flüssigkeitszellen- TEM-Aufnahmen gemacht. Die Aufnahmen konnten zeigen, dass sich die Kern-Satellit- Partikel in Abhängigkeit zueinander bewegen und nicht jeder Nanopartikel für sich, was auf eine Bindung der Partikel untereinander hindeutete. Neben den Silica-basierten Kern-Satellit-Partikeln konnten auch welche erzeugt werden, deren Satellit-Partikel aus Eisenoxid bestanden. Mit diesem System ist es möglich, multifunktionelle Partikel mit verschiedensten Eigenschaften und Strukturen herzustellen. Teil II: Anwendungspotential nanostrukturierter Mikropartikel Im zweiten Teil der Arbeit wurde zunächst die Anwendung der nanostrukturierten Mikropartikel als Füllstoff in IR und PDMS untersucht. Dafür wurde ein weiteres Silan, Si69TM, zur abgestuften Modifizierung der Silica-NP eingesetzt. Es handelt sich um ein multifunktionelles Silan, welches sowohl an die Partikeloberfläche als auch an das Elastomer binden kann. Bei den mechanischen Untersuchungen der IR-Silica-Komposite zeigte sich, dass das Silan einen entscheidenden Einfluss auf die Verstärkung bei kleinen Deformationen hatte. Während bei dem monofunktionellen Silan (OCTEO) eine direkte Korrelation zwischen Bedeckungsgrad und mechanischer Verstärkung (G') bei gleichbleibendem Füllstoffgehalt beobachtet werden konnte, hatte der Bedeckungsgrad beim multifunktionellen Silan (Si69TM) keinen Einfluss. Anders als bei kleinen Deformationen zeigte sich bei großen Deformationen ein gegenteiliges Bild. Die Verschleißrate der IR-Silica-Komposite nahm bei beiden Silantypen mit zunehmendem Modifizierungsgrad ab, wobei die mit Si69TM modifizierten Partikel-Komposite wesentlich beständiger gegen Verschleiß waren als die mit OCTEO modifizierten Partikel-Komposite, was auf die zusätzliche Matrixanbindung des Si69TM zurückzuführen war. Wurden die IR-Silica- Komposite mit den PDMS-Silica-Kompositen verglichen, konnten keine übereinstimmenden Trends gefunden werden. Im PDMS-System war die mechanische Verstärkung für Mikropartikel aus 2/3 mit OCTEO modifizierten Silica-NP maximal. Diese Unterschiede könnten sowohl auf die unterschiedliche Einarbeitung als auch auf die sehr unterschiedlichen Matrices zurückgeführt werden. Als weitere Anwendung wurden die nanostrukturierten Mikropartikel als Schersensoren für den 3D-Druck untersucht. Hierfür wurden die Silica-NP mit einem PCE modifiziert und anschließend sprühgetrocknet. Um die entstandenen Mikropartikel vollständig in einer Matrix zu dispergieren, waren hohe Scherkräfte und lange Scherzeiten erforderlich, was eine mögliche Anwendung als Schersensor nur schwer realisierbar macht. Teil III: Erweiterung des Ansatzes zur Herstellung nanostrukturierter Mikropartikel auf Hydroxid-basierte Systeme Im dritten Teil dieser Arbeit wurde das System zur Modifizierung von oxidischen Silicaund Eisenoxid-Partikeln auf ein hydroxidisches Systeme übertragen. Hierfür wurden mittels Fällungsprozess LDH-Partikel hergestellt, die anschließend mit OCTEO modifiziert und abschließend sprühgetrocknet wurden. In gleicher Weise wie bei den Mikropartikeln aus Silica-NP nahm der hydrophobe Charakter der LDH-Mikropartikel mit zunehmendem Modifizierungsgrad der Ausgangspartikel zu, was sich anhand von Untersuchungen zur Dispergierbarkeit in Flüssigkeiten unterschiedlicher Polarität zeigte. Zudem ließen sich die aus vollmodifizierten LDHs aufgebauten Mikropartikel in einer PDMS-Matrix wieder in vereinzelte Partikel dispergieren. Die Verstärkung der Komposite war für die teilmodifizierten Partikel (2/3) maximal, da es sich hier, wie auch bei den anderen Partikelsystemen (Silica und Eisenoxid), um eine Mischung aus vereinzelten LDHs und kleineren Aggregate handelte, was aufgrund der starken Füllstoff-Füllstoff-Wechselwirkung zu einer mechanischen Verstärkung bei kleinen Deformationen/Dehnungen führte. Die Eigenschaften der Polymer-Partikel-Komposite ließen sich über den Modifizierungsgrad der Primärpartikel einstellen. Dies konnte für alle drei Partikelsysteme (Silica, Eisenoxid und LDH) beobachtet werden. Ausblick In der vorliegenden Arbeit konnte die Synthese von verschiedenen nanostrukturierten Mikropartikeln und deren einstellbaren Zerfall gezeigt werden. Um den Zerfall der Mikropartikel noch gezielter einstellen zu können, sollte in weiterführenden Arbeiten vor allem die Modifizierung der Nanopartikel noch eingehender untersucht werden. Mithilfe der magnetischen Messungen konnte zwar zwischen einer Mischung aus un- und vollmodifizierten Partikel im Vergleich zu teilmodifizierten Partikel unterschieden werden, es konnten jedoch keine konkreten Aussagen zur Verteilung der Silanmoleküle auf der Partikeloberfläche getroffen werden. Hierfür sollten weitere Charakterisierungsmethoden hinzugezogen werden, die die Modifizierung auf molekularer Ebene analysieren. Zusätzlich sollte die Verteilung/Anordnung der teilmodifizierten Nanopartikel im Mikropartikel untersucht werden. Gerade für Nanopartikel mit einem geringen Modifizierungsgrad (1/10, 1/5 und 1/3) sind verschiedene Anordnungen möglich. Die Nanopartikel können sich während der Sprühtrocknung so anordnen, dass sich die Alkylketten entweder nach außen oder in die Mitte des Mikropartikels orientieren/ausrichten. Die Anordnung der Nanopartikel hat einen großen Einfluss auf die Polarität der entstehenden Mikropartikel- pulver. Darüber hinaus hat sie einen Einfluss auf die Aggregation der Nanopartikel untereinander und somit auf die Bildung von komplexen Unterstrukturen wie zum Beispiel Kern-Satellit-Partikel. Neben der Modifizierung der Nanopartikel sollte die Herstellung der komplexen Strukturen/Suprapartikel weiter optimiert werden. Mit einem detaillierten Verständnis der physikalischen Prozesse während der Sprühtrocknung könnte die Anzahl der Satelliten auf den Kernpartikel kontrollierter eingestellt werden. Grundsätzlich kann das hier entwickelte System der nanostrukturierten Mikropartikel mit einstellbarem Zerfallsverhalten an eine Vielzahl von Anwendungen angepasst werden. Da das System für zahlreiche Partikeltypen (Silica-, Eisenoxid-NP und LDH) geeignet ist, könnten verschiedene Partikel ko-versprüht und so Suprapartikel mit ganz neuen Funktionalitäten und Eigenschaften erzeugt werden. Diese können als verstärkende Füllstoffe in Elastomere oder zur Stabilisierung von Dispersionen eingesetzt werden. Mischpartikel aus Silica- und Eisenoxid-Partikel hätten zum Beispiel den Vorteil, dass sie eine Dispersion stabilisieren und gleichzeitig wieder magnetisch abgetrennt werden können. Diese Mischpartikel könnten auch als Füllstoffe in komplexe Kunststoffbauteile eingearbeitet werden, in denen sie zum einen als mechanisch verstärkender Füllstoff wirken und gleichzeitig durch induktive Erwärmung das Bauteil vernetzt. Beim induktiven Erwärmen handelt es sich um eine schonende Methode Bauteile gezielt zu vernetzen, indem die Wärme im Bauteil selbst, über magnetische Verluste der Magnetpartikel in einem magnetischen Wechselfeld, erzeugt wird und nicht über seine Oberfläche eingebracht werden muss. Eine weitere interessante Anwendung für Mischpartikel ist die als magnetooptisch aktiver Marker oder Tracer in der medizinischen Diagnostik. Aufgrund von Quenching-Effekten (Auslöschungseffekte) ist es schwierig magnetische Nanopartikel mit einer Farbigkeit oder Fluoreszenz auszustatten.[385] Mischt man jedoch die magnetischen Nanopartikel mit einem weiteren Partikelsystem wie zum Beispiel Silica-NP oder LDHs, können magnetooptische Eigenschaften erhalten werden ; The herein presented work deals with the synthesis and characterization of nanostructured microparticle powders with adjustable burst behavior and their application as reinforcing fillers as well as their application as a shear sensors. For this purpose, the work was structured into three parts. The first part was dedicated to the synthesis of nanostructured microparticle powders produced by spray-drying colloidal nanoparticles. Depending on the composition of the particles during the spray-drying process, it was possible to produce nanoparticulate structures such as core-satellites. In the second part of the work, these nanostructured microparticles could be redispersed in a suitable matrix such as polydimethylsiloxane (PDMS) and then tested for a potential application as reinforcing fillers. In the third and final part of the work, the synthesis approach was extended to hydroxide-based systems such as layered double hydroxides particles (LDHs). Part I: From silica nanoparticles to nanostructured microparticles with adjustable burst behavior To generate nanostructured microparticles with an integrated burst behavior, colloidal silica nanoparticles with a size of 20 nm were either partially or completely (1/10, 1/5, 1/3, 1/2, 2/3, 1) modified with triethoxyoctylsilane (OCTEO), which makes the nanoparticle surfaces hydrophobic or semi-hydrophobic, or the nanoparticles were left blank (0). To achieve the part-modification" the amount of silane was reduced accordingly to 2/3, 1/2, 1/3, 1/5 and 1/10 compared to the completely modified silica nanoparticles. The modified nanoparticles showed clear differences when dispersed in different liquids (water, toluene) depending on the silanization degree of the particle surface. As expected, the hydrophobic behavior of the nanoparticles increased with increasing silane coverage and the nanoparticles were redispersible in non-polar liquids such as toluene while they tended to agglomerate and sediment in polar liquids such as water. In a next step, the colloidal silica nanoparticles, which were modified to different degrees with OCTEO, were spray-dried to yield a powder. The obtained nanostructured microparticle powders were then characterized by various analysis methods such as scanning electron microscope (SEM), specific surface area measurement by nitrogen adsorption according the Brunauer, Emmett and Teller theory (BET), FTIR measurements and thermogravimetric analysis (TGA) to examine the properties of the formed particles in more detail. SEM revealed that the nanostructured microparticles showed a very different appearance depending on the degree of modification of the nanoparticles. The microparticles consisting of completely modified nanoparticles had a rather rough surface, while the ones consisting of non-modified nanoparticles had a very smooth and compact surface, which could be due to possible condensation and associated hard agglomeration of the nanoparticles. Since based on SEM images alone it was not possible to confirm this assumption, in a next series of tests, in situ nano-indenter experiments were carried out in the SEM with microparticles composed of completely and non-modified nanoparticles. These results finally confirmed the first impression gained by SEM, as the very compact non-modified particles could not be indented with a tungsten tip which is possibly a good indication that hard agglomerates prevail in this case. The completely modified particles could be indented with the tungsten tip, thus behaved quite differently. The microparticles showed a ductile/plastic behavior and the nanoparticles could be separated from each other. This suggests that these particles probably consist of soft agglomerates of nanoparticles which can be separated again by force. Since it was not possible to make substantiated statements regarding the interaction of the nanoparticles within the microparticle with microscopy methods such as SEM, the surface properties of the particles were studied using BET, FTIR measurements and TGA. With a view to later applications, it it was important to characterize the surface properties of the microparticles in detail, since these are essential for the dispersibility of the particles in a matrix system. Using FTIR measurements and TGA the presence and amount of silane on the particle surface was determined. There was a clear trend for the silica nanoparticles which were modified to different degrees with OCTEO. As the amount of silane increased, both the intensity of the FTIR band for CH2 and CH3 stretching and mass loss increased. In contrast to these measurements, the BET measurements showed no clear trend depending on the surface coverage of the silica nanoparticles. The highest values for the specific surface area were found for microparticles consisting of 1/5- and 1/3-modified silica nanoparticles. In these cases, the condensation of the silica nanoparticles was largely prevented by the surface alkyl groups, and at the same time, there were still enough micropores that were able to interact with the nitrogen molecules which may explain the higher values. In addition to the standard analytical methods, liquid tests were performed and Hansen dispersibility parameters (HDP) and ET (30) values with Reichardt's dye (RD) were determined. Based on the liquid tests, first qualitative statements, concerning the hydro- philicity or hydrophobicity of the particles, modified to a different extend with silane, were made. These results and trends were then quantitatively substantiated with the HDP and the RD experiments. The polarity of the microparticles which were built up to different degrees with OCTEO modified silica nanoparticles decreased with increasing surface coverage. This tendency correlated with the values obtained from the FTIR and TG measurements. Since it had not been possible so far to determine the degree of soft and hard agglomeration of the silica nanoparticles in the microparticles, the system was transferred to iron oxide nanoparticles. The degree of agglomeration of the nanoparticles was crucial for subsequent dispersion in a matrix: If the particles were loose, soft agglomerates, they could be redispersed into primary nanoparticles in an elastomer, while hard agglomerates would only disintegrate into undefined secondary structures. At the same time, this system transfer was intended to answer the question whether the partially modified particles are a mixture of completely and non-modified particles or whether the silane is statistically distributed over the entire surface of all nanoparticles, i.e. whether all nanoparticles are modified to the same extend with silane. Similar to the silica system, the iron oxid nanoparticles were modified to different degrees with OCTEO (0, 1/10, 1/3, 1/2, 2/3, 1) and then spray-dried. Due to their magnetic properties, the iron oxide particles could be analyzed by Zero-Field-Cooled (ZFC) and Field-Cooled (FC) measurements. This special analysis method made it possible to deduce statements on the degree of the magnetic interaction of the particles and thus indirectly on the degree of soft and hard agglomeration of the nanoparticles in the microparticle. There were significant differences in the blocking temperature (TB) between the completely and the non-modified particles. TB is the temperature at which the magnetization direction of the particles can freely fluctuate due to thermal energy. The completely modified particles had very low TB value, suggesting a weak dipole-dipole interaction between the individual iron oxide nanoparticles. In contrary to this, the non-modified iron oxide particles had a high TB value, suggesting that the nanoparticles form hard agglomerates , coming with a very small particle-particle distance and therefore a higher interaction. The values of the partially modified particles followed the trend that the TB value decreased with increasing silane coverage. In order to answer the question of the silane distribution, a mixed system consisting of completely and non-modified iron oxide nanoparticles was also spray-dried. If the partially modified particles (as example 1/2) were a mixture of non-modified and modified nanoparticles and therefore the silane was not statically distributed on the nanoparticle surface, the TB value should be the same as for the mixed system. This was not the case however, as demonstrated by the ZFC and FC measurements. The TB value of the mixed system was between the one of the completely and 2/3-modified particles, while the irreversible temperature (Tir) value corresponded to that of the non-modified particles. The width of the splitting between TB and Tir could be interpreted as a broad particle distribution (mixture of soft and hard agglomerates). For the use as fillers, the microparticles were incorporated in a PDMS matrix and ZFC and FC measurements were again performed, and the same trends were observed as for the pure nanostructured microparticles. From this it could be concluded that the completely modified iron oxide nanoparticles had been well distributed in the elastomer and thus had very little dipole-dipole interaction. With the developed system of nanostructured microparticles, the degree of soft and hard agglomeration of the nanoparticles can be adjusted more or less specifically, and additional predictions can be made about the redispersibility of the particle powder in a suitable matrix. Based on the insights gained to understand the system, more complex structures were built up. For the adjustable structuring of nanoparticles in core-satellite particles, large 100 nm silica nanoparticles were firstly functionalized with a polycarboxylate ether (PCE) and afterwards spray-dried with small and large non-modified silica nanoparticles. By choosing a suitable ratio (70:20:10, 100 nm Mel : 100 nm blank : 20 nm blank) of the particles composition was chosen, core-satellite structures were generated on the microparticle surface. The dispersion of microparticles in a liquid or in an elastomer (PDMS) resulted in isolated core-satellite structures. In situ liquid cell TEM was carried out to confirm that the dispersed core-satellite particles were not only structures created by drying-effects. It was possible to record core-satellite particles moving/rotating in relation to each other which was an indication that the small particles were bound to the larger ones. In addition to the silica-based core-satellite particles, core-satellite particles were synthesized whose satellite particles consisted of iron oxide. This proved the approach being suitable to produce multifunctional particles with different properties and structures. Part II: Application potential of nanostructured microparticles In the second part of the work, the application of the nanostructured microparticles as reinforcing fillers in isopren rubber (IR) and PDMS, as well as shear sensor in 3D printing was examined. For this purpose, the silica nanoparticles were modified with the silane bis(triethoxysilylpropyl)tetrasulfide (Si69TM) in addition to OCTEO. Si69TM is a multifunctional silane capable of covalently binding to both, the particle surface via the ethoxy groups and the elastomer via the sulphur. The mechanical investigations of the IR-silica composites demonstrated that the silane modification of the silica nanoparticles had a significant influence on the reinforcement at small strain amplitudes. While the monofunctional silane (OCTEO) revelaed a direct correlation between the degree of coverage and mechanical reinforcement (G') at a constant filler content, the degree of coverage of the multifunctional silane (Si69TM) had no effect. In contrast to small strain amplitudes, a completely different behavior was found for large strain amplitudes. The wear rate of the IR-silica composites decreased with increasing modification degree for both silane types. The Si69TM modified particle composites were much more resistant to wear than the OCTEO modified particle composites due to the additional matrix binding of the Si69TM. When comparing the IR-silica composites to the PDMS-silica composites, no consistent trends were found. In the PDMS system, the mechanical reinforcement by the particles was at maximum for particles being modified on their surface to an extend of 2/3 by OCTEO. These differences could be attributed to the different incorporation processes as well as the different matrices. Another potential application for the nanostructured microparticles as shear sensor in 3D printing was tested. For this purpose, the silica nanoparticles were modified with a PCE and then spray-dried. In order to completely disperse the resulting microparticles in a matrix, high shear forces and long shear rates were required, which makes a potential application as shear sensor for the current system rather challenging to be realized in practice. Part III: Extension of the approach for the preparation of nanostructured microparticles to hydroxide-based systems In the third part of this work, the system of silica particle modification was transferred to hydroxide-based particles. For this purpose, LDHs were produced by a precipitation process and then modified with OCTEO and finally spray-dried. LDHs are an interesting material due to the broad application potential like as adsorbers for gases, drug containers, and flame-retardants. Exactly as with the silica particles, the hydrophobic character of the LDH microparticles increased with increasing modification degree of the primary LDHs which could be shown by liquid tests. In addition, the microparticles consisting of completely modified LDHs could be dispersed into isolated particles in a PDMS matrix. Similar to the silica particle systems, the reinforcement of the composites was the highest for the partially modified particles (2/3). The partly modified particles consisted of a mixture of isolated LDH particles and small hard agglomerates, which lead to a mechanical reinforcement at small strain amplitudes due to the strong filler-filler interaction. The properties of the polymer-particle composites could be adjusted by the modification degree of the primary LDHs. Outlook In the present work, the synthesis of different nanostructured microparticles and their adjustable burst was shown. In order to be able to carefully adjust the disintegration of the microparticles, the modification of the nanoparticles in particular should be investigated in more detail in future woks. Although it was possible to differentiate between a mixtures of non-modified and completely modified particles compared to partially modified particles, it was not possible to make any specific statements about the distribution of the silane molecules on the particle surface. For this purpose, further characterization methods should be consulted, which analyze the modification at the molecular level. In addition, the distribution/arrangement of the partially modified nanoparticles in the microparticle should be investigated. Especially for nanoparticles with a low degree of modification (1/10, 1/5 and 1/3) different arrangements are possible. During spraydrying, the nanoparticles can either be arranged in such a way that the silane molecules orient themselves in the direction of the particle surface or in the center of the particle. The arrangement of the nanoparticles has a great influence on the polarity of the resulting microparticle powders. In addition, it has an influence on the hard agglomeration of nanoparticles and thus on the formation of complex substructures, such as core-satellite particles. In addition to the modification of the nanoparticles, the production of complex structures/supraparticles should be further optimized. With a detailed understanding of the physical processes during spray-drying, the number of satellites on the core particles could be more controlled. In principle, the system of nanostructured microparticles with adjustable burst behavior, which has been developed herein, can be adapted to a large number of applications. Since the system is suitable for many types of particles (silica, iron oxide and LDH), different nanoparticle building blocks particles could be spray-dried together to create supraparticles with completely new functionalities and properties. These can be used as reinforcing fillers in elastomers or for the stabilization of dispersions. For example, mixed particles of silica and iron oxide particles would have the advantage to stabilize a dispersion and at the same time may be magnetically recovered again. These mixed particles could also be incorporated as fillers into complex plastic components in which they act as mechanically reinforcing fillers on the one hand and, at the same time, crosslink the components by inductive heating. The inductive heating is a gentle method to selectively crosslink components, since the heat produced by the magnetic particles in the component itself and does not have to be introduced over its surface

Gabrielle Hecht on Nuclear Ontologies, De-provincializing the Cold War, and Postcolonial Technopolitics



This is the fourth in a series of Talks dedicated to the technopolitics of International Relations, linked to the forthcoming double volume 'The Global Politics of Science and Technology' edited by Maximilian Mayer, Mariana Carpes, and Ruth Knoblich 




Nuclear power has formed a centerpiece of Cold-War IR
theorizing. Yet besides the ways in which its destructive capacity invalidates
or alters the way we should understand questions of war and peace, there are
different powers at play in the roles the nuclear assumes in global politics.
Through careful investigations of alternative sites and spaces of nuclear
politics, Gabrielle Hecht has uncovered some of the unexpected ways in which
what one can call the 'nuclear condition' affects politics across the globe. In
this Talk, Hecht, amongst others,
explores what it means to 'be nuclear'; explains how we need to deprovincialize
the Cold War to fully grasp its significance in global politics; and challenges
us to explore technopolitics outside of the comfortable context of
OECD-countries.





Print version of this Talk (pdf)



What is according to your view the most important challenge
facing global politics and what is/should be the central debate in the
discipline of International Relations (IR)?



I think one of the most important
challenges in global politics is the question of planetary boundaries. In the
1970s the Club of Rome published the report 'the Limits to Growth' (read PDF here), which addressed
the finite quality of the planet's resources. It exposed the problems that
the ideology (and practice) of endless economic
growth posed for these limits. The question of climate change today really is
all about planetary boundaries. We have already exceeded the CO2 level
that is safe for the planet to sustain human life: We have just passed 400
parts per million; the desirable level is rated at 350 parts per million; the
pre-industrial level of CO2 was 270 parts per million. So we have
already produced more CO2 than is sustainable. And that is just one
indicator. There are all kinds of other planetary boundaries at play—energy
supply being the most salient one in terms of climate change. How can we even
produce enough energy to maintain the lifestyles of the industrialized north? What
about the requirements of the so-called 'rest'?



Obviously this is a huge issue and
there are many parts to it. One part of this—the piece that I have studied the
most—is nuclear power. Many people are enthusiastic about nuclear power as a
solution to climate change. Some prominent environmentalists have been
converted, because they believe nuclear power offers a way to produce a large
amount of energy with a very small amount of matter, and because they see it as
carbon free. (That's pretty clearly not the case, by the way, though nuclear
power certainly produces less carbon than fossil fuels.) But are the human health
and environmental costs worth the savings in carbon? Do the resources poured
into nuclear power—some are predicting a thousand new reactors in the next
few decades—take away resources from other forms of energy production, forms
that could potentially address the emissions problems more rapidly and with lower
costs for the environment and for human health? Moreover, nuclear power in any
one location ends up becoming a global issue. So in that sense nuclear power in
China, in India or in Japan is inherently a global problem. And the industry everywhere
certainly needs global regulation—at the moment, there is none. The
International Atomic Energy Agency is not a regulator. These are serious questions
for international relations, and should be fodder for analysis.



One can obviously put this into
perspective by comparing the death toll from nuclear power with that related to
coal—would one then actually have to be against the use of coal? The numbers of
coal-related deaths are astonishing. But the first, most obvious point to make
is that being against coal doesn't require being in favor of nuclear power! It's
also extremely important to realize that death and morbidity figures for
nuclear power are highly contested. Take the figures concerning Chernobyl. The
IAEA and WHO put Chernobyl deaths at 4,000. A study published by National
Cancer Institute in the United States puts the deaths at something like 43,000.
A meta-analysis of 5,000 Slavic language scientific studies estimates the total
number of Chernobyl deaths (some of which are yet to come) at 900,000. These
discrepancies have a lot to do with controversies over the biological effects
of low-level radiation, and also with the technopolitics of measurement and counting.
Comparing the two energy technologies is much more complicated than merely
counting coal deaths vs. nuclear power deaths.





How did arrive where
you currently are in your thinking about these issues?



Actually, the real
question is how I came to study politics. I got my bachelor's degree in physics
from MIT in the 1980s. The two biggest political issues on campus at that time
were Ronald Reagan's Strategic Defense Initiative and Apartheid in South Africa
(specifically, a move to divest American corporate interests in South Africa,
the very corporations that were funding MIT research and for which MIT students
would work when they graduated). I got interested in both, and along the way I
came to realize that I was much more interested in the politics of science and
technology than I was in actually doing physics. So I took some courses in the
field of science and technology studies (STS), and decided to attend graduate
school in the history and sociology of science and technology.



I had also always had a
morbid fascination with nuclear weapons. I'd read a lot of post-apocalyptic
science fiction when I was a teenager. All of these things came together for me
in graduate school. I first hoped to study the history of Soviet nuclear
weapons but quickly realized that would be impossible for all kinds of reasons.
I ended up studying French nuclear power after I realized that nobody had researched
it in the ways that interested me. I had lived in France in the 1970s, when the
nuclear power program was undergoing rapid expansion. So it was a good fit. After
I was done with that project, I became interested in rethinking the so-called
nuclear age from a colonial and post-colonial perspective.





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



Travel, learn languages. Remain attentive to—and critical of—the
political work done by claims to 'global' purview. Learn history—you won't understand international relations in any depth at
all if you remain rooted in the present.



Then, for those want to
start exploring the global politics of science and technology, two books come
immediately to mind. Timothy Mitchell's (Theory Talk #59) Carbon Democracy, on the global technopolitics of fossil fuels. And Paul Edwards's A Vast Machine, on the relationship
between data and models in the production of knowledge about climate change. Both
are must-reads.







The world is permeated with technological
artifacts and systems—in what ways is this relevant for approaches to global
politics? Where is the conceptual place for technologies within IR?



First, I should make
clear that I am not an IR specialist.



That said, I think it
does not make sense to think about international relations (lower case) without
thinking about the technologies, systems, and infrastructures that make any
kind of global movement possible. The flows of people, of products, of culture,
political exchanges—these are all mediated through and practiced in the technological systems
that permeate our globe. So are the interruptions and absences in such 'flows'.
I draw attention to the specific political practices that are enacted through
technological systems with the notion of technopolitics. I initially used this
concept in my work on nuclear power in France to capture the ways in which
hybrid forms of power are enacted in technological artifacts, systems and
practices. There I used the term in a rather narrow sense to talk about the strategic practices of designing
technologies to enact political goals. My paramount example was that of the
French atomic weapons program. In the early 1950s, France's political leaders insisted
that France would never build atomic weapons. But engineers and other leaders in
the nascent nuclear program were designing reactors in a way that optimized the
production of weapons-grade plutonium rather than electricity. When politicians
finally signed on, the technology was ready to go. This example problematizes
the very notion of a 'political decision'. Instead of a single, discursive
decision, we see a complex process whereby political choices are inscribed into
technologies, which subsequently favor certain political outcomes over others.



In this example, both
engineers and politicians consciously
engaged in technopolitics. By contrast, Timothy Mitchell has used the
hyphenated term 'techno-politics' to emphasize the unpredictable and unintended
effects of technological assemblages. Over the last fifteen years, I have also
developed a broader notion of the term, particularly in its adjectival form, 'technopolitical'.
I find this to be a useful shorthand for describing both how politics can be
strategically enacted through technological systems, and also how technological
systems can be re-appropriated for political ends in ways that were unintended
by their designers.  The point, really,
is to highlight the myriad politics of materiality.





Do the particular characteristics of nuclear
technologies and related research programs make it impossible to apply the
lenses of 'high politics'?



I think a
high-politics approach to understanding nuclear weapons decision-making is
extremely impoverished. It's not that there aren't high politics, of course
there are. But they cannot offer a sufficient or straightforward explanation
for how or why any one particular country develops a nuclear program.  A focus on high politics implies a focus
decision makers and moments. But that's really misleading. In pretty much every
case, the apparent 'moment' of decision is in fact a long process involving a tremendous
amount of technopolitical, cultural, and institutional work, rife with
conflicts and contingencies of all kinds. I think a more productive approach is
to try to understand nuclear capacity-building.



Itty Abraham has done
some fantastic work on India's nuclear program, which helps us think about
other cases as well. For example, he analyzes the symbolic importance of the
nuclear test, noting that IR uses 'the test' as kind of 'aha!' moment, the moment in which one knows that a country
has nuclear weapons. Instead, Abraham sees the test as a process for the cultural
production of meaning: a process in which certain meanings get fixed, but by no
means the most important moment for understanding the actual technology and
politics behind the production of nuclear weapons.





Your book Entangled
Geographies (2011) explores a plethora of places, people, and technical networks that
sustained the US and Soviet empires. Here, as in Being Nuclear (2012), you insist on investigating the Cold War as
transnational history. What difference does this move make?



In Entangled Geographies, my colleagues and I build on the work of Odd
Arne Westad, whose book The Global Cold
War was an argument for understanding the non-superpower, non-European
dimensions of the Cold War. We give that a technopolitical spin, which offers a
de-provincializing of the Cold War that's complementary to Westad's. By
focusing on places like Saudi Arabia, or Zimbabwe, or Brazil, or South Africa,
we show how even the central struggles of the Cold War were intimately bound up
in 'northern' relationships to colonial and post-colonial worlds, and in the
imaginaries that characterized those relationships.



In Being Nuclear I focus on uranium from Africa—more specifically South Africa, Namibia,
Gabon, Madagascar, and Niger. Uranium from Africa has long been a major source
of fuel for nuclear power and atomic weapons, including the bomb dropped on
Hiroshima, but it has been almost completely absent from accounts of the
nuclear age, whether scholarly or popular. This changed in 2002, when the US
and British governments claimed that Iraqi leader Saddam Hussein 'sought
significant quantities of uranium from Africa' (later specified as the infamous
'yellowcake from Niger'). Africa suddenly became notorious as a source of
uranium. But that did not admit Niger, or any of Africa's other
uranium-producing countries, to the select society of nuclear states. Nor did
it mean that uranium itself counted as a nuclear thing. My book explores what
it means for something—a state, an
object, an industry, a workplace—to be 'nuclear'. I show that such questions lie at the heart of
today's global order and the relationships between 'developing nations' and 'nuclear
powers'.



Being Nuclear argues that 'nuclearity'
is not a straightforward scientific classification but a
contested technopolitical one. In the first part of the book, I
follow uranium's path out of Africa and analyze the invention of the global
uranium market. In the second part, I enter African nuclear worlds, focusing
on miners and the occupational hazard of radiation
exposure. In both parts, I show that nuclearity requires instruments and
data, technological systems and infrastructures, national agencies and
international organizations, experts and conferences, and journals and media
exposure. When (and where) nuclearity is densely distributed among these
elements, it can offer a means of claiming expertise, compensation, or
citizenship. It can serve as a framework for making sense of history,
experience, and memory. When (and where) network elements are absent, weak, or
poorly connected, nuclearity falters, fades, or disappears altogether, failing
to provide a resource for people claiming remediation or treatment. Nuclearity
in one register doesn't easily transpose to another: geopolitical nuclearity
doesn't automatically translate into occupational nuclearity. Yet these domains
remain connected. African uranium miners depend on the transnational movement
of nuclear things, but that movement also depends on African miners.
Ultimately, I conclude, nuclear security must be considered in tandem with
other forms of human security—food and health and environmental and political security. By placing
Africa in the nuclear world, and the nuclear world in Africa, the book seeks to
remake our understanding of the nuclear age.



I should note that it's
not only uranium production that connects the colonial and postcolonial spaces
with nuclear things. (Also: African countries weren't the only such places
where uranium was produced. Much of the rest of the world's uranium came from the
Navajo nation in the United States, Aboriginal territories in Australia, First
Nation territories in Canada, colonized spaces in the Soviet Empire, etc.)  French nuclear weapons were tested in the Algerian
desert and French Polynesia; the United States tested its weapons on the Bikini
Islands; Britain tested its weapons in Maralinga, in Aboriginal Australia; the
Soviet Union tested its weapons on the planes of Kazakhstan. And so on.



So, understanding the
history of the Cold War—even its most
iconic technology, nuclear weapons—as a form of transnational history really calls attention to spaces that
have previously been considered marginal, even perhaps not fully nuclear. Ultimately,
it should provoke us to problematize 'the Cold War' as a frame for global or
transnational history (and social science).



Looking at those
colonized and semi-colonized spaces of mining, testing and monitoring infrastructures
gives us not necessarily an answer to the question of why the Cold War ended,
but it does enable you to ask different and possibly more interesting
questions. It can lead you, for example, to place the Cold War within the
framework of imperialism (rather than the other way around). A longer
historical view questions whether the Cold War really represents historical
rupture. What political work is done by such claims to rupture? How does that
work differ in different places?  What
are its material consequences?





Why are science and technology hardly ever studied in
the postcolonial world from a STS perspective?



I think there are a number
of reasons why STS has paid relatively little attention to the postcolonial
world. One is that in STS—like many
disciplines—the prestige of the subject
matter maps onto the prestige of the researcher. So STS researchers who study cutting-edge
science or large-scale technological systems seem somehow to be getting at 'harder'
topics, ones that that focus on active creation. Engineering and other acts of
creation appear more prestigious than acts of maintenance, or acts of
dismantling. Even studying small-scale creation seems to confer more prestige
than studying mundane practices. This brings us back to the theme of rupture
vs. continuity: studying or proclaiming rupture seems somehow sexier—and certainly more radical—than studying continuity.



Another, more trivial
answer is just that most STS researchers so far have come from Europe and North
America, and they tend not to be trained in area studies.





Does the constant ontological insecurity of nuclear
things mean that the 'nuclear' is purely a matter of social and political
construction?



No, definitely not. But
I think to explain what I mean by all this we should take a few steps back and
start with what I like to call nuclear
exceptionalism. This is a technopolitical claim—emerging immediately after the end of World
War II—that there was
something radically unique about nuclear things. From 1945 onward, both cold warriors
and their activist opponents cultivated this nuclear exceptionalism. Atomic
weapons were portrayed as fundamentally different from any other human
creation. The bomb was the ultimate geopolitical trump card, and it was imagined
as replacing empire in one fell swoop. You see nuclear scientists and engineers
gaining prestige, power, and funding far beyond their colleagues in
conventional research. In the meantime, anti-nuclear groups make their own claims
to exceptionalism by talking about the unprecedented dangers posed by nuclear
things. Everywhere you see nuclearity and morality intertwined. Nuclear things
either represent salvation or moral depravity… or the apocalyptic end of
mankind. But regardless of where you stood politically, this notion of nuclear
exceptionalism rested on the sense that the difference between nuclear and non-nuclear
things was transparent---ultimately a clear-cut, physical matter of
radioactivity.



The nuclear thus
emerges not just as a category, but also as a universal and universalizing
ontology, one that seems to apply in the same way all over the globe. And
frankly, historians, political scientists, anthropologists, and sociologists
have reproduced that nuclear exceptionalism. (I did it myself in my first book,
The Radiance of France.)



All of which has made
it hard to see that what I call nuclearity—the process by which something comes
to count as a "nuclear" thing – has a history, a politics, and a geography. Things
that count as nuclear in one time and place might not count as nuclear at
another. Rendering something as nuclear and exceptional is a form of technopolitical
claims-making. It follows that insisting that certain things are not especially
nuclear, or that they are banal, is also a form of technopolitical claims-making.




You can see this in the
response of the nuclear industry to activist opponents. In the late 1960s and
over the course of the 1970s, the nuclear industry began to represent nuclear
power not as a life-saving technology for the human race, but as simply another
way to boil water. Radiation was just another industrial risk. Such
representations seek to banalize nuclear things.



Nuclearity could thus get
made, unmade and remade. My favorite example comes from a 1995 US government report
on nuclear proliferation. The appendix has a table that summarizes the nuclear
activities of 172 nations. Neither Gabon, nor Niger, nor Namibia are listed as
having any nuclear activities, despite the fact that those nations together, during
that very year, produced something like 25% of the world's uranium. So when does
uranium count as a nuclear thing? When does it lose its nuclearity? And what
does Africa have to do with it?



The argument is not that
radioactivity doesn't have to do anything with nuclearity, or that nuclearity
has nothing to do with the technologies and physical processes we typically
associate with the word. Rather, I argue that nuclearity is one thing, and radioactivity
and fission are another; sometimes they are co-terminus, but not always and not
necessarily. Understanding where (and why) they don't map onto each other is politically revealing.





Which kind of interdisciplinary
exchanges do we need between your discipline and IR to deepen our understanding
of global technopolitics?





Science
and technology studies (STS) is really good at exploring practice, and
especially at calling attention to the differences between principles and
practice—for example, between regulation on the one hand, and the actual
practices that regulations are meant to control (without ever entirely succeeding).
STS can bring to IR an understanding of how the intimate details of practice
matter politically—of how everyday technopolitical and techno-scientific exchanges can be
more important loci for politics than treaties, diplomacy, and other forms of
what you called high politics. 


I
can also answer this question wearing my historian's hat. The IR scholarship on
nuclear weapons that I'm familiar with (and again, I'm not an expert!) seems to
be quite focused on producing models—on using history to produce predictive models that
will in turn serve to shape international policy on nuclear weapons regulation.
But if history tells us one thing, it is that models are basically useless for
understanding how countries develop nuclear weapons. Instead, history and STS
both teach us about which questions to ask (in this instance, about nuclear
development). Identifying the important questions—rather than prescribing the applicable model—leaves open the list
of possible answers. It also leaves open solutions and policies, letting us be more
attentive to the specificities and uniqueness of individual cases.





Final question. Let's take the
example of Iran's nuclear program. What alternative question about the issue
would lenses of nuclear exceptionalism bring us?



Nuclear
technology has played an important role in shaping modern Iranian national
identity. This began in the 1970s under
the Shah, who – with the support of the US – developed a grandiose plan to
build a fleet of nuclear reactors. It took a different turn after the 1979
Iranian revolution. For a while, the new regime sidelined the nuclear program
as an unwelcome manifestation of western corruption. But after a few years
leaders reappropriated nuclear development and sought to invest it with
Iranian-ness. The dynamics of nuclear exceptionalism have operated in Iran much
the same way they did in France and in South Africa. Nuclear exceptionalism has
served to give material form to national identity. And materialized national
identity is most emphatically not
something that you can negotiate away in the P5+1 talks.

                                  

                                  



Gabrielle Hecht is Professor
of History at the University of Michigan, where she also directs the Program in
Science, Technology, and Society and serves as associate director of the
African Studies Center. She recently published Being Nuclear: Africans and
the Global Uranium Trade (MIT Press and Wits University Press, 2012), which
has received awards from the American Historical Association and the American
Sociological Association, as well as the 2013 Susanne M. Glasscock Humanities
Book Prize and Honorable Mention for the African Studies Association's 2013
Herskovits Award. She is also the author of The Radiance of France: Nuclear
Power and National Identity after World War II (MIT Press 1998 & 2009)
and editor of Entangled Geographies: Empire and Technopolitics in the Global
Cold War, editor (MIT Press, 2011). Hecht is embarking on a new book
project on technology and power in Africa, as well as new research on
transnational toxic trash. She has held visiting positions at universities in
Australia, France, Norway, South Africa, and Sweden.





Related links





Hecht's faculty profile at the University of Michigan 
Read Hecht's Introduction to Entangled Geographies (MIT Press 2011) here (pdf)  
Read
Hecht's The Power of Nuclear Things (Technology
& Culture 2010) here (pdf) 
Read
Hecht's Nuclear Ontologies (Constellations
2006) here (pdf) 
Read
Hecht's Rupture-Talk in the Nuclear Age
(Social Studies of Science 2002) here (pdf) 


Print version of this Talk (pdf)



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 "They would not agree with one another any more than do the dog that is a heavenly constellation and the dog that is a barking animal." Spinoza"The concept dog doesn't bark." Louis Althusser Ever since reading Margherita Pascucci's Potentia of Poverty I have been thinking about the relation between Marx's thought and Spinoza's common notions. The question I am asking is not did Marx write Capital in and through common notions, as an application of Spinoza's thought. Although I am not entirely discounting such influence. Rather, what would be at stake in reading Marx through the common notions?  In case we are unclear on what Spinoza means by common notions, they appear most specifically in a few passages in Part II of the Ethics, the passages dedicated to what could be considered Spinoza's epistemology. Common notions are defined through a series of propositions. As Spinoza writes: EIIP37: "What is common to all things (on this see L2, above) and is equally in the part and in the whole, does not constitute the essence of any singular thing.  And in EIIP38: "Those things which are common to all, and which are equally in the part
and in the whole, can only be conceived adequately."What is at stake in this odd formulation, equally "in the part and in the whole" can be seen in the contrast Spinoza draws between common notions, transcendentals and universals in the long scholium to Proposition 40. As Spinoza argues transcendentals and universals stem from a confusions of parts and wholes, a confusion brought about by the confusion of images in the body. The first, transcendentals, stem from an overwhelming number of images, while the second, universals retain one image, one part, that then is used to define the universal. As Spinoza writes, "But when the
images in the body are completely confused, the mind also will imagine
all the bodies confusedly, without any distinction, and comprehend
them as if under one attribute, namely, under the attribute of Being,
Thing, and so forth. This can also be deduced from the fact that images
are not always equally vigorous and from other causes like these, which
it is not necessary to explain here. For our purpose it is sufficient to
consider only one. For they all reduce to this: these terms signify ideas
that are confused in the highest degree. Those notions they call Universal, like Man, Horse, Dog, and the
like, have arisen from similar causes, namely, because so many images
(e.g., of men) are formed at one time in the human body that they surpass
the power of imagining-not entirely, of course, but still to the
point where the mind can imagine neither slight differences of the singular
[men] (such as the color and size of each one, etc.) nor their determinate
number, and imagines distinctly only what they all agree in, insofar
as they affect the body. For the body has been affected most [NS:
forcefully] by [what is common], since each singular has affected it [by
this property]. And [NS: the mind] expresses this by the word man, and
predicates it of infinitely many singulars. For as we have said, it cannot
imagine a determinate number of singulars. "A transcendental would then be a whole without parts and a universal would be a part without whole, or a part that takes itself for the whole, as an aspect of humanity, featherless biped, rational, or speech is taken for the entirety. A common notion then is neither the whole nor the part, neither a singular thing nor a totality, but what is common for each. What then would be at stake in reading Marx through such a concept of a concept? As I said I have been wondering about this question. It turns out that I did not have to wonder because Nick Nesbitt has answered this question in his recently published book, Reading Capital's Materialist Dialectic: Marx, Spinoza, and the Althusserians. Nesbitt's book joins several recent books in trying to return to what could be considered peak Althusser, or peak Althusserians, the interventions of 1965 (I am thinking here of Estop's and Matthys' books). It is also, much to my delight, a recent book reconsidering Macherey's contribution, reading Macherey's contribution through his later works on Spinoza. I am not going to do justice to the book here (and will be writing a longer review as well as discussing it at Red May tomorrow), but I want to jump in where it considers this question of common notions. As Nesbitt writes, "What then is the nature of such common notions? For Spinoza, the crucial distinction between the inadequate, imaginary ideas we necessarily form from sense impressions, and common notions, is that the latter are ideas not about any given, actually existing singular thing (such as coats and linen or bakers and cotton spinners, among Marx's examples), but about certain qualities common to all things in general. In the wake of Galileo, who died in 1642, Spinoza's privileged example in these propositions is that of physical bodies as such, universally existing in space and following the general laws that govern their relations. If it is the case that 'all bodies agree in certain things' –i.e., that aside from their particular existences, they possess common characteristics,
which is to say their extension – then they therefore have in common
that 'they are determinations of extension, and are universally and identically
subject to the same laws of movement and rest'.  For Spinoza, this common nature is what allows for the development of a
general science of bodies, one that is founded on purely mathematical principles.
The essential characteristic of this scientific understanding of the physical,
material world, Macherey observes, is that it does not 'take into consideration
the existence of any specific body in particular, and is thus completely
abstract'. This immediately recalls Marx's famous defence of the powers of
abstraction for the analysis and critique of political economy: 'In the analysis
of economic forms neither microscopes nor chemical reagents are of assistance.
The power of abstraction must replace both'.Like Marx's scientific
critique of political economy ('The ultimate aim of this work [i.e., Capital, is]
to reveal the economic law of motion of modern society'), Spinoza's 'science', as
Macherey reads him, 'determines figures of regularity that, despite the perpetual
variations impressed on [actually existing, singular] bodies due to the fact
that they exist en acte, constitute the manifestation of a permanence regarding
which laws can be formulated independently of the existence of any particular
body'."Macherey's five volume on Spinoza remain a crucial sourceOne of the thing that Nesbitt stresses, as the paragraphs above indicate, is that the source of illusion, of inadequate ideas is the image, the impression on the body, an image of a specific thing. Inadequate ideas are representations and as such they are confused mixtures of the thing that affects a body and the body being affected. In contrast to this common notions are common to all things in general. There is no singular experience of motion and rest, no experience of motion or rest as such, even as motion and rest are part of all experience, of all our relations with things in the world.What would this mean for a reading of Marx? As Nesbitt argues, Marx often stressed the abstract nature of his own concepts, replacing wealth, an empirical concept with value (and surplus value) and thinking labor as both concrete and abstract labor. Following Nesbitt, we could then read all of the concepts of Capital, especially the first part, use value, exchange value, concrete labor, and abstract labor as common notions, as common to all existence under capitalism and in the part and in the whole. Such a reading is faithful to Marx's critique of political economy, in which the critique demonstrated how much of political economy remained tied to its own universals of labor, exchange, and self-interest, universals determined by a particular empirical content. I would argue that such a reading helps us deal with a tendency, one tied to our own particular finitude, a version of "seeing the better and doing the worse" to fill these concepts in with their own empirical or even phenomenological content.There is an entire history of readings, or misreadings of Marx, that are basically attempts to tie the concept of use value to some real use, or concrete labor to some real specific and singular labor. Is there a question more persistent or more annoying than that of who or is not a real worker? Or what real usefulness or real utility is in the face of exchange. What is funny about the latter is that Marx addresses it in the second paragraph of Capital when he writes "The nature of such wants, whether, for instance, they spring from the stomach or from fancy, makes no difference. Neither are we here concerned to know how the object satisfies these wants, whether directly as means of subsistence, or indirectly as means of production." Yet, readers, even sophisticated readers such as Baudrillard and Derrida have insisted that Marx means use value as tied to some anthropological coordinates of utility. A similar thing could be said about work. Many readers of work have imbued the concept, or concepts of labor, concrete, abstract, etc., with some kind of specific and particular meaning, some idea of what work looks like or feels like. (and I should mention that Nesbitt stresses that the concepts of concrete and abstract labor only work in and through their relations that constitute a positive dialectic). Such attempts are always going to be refracted through one's own particular experience of work. As I have noted elsewhere, they are not too different from trying to make sense of hoof prints in the mud. They are an attempt to make sense of what only exists in relation, in common, through a singular experience. These universals, universals tainted by a particular empirical image of making things, or of phenomenological experiences of being exhausted, can only lead to an endless debate and discussions, debate and discussions that miss the common, which is to say structural condition, of exploitation. The inevitable discussion of real work: Or, never read the commentsThere is more, much more, that can be said about Nesbitt's book and I am looking forward to our conversation, which I will link to here (assuming that you are reading this after it takes place on May 9th). To close, I will just cite a few more passages from Nesbitt what is at stake in thinking through common notions: "This political epistemology of common notions is grounded in what
Macherey terms 'a dynamic of rational knowledge', via the perfecting and
emendation of the capacity to grasp the real by means of ideas, in which the
intellect is led 'from the activity of [sensuous] perception, in which it is at its
most passive, to that of conception, in which it is the most active … passing
from the particular to the general through a progressive process of abstraction'.  The common notion as such thus possesses an inherent ethical and political
dimension: ideas that express properties common to all things are as such necessarily
'common to all humans', Macherey comments, 'which is to say that they
compose a common knowledge that can be universally shared'. This common
knowledge, accessible to all humans and necessarily identically conceived by
all who follow this democratic path, thus constitutes 'the condition for a mental
community among all people …. In so far as people form common notions
that are necessarily adequate, they are actually united, and constitute as such
a single intellect and a single body'. Macherey insists above all on the real
actuality of this intellectual commons of theoretical practice: 'In the intellect
of man, whoever he or she may be, there always exist common notions [such
as, I suggested above, a minimal idea of the nature of capitalism such as Marx
expresses in the first sentence of Capital] through which can be established
the forms of their union with other people, which is to say, with the maximum
possible others, and tendentially, with all"The video of the entire panel can be seen here: 

학위논문(박사)--서울대학교 대학원 :의과대학 의학과,2020. 2. 강영호. ; 1. Background Low-quality services of emergency medical institutions, unclear function of institution classification, and overcrowding of emergency departments (ED) of regional emergency medical centers (regional centers) have been major problems in the Korean emergency medical services system (EMSS). In 2015, the Middle East Respiratory Syndrome (MERS) outbreak spread from patients waiting for hospitalization in the overcrowded ED. The MERS outbreak was an event that revealed the vulnerability of EMSS and opened the policy window to solve the problem of EMSS in Korea. Several policies for EMSS improvement were implemented after the 2015 MERS outbreak focusing the improvement of emergency medical services (EMS) delivery system and ED infection control. This study investigates the policy processes for improving emergency EMSS and infection control program after the MERS outbreak. The purpose of this study was to examine the policy processes regarding EMSS from the view of policy actors and draw lessons for improving the EMSS in Korea. 2. Methods A mixed method was utilized to identify and explain the complex subject of the policy processes of Korean EMSS during and after the MERS outbreak in 2015. As a quantitative study, changes in EMSS after MERS were investigated according to the WHO's model of a national health system infrastructure. Literature review and data analysis of Korean Health Insurance Service (NHIS) database were conducted. In Korea, the NHIS covers all citizens. A quantitative analysis was performed on 16,965,755 cases using ED during 2014-2016. In-depth interviews were conducted on 30 experts, who were involved in the emergency medical policy process, including clinicians, policy experts, and hospital management experts. The total interview time was 55 hours and 4 minutes. Changes in EMSS and the policy process after the MERS outbreak were evaluated from the view of policy actors. In this study, quantitative data was interpreted qualitatively, and independent qualitative evaluation was conducted, as well. Therefore, this research is a mixed-methods study focusing on qualitative research. SAS version 9.4 was used for the quantitative analysis and NVivo 12.0 was used for the qualitative analysis. 3. Results The quantitative analysis results showed that in the area of EMS delivery system, the human resource of ED and number of regional centers have been increased and facility, equipment, and manpower standards have been revised in order to expand emergency medical resources. As a result, the number of medical personnel and emergency intensive care units in regional centers increased and profitability of ED improved as well. The number of monthly ED visits temporarily decreased during the MERS outbreak but then recovered afterward. As ED overcrowding indicators were emphasized in the evaluation of EMS institutions, monthly mean ED length of stay of regional centers was decreased. However, despite the emphasis on providing critical care, transfer rate of severe emergency patients was not decreased. In the policy processes of EMS, experts evaluated that EMS delivery system was set up as a pseudo-agenda and exploration and comparison of policy alternatives were not sufficiently carried out. As a result, the physicians did not comply with the policy implementation and policy goals were not achieved. In the area of ED infection control program, the human resources for infection control and the number of isolation unit of ED were increased. Budgets for emerging infectious disease management were increased and profitability of infection control was also improved. The EMS Act was revised to respond to emerging infectious diseases and indicators related to infection control were strengthened in evaluation of EMS institutions. In the qualitative research, experts said that since the ED infection control program was such an intuitive and obvious problem, it was easy to become a policy-agenda. Despite the resistance of small hospitals, ED infection control program was implemented by powerful policy measures such as the revision of the Law. As a result, policy goals of expanding the infection control resources and improving the infection management environment were able to be achieved. From results of observing EMS policy process, the following characteristics of policy actors were found. First, there was difference of opinions within the physician subgroup as well as between government and medical professionals. ED staff, other department staff, and hospital executives, who have different views on policy alternatives could have all served as veto points in the policy process. Second, while the EMSS expert organization, which was an unofficial participant in the emergency medical policy process, could have played both roles of cause group and sectional group in the policy process, their sectional position has been emphasized, thereby weakening their insider status during policy process. Third, policy actors understood the publicness of EMS differently in terms of its ownership and function. The ED staff insisted that government support is needed because emergency medical care is based on public interest, however, some staffs were unwilling to provide less profitable cares, leading to conflict. Main characteristics of the emergency medical policy process that made it difficult to successfully implement are as follows: First, there was lack of consideration regarding variation of EMSS in Korea, such as distribution of medical resources among different regions, incentives to hospitals, and understanding of functional variations in ED. Second, the problem of the EMS delivery system was a problem of the low quality of emergency medical care. Third, the lack of professionalism in some physicians has lowered the capacity of emergency medical care, as well as trust between patient and doctor, therefore made the problem more difficult to solve. 4. Discussion Based on the analysis of the policy processes of the EMSS after the MERS outbreak in Korea, following lessons are suggested. First, setting the goals of EMS from the perspectives of citizen is warranted. The final performance goal should focus on improving health status of citizen and satisfaction with emergency medical care. Second, to close the gaps among policy actors in understanding policy content and policy process, actors should work together to explore the root causes of the problems and establish a policy agenda together. Third, a policy alternative should be causal in solving the problems in EMSS considering variation of EMS. Fourth, compliance with policies could be secured by internal persuasion among policy actors with proper incentives and reasonable punishment, especially EMSS expert organization. Fifth, policy outcomes should be evaluated based on both policy output and side effects together to identify policy impact. Sixth, policy governance regarding EMSS should be established and the roles of EMSS expert organization should be strengthened as the cause group rather than sectional group. This study examined the emergency medical policy processes from the view of policy actors through the 2015 MERS outbreak in Korea. The improvement of EMSS should be based on understanding of the emergency medical policy process and policy actors. ; 1. 서론 응급의료기관의 응급환자 진료 역량부족과 불명확한 종별 기능 구분, 일부 응급실의 과밀화는 한국 응급의료체계(emergency medical services system, EMSS)의 고질적인 문제였다. 2015년 과밀화된 상급종합병원 응급실에서 입원대기 중이던 환자로부터 메르스(Middle East Respiratory Syndrome, MERS) 유행이 확산되었다. 메르스 유행은 우리나라 응급의료체계의 취약성이 드러난 사건이자 응급의료 문제를 해결할 수 있는 정책의 창이 열린 사건이었다. 정부는 메르스 유행 이후 여러 가지 응급의료 개선정책을 추진하였다. 이 연구는 취약한 응급의료 전달체계 하에서 응급환자 감염관리의 실패로 인해 메르스 유행이 발생했다는 점에 문제의식을 두었다. 그래서 응급의료 전달체계와 응급환자 감염관리 영역에서 메르스 유행 이후 이루어진 정책과정과 그로 인한 변화를 분석하였다. 응급의료 정책행위자의 관점에서 정책과정과 정책결과를 분석함으로써, 향후 응급의료 개선을 위한 정책과정에서 고려해야 할 점을 도출하는 것이 이 연구의 목적이다. 2. 연구방법 메르스 유행 이후 응급의료 정책과정 분석이라는 복잡한 주제를 파악하고 설명하기 위하여 혼합연구방법(Mixed methods research)을 사용하였다. 양적연구로 문헌고찰과 국민건강보험공단 자료 분석을 통해 메르스 유행 이후 응급의료체계의 변화를 보건의료체계의 구성요소별로 조사하였다. 한국은 1989년 전국민 의료보험제도를 도입하여 전 국민이 국민건강보험에 가입되어 있는 국가이다. 메르스 유행 전후 응급실 이용 변화를 조사하기 위하여 국민건강보험공단 DB의 2014-2016년 응급실 이용 진료건 16,965,755건을 분석하였다. 질적연구로 응급실 의료진, 정책 전문가, 병원 경영진 등 응급의료 정책과정의 관련 전문가 30명을 대상으로 심층면접을 수행하였다 전체 심층면접 분량은 55시간 4분이었다. 심층면접을 통해 정책 행위자의 관점에서 메르스 이후 이루어진 응급의료 정책과정을 고찰하고, 응급의료체계의 변화를 조사하였다. 양적연구 결과를 질적연구로 해석하고 질적연구로 독자적인 분석을 수행하여, 이 연구는 질적연구가 중심이 된 혼합연구로 볼 수 있다. 양적연구의 분석에는 SAS version 9.4를 사용하였고, 질적연구 분석은 NVivo 12.0을 사용하였다. 3. 연구결과 응급의료 전달체계 영역에서 응급의료 자원을 확대하기 위해 권역응급의료센터(권역센터)가 확대되고 시설·장비·인력기준과 관련 수가가 개정되었다. 그 결과 권역센터의 의료인력과 응급중환자실 병상 수가 증가하고 수익성이 개선되었다. 달빛어린이병원 사업을 확장한 결과 달빛어린이병원 수도 증가하였다. 응급실 과밀화를 완화하기 위해 응급의료기관 평가에 재실시간 지표를 수가연동지표로 도입하고 응급의료에 관한 법률에 응급의료센터 24시간 이상 재실환자 관리 규정을 넣었다. 그 결과 응급실 월별 방문환자 수는 2015년 메르스 유행 당시 일시적으로 감소한 후 지속 증가 추세이나, 권역센터 응급환자의 월별 재실시간 평균은 2014-2016년 기간 동안 감소 추세를 보였다. 응급의료기관의 응급환자 진료역량을 강화하기 위해 응급의료기관 평가에 중증해당환자 최종치료 제공 관련 지표를 강화하였으나 2017-2018년 기간 중증응급환자의 전원율은 개선되지 않았다. 전문가들은 응급의료 전달체계 개선은 위장의제(pseudo agenda)로 설정되어 정책대안 탐색과 비교평가가 충분히 이루어지지 않았으며 점중주의적으로 쓰레기통 모형의 정책결정이 이루어졌다고 평가하였다. 그 결과 정책대상집단인 의사들은 정책집행에 순응하지 않았고, 정책은 집행 후에도 정책목표를 달성하지 못했다. 응급환자의 감염관리 영역에서 권역센터 시설·장비·인력기준과 감염관리실 설치기준 및 인력기준이 개정되어 응급실 감염관리 자원이 확대되었다. 정부는 응급실 방문객 관리를 도입하고, 감염예방관리료 등 감염관리 관련 건강보험 수가를 신설하였으며, 신종감염병 대응 관련 법률 등 감염관리 관련 법률을 개정하여 응급실 감염관리 여건을 개선하였다. 전문가들은 응급환자 감염관리는 직관적이고 명확한 문제라는 특성이 있어 병원 내 감염관리 강화로 의제화되기 쉬웠다고 평가하였다. 감염관리 개선정책은 보호적 성격을 가진 규제정책으로 집행 과정에서 중소병원을 중심으로 일부 병원의 반발이 있었다. 그러나 응급의료에 관한 법률 개정과 같은 강력한 정책수단을 사용하여 집행된 결과, 응급실 감염관리 자원확대와 감염관리 환경개선이라는 정책목표를 달성하였다. 응급의료 정책행위자들의 관점에서 응급의료 정책과정을 관찰한 결과 다음과 같은 정책행위자의 특징을 발견하였다. 첫번째, 정부 전문가와 의료진 전문가 사이뿐 아니라 의사 하위집단 내에서도 견해 차이가 존재하였다. 정책대안에 대해 다른 견해를 가지고 있는 응급실 의료진, 배후진료과 의료진, 병원 경영진은 정책과정에서 모두 거부점(veto point)으로 작용할 수 있었다. 두번째, 응급의료 정책과정의 비공식적 참여자인 응급의료 관련 전문학회는 정책과정에서 대의집단이자 파벌집단의 역할을 동시에 수행할 수 있으나, 정책과정에서 파벌집단의 역할이 강조됨으로써 내부자의 지위가 약화되었다. 세번째, 응급의료의 공공성에 대하여 소유주체 기준에 따른 공공성과 기능에 따른 공공성 개념이 혼재되어 사용되며 서로 다른 공공성 개념에 따른 정책행위자간 갈등이 발생하였다. 응급실 의료진은 응급의료가 공공의 이익을 실현하는 의료영역이므로 정부 지원이 필요하다고 주장했으나 일부 의료진은 수익성이 낮은 진료를 기피하는 모습을 보여 정부 전문가와 의견 차이를 보였다. 응급의료 정책과정의 성공적 추진을 어렵게 한 정책과정의 특징은 다음과 같다. 첫번째, 응급의료 정책과정에서 지역간 의료자원 분포, 병원에 작용하는 유인, 병원 내 응급실의 역할과 같은 응급의료에 존재하는 변이에 대한 고려가 부족했다. 두번째, 응급의료 전달체계 문제는 곧 응급의료기관의 취약한 응급환자 진료 역량의 문제였다. 세번째, 일부 의사들의 전문직업성(professionalism) 부족이 응급의료기관의 응급환자 진료 역량을 취약하게 하고, 환자-의사 사이 신뢰를 저하시켜 대형병원 쏠림현상을 악화시켰다. 4. 고찰 메르스 유행 이후 이루어진 응급의료 개선정책의 정책결과 분석과 정책과정에 대한 연구 결과를 근거로 하여 향후 응급의료 정책과정에 대하여 다음과 같이 제언한다. 첫번째, 국민의 관점에서 응급의료체계의 개선목표를 설정할 필요가 있다. 건강수준 향상과 응급의료 서비스에 대한 만족도 향상이라는 최종 성과목표가 개선정책의 목표로 설정되어야 한다. 두번째, 정책행위자의 인식 차이를 좁히기 위하여 여러 행위자가 함께 문제의 원인을 탐구하고 정책의제를 설정하는 과정이 필요하다. 세번째, 문제 해결에 인과성 있는 정책대안이 결정되어야 한다. 인과성 없는 정책대안은 정책이 집행되어도 정책문제를 해결하지 못한다. 네번째, 정책대상자의 순응을 확보할 필요가 있다. 유인과 처벌 이전에 전문가이자 정책대상자인 의사들에 대한 내면적 설득 과정이 필요하다. 다섯번째, 정책산물과 부수작용을 포괄하는 정책결과 평가가 필요하다. 여섯번째, 응급의료 정책 거버넌스를 확립하고 응급의료 관련 전문학회를 정책과정에 참여시켜 대의집단의 성격을 강화할 필요가 있다. 이 연구는 2015년 메르스 유행이라는 사건을 통해 응급의료 정책행위자들의 관점에서 우리나라 응급의료 정책과정을 고찰하였다. 응급의료 정책과정과 정책행위자에 대한 이해를 바탕으로 응급의료체계 개선을 추진해나가야 한다. ; I. 서 론 1 1. 연구 배경과 필요성 1 1) 한국 응급의료체계의 문제 1 2) 2015년 메르스 유행과 응급의료체계 4 3) 연구의 필요성 6 2. 연구 목적 10 II. 이론적 배경 12 1. 보건의료체계의 평가 12 1) WHO 보건의료체계의 구성요소 12 2) 보건의료체계 개혁을 위한 조종손잡이 14 2. 정책론 18 1) 정책과정의 이해 18 2) 응급의료 정책과정의 이해 25 III. 연구방법 35 1. 혼합방법 연구설계 35 2. 양적연구 방법 43 1) 양적 연구의 자료 수집 43 2) 양적 연구의 자료 분석 46 3. 질적연구 방법 54 1) 연구팀 구성 54 2) 심층면접 설계 55 3) 분석 방법 67 4. 혼합방법 연구의 통합 70 IV. 연구 결과 72 1. 양적연구 결과 72 1) 응급의료 전달체계 72 2) 응급환자의 감염관리 121 2. 질적연구 결과 134 1) 심층면접 참여자의 특성 134 2) 응급의료 전달체계 137 3) 응급환자의 감염관리 249 3. 연구결과의 종합 297 1) 2015 메르스 유행의 응급의료체계에 대한 의의 297 2) 메르스 유행 이후 응급의료 정책과정 분석 298 3) 응급의료 정책과정의 특징 340 V. 논의 363 1. 응급의료 정책과정 고찰 363 2. 연구의 한계 380 3. 연구의 의의 383 1) 방법론적 의의 383 2) 정책적 의의 384 4. 연구의 결론 385 1) 메르스 유행 이후 응급의료 전달체계와 응급환자 감염관리의 변화 385 2) 응급의료 정책과정 고찰 386 3) 응급의료체계 개선을 위한 정책과정에의 시사점 388 VI. 참고문헌 390 ; Doctor

En esta tesis, cuyo título reza "La nueva Directiva de Concesiones: El reparto de riesgos", se estudia, como no podía ser menos, la nueva Directiva 2014/23/UE del Parlamento Europeo y del Consejo de 26 de febrero de 2014 relativa a la adjudicación de contratos de concesión, publicada en el Diario Oficial de la Unión Europea L 94 de 28.3.2014 y cuya fecha de trasposición prevista era el 18 de abril de 2016. Pero en realidad la Directiva es la excusa perfecta para llevar a cabo un extenso análisis sobre el concepto de concesión y cuáles son su notas fundamentales; en qué consiste el novedoso concepto de riesgo operacional y por qué es tan importante que quede en manos del concesionario; el motivo por el que las concesiones de servicios se regulan por primera vez en una norma vinculante a nivel europeo, así como hacer breve recorrido de la normativa (especialmente soft law) que han conducido a la promulgación de esta Directiva. También se entra a valorar si la misma ha logrado la ansiada armonización de regímenes jurídicos. Con esta finalidad, se examina su transposición en tres países de la UE, entre ellos, como no, España. En el análisis de las concesiones es clave el principio de riesgo y ventura. Así, se estudia cómo articular este importante mecanismo, que sólo se puede utilizar de manera restrictiva y que favorece las inversiones al garantizar al operador económico sus inversiones en caso de alteraciones sustanciales respecto a las condiciones iniciales del contrato, de tal manera que no altere el reparto de riesgos, eliminando consecuentemente la concesión. No podremos dejar aquí de mencionar la Responsabilidad Patrimonial de la Administración, que ha sufrido importantes cambios a raíz de la promulgación de la LCSP, ni el rescate, figura de especial interés en la actualidad por el encendido debate sobre la "remunicipalización" de los servicios. Si bien el reparto de riesgo se debe hacer atendiendo al caso concreto, nos arriesgaremos a hacer una serie de recomendaciones en cuanto a su asignación en función de diferentes sectores, innovaciones, aversión o neutralidad al riesgo, existencia de externalidades y otra serie de variables. También haremos una propuesta en cuanto a la forma de gestionar el riesgo dentro de la estructura del poder o entidad adjudicadora, estableciendo responsables de los riesgos en los diferentes niveles, que controlarán que estos no se disparen y tendrán protocolos de actuación en caso de desviación de los objetivos o de detección de contingencias. Para investigar todos estos aspectos en profundidad la memoria doctoral se estructura en diez capítulos. El CAPÍTULO I. INTRODUCCIÓN es la búsqueda de una definición de la Colaboración Público Privada y de una de sus manifestaciones concretas, como es la concesión. En él se explican sus principales características, sus ventajas y desventajas y los motivos que justifican su utilización. Es este un capítulo descriptivo en el que se proporcionan gran cantidad de datos y ejemplos, a través de los cuales se aprecia en qué sectores se ha producido más este tipo de contratación y las alteraciones en su uso por países, en función de la situación económica, fondos recibidos e incentivos de los gobiernos. Para hacer esta definición de la CPP se lleva a cabo un breve estudio de la Directiva y de la Ley 9/2017, de 8 de noviembre, de Contratos del Sector Público, por la que se transponen al ordenamiento jurídico español las Directivas del Parlamento Europeo y del Consejo 2014/23/UE y 2014/24/UE, de 26 de febrero de 2014, estudios ambos que serán profundizados en sendos capítulos autónomos. De este sucinto análisis previo se desprende ya que la clave de la concesión es la remuneración mediante la explotación con trasferencia del riesgo a un sujeto privado. También se hace breve repaso de las características de la CPP, así como de sus ventajas y desventajas. Por último, se hace un reducido inciso sobre los Servicios de Interés General (SIG), que quedan excluidos del ámbito de aplicación de la Directiva de Concesiones; y sobre los Servicios de Interés Económico General (SIEG), que si se prestan de forma indirecta a través de concesión sí se someten a las reglas de la Directiva. En el CAPÍTULO II se examinan los instrumentos legislativos y de soft law que han servido de precedente para la actual Directiva. Mención especial merecen los reglamentos SEC de 1995 y de 2010 respectivamente, así como la New decision of Eurostat on deficit and debt. Treatment of public-private partnerships y el Libro Verde sobre la Colaboración Público-Privada y el derecho comunitario en materia de contratación pública y concesiones. Este estudio pretende ayudar al lector a comprender la actual Directiva y el motivo de que sea más bien una regulación basada en principios y que da gran flexibilidad a las entidades concedentes. Así mismo ayudará en capítulos posteriores a aclarar la diferencia entre la regulación que hace ésta del negocio concesional y de lo que el SEC entiende por CPP, explicando así sus distintas finalidades. En el CAPÍTULO III, que lleva por título: DIRECTIVA 2014/23/UE DEL PARLAMENTO EUROPEO Y DEL CONSEJO RELATIVA A LA ADJUDICACIÓN DE CONTRATOS DE CONCESIÓN se estudian, lógicamente, sus disposiciones. No se trata de un análisis sistemático de la misma, sino que se enfoca principalmente en aquellos artículos referidos a la transferencia del riesgo o que pueden afectar directamente a esta asignación. En particular se profundizará en la duración de la concesión, por la novedad que introduce la Directiva al fijar un plazo máximo de cinco años, plazo que se puede superar, pero únicamente justificándolo en la imposibilidad de recuperar las inversiones realizadas junto a un beneficio razonable en esos cinco años. Por supuesto, se estudia también la forma de calcular el valor estimado de una concesión. No es este un tema pacífico, y no lo es porque este valor estimado es clave en la preparación del contrato, que influirá en el buen desarrollo y fin del mismo. Además se examina la jurisprudencia del TJUE, en relación con determinados artículos, demostrando como gran parte del contenido de la Directiva existía previamente, sólo que no se había recogido en un texto de rango legal. En este capítulo no podía faltar un breve análisis de las múltiples y variadas exclusiones que hace la propia Directiva. Veremos que muchos sectores quedan eximidos de aplicar su regulación por diversos motivos justificados en la Directiva e intentaremos hallar las causas en el devenir legislativo de los últimos años y las presiones de los ciudadanos de la Unión Europea y de los Estados Miembros que no querían un exceso regulatorio en determinados sectores. Algunas de las causas de exclusión estaban ya fijadas en las Directivas de 2004, mientras que otras suponen una positivación de la jurisprudencia del TJUE. Una causa de exclusión muy importante es que el sector concreto haya sido liberalizado y se encuentre sometido a la competencia. El CAPÍTULO IV entra de lleno en el tema principal de la tesis: LA TRANSFERENCIA DEL RIESGO. Se explica aquí el concepto del riesgo y para ello se emplea una clasificación de las concesiones en función del tipo de riesgo que asume el concesionario. Una vez hecha esta clasificación, se estudian los distintos tipos de riesgo que componen el operacional según la Directiva y se enfrentan estos conceptos a los recogidos por el SEC 2010. Especialmente, el riesgo de disponibilidad frente al riesgo de oferta y suministro. Así mismo se intenta aportar una explicación a este cambio conceptual súbito de la Directiva definitiva. Veremos también los diferentes objetivos perseguidos por uno y otro texto legal y el porqué de sus diferencias. En el ámbito de las concesiones no podemos dejar de analizar el principio de riesgo y ventura, que preside cualquier tipo de contrato, contraponiéndolo al principio de equilibrio del contrato, mecanismo que se activa en determinadas situaciones tasadas en el negocio concesional. A esta garantía que supone la técnica del reequilibrio, se suma la Responsabilidad Patrimonial de la Administración, tema que ha recibido mucha atención últimamente, debido al profundo cambio que ha supuesto la LCSP. Y dentro de esta RPA es de obligada mención y estudio el concepto de "remunicipalización" El CAPÍTULO V. LA DISTRIBUCIÓN DEL RIESGO analiza cómo, dentro del cumplimiento del requisito de la transferencia del riesgo operativo, se deben asignar los distintos tipos de riesgos para alcanzar un óptimo que permita maximizar la función del bienestar social. También proporciona información en cuanto a la forma de articular el proyecto para maximizar la función de utilidad social. En otras palabras, si, en función de las características del sector y de la infraestructura o servicio que se licite, de la cantidad de información de que se dispone, de la existencia de externalidades y de que los costes operativos de la fase de explotación dependan de la calidad de la infraestructura, es mejor licitar conjuntamente una concesión de obra y servicios, o bien es más interesante un contrato o concesión de obras y posteriormente una concesión de servicios. Por supuesto no podremos dejar de mencionar aquí diversas fórmulas de remuneración del concesionario que aseguren la efectiva transferencia del riesgo operativo. En el CAPÍTULO VI se trata LA GESTIÓN DEL RIESGO, tema de mucha importancia porque en los últimos años los riesgos a los que se enfrentan tanto el Sector Público como el Privado han aumentado al incrementarse las interdependencias a nivel global, las exigencias normativas generales y en sectores específicos a nivel regional, estatal y global; las demandas de calidad de ciudadanos y usuarios finales de los servicios y el control de los gastos en relación a los recursos escasos. Como en la gestión del riesgo es vital la elaboración de un estudio de viabilidad, en esta memoria doctoral se proponen cuatro fases a seguir para su correcta elaboración, fases que se pueden simplificar en proyectos de menor calado. Dentro de estas fases sugerimos también diversos indicadores que pueden resultar de utilidad a efectos comparativos entre alternativas. Entre ellos mencionaremos el Value For Money de la concesión, para cuyo cálculo es de utilidad el Public Sector Comparator. Por otra parte se sugiere el establecimiento, dentro de las Administraciones Públicas, de una "Gobernanza del Riesgo" propia, a imitación de aquella de la que disponen las empresas, que no sea una función independiente y autónoma de gestión del riesgo, sino inherente a todas las funciones de la organización. La justificación es que también actúan como sujetos de mercado, en un entorno muy cambiante y que los contratos son cada vez más complejos, especialmente en el ámbito de las concesiones. Y por último, como modelo de gestión del riesgo ya probado, se examinan los sistemas BIM (Building Information System). El CAPÍTULO VII estudia la evolución del negocio concesional en ESPAÑA hasta nuestros días, haciendo un repaso a la legislación y normativa. Debido a que la trasposición de la Directiva no se llevó a cabo en el plazo por diversas circunstancias políticas, durante un lapso de tiempo bastante amplio se dio en España el efecto directo de las Directivas, junto al ya derogado TRLCSP. En esta memoria doctoral se hace un análisis de la nueva LCSP, a fin de detectar los cambios más importantes en sus disposiciones normativas respecto al ya derogado TRLCSP y al APLCSP, que no llegó a aprobarse a tiempo, y para hacer una ligera crítica a la nueva manera de regular las antiguas modalidades del contrato de gestión de servicios. Dentro del estudio concesional en nuestro país, es necesario mencionar la Oficina Nacional de Evaluación (ONE) y sus novedosas funciones de control de la sostenibilidad financiera de concesiones de obras y servicios ex ante, además de hacer una breve reflexión sobre el fracaso del negocio concesional de autopistas en nuestro país, en particular el conocido caso de las radiales de Madrid. En el CAPÍTULO VIII se estudia la legislación y su evolución, así como la práctica en concesiones en ITALIA. Hemos elegido este país seleccionado porque su tradición legislativa y jurídica es muy similar a la nuestra y porque también han hecho un gran uso de los contratos de CPP y de concesión, con resultados similares a los nuestros. El CAPÍTULO IX, está dedicado a ALEMANIA, país escogido porque su tradición jurídica es relativamente diferente a la nuestra (en particular su manera de regular la contratación pública y en concreto las concesiones), pero también comparte con España e Italia la existencia de "Länder" que obligan a aun reparto de las competencias. Por último, en el CAPÍTULO X se resumen las CONCLUSIONES extraídas de cada capítulo.

The objective of the evaluation was to assess the results and impacts of the activities of all ILWAC Trust Fundfinanced projects in West Africa using a selected subset, to identify key lessons learned, and to document best climatesmart practices for scaling up. The study entailed participatory evaluation of the results and impacts of various interventions geared towards integrated water resources management for climate change and variability preparedness in West Africa. In this respect, the study identified key lessons learned and documented best climate-resilient practices for scaling up and dissemination to multiple stakeholders in the West African region. 1. Agriculture remains the backbone for sustaining livelihoods in West Africa but faces numerous challenges. Agriculture is an important source of income, food and raw materials in West Africa, employing more than half of the region's population, which culminated in the adoption of the Comprehensive Africa Agriculture Development Programme (CAADP) in 2003. Few countries, however, have managed to mobilize their agriculture sector to deliver on development outcomes such as food and nutrition security, poverty reduction, economic growth, job creation, youth employment and industrialization. Agriculture is vulnerable to climate change, resulting from sensitivity and exposure to climate shocks and lack of capacity to cope with and adapt to such changes. ILWAC evaluation study results from household surveys, focus group discussions and key informant interviews indicate that agricultural productivity in the region remains low, lagging far behind other regions of the world. Contributors to such low productivity include incidence of climate risks (drought, floods and high temperatures), pests and diseases, low technology adoption, limited access to financial services, limited access to markets and market information and limited access to good road networks (Plate 1). All the aforementioned contributors are valid denominators for all the seven ILWAC project areas that were evaluated. 2. Farmers in West Africa are particularly vulnerable to climatic shocks because of their high dependence on rainfed agriculture for their livelihoods. There is an evident lack of access to formal safety nets as indicated by farmers in Senegal (ENRACCA-WA) and Burkina Faso (AmREACCAF and APESS) projects. Climate change has already exerted significant impacts in the region. Since the 1970s, the region has experienced the occurrence of many droughts. Temperatures have increased in the second half of the 20th Century, especially in the latter 20 years of the same period. Farmers reported drought (about 40% of treatment and control groups), as the most prevalent climatic shock experienced over the last five years, followed by erratic rainfall, floods and invasion of crop pests and locusts. We identified eleven coping strategies, out of which three strategies were categorized based on a gradient of severity of food insecurity into low, moderate, and high food insecurity. During low food insecurity, households employ food-maximizing strategies such as purchasing food and eating less food and involving a low commitment of domestic resources that all enable quick recovery of households once the crisis eases. In times of moderate food insecurity, a greater commitment of household resources is increasingly required to meet subsistence needs. Coping strategies developed by households include sale of food reserves, use of savings, sale of livestock, borrowing food, and borrowing money (from friends, relatives, private lenders and banks). During high food insecurity, strategies are a sign of failure to cope with the food crisis and may involve drastic options that may undermine their future ability to prevent, mitigate, cope, and recover from shocks. Households adopt sale of assets such as land and homes, keeping children home from school, food aid and migration. The use of irrigation and rainfall water harvesting for agriculture remain low, despite prevalent droughts and widespread rainfed agricultural practices. One of the reasons is that most farming communities are far from rivers: hence considerable investment is required to develop irrigation in many project areas. 3. Although farmers use various strategies highlighted above, they will need support to double their efforts with innovative climate- smart agricultural practices and technologies to remain food secure. Areas where ILWAC interventions were targeted showed positive results, but broader efforts to scale out the successes are needed to achieve a greater impact. Overall, the ILWAC project beneficiaries reported higher adoption rates of climate-smart practices, demonstrating a favourable impact of the project. However, low awareness of the most appropriate technologies to cope with climate shocks was reported across all study areas yet, the region is expected to experience increasing climatic shocks with total precipitation predicted to increase for the most part more notably between July and October by 2050. Increases in precipitation are predicted to cause crop damages and floods. Overall, temperatures will rise by about 2°C to 3°C over the same time period. Higher temperatures of 3°C to 6°C are projected for the end of the 21st century (Niang et al., 2014). Despite these impending changes, few farmers have adjusted their farming strategies in response to climate risks, owing to limited knowledge on appropriate adaptation options and low endowment with production resources. As a result, ILWAC interventions were targeted to reverse these challenges. Their successful implementation showed positive results, which are largely limited to specific areas of implementation. Therefore, broader scaling out ILWAC interventions provided success stories tailored to specific contexts (biophysical and socio- economic); hence offered lessons and opportunities for replicating the bright spots with a regional approach. Across the seven projects, evaluation results indicated a couple of selected successes in the region (Plate 1). Selected successes make up potential candidates for scaling up climate-smart agricultural technologies and practices, and innovative approaches notably, including: i. Innovation platforms as a pillar for change: The successful establishment of innovation platforms across all project countries was evident but have remained largely underdeveloped and not utilized to their full potential. Platforms provided a framework for sharing knowledge on adaptation innovations to climate change, providing a good entry point for technology dissemination in target areas across all project countries. The study showed that the innovation platform model can offer the potential to organize stakeholders to address the objective of improving the livelihood of their members. IPs, however, need a strong voice to demand the needed services from service providers, negotiate and advocate for collective interests with the private sector and government. The use of a participatory development communication (PDC) within IPs would greatly increase their sustainability; ii. Increased human and institutional capacity for stakeholders: The enhancement of capacity for diverse stakeholder groups, including farmers, players in all segments of priority value chains, extension agents, policymakers and researchers (All project countries) resulted in significant positive results such as increased capacity towards awareness of CSA technologies and application of appropriate adaptation measures in their communities. This highlights the need to prioritize linkages amongst farmer organizations, extension and agricultural research; iii. Integrated landscape approaches for natural resources management provided exponential benefits: The pioneering of integrated land and water management for adaptation to climate variability and change improved management of natural resources in specific target countries, for example, in Burkina Faso, the relative reduction in sedimentation by up to 70%; and that in reduced runoff by up to 30% which helped improve the farmers' agricultural practices and livelihoods (AmREACCAF-Burkina Faso). This also increased storage of water in the Boura reservoir through avoided sedimentation. Beyond water provision for household use, these reservoirs serve as key food baskets for fisheries and irrigation for households; iv. Integrated and diversified options offered opportunities to increase resilience and unlock the potential for rural smallholder livelihoods: The ILWAC project improved implementation of innovative agronomic interventions that substantially reduced the yield gap for millet for example the use of improved crop varieties (drought tolerant and early maturing) resulted in a 10 fold yield increase in grain biomass (ENRACCASenegal). Additional strategies include soil amendments in the form of organic and inorganic fertilizer sources, weed control practices as well as improved storage techniques (ISFM-Benin); Household enterprise diversification with agroforestry tree species enhanced the resilience of smallholder communities with climatesmart benefits such as windbreaks, these modified the micro-climate of the area that enhanced food security and revenue generation within target communities, increased farmer adaptive capacity and overall soil health attributes (ENRACCA- Senegal). 5. Women empowerment resulted in improved rural livelihoods: Improved gender dynamics regarding the roles, activities and representativeness within the selected projects had a positive impact on women empowerment for all project countries. There are numerous ways by which women were empowered e.g. conducting off-season vegetable cultivation allowed women to fetch increased returns (3 times than the normal price) in the off-season months. There were efforts to promote increased participation of women in the projects, offering opportunities to freely express themselves, highlight their needs and specific experiences. However, participation of women in leadership positions was generally low (less than 10%). In addition, women were able to benefit from the capacity building provided by the project, and access technologies and inputs resulting in higher production and subsequent incomes than before. Male-headed households were more likely to practice more CSA technologies by a factor of about 1 compared to female headed households. There was evidence of better access to financial services and training through village savings and loan associations, and gender empowerment. A key attribute of the assessed projects was that for the most part, women farmers were not well organized into interest groups with the capacity to promote their interests and engage in advocacy activities geared at influencing policy for their ultimate benefit. This was a missed opportunity especially in the context of existing innovation platforms that needs concerted efforts and strengthening. 6. More economic and social safety nets for smallholder livelihoods beyond ILWAC beneficiaries are needed: ILWAC enhanced farmers' access to climate-resilient and low-emission practices and technologies, including crop, livestock, soil and water management options and energy saving technologies. ILWAC increased the number of CSA practices implemented by three practices more compared to non-participation. Results further showed that education level is associated with higher income. Higher value assets such as livestock did also significantly influenced income. ILWAC increased significantly the value of assets to almost 90%; a factor attributable to additional assets that were distributed to farmer groups such as the case of Gambia, Senegal and Sierra Leone. This study therefore confirms that more assets in ILWAC supported households offered better livelihood options than those in the control group. Results further show that male-headed households have a higher value of assets than female-headed households. On the overall, although participation in ILWAC increased income by 19%, there remains room for further improvement amongst the ILWAC beneficiaries given the lower differences in the economic domain for sustainable intensification exemplified before and after the ILWAC project on Plate 2. Likewise, Plate 2 highlights that better options are needed in the social domain to ensure that ILWAC beneficiaries can significantly gain from social dividends (e.g. strengthened farmer groups, collective action, and shared labor). Given the highlighted successes among the ILWAC beneficiaries, efforts will be needed to scale these bright spots beyond the ILWAC beneficiaries to wider geographical coverages. 7. There is need for concerted efforts towards supporting technical, financial, institutional and governance needs within the target countries in order to make community livelihoods more resilient to climate change. Despite the recorded successes there remains room for improvement in several institutional and governance realms. Farmers in the project sites are faced by poor extension, with the ratio of government paid extension officers to that of farmers being low, only 33% of the households have access to extension service. This has a negative impact on the quality of extension services being offered and building adaptive capacity to deal with climate change. A significant challenge remains in all project countries to get the technologies widely used due to the lack of a suitable enabling environment among others — extension services, financial resources, infrastructure, risk management and cross-sectoral linkages. Farmers are further constrained by having limited access to climatic information. Effective research and innovation are also needed to continuously improve practices and technologies. This calls for a policy recommendation where concerted efforts are needed to mobilize financial resources and build the capacity of West African researchers, policy-makers and institutions to understand, carry out and use good quality data towards informed decision making and scenario analyses (Also see evidence revealed by Plate 2).Enabling policy and institutional environment can provide the conditions and incentives for scaling out.

Esta investigación tiene como objetivo principal la reconstrucción gráfica del desaparecido convento franciscano de San Lorenzo de Montilla (Córdoba), edificado bajo el patronazgo del marquesado de Priego durante los primeros años del siglo XVI, su puesta en valor y la recuperación de su memoria histórica. La práctica inexistencia de vestigios arquitectónicos, así como la ausencia de estudios previos, ha obligado a sustentar la presente tesis doctoral en la consulta de abundantes fuentes documentales ―manuscritas y gráficas fundamentalmente― a través de las cuales se ha realizado un riguroso análisis y desarrollo de la trayectoria histórica del mencionado convento. Para ello, como punto de partida, se ha hecho una revisión de conceptos relacionados con los orígenes, evolución y pensamiento de la orden franciscana, los cuales son imprescindibles para entender la configuración de la arquitectura seráfica, que ha sido analizada en sus planteamientos teóricos y técnicos. Seguidamente se atiende a todo lo referente al complejo proceso prefundacional y fundacional del convento de los franciscanos en Montilla, contextualizando los hechos acaecidos dentro del panorama político, social y religioso del momento, teniendo como telón de fondo el estado señorial de la Casa de Aguilar, elevado a marquesado de Priego desde 1501, y como protagonistas a algunos de sus componentes más destacados: Elvira de Herrera, Catalina Pacheco, Pedro Fernández de Córdoba ―I marqués de Priego― y su heredera Catalina Fernández de Córdoba, todos ellos partícipes en la puesta en marcha del cenobio que nos ocupa, que estaba destinado a acoger la capilla funeraria del linaje. Fundamental ha sido en esta investigación el estudio de los testamentos de los referidos personajes, los cuales han esclarecido numerosas dudas que, hasta el momento, se desconocían en el proceso prefundacional y fundacional. Además, la consulta de otros documentos ha permitido dilucidar importantes datos ignorados, como la fecha más próxima al inicio de las obras del primer convento de los franciscanos de la indicada localidad cordobesa durante el gobierno del I marqués de Priego. También se aborda el estudio de su arquitectura que, como se justifica en el desarrollo de esta tesis, en 1525 fue destinada a convento de clarisas bajo la aprobación de la II marquesa de Priego. Esa modificación obligó a la noble heredera a impulsar la edificación de un nuevo convento para los franciscanos, bajo la advocación de San Lorenzo, en cuya iglesia habría de ubicarse el mausoleo de los miembros del marquesado, tal y como quedaba recogido en los testamentos de sus comitentes. Las distintas circunstancias que rodearon la construcción de este cenobio con respecto al anterior han sido analizadas con el fin de contrastar las causas que determinaron las diferencias establecidas entre ambos proyectos arquitectónicos. Se ha profundizado en la trayectoria histórica del convento de San Lorenzo durante el tiempo en que estuvo en funcionamiento, entre 1530 y 1796. De esta forma se han destacando aspectos relacionados con las características de su ubicación y entorno natural, con los de la construcción del edificio monacal y, por su significación vinculante con la Casa de Aguilar, con la capilla funeraria. Asimismo se ha realizado un estudio de las obras artísticas que poseyó, elementos que se han abordado desde la óptica que identifica el franciscanismo de la rama observante. Con respecto a las aportaciones arquitectónicas y artísticas que advirtió el cenobio a lo largo de su existencia, se ha considerado oportuno analizarlas tanto desde el punto de vista formal como del mecenazgo ejercido por los miembros del marquesado de Priego, especialmente en lo que respecta a la portada plateresca y la enfermería ejecutada por Juan Antonio Camacho a principios del siglo XVIII. El abandono del convento de San Lorenzo por la comunidad de frailes en 1796 es otro asunto de interés para conocer las causas de su rápida desaparición a principios del siglo XIX. En efecto, su utilización con distintas funcionalidades, algunas de la cuales no pasaron de ser un esperanzador proyecto ―como el colegio de misioneros propuesto por fray Juan Duárez― así como hospital de contagiados, no contribuyeron a conservar la edificación conventual, que es considerada en estado de ruina varios lustros antes de que se aprobara la Ley de desamortización de bienes eclesiásticos en 1836, fecha en la que la parcela que ocupaba el convento de San Lorenzo es vendida y en la que finaliza su estudio. Los datos obtenidos de esta investigación histórica han sido primordiales para realizar la configuración arquitectónica y distribución espacial del conjunto constructivo, permitiendo representar gráficamente sus principales bloques de edificación conformados por la iglesia, el claustro con la concreción de sus dependencias adyacentes y el noviciado, elementos que hasta la realización del presente trabajo habían sido desconocidos. Asimismo, se ha tenido en cuenta el entorno natural de la parcela y sus cultivos como complemento del conjunto edificado. Al respecto hemos de señalar la importancia de un dibujo realizado por Juan Antonio Camacho en 1723 como principal fuente gráfica utilizada, el cual ha sido interpretado en función de la documentación manuscrita manejada. Como resultado de este trabajo de investigación se han diseñado diversas plantas y alzados del desaparecido convento, así como el levantamiento volumétrico en 3D de los enclaves más representativos del edificio conventual, en los que se han integrado las piezas artísticas que hubo de tener en su día. Además, debido a su excepcionalidad constructiva y documental, se ha realizado un minucioso estudio de la portada plateresca que daba acceso al recinto religioso, profundizando en su programa iconográfico como referente del ideal humanista del Renacimiento. Dado que el tema objeto de estudio había permanecido prácticamente inexplorado, las conclusiones a las que se ha llegado son de diversa índole y suponen novedosas aportaciones. De esta forma, se han descubierto nuevos e importantes datos históricos en cuanto a los orígenes del proceso fundacional, de los años en que el convento estuvo en funcionamiento y los que siguieron hasta la desamortización de 1836. En cuanto a su edificación, hemos de señalar que ésta coincide con la implantación de la más estricta observancia, factor que determinó las sobrias características arquitectónicas y materiales de este cenobio que lo hace prototipo de las construcciones franciscanas observantes del siglo XVI. ; This research has as main objective the graphic reconstruction of the disappeared Franciscan convent of San Lorenzo from Montilla (Córdoba), built under the patronage of the Priego Marquesado during the first years of the sixteenth century, its enhancement and the recovery of its historical memory. The practical absence of architectural vestiges, as well as the absence of previous studies, has forced to sustain the present doctoral thesis in the consultation of abundant documentary sources ―mainly handwritten and graphics― through which it has been carried out a rigorous analysis and a development of the historical trajectory of the mentioned convent. For this as a starting point, it has been made a review of concepts related to the origins, evolution and thought of the Franciscan order, which are essential to understand the configuration of the seraphic architecture, an analyzed in its theoric and technical approaches. Next, it is detailed everything related to the complex process of the pre-foundation and foundation of the Franciscan convent in Montilla, contextualizing the events that took place within the political, social and religious scene of the moment, having as backdrop the lordly state of the Casa de Aguilar, elevated to marquesado de Priego since 1501, and as protagonist to some of their outstanding components: Elvira de Herrera, Catalina Pacheco, Pedro Fernández de Córdoba ―firs marquis of Priego―, and the heiress Catalina Fernández de Córdoba, all of them participants in the start-up of the monastery that concerns as, that was intended to house the funeral chapel of the lineage. In this investigation, it has been carry out the study of the testaments of the mentioned characters who have clarified many doubts that, until now, were unknown the pre-foundational and foundational process. In addition, the consultation of other documents has made posible to elucidate important ignored data, such as the closest date to the beginning of the works of the first franciscan convent of the mentioned Cordovan town during the government of the first marquis of Priego. At the same time, it is approached the study of its architecture that, as it is justified in the development of this thesis, it was intended to Saint Clare Order under the approval of the second marchioness of Priego in 1525. This modification forced the noble heiress to promote the construction of a new convent for the Franciscans, under the name of San Lorenzo. In whose church, the mausoleum of the members of marquisate will be located, as it was registered in the testament of their patrons. The different circunstances that surrounded the construction of this monastery with respect to the previous one have been analyzed with the purpose of contrasting the causes that determined the differences established between both architectural projects. The historical trajectory of the convent of San Lorenzo has been deepened during the time it was in operation, between 153 and 1796. In this way, aspects related to the characteristics of its location and its natural environment has been highlighted with those of the construction of the monacal building and, because of its binding significance with the Casa de Aguilar, with the funeral chapel. Likewise, it has been carried out a study of the artistic works that possessed, elements that have been approached from the point of view that identifies the franciscanism of the observant branch. With respect to the architectural and artistic contributions that the monastery noticed throughout its existence, it has been considered appropriate to analyze them not only from the formal point of view but from the patronage exercised by the members of the marquesado de Priego, especially with regard to the plateresque cover and the infirmary executed by Juan Antonio Camacho at the beginning of the XIII century. The abandonment of San Lorenzo convent by the community of friars in 1796 is another matter of interest to know the causes of its rapid disappearance at the beginning of the XIX century. In fact, its use with different functionalities, some of which did not go beyond being a hopeful project ―like the missionary school proposed by Juan Duarez― as well as a hospital for infected people, did not contribute to conserve the conventual building, which is considered to be of ruin several decades before the Law of confiscation of ecclesiastical property was approved in 1836, data in which the plot occupied by the convent of San Lorenzo is sold and in which its study ends. The data obtained from this historical research have been essential to realize the architectural configuration and spatial distribution of the building, allowing to represent graphically its main building blocks formed by the church, the cloister with the concretion of its adjacent dependencias and the novitiate, elements that had been unknown until the completion of this work. Likewise, the natural environments of the plot and its crops have been taken into account as a complement of the build-up area. In this regard, it is important to detach the importance of a drawing made by Juan Antonio Camacho in 1723 as the main graphic source used, which has been interpreted according to the handled handwritten documentation. As a result of this research work, some plants and elevation of the disappeared convent have been designed, as well as the volumetric lifting in 3D of the most representative enclaves of the conventual building, in which the artistic pieces that had to have in its day, have been integrated. In addition, due to its constructive and documental exceptionality, a throrough study of the plateresque main front that gave access to the religious place has been made, deepening in its iconographic program as a reference of humanist ideal of the Renaissance. Given that the topic of this study had remained practically unexplored, the conclusions reached are various and involve novel contribution. In this way, new and important historical data have been discovered in terms of the origins of the founding process, or the year in which the convent was in operation and of those that continued until the confiscation in 1836. Regarding its construction, it must be pointed out that this coincided with the implementation of the most stricter observance, a factor that determined the sober architectural characteristic of this monastery that makes it a prototype of Franciscan buildings of the XVI century.

The dissertation is devoted to research of macroeconomic policy transformation of the commodity exporting countries, which is considered as a basis for theoretical elaboration and development of methodological foundations of stabilization policy in lowincome commodity-rich countries, as well as technological sophistication of their production structure under globalization.The theoretical and applied dimensions of the globalization processes and the global economy developments have been studied, with a focus upon growing importance of commodity markets. Various aspects of theoretical and applied links between the openness and commodity exports have been analyzed.Important structural shifts in both global demand and supply of raw commodities have been identified. It has been established that the main challenge for commodityexporting countries is accommodation of the volatility (instability) of world commodity prices, especially under conditions of high openness to capital flows.The study developed a methodology for economic and statistical analysis of macroeconomic effects from world commodity price shocks for resource-dependent economies, which enabled to identify the nature of commodity price effects on the dynamics of income, investment, private consumption and inflation in both dimensions – levels and price volatility. The dualistic nature of the commodity boom has been identified, as higher world commodity prices stimulate economic growth of either exporting countries or the world economy as a whole, while volatility in price indices has a clear negative impact on majority of macroeconomic indicators, including investments.A set of instrumental tools for analysis of dominant trends and potential challenges for the world commodity market has been extended, with the phenomenon of financialisation being taken under scrutiny in several aspects: (i) the dependence of commodity prices on the US dollar exchange rate, which may be mistakenly perceived as impact of the stock market indices and interest rates; (ii) the neutrality of the stock prices in respect to the crude oil prices and (iii) a growing interdependence of price dynamics between individual commodity indices.The paper presents an analytical framework for the study of economic processes in commodity economies, which allows identification and systematization of the links between the dynamics of world commodity prices and economic situation of exporting countries in the presence of contradictory internal and external factors that used to be blamed for higher volatility of the world commodity prices, such as the nature of foreign direct investments, institutional problems, excessive optimism and reinvestment in the commodity sector, deepening of commodity market financing, external imbalances and the spread of populism.The analytical tools of research of several features of the commodity boom, as instability of expectations, asymmetry of short- and long-term economic growth effects, excessive external borrowing, institutional quality, and also possibility of non-inflationary short-lived overheating followed by a build-up in inflationary. Macroeconomic effects of increasing commodity price volatility combined with vulnerability to unstable short-term capital flows have been investigated. Such a combination implies a reduction in the equilibrium level of external borrowing as a major «safeguard» for chaotic balance-ofpayments reversals and measures aimed at higher domestic savings, which can finance sufficient investments and facilitate successful stabilization policy in low-income commodity-exporting countries.Using the theoretical framework of the AD-AS model with a «dependent» structure of demand and supply, instrumental tools for stabilisation policy analysis are elaborated. It made it possible to consider several distinct features of flexible exchange rate system in the commodity economy as a factor of maintaining internal and external equilibrium. Research methodology of the phenomenon of commodity currencies is expanded in several directions, accounting of disadvantages of the exchange rate undervaluation, necessity of price incentives for structural shifts between tradable and nontradable goods, and the impact of dollarization. Endogenization of the exchange rate as a factor behind stability of the commodity-exporting countries in the wake of increasing volatility of world commodity markets under inflation.The scenario analysis of inflation targeting in commodity economies is elaborated, which acknowledges the increased role of the exchange rate and foreign exchange reserves as factors of higher confidence in the economy and increase of private investments. Both factors make it possible to reduce the time lag between changes in monetary policy and inflation and envisages reduction of macroeconomic risks related to volatility of world commodity prices.A methodological approach for stabilization policy in a low-income commodity-rich economy is proposed, based on a coherent application of fiscal and monetary policy rules in the flexible exchange rates framework. For commodity exporters, viability of countercyclical fiscal policies has been confirmed as a factor in reducing interest rates, increasing both savings and investments, and improving current account balances. The expediency of an expanded monetary policy rule (taking into account the behaviour of world commodity prices) as a means of improving the effectiveness of a stabilization policy in a low-income commodity economy has been substantiated.Using the portfolio model with different returns on commodity and non-commodity sectors, the inability of automatic improvement in the structural proportions of the Ukraine's economy has been proved, provided its present level of structural proportions between the two sectors, commodity and non-commodity (technological), at below the equilibrium level. The expediency of structural shifts in favour of the non-commodity sector by strengthening of the exchange rate, attracting foreign direct investments and implementation of limited state intervention (infrastructure modernization, human resources' development) is explained. All abovementioned policy moves should alleviated dependence on the world commodity prices volatility, as well as increase the rate of longterm economic growth.On the basis of proposed index of structural changes, a methodology for the evaluation of systemic functional relationships of the Ukraine's economy, such as high index of economic complexity, inverse relationship between investments and volatility of commodity prices, but under conditions of the industrial sector resilience to the latter, neutrality of both inflation and private consumption in respect to price volatility), has been developed. In turn, it made it possible to conceptualize the dimensions of macroeconomic policy for transformation of the commodity-export model of Ukraine by an increase in budget revenues, responsible monetary policy, low inflation, gradual reduction of exchange rate undervaluation to 10-20%, freedom of entrepreneurship, tapping of foreign direct investments (including preferences for activities in the non-commodity sector), as well as accelerated harmonization of legislation in accordance with European standards.Theoretical and applied approaches for assessment of economic freedom as a means of improving structural proportions and stimulating the investment process in an economy with an excessive commodity sector (as in Ukraine) have been formulated in the paper. It enables to determine the guidelines for priority liberalization of the economic environment (freedom of investments, streamlining of government expenditures, freedom of entrepreneurship, protection of property rights), while at the same time avoiding the potential risks of rapid liberalization of the financial market and foreign trade.It has been empirically proved that Ukrainian export should be reoriented to EU countries, since increasing their share in domestic exports is accompanied by an acceleration of GDP dynamics and, importantly, increasing the share of non-commodity export relative to commodity export, that is, improving the quality structure of foreign trade. ; Дисертаційну роботу присвячено дослідженню процесів трансформації макроекономічної політики країн-експортерів сировинних ресурсів в умовах глобалізації й на цій основі – теоретичному обґрунтуванню та розробленню методологічних засад стабілізаційної політики в економіці зі сировинною орієнтацією й низьким рівнем доходу.Розкрито теоретичні та практичні виміри розвитку процесів глобалізації та формування глобальної економіки, з акцентуванням зростаючого впливу сировинних ринків. Досліджено проблеми теоретичних та методичних зв'язків між відкритістю економіки та сировинним експортом.Оцінено структурні зрушення у сфері глобального попиту та пропозиції сировинних товарів. Встановлено, що головним завданням для країн – сировинних експортерів є адаптація до волатильності (нестабільності) світових цін на сировину, тим більше в умовах відкритості для потоків капіталу.В дослідженні розроблено методологію економіко-статистичного аналізу макроекономічних ефектів від зміни світових цін на сировину для ресурсозалежних економік, яка дала можливість ідентифікувати характер впливу сировинних цін на динаміку доходу, інвестицій, приватного споживання та інфляцію в обох вимірах ‒ рівнів і волатильності цінових індексів. Доведено дуалістичну природу сировинного буму, який, по-перше, проявляється у стимулюванні економічного зростання країнекспортерів за умови підвищення світових цін на сировину, по-друге, в негативному впливі на економіку загалом і на інвестиційну динаміку зокрема, у зв'язку із волатильністю цінових індексів на глобальних товарних ринках.Удосконалено інструментарій аналізу викликів і суперечностей світового ринку сировинних товарів, що передбачає врахування феномену фінансизації (зокрема, виявлено залежність цін на сировину від обмінного курсу долара США, яка може помилково сприйматися як вплив чинників фондового ринку і процентної ставки; незалежність курсу акцій від цін на сиру нафту; взаємопідсилення цінової динаміки між окремими сировинними індексами).В роботі розкрито аналітичний апарат дослідження економічних процесів у сировинних економіках, що дає змогу ідентифікувати та систематизувати зв'язки між динамікою світових цін на сировину та економічною ситуацією країнекспортерів за умови суперечливих внутрішніх і зовнішніх чинників (характер прямих іноземних інвестицій, інституційні проблеми, надмірний оптимізм та переінвестування в сировинному секторі, прогресуюча фінансизація сировинних ринків, платіжні дисбаланси та поширення популізму) задля підвищення стійкості до волатильності світових сировинних цін.Удосконалено аналітичний апарат дослідження особливостей сировинного буму, що враховує нестабільність очікувань, асиметрію залежності від умов торгівлі коротко- і довгострокового економічного зростання, схильність до надмірних зовнішніх запозичень, якість інституційних чинників, а також можливості неінфляційного короткочасного «перегріву» економіки, який надалі зумовлює тривалу інфляційну інерцію.В роботі досліджено макроекономічні наслідки поєднання зростаючої волатильності сировинних цін з вразливістю до мінливості короткочасних потоків капіталу. Така ситуація передбачає зниження рівноважного рівня зовнішніх запозичень як головного «запобіжника» для хаотичних реверсів платіжного балансу та заходи щодо збільшення внутрішніх заощаджень, а це уможливлює надійне фінансування інвестицій та полегшує умови проведення стабілізаційної політики в країнах-експортерах сировинних ресурсів з низьким рівнем доходу.В дослідженні удосконалено інструментарій аналізу стабілізаційної політики під час сировинного циклу за рахунок розширення моделі AD-AS із «залежною» структурою сукупної пропозиції і сукупного попиту, завдяки чому можливо повніше враховувати особливості гнучкого курсоутворення в сировинній економіці як чинника підтримання рівноваги доходу і платіжного балансу.Розкрито методику дослідження феномену «сировинних» грошових одиниць, яка враховує недоліки тривалого підтримання заниженого обмінного курсу, потребу в цінових стимулах для зміни співвідношень між секторами внутрішньої і зовнішньої торгівлі та вплив доларизації економіки, маючи на меті ендогенізацію обмінного курсу як чинника стійкості економік країн-експортерів сировини до зростаючої волатильності світових сировинних ринків за умов політики таргетування інфляції.Обґрунтовано підхід до сценарного аналізу політики таргетування інфляції у сировинних економіках, що відрізняється визнанням підвищеної ролі обмінного курсу та валютних резервів як чинника зростання довіри до економіки та збільшення приватних інвестицій, що дає можливість скоротити часовий лаг між змінами в монетарній політиці та інфляцією і передбачає зниження макроекономічних ризиків, пов'язаних з нестабільністю світових цін на сировину.Запропоновано методичний підхід до стабілізаційної політики в сировинній економіці з низьким доходом, який ґрунтується на узгодженому використанні правил фіскальної і монетарної політики за умов гнучкого курсоутворення. Для країн-експортерів сировини підтверджено конструктивність антициклічної фіскальної політики як чинника зниження процентної ставки, збільшення заощаджень та інвестицій, а також поліпшення сальдо поточного рахунку. Обґрунтовано доречність розширеного правила монетарної політики (з урахуванням поведінки світових цін на сировину) як засобу підвищення ефективності стабілізаційної політики в сировинній економіці з низьким рівнем доходу.За допомогою портфельної моделі з різною дохідністю сировинного і несировинного секторів доведено неможливість автоматичного поліпшення якісної структури економіки України за умови перебування на нижчому від рівноважного рівні структурних пропорцій між обома секторами – сировинним і несировинним (технологічним). Обґрунтовано доцільність стимулювання структурних змін на користь несировинного сектора шляхом зміцнення грошової одиниці, залучення прямих іноземних інвестицій та обмеженого державного втручання (модернізація інфраструктури, розвиток людського капіталу), що уможливить не лише уникнути залежності від волатильності світових сировинних цін, але й підвищити довгостроковий темп економічного зростання.На підставі розрахованого індексу структурних змін розроблено методологію оцінки засадничих функціональних зв'язків, що враховує специфіку економіки України (обернена залежність інвестицій від волатильності світових цін на сировину, але за умови стійкості промислового сектора до цього чинника, незалежність інфляції і приватного споживання від цінової нестабільності), яка дала змогу концептуалізувати зміст макроекономічної політики для трансформації сировинно-експортної моделі економіки України шляхом збільшення надходжень до бюджету, проведення стримуючої монетарної політики та досягнення низької інфляції, поступового зменшення амплітуди заниження обмінного курсу гривні до 10-20%, свободи підприємницької діяльності, залучення прямих іноземних інвестицій (включно з наданням преференцій для діяльності у несировинному секторі), а також прискореної гармонізації законодавства відповідно до європейських норм.У роботі сформульовано науково-прикладні засади оцінки важливості економічної свободи як засобу поліпшення структурних пропорцій та стимулювання інвестиційного процесу в економіці з надмірним сировинним сектором (на зразок України), які дають можливість визначити напрями першочергової лібералізації економічного середовища (свобода інвестицій, впорядкування урядових видатків, свобода підприємницької діяльності, захист прав власності) й водночас уникнути потенційних ризиків від поспішних лібералізаційних заходів на фінансовому ринку та у зовнішній торгівлі.Емпірично доведено доцільність переорієнтації українського експорту на країни ЄС, адже збільшення їхньої частки у вітчизняному експорті супроводжується прискоренням динаміки ВВП і, що важливо, підвищує частку несировинного експорту порівняно зі сировинним, тобто покращує якісну структуру зовнішньої торгівлі.

La tradizione manoscritta del volgarizzamento del «Liber de doctrina dicendi et tacendi» di Albertano da Brescia La tesi affronta lo studio della tradizione manoscritta di tre versioni anonime italiane (tra cui due inedite) del volgarizzamento del De doctrina dicendi et tacendi (1245) di Albertano di Brescia (inizio del XIII secolo - Brescia, 1270 ca.). L'opera del giudice bresciano è un trattato retorico e morale che ha goduto di immediato successo e diffusione nel Medioevo, sia in Italia che in Europa, come dimostrano le sue numerose traduzioni in diverse lingue romanze. Tra queste, il primo volgarizzamento a noi noto è quello attribuito ad Andrea da Grosseto, che tradusse i trattati morali di Albertano nel 1268, in Francia, imitato, a distanza di pochi anni, dal notaio pistoiese Soffredi del Grazia. Tra le altre versioni, ne ricordiamo anche una fiorentina (della fine del XIII secolo), una pisana (1287-8) e tre volgari anonime, di cui due pubblicate per la prima volta in questa sede. Ad oggi, il quadro della tradizione manoscritta del "Liber de doctrina dicendi et tacendi" rimane poco chiaro. Già Segre e Marti, nel 1959, sottolineavano che gli studi sui rapporti tra i vari volgarizzamenti del lavoro di Albertano erano insufficienti. In particolare, l'assenza di una distinzione tra le diverse redazioni italiane e, soprattutto, di un'edizione delle versioni anonime fondata su criteri scientifici ha a lungo impedito il confronto con le altre versioni italiane ed europee. La prima metà di questo lavoro si propone di inquadrare le versioni italiane del trattato nel loro contesto storico e di commentarle dal punto di vista culturale, letterario e linguistico. Nell'introduzione ai testi si è tentato, per quanto possibile, di tracciare un quadro del Fortleben europeo dell'opera di Albertano. L'indagine si è soffermata, in particolare, sulla traduzione del trattato ad opera di Brunetto Latini; la collazione tra la versione francese del "Liber" inglobata nel "Tresor" e i volgarizzamenti toscani evidenzia errori e innovazioni comuni, che suggeriscono l'esistenza di una parentela. Dal punto di vista letterario, questo lavoro considererà lo sviluppo dei temi del silenzio e della consolatio come possibili remedia per sanare il conflitto interiore dal trattato di Albertano fino alle opere di Petrarca. Dal punto di vista linguistico, si valorizzerà l'imprescindibile contributo dei volgarizzamenti del "Liber" alla fondazione della prosa italiana, paragonabile a quello dei tre Canzonieri della lirica delle origini, che ha segnato l'inizio della nostra tradizione poetica. La seconda parte di questa tesi è dedicata allo studio della tradizione manoscritta del volgarizzamento del trattato, che ha permesso di arricchire il censimento del 2011 di tre nuovi manoscritti e di ricostruire le relazioni stemmatiche tra i suoi testimoni. Lo studio dei testi trasmessi da questi manoscritti ha permesso di rischiarare alcune zone d'ombra riguardanti i rapporti che intercorrono tra le versioni volgari, e di identificare almeno tre diverse versioni anonime: la «Vulgata», una versione abbreviata, trasmessa da ventinove manoscritti, che privilegia il messaggio morale e gnomico del trattato a discapito della precettistica retorica; l'«Integrale», una versione completa più fedele alla fonte latina, testimoniata da cinque manoscritti; la «Composita», apparentemente più tarda rispetto alle precedenti, trasmessa anch'essa da cinque testimoni. Per ogni versione si è tracciato uno stemma codicum e pubblicato un testo rappresentativo, al fine di fornire un'analisi linguistica necessaria a stabilire le relazioni che collegano queste versioni tra loro e, se possibile, la loro origine. ; The manuscript tradition of the «Liber de doctrina dicendi et tacendi» by Albertanus of Brescia in the Italian vernacular This thesis deals with the study of the manuscript tradition of three anonymous Italian versions (including two unpublished) of the vulgarisation of the De doctrina dicendi et tacendi (1245) by Albertanus of Brescia (beginning of the 13th century - Brescia, around 1270) and aims to publish the critical edition of these versions. The work of the Lombard Judge is a rhetorical and moral treatise that has enjoyed immediate success and diffusion in the Middle Ages, both in Italy and in Europe, as it can be proved by its many translations into several Romance languages. Among them, the first vulgarisation that we know is the one attributed to Andrea da Grosseto, who translated the moral treatises of Albertanus in 1260, in France; his work was followed by another translation, accomplished by the notary of Pistoia Soffredi del Grazia. Among other translations, we also recall one Florentine version (late Thirteenth century), one pisane (1288), and three anonymous vulgar versions, two of which published here for the first time. Previously, the framework of the manuscript tradition of the "Liber de doctrina dicendi et tacendi" was very nebulous. As already pointed out by Segre and Marti in 1959, studies concerning the relations among the various Italian vulgarisations of Albertanus's work were insufficient. In particular, the absence of a distinction between the different Italian versions and, especially, of an edition of the anonymous ones, based on scientific criteria, has long prevented comparisons with other Italian and European versions. The first part of this work aims to frame the Italian versions of the treatise in their context and to comment on them from the cultural, literary and linguistic point of view. In this introduction to the texts, an attempt has been made to bring together the results of the inquiry into the European heritage of Albertanus's book, related to the popularisation of Latin and French rhetorical and moral treatises. The comparison also concerned the translation of the treatise by Brunetto Latini. The collation between the French version of the Liber included in the Tresor and the Tuscan vulgarisations highlighted common errors and innovations, which suggest the existence of a relation. From the point of view of the literary heritage, this work will examine the themes of silence and consolatio considered as possible remedies to heal the inner conflict, from Albertanus's treatise to Petrarch's works. From a linguistic point of view, the indispensable contribution of the vulgarisations of the "Liber" to the founding of the Italian prose, comparable to that of the three Canzonieri, which marked the beginning of the vulgar poetic tradition, will be highlighted. The second part of this thesis is devoted to the study of the manuscript tradition of the vulgarisation of the treatise, which allowed to enrich the 2011 census with three new manuscripts and to reconstruct the stemmatic relations among its witnesses. The examination of the texts has led to clarify areas of shadow concerning the relations among the vulgar translations and to identify at least three different anonymous versions: the «Vulgate», a shortened version, transmitted by twenty-nine manuscripts, which privileges the moral and gnomic message to the detriment of its rhetorical content; the «Integral», a complete version more similar to the Latin text, testified by five manuscripts; the «Composite», apparently subsequent to the previous ones, also transmitted by five witnesses. For each version, a stemma codicum was drawn and a representative text was published, in order to carry out a linguistic analysis necessary to establish the relations which connect these versions and their origin. ; La tradition manuscrite du « Liber de doctrina dicendi et tacendi » d'Albertano da Brescia dans les vulgaires italiens Cette thèse porte sur l'édition et l'étude de la tradition manuscrite des trois rédactions (dont deux inédites) de la « vulgarisation » (« volgarizzamento ») du De doctrina dicendi et tacendi (1245) d'Albertano da Brescia. L'oeuvre du Juge lombard est un traité rhétorique et moral qui a connu un immédiat succès de public au Moyen Âge, à la fois en Italie et en Europe, comme le prouvent ses nombreuses traductions dans plusieurs langues romanes. Parmi elles, la vulgarisation la plus ancienne que nous connaissons est celle attribuée à Andrea da Grosseto, qui traduisit les traités moraux d'Albertano en 1268, en France ; son travail fut suivi par celui du notaire de Pistoia Soffredi del Grazia, qui prépara une seconde traduction. Parmi les autres traductions, nous rappelons également une version florentine (fin du XIIIe siècle), une pisane (1288, transmise par le manuscrit connu comme « Bargiacchi »), et trois rédactions vulgaires anonymes, jusqu'à aujourd'hui inconnues, dont ce projet vise à publier les textes. Auparavant, le cadre de la tradition manuscrite de la vulgarisation du Liber de doctrina dicendi et tacendi était peu clair. Comme l'avaient déjà souligné Segre et Marti en 1959, les études concernant les relations entre les vulgarisations italiennes de l'oeuvre d'Albertano étaient insuffisantes. En particulier, l'absence d'une distinction circonstanciée entre les différentes rédactions et, notamment, d'une édition des rédactions anonymes fondée sur des critères scientifiques a longtemps empêché la comparaison avec les autres versions italiennes et européennes. La première partie de ce travail vise à resituer les versions italiennes du traité dans leur contexte et à les commenter du point de vue culturel, littéraire et linguistique. Dans cette introduction aux textes, on a essayé de réunir les résultats de l'enquête sur la fortune européenne du livre d'Albertano, mise en rapport avec les vulgarisations du latin au français de traités rhétoriques et moraux, parmi lesquelles la traduction du "De doctrina" peut s'inscrire. La comparaison a concerné aussi la traduction du traité faite par Brunetto Latini. La collation entre la version française du Liber de doctrina dicendi et tacendi comprise dans le "Tresor" (II, LXI-LXVII) et les vulgarisations toscanes a mis en relief des fautes et des innovations communes, qui laissent supposer l'existence d'une parenté. La présence, dans l'oeuvre de Brunetto, de choix lexicaux et de syntagmes absents dans le texte latin et cependant repérables dans une version toscane du traité est une nouveauté très intéressante. Sur la base de ces leçons alternatives, on a pu bâtir un raisonnement génétique et postuler un lien entre la version de Brunetto et la traduction effectuée par Andrea da Grosseto. Du point de vue de l'héritage littéraire, on examinera les thèmes du silence et de la consolatio considérés comme de possibles remèdes pour guérir le conflit intérieur, à partir du traité albertanien jusqu'à Pétrarque. On analysera d'abord les similarités et les différences entre les approches des deux auteurs du conflit intime : d'une part, un projet pédagogique qui s'adresse aux citoyens de la ville, de l'autre, la quête de l'ataraxie et de la solitude, à l'abri des dangers que la ville et sa perniciosa occupatio peuvent présenter, avec la seule compagnie des grands hommes du passé, interlocuteurs privilégiés d'un méditatif silentium animi. Sous l'aspect linguistique, le dernier chapitre de la première partie mettra en évidence l'apport indispensable des vulgarisations du Liber à la fondation de la prose italienne des origines, surtout du côté lexical, comparable à celle des trois Canzonieri qui marquent le début de la tradition poétique vulgaire. La deuxième partie de cette thèse concerne l'étude de la tradition manuscrite de la vulgarisation du traité, qui a permis d'enrichir le recensement du 2011 avec trois nouveaux manuscrits (dont un, le manuscrit MA 465 de la Bibliothèque Angelo Mai de Bergamo, bilingue) et de reconstruire les relations stemmatiques parmi ses témoins. L'examen approfondi des textes a permis d'éclaircir certaines zones d'ombre qui concernent les rapports entre les rédactions vulgaires et d'identifier au moins trois versions anonymes différentes : 1) la « Vulgate », une version « abrégée », transmise par vingt-neuf manuscrits, dont celui du Collège d'Espagne de Bologne n'avait jamais été recensé auparavant. Il s'agit d'une version qui privilège le message moral et gnomique au détriment de son contenu rhétorique, en flattant le goût médiéval pour la brièveté et la condensation aphoristique. 2) L' « Intégrale », une version complète et plus fidèle au texte latin, dont nous avons cinq manuscrits.3) La « Composite », remaniement transmis par cinq témoins, apparemment plus tardive et caractérisée par l'attribution de certaines citations à des auctoritates différentes de celles utilisées dans le texte-source latin. Cette version garde seulement le prologue et le premier livre du traité : la deuxième partie du texte semble provenir de Liber de Amore et Dilectione Dei d'Albertano, mélangé avec le Liber de doctrina et d'autres sententiae. Enfin, la structure cicéronienne des circumstantiae locutionis (bien qu'annoncée dans le prologue et présente dans le modèle latin) disparaît complètement dans cette rédaction. Pour ce qui concerne cette version, le recensement a été enrichi d'un autre témoin, le ms. 1004 de la Bibliothèque Universitaire de Padoue. Pour chaque version, on a essayé de tracer un stemma codicum en choisissant un certain nombre de loci critici, à partir desquels on a pu effectuer une collation de tous les témoins et publier au moins un texte représentatif, afin d'effectuer une analyse linguistique, textuelle et macrotextuelle nécessaire pour établir les rapports qui lient ces versions et, si possible, leur origine.

El 9 de mayo de 2017 se presentó en Montevideo el libro Políticas del cuerpo, gobierno de la ciudad: el retorno a la democracia en Uruguay. El libro recoge resultados de una investigación realizada por Cecilia Seré Quintero (Udelar), bajo la orientación de Alexandre Fernández Vaz (UFCS). La investigación, realizada en el marco del Programa de Posgraduación en Educación de la Universidade Federal de Santa Catarina(Brasil), se inscribe en las interacciones académicas establecidas entre el Grupo Políticas Educativas y Políticas de Investigación (GPEPI) del ISEF-Udelar y el Núcleo de Estudos e Pesquisas Educação e Sociedade Contemporânea (UFSC). El marco general de la investigación tiene como objeto el análisis de cuestiones vinculadas al cuerpo en la política contemporánea. Más específicamente, la mirada está centrada en la ciudad de Montevideo, en la transición entre la dictadura cívico-militar (1973-1985) y el retorno a la democracia, alcanzando hasta el año 1990. Señalan los autores: "Se buscó establecer relaciones entre los modos de pensar y organizar el espacio público, y la configuración discursiva del cuerpo en términos políticos" (Seré Quintero y Fernandez Vaz, 2017, p. 19). De esta manera, en la investigación se observan las expresiones de la política en el espacio de la ciudad, espacio por excelencia de la política, específicamente aquellas expresiones que tienen al cuerpo como objeto: "El gobierno de la ciudad supone, en este sentido, una intervención sincrónica en el emplazamiento del cuerpo en el centro de la política moderna" (Seré Quintero y Fernandez Vaz, 2017, p. 12). Se trata de una intervención sobre la vida, una suerte de administración de los ritmos biológicos que se manifiestan en el individuo y la población en un territorio determinado. Los espacios privilegiados para esta intervención no se reducen al sistema educativo o la red hospitalaria; tal y como se destaca en el libro, parques públicos, plazas, playas, avenidas, calles, pasajes, etc. configuran toda una nervadura urbana en la que se puede observar las políticas del cuerpo. Con estos elementos sobre la mesa, cobra mayor relevancia el análisis de la modulación dictadura-democracia. Las fuentes de la investigación remiten fundamentalmente a documentos elaborados en la Comisión Nacional de Educación Física (CNEF) entre 1985 y 1990. Para la investigación desarrollada este organismo ocupa un lugar destacado en cuanto está direccionado a disponer y organizar los cuerpos en la ciudad. Además de los documentos elaborados por la CNEF, también se analizan otros de diferentes dependencias estatales: la Administración Nacional de Educación Pública (ANEP), la Intendencia Municipal de Montevideo (IMM) y diarios de sesiones del Parlamento. El libro se compone de un prólogo de los autores, una introducción, tres capítulos y consideraciones finales. El capítulo I se denomina "Cuerpo y ciudad: lo urbano en la política moderna". Está orientado a mostrar cómo, si se trata de lo urbano, el cuerpo es objeto de políticas. En este sentido, el tratamiento político del cuerpo tendrá que ver, en las ciudades, con la administración temporal y espacial, con el establecimiento de vías, rutas y ritmos de circulación, pero también con las formas de andar y de circular. Aparece ya en este primer capítulo una categoría fundamental: biopolítica. El cuerpo en la ciudad se piensa en la misma medida en que se piensa la maximización de la vida. Se destaca también en este capítulo la distinción entre vida pública y privada, así como el declive de dicha distinción en la modernidad, y la relevancia que tiene para las políticas del cuerpo. El capítulo II lleva como título "Política, tiempo libre y ciudad: gobierno del organismo en el retorno a la democracia". En este capítulo se entra de lleno en el análisis de las políticas públicas en el campo de la educación física, el deporte y la recreación, políticas establecidas por la CNEF. El trabajo con las fuentes, con referencias empíricas, en nada opaca la densidad teórica del análisis. Se podría decir, incluso, que en ocasión del material empírico analizado se desarrolla una discusión teórica excepcional para el campo de referencia, lo cual da pistas para comprender la posición epistemológica asumida en la investigación. El tercer capítulo se titula "Democratización de la Educación Física: del cuerpo a la conciencia". Allí se analizan las claves de las políticas de la CNEF, identificando dos vías discursivas complementarias: la inclusión y la conciencia. Se trataba de un discurso dirigido a toda la población, sin exclusiones, que apelaba a la participación voluntaria de las actividades propuestas a través de la creación de conciencia. Pero, una vez más, no se trata únicamente de la mera descripción de las políticas públicas sino de un riguroso análisis conceptual que en todo momento denota el esfuerzo por explicar la articulación de dichas políticas con lo que estaba sucediendo en el país a nivel social, cultural y político, en el que no se deja de retomar el análisis de las continuidades y rupturas entre democracia y dictadura. De esta manera, la investigación echa por tierra de un modo incontestable la muchas veces pretendida asepsia ideológica de la educación física, el deporte y la recreación. En las consideraciones finales se hace bastante más que un balance de la investigación. Es un pasaje de alta densidad conceptual en el que se retoman los principales elementos presentados en los tres capítulos centrales, pero también se abren nuevas perspectivas de análisis e investigación. Es destacable, además, que las consideraciones finales son utilizadas para presentar discusiones sobre algunas de las categorías utilizadas. Por ejemplo, respecto de la expresión "política del cuerpo", se trae una vez más a la palestra, como varias veces a lo largo del libro, a Hannah Arendt y Michel Foucault, pero también a Jean-Claude Milner y Alain Badiou, entre otros. La discusión presentada allí, aunque no se pueda decir que es independiente de la investigación realizada, tiene su valor en sí misma. Se destaca en la investigación el uso sistemático de algunos conceptos, por ejemplo: políticas del cuerpo, biopolítica, u otros tal vez menos evidentes, como las diferencias que se pueden establecer entre organismo y cuerpo o las relaciones entre los conceptos de política y vida. Se trata de conceptos más o menos recientes, no solo para el campo de la educación física, sino para las humanidades y las ciencias sociales en general, que aquí se ponen en movimiento de manera rigurosa. De ese modo, la investigación ayuda a entender, a avanzar en la posibilidad de decir que, así como toda educación es educación del cuerpo, toda política toca en la cuestión del cuerpo. Contribuye a releer el concepto de política especialmente en la modernidad, sobre todo si se tiene en cuenta que habitualmente pensamos la política como algo que pertenece exclusivamente al terreno de las ideas y ubicamos allí las ideologías, la cuestión del poder, etc., pasando por alto que toda política es política del cuerpo; en ese escamoteo dejamos escapar lo esencial. La investigación que se nos presenta en este libro permitiría arriesgar una hipótesis: la cuestión política fundamental de la modernidad no se conforma por las ideas, las ideologías o el poder; la cuestión política fundamental es la del cuerpo, porque a lo que se enfrenta la modernidad es al problema de la multiplicidad de lo viviente y descubre, con Maquiavelo, con la multiplicidad hablante de los seres hablantes, lo que después se va a poner de manifiesto de diferentes maneras, por ejemplo, en Spinoza, Hobbes y Rousseau. Otra de las contribuciones relevantes de la investigación está en el tratamiento del pasado reciente. En Uruguay se ha visto cómo es difícil tratar este asunto, no solamente por cuestiones teórico-metodológicas sino porque se involucran polémicas diversas. En este sentido, la investigación de Seré Quintero contribuye a darle objetividad al tema, desde el punto de vista conceptual y empírico, a un problema que no se agota en lo ideológico; diría más: contribuye a objetivar un problema que es difícil de captar en el terreno de la ideología o, incluso, que lo ideológico oscurece. En la última parte de esta reseña voy a referirme a algunos elementos puntuales del libro. En el análisis de la transición de la dictadura cívico-militar a la democracia hay un elemento que me parece fundamental: la reubicación de la educación del cuerpo en función del giro ideológico que supuso el retorno a la democracia, el mentado "cambio en paz" de cara a la "pacificación de la sociedad" por la vía de la superación del pasado, hacia un futuro en el que se disolverían las divergencias en el terreno de las posiciones políticas. En el giro que suponía el cambio en paz, tal y como se muestra en el libro, el enemigo ya no es el otro político, el extranjero, sino la pobreza: se trata de un enemigo interno. De esta manera, con la educación del cuerpo, dentro de lo cual se ubica a la educación física, pasamos de corregir el cuerpo, de disciplinarlo, castigarlo, torturarlo, a retomar por una vía renovada lo que ya estaba presente en el discurso pedagógico vareliano: en la recuperación de la democracia, se propone que la pobreza va de la mano de la ignorancia. Tras la afectación del autoritarismo, un rasgo que nunca dejó de estar en el horizonte de la educación física habida cuenta de la vertiente militar que se encuentra en su historia, se hacía necesario otro giro: de la imposición de las actividades a la conquista de las voluntades, del disciplinamiento puro y duro a la generación de conciencia. La investigación muestra que durante la primera gestión de la CNEF posdictadura, la inclusión y el convencimiento fueron dos ejes fundamentales; se trataba de acciones dirigidas a "crear conciencia", con actividades "accesibles a todos los ciudadanos", para que se practique el deporte "como opción voluntaria y convencida" (Seré Quintero y Fernandez Vaz, 2017, p. 80). En este sentido se observa una especie de "dulcificación" de la educación física; se trataba de amenizarla, de manera que estuviera en concordancia con una forma amigable de hacer política (Seré Quintero y Fernandez Vaz, 2017, p. 55). Entraba allí con toda su fuerza la educación para el tiempo libre, esta vez en el escenario de los nuevos "enemigos" (o no tan nuevos, ya que hay antecedentes por lo menos en los argumentos para la creación de las Plazas Vecinales de Cultura Física a principios del siglo XX): se trataba de promover un uso adecuado del tiempo libre, un uso que alejara "a la juventud de los flagelos de la drogadicción, del alcoholismo y promoviendo mejores estilos de vida, para una existencia más provechosa, más feliz y solidaria" (palabras de Julio César Maglione en 1989, en ocasión de un balance de su gestión como Director de la CNEF; citado por Seré Quintero y Fernandez Vaz, 2017, p. 59). En estas breves referencias se podrá observar que no es extraño suponer algo así como una ideología de la desideologización. La investigación muestra el giro discursivo entre dictadura y democracia; mientras que en dictadura el discurso de la CNEF era claramente propaganda política nacionalista que ensalzaba al propio régimen, en los primeros años de democracia se pretendía estar "al margen de concepciones políticas" (Seré Quintero y Fernandez Vaz, 2017, p. 73). De esta manera, aunque suene paradójico, la investigación proporciona elementos para el debate ideológico, imprescindibles para toda discusión política. Como se ha visto, entonces, la investigación presentada en este libro es una contribución de altísimo valor para el campo de la educación física, pero no solo para él. En su lectura, se verá cómo la cuestión del cuerpo, y especialmente la de la educación del cuerpo, no es un tema menor ni coyuntural, tampoco marginal; es más bien un aspecto central de toda sociedad y cultura. Por esta razón, el material que ahora tenemos a disposición gracias a la política de publicaciones de la Comisión Sectorial de Investigación Científica (CSIC-Udelar) contribuye a la comprensión de los hechos en un período determinado de nuestra historia reciente, pero también a la comprensión de la potencia y el alcance de los conceptos que se ponen en juego.

The Limpopo Province is one of the nine Provinces in South Africa, located in the far north of the country, bordered by Gauteng (south), Mpumalanga (south-east) and North West (south-west) Provinces along its southern border. It links the country to the southern African Democratic Countries, via Botswana, Zimbabwe and Mozambique, along its northern borders both economically and hydrological. The Province is characterised by insufficient and highly variable rainfall patterns upon which the agricultural sector depends on, prone to extreme climate events (such as drought and flood), high concentration of rural poor and socioeconomic inequalities. Water scarcity and inefficient available water use are some principle constraints evident from low agricultural productivity. Limpopo smallholder farmers (LSF) are faced with numerous challenges, ranging from resource access to agriculturally marginal farmlands located in the former demarcated homelands in agro-ecologies characterized by erratic rainfall, poor soil fertility, low crop productivity, degraded landscapes, and lack of irrigation and limited land for expansion. Climate change is projected to be an additional stressor, threatening small-scale agricultural farmers' productivity and livelihoods. A primary concern addressed by this thesis is to generate scientifically based information that can help to enhance the farmers' ability to respond effectively to current and future climate regimes. The overall aim of this study was to develop and evaluate climate smart agriculture (CSA) strategies for attaining resilience and adaptation pathways in smallholder farming system to climate variability and change. CSA is an approach that transforms and changes the direction of agricultural development under human-induced climate change. This aim was addressed through the following specific objectives:  to carry out field survey- and desktop-analysis to investigate whether the LSF perceived past and future climates are in agreement with scientific evidence, and how farmers' inclination to adopt climate smart adaptation practices is influenced by past climate experiences, as well as their constraints and future climate concerns.  to conduct field experimental trails to evaluate effects of climate smart practices on soil moisture and maize yields, then used to parameterise, calibrate and validate the daily time-step APSIM model, and lastly upscale them to sub-catchment level to test their effects across different soils, climates and locations by coupling the APSIM model with geographical information system. This was done to test if increasing surface residue application leads to higher soil-water retention, and thus maize yield; and if insitu rainwater harvesting (IRWH) in combination with conservation agriculture leads to higher yields than conventional practice.  to assess the likely impacts and opportunities of LSF's crop management practices under changing environmental conditions, and  to determine when incremental adaptation is not an option and transformational adaptation might be suitable or needed to address risk and vulnerability of Limpopo Small-scale agriculture under climate future projections. CSA practices aimed at reducing small-scale farmers' exposure to climate-related risks and increasing their productivity, while improving their resilience and adaptive capacity to climate variability and change were identified. The practices were selected on bases of incorporating an integrated soil, water and crop management strategies approach, to increase and sustain crop productivity by increasing water availability, crop access to soil-water and soil-water holding capacity. A structured survey questionnaire was used to collate data on across 6 villages (n = 201) to better understand the LSFs practices, experiences and perceptions, with emphasis on climate variability and change. The data was initially used to determine if the LSFs understood impact of climate variability and change, thereafter, utilized the collected information to determine what influences the LSFs willingness to adopt climate-smart adaptation practices. This was archived through a multiple-mediation analysis of farmers past climate experiences, adoption of climate-smart adaptation practices, their future concerns regarding extreme climate, and physical and socio-economic adaptation constraints, presented in Chapter 2. The LSF indicated that they have noticed changes in climate (citing hotter conditions and shifts in rainfall onsets) and perceived that temperature are more likely to continue to increase in far distant future while the rainfall will decline. Their observations and perceptions were found to be consistent with historical climate records, and climate model projections, particularly temperature regimes. The multiple-mediation analysis suggests that past climate experiences of LSF directly influenced willingness to adopt climate-smart practices, and indirectly by concerns about future extreme conditions, economic and physical adaptation constraints. Summary 104 In the third chapter, field experiments data were conducted over two seasons (i.e. 2013/14 and 2014/15) at University of Limpopo Syferkuil Research Farm in Limpopo Province, on effects of tillage practices on maize crop production are presented. The practices considered were (i) tillage practices (i.e. IRWH, no-till (NT) and conservation tillage (CT) practices), (ii) surface organic mulch cover, (iii) planting dates and (iv) maize cultivars. IRWH is documented in literature as mitigating dry spells by increasing soil-water storage and improving crop production. Application of mulch cover is linked with reducing unproductive water loss via evaporation. Integration of both tillage practices and surface mulch cover improves infiltration and hence increases soil-water storage required particularly during critical maize crop growing periods, such as vegetative and reproductive growth stages. The two seasons offered an opportunity for the comparison of field experimental treatments, with the start of El Nino during the second growing season and the above normal rainfall in the first season. In the first season yields there were no treatment differences, with average maize grain and biomass yields of 5 and 10 ton per ha, respectively, while in second season the yields were half that of the first and treatment effects were found with high yields from NT tillage practice, followed by IRWH and then CT. Further, maize productivity increased with increments in surface mulch levels. The soil-water and plant available water in the first season were high for NT followed by CT and then IRWH, whereas, for the second season were high for CT followed by IRWH and then NT. In the field experiment, during below normal rainfall, NT performed slightly better than IRWH. This observation suggests that these practices are likely to be more of benefit during dry spells and/or below average rainfall years. The data from the field experiment and secondary data were used to parameterize, calibrate and validate a daily process-based farming systems model, APSIM - Agricultural Production Systems sIMulator. The model calibration indicated a positive strong relationship between predicted and observed maize grain yields and biomass. The validation analysis suggests that the model is capable of simulating soil-water, biomass (r = 0.82 and RMSE of 572 kg.ha-1) and grain yields (r =0.76 and RMSE = 2 577 kg.ha-1). In order to simulate the effects of IRWH on hydrological processes and crop productivity APSIM was configured with a runoff generation area and a basin collection along a soil profile. This concept was adopted from the PARCHED-Thirst model and yielded a strong correlation with observed data. The strong correlation between model simulations and observed were also found in validation analysis of effects of CT and NT tillage practices. The calibrated model was used for climate impact and adaptation strategies analysis. To perform the analysis over the Limpopo Province, in unmeasured or tested locations and environmental conditions - an APSIM-GIS coupling approach commonly used in hydrological modelling, was adopted in this research for scaling up the validated model's farming systems to sub-catchment scale, for simulating the tillage practices effects on agro-hydrological responses across varying climate and soils over different locations and time period. Findings from the simulations based on APSIM-GIS coupling over maize producing areas in the Province on effects of tillage practices with different surface mulch levels on agrohydrological responses, suggested the available soil-water content increased with increments in surface residue, but these positive effects were negated in some sub-catchments with high rainfall and/or through drainage losses. A similar trend as soil-water content was observed for maize grain yield, but with even more sub-catchments experiencing higher yields, and some decrease with increments in residue application levels mostly in high rainfall areas. The combination of both tillage and surface residue yielded higher maize grain yields in IRWH combination and less so in NT. In order to select an ensemble of representative General Circulation Model (GCM) suitable for assessing future climate scenarios, GCM's similar to those presented in Intergovernmental Panel on Climate Change 4th Assessment report were used, and only those available at daily time-step and empirically downscaled (to climate station level) were selected for inclusion in the fourth chapter. Further, the GCMs scenarios values used were from the A2 emission (low mitigation) storylines forcing over the Limpopo Province. Then, a set of these GCMs scenario values representing four random locations assumed to representative of the Province were selected. The selection process was based the GCMs performance in predicting past climate conditions, followed by their representation of a range of future climate projections, with precipitation as dominant determinant factor owing to all GCM projections suggesting a similar direction in temperature regimes. Crop management scenarios, developed from LSF survey data, were surface mulch application only for poor-resourced farmers, whereas, for better-resourced farmers both nitrogen fertiliser and surface mulch application, both farmer groups with early and late sowing dates. The practices identified were different sowing dates, N fertilizer and surface mulch application, and interaction effects of the Summary 105 practices. These were used for climate change impacts assessment of LSF system across maize growing sub-catchments over the Province, using the calibrated coupled APSIM-GIS modelling system. Two climate projections periods, i.e. 1971-1990 and 2046-2065, were used and findings from the assessment indicated that an increased fertiliser use leading to higher soil fertility would increase yields for present and future projections. The incorporation of surface mulch effect lead to significant declines in simulated grain yields (over 90 %) mainly in high rainfall areas. Early sowing dates had significant effect on potential maize yields with 48 % increase, over 58 % of the Province. The interaction effects of the management scenarios are likely to result in up to 17 % higher yields. Therefore, N fertilization should be part of the practices that allow higher productivity even under less favourable climate. Poor-resourced farmers' potential maize yields under projected future climate will be negatively impacted, with some gains arising from those who plant early and do not apply surface mulch. Better-resourced farmers were shown to have an opportunity to capitalise on climate change impacts, compared to their counterparts mainly due to application of N fertilizer. The current poor farmer management practices are not resilient to prevailing climates and are postulated in climate futures leading to significant low crop productivity. Soil fertility, planting dates and soil-water availability, in particular, were identified as factors influencing productivity in the Province. Projected increase in temperature was found to be the main contributors to low or reduce productivity, even with wetter future projections from the GCMs. The incremental, systemic and transformational adaptation modes, identified from literature as likely climate adaptation pathways, represented by adopt of short duration cultivars, mainstreaming supplementary irrigation and shifting from cereal crop to livestock ranching as adaptation measures (respectively). These adaptation modes were used to assessing plausible optimal adaptation phase for LSF by mid-century, using median GCM and coupled APSIM-GIS modelling approach. The findings indicate that transformational adaptation might be required much earlier than suggested from literature to be towards end of the century, as some areas are already experiencing extreme climate risks and vulnerabilities that might not be alleviated by incremental adaptation measures, as a result of increase temperatures exceeding the historical variability thresholds. Further, the results suggest that for the beneficial effects of climate-smart practices to optimize agricultural productivity, they would need to be targeted and adapted to a specific biophysical condition. The traditional cropping systems assessed in this study indicated spatially varied potential gains and losses in yields, however, farmers can capitalise on change climate by adopting better cropping practices and using seasonal forecast linked sowing dates. Incremental adaptation measures, such as farm management, are suggested not to be sufficient for addressing projected climate impacts at mid-century. This is expected to occur in certain areas and/or systems, particularly specialised cropping systems, when the climate-related risks and vulnerabilities far outweighs the adaptive response, and thus requiring transformational adaptation. Such transformational adaptation, in terms of landuse change has already observed in the region with traditional crop farmers opting for ranching and game farming, and large scale adoptions of irrigation.

The global financial crisis has had profound effects on macroeconomics. It highlighted a magnitude of challenges for the profession. On the one hand, the turmoil emphasized the absence of important characteristics in standard models. On the other hand, the sheer magnitude of the shocks, combined with policy changes, unconventional measures, and new regulations, induced a shift in many macroeconomic variables. These structural breaks, along with the breakdown of standard transmission mechanisms and newly binding constraints, accentuated the importance of non-linearities in macroeconomic models. While non-linear models were not uncommon before, the arsenal of many macroeconomists was dominated by linearised general equilibrium models, Vector Autoregressive Models (VARs), and Error Correction models. Consequently, the workhorse modelling technique --- DSGE modelling --- was the primary candidate in need to adapt to the new environment. A multitude of new methods and additions were introduced: partially binding constraints to tackle the zero lower bound, higher order perturbations to approximate wider area around a steady state, transmissions between several steady states, and time-varying parameters, either gradual or sudden, to reflect the new state of the system. The first half of this thesis falls into this last category, as it examines the effects of rare events such as financial and currency crises through the lens of regime shifting DSGE models. By introducing non-linearities in the form of time-varying parameters that follow a stochastic process, these models show how similar shocks may have different effects on the economy, since agents may react otherwise even under similar circumstances simply due to a different state of the economy. This is achieved through a novel class of DSGE models --- Markov-switching DSGE (MS-DSGE) that aim at capturing the aforementioned non-linearities. These models assume that the economy may take a number of different states, each associated with a set of parameters. In every representation, the relationships between macroeconomic variables are given; however, the economy is allowed to transition between these regimes following a stochastic Markov process. Therefore, even similar shocks may have different effects across the states of the economy. Furthermore, the economic agents are aware that such transitions may occur and take this into account when making their decisions, which introduces further non-linearities in the form of precautionary behaviour. The introductory chapter presents a small open economy (SOE) model for the Estonian economy, which has had a fixed exchange rate regime (FER) for over two decades. The peg was in the form of a currency board --- a special form of a FER where the base money is fully covered by foreign reserves, eliminating the option of the central bank to act as a lender of last resort''. Under the peg, domestic interest rates are expected to converge to the rates of the foreign currency, due to the unlimited convertibility of bills. Empirically, however, the rates are never a simple identity as it is often assumed in the standard DSGE literature. It is evident from the data that a substantial spread may exist as a consequence of problems in the banking sector or the exchange rate system. This spread may have substantial effects on the economy through abnormally high interest rates. Therefore, in this model the spread is modelled explicitly and further examined from two perspectives. On the one hand, it may arise from endogenous factors, such as through the international financial position of the country. An indebted country might be demanded a premium when issuing more debt. On the other hand, it may also arise from exogenous factors, such as a financial or currency crisis. Were the economy in financial distress, even small shocks could be amplified and much more pronounced. These features are added by modelling stochastic volatility of the interest rate spread in a regime switching framework. While the standard model would average out periods with abnormally high rates and times with low interest rates, the Markov-switching extension is aligned with the data. The model is estimated with Bayesian techniques. The main findings are that financial shocks play a minor role when the banking sector is stable, whereas in the other case these shocks are large and potentially detrimental to the economy, suggesting how important the credibility of the exchange rate system may be. The second chapter of this thesis, titled The regime-dependent evolution of credibility: A fresh look at Hong Kong's linked exchange rate system'', builds on that very issue. How important can the effects of loss of credibility be? It estimates a model for the Hong Kong economy, which has had a currency board for almost three decades. This is one of the longest running FER systems, and it has had its share of speculative attacks over the years. If the traders assume that the currency board will not hold, they take positions against it that are shaped by their expectations, whether the currency would appreciate or depreciate following the abandonment of the peg. The pressure on the spot markets induces a premium on the interest rates through the exchange rate parity. Thus, spreads between foreign and domestic interest rates can be positive, even if the financial system is under no scrutiny. Therefore, we can judge the perceived credibility of the currency board by incorporating financial information in the form of the interest and spot rates. We estimate a structural MS-DSGE model and quantify the effects of loss of credibility of the system. Applying the same framework developed for the previous work, we can estimate the size of the shocks driving the interest rate differential. The main finding is that monetary shocks are amplified and may be up to five times as large if the credibility of the board is put into question when compared to a stable FER, which indicates the importance of tackling currency crises swiftly. The second half of this thesis takes a different approach. It moves away from structural modelling and ventures into the empirical realm of data-driven models, where non-linearities are once more introduced by means of time-varying parameters. Chapter three, titled The credibility of Hong Kong's currency board system: Looking through the prism of MS-VAR models with time-varying transition probabilities'', is a natural continuation of the issue of credibility by addressing a limitation of the MS-DSGE models. Due to their complexity, the probabilities governing the switching parameters have to be constant. This drawback has yet to be resolved in the literature and imposes a serious limitation in scenarios where self-fulfilling expectations fuel the crises. Believing that a regime change may be near could very well influence the likelihood of a shift. This calls for endogenising the transition probabilities between states, which can be achieved in a Markov-switching VAR framework (MS-VAR). The advantage of this setup is that one can pose a set of questions: What captures a loss of credibility in a system? Which are the trigger variables? Does the damage to the confidence in the exchange rate regime stem from fears of the global financial market's or is it solely coming from domestic volatility? In this chapter, we construct a conditional volatility index for Hong Kong and show that uncertainty on the domestic stock markets, as well as the swings of the foreign exchange market for domestic currency, have predictive power over the investor's confidence. Moreover, global uncertainty indicators remain uninformative. The final chapter on non-linearities in macroeconomics retains the spirit of time varying parameters in Markov-switching models, yet ventures away from the SOE setting of the previous sections. It is titled Modelling the time variation in Euro area lending spreads'' and investigates the apparent divergence of lending rates across the Eurozone in recent years. Governed by common monetary policy, European interest rates exhibited similar trends before and even during the financial crisis, but developed rather peculiarly after 2011. Italy, Spain, Portugal, and Ireland experienced surges in their lending rates, while the policy rate was near zero levels --- the transmission of monetary policy has been impaired. While the breakdown in the interest rate pass-through has already been documented in the literature, very little has been found regarding its triggers. This chapter builds an MS-VAR model with time-varying transition probabilities and applies it to the lending rates of Italy, Spain, Ireland, and Portugal relative to Germany's. Under the assumption of no breakdown of the interest rate pass-through, the interest rate differential should react similarly following a common monetary policy shock. By introducing two regimes and endogenous transition probabilities, the model captures the heterogeneity and country specifics of the member states. We find that global risk factors have contributed to higher lending rates in Italy and Spain, and that problems in the banking sector further explain the impairment in Spain, whereas fiscal problems and contagion effects have contributed in Italy and Ireland. We also find that the ECB's unconventional monetary policy announcements have had temporary positive effects in Italy. Due to the zero lower bound, these findings are amplified if EONIA is used as a measure of the policy rate. For Portugal, we do not detect any changes in the pass-through. ; Die globale Finanzkrise war von einer großen Bedeutung für die Wirtschaft und somit für die Volkswirtschaftslehre. Sie hat zur Folge erhebliche Struktur- und Durchbrüche der gewöhnlichen Übertragungsmechanismen. Die Unfähigkeit der linearen Modelle den Umfang der Krise zu prognostizieren hat die Bedeutung der Nichtlinearitäten in der Forschung stark betont. Eine bestimmte Klasse von Modellen – die Markov-switching DSGE Modelle (MS-DSGE) - abzielt die oben genannten Nichtlinearitäten zu erfassen. Bei diesen Modellen wird es davon ausgegangen, dass die Wirtschaft eine Reihe verschiedener Zustände annehmen kann, die jeweils mit einem Satz von Parametern charakterisiert werden. In jeder Darstellung werden die Beziehungen zwischen makroökonomischen Variablen gegeben, jedoch wechselt die Wirtschaft zwischen den Regimen nach einem stochastischen Markov-prozess. Deshalb können die gleichen Schocks unterschiedliche Auswirkungen auf der Wirtschaft haben. Darüber hinaus sind die wirtschaftlichen Akteure bewusst, dass solche Übergänge auftreten können und dies berücksichtigen. Die Akteure bilden deren Erwartungen mit der Sicht, dass ein Regimeweschel möglich wäre, was zu weitere Nichtlinearitäten führt und dadurch werden der vorbeugende Effekt einer drohenden Krise modelliert. Das einleitende Kapitel präsentiert eine kleine offene Volkswirtschaft, die nach der Eigenschaften der estnischen Wirtschaft modelliert wird. Estland hatte mehr als zwei Jahrzehnten einen festen Wechselkurssystem (FWK). Das System ist ein Währungsamt (Currency Board) - eine spezielle Form eines FWK, beidem das Basisgeld zu 100% durch Währungsreserven gedeckt ist und die Möglichkeit der Zentralbank als "lender of last resort" zu dienen abschafft. Mit einem FWK ist es zu erwarten, dass die inländischen Zinsen sich an den ausländischen Zinsen durch eine Arbitrageopportunität anpassen und dadurch konvergieren die beiden Zeitreihen. Empirisch jedoch sind die Zinsen nie identisch, wie es oft in der DSGE Literatur angenommen wird. Aus den Daten ist es offensichtlich, dass eine erhebliche Risikoprämie aufbauen kann die auch eine negative Auswirkung auf die Wirtschaft hat. Diese Zinspanne kann aus verschiedenen Gründe, wie z.B. eine Banken oder Finanzkrise, erscheinen und dadurch verschlechtert sich die wirtschaftliche Lage weiter. Daher wird in diesem Modell diese Nichtlinearität der Risikoprämie explizit mit einer Markov-prozess modelliert und mit Bayesianische Methoden geschätzt. Die Hauptergebnisse zeigen, dass finanzielle Schocks eine untergeordnete Rolle spielen im Fall der Bankensektor stabil ist und eine große Auswirkung haben können im Fall die Wirtschaft sich in einer Krise befindet, eine Eigenschaft die in der linearen Modellen nicht erfassen wird. Das zweite Kapitel dieser Arbeit, mit dem Titel "The Regime-Dependent Evolution of Credibility: A Fresh Look at Hong Kong's Linked Exchange Rate System" baut auf diesem Modell auf und untersucht wie wichtig die Glaubwürdigkeit des Wechselkurssystems für eine kleine offene Wirtschaft ist. Das Modell wird für Hong Kong geschätzt, ein Land das ein Currency Board seit fast drei Jahrzehnten besitzt. Dies ist eine der am längsten laufenden FWK-Systeme und es hat eine gewisse Anzahl von spekulativen Attacken überstanden. Gehen die Händler davon aus, dass das feste Wechselkurssystem aufgehoben wird, werden sie eine Position gegen das System halten, wo sie die Währung verkaufen und Nachfrage nach ausländische Währung generieren. Um die Regierung den Wechselkurs behalten zu können, muss sie (i) genug Reserven ausländischer Währung halten und (ii) die Kapitalabwanderung vermeiden. Dies führt zu erhöhende Zinsen (um die Währung attraktiver zu halten) und wieder zu einer Leitzinsspanne. Diese Zinspanne wird mit dem MSDSGE Modell aus dem ersten Kapitelgeschätzt und durch Varianzzerlegung und Impuls-Antwort Funktionen wird die Transmission der Zinsschocks bei "normalen" Zeiten und in Perioden der Glaubwürdigkeitsverlusts. Die zweite Hälfte der Dissertation versucht die Themen des ersten Teils durch empirische Modelle zu vertiefen. Das dritte Kapitel " The Credibility of Hong Kong's Currency Board System: Looking Through the Prism of MS-VAR Models with Time-Varying Transition Probabilities " ist eine natürliche Fortsetzung der Frage der Glaubwürdigkeit des Wechselkurssystems. Mit Hilfe eine Markov-switching Vektorautoregression (MS-VAR) wird einen gewissen Nachteil des MS-DSGE Modelle überwunden – die Annahme, dass die Wahrscheinlichkeiten für den Regimewechsel konstant und exogen sind. Diese Annahme wird bei den DSGEModellen getroffen nur wegen der Komplexität der Modelle. Dennoch, ist die Annahme Kritsch bei der Modellierung von Krisen, wo selbsterfüllende Erwartungen eine wichtige Rolle spielen können. Durch die Endogenisierung von er Regimewahrscheinligkeiten wird es in diesem Kapitel untersucht was den Verlust der Glaubwürdigkeit des Wechselkurssystems beeinflussen kann. Welche Variablen können ihn "triggern"? Wir entwickeln einen eigenen Index für die Hong Kong Finanzmärkte und zeigen, dass Turbulenz auf die Heimfinanzmärkte einen Einfluss auf die Glaubwürdigkeit haben, wobei die Volatilität bei den globalen Finanzmärkten keine "spillover" Effekts haben. Das letzte Kapitel "Modelling the Time Variation in Euro Area Lending Spreads" untersucht die Divergenz zwischen den Kreditzinsen im Euroraum, besonders Irland, Italien, Spanien und Portugal. In den letzten Jahren hat die EZB der Leitzins niedrig gehalten, indessen die Darlehenszinsen in den o.g. Ländern gestiegen sind was auf eine Veränderung bei der Transmission der Geldpolitik hindeutet. Im vierten Kapitel wird es wieder mit Hilfe eines MS-VAR Modelles untersucht was dazu eingelegt hat. Wir finden heraus, dass globale Risikofaktoren und Volatilität auf den Finanzmärkten zu höheren Kreditzinsen in Italien und Spanien beigetragen haben und dass die Probleme im Bankensektor der Erhöhung der Darlehenszinsen in Spanien beeinflusst haben. Die Fiskalkrise hatte einen Einfluss auf der Dynamik der Kreditzinsen in Irland, wobei in Portugal wir keine Veränderung der Transmission der Geldpolitik identifizieren können.

*This series is the result of an adaptation of a paper presented as part of a seminar on "Theories and Research in International Relations" at Hebrew University, July 2012. Commentaries are welcome to daniel.wajner@mail.huji.ac.il Click here to read Part II of the series In the first article of this series we have introduced the debates on the ontology of power, while in the second one we have presented the main epistemological approaches of the different paradigms. In this third and final article we will deal with methodological schemes for Power Analysis in IR, while indicating areas for possible innovation using the "Arab Spring" cases as illustrations. Power, Outcomes, and what brings them togetherAs we have seen in the last part, the contribution made by Barnett and Duvall with his taxonomy of four dimensions of power is very helpful as theoretical framework; nevertheless, it is still weak to implement as a methodological tool - it is very difficult to distinguish in a real case what is originated through the structure or the actor, as well as to measure if the specificity is direct or diffuse.But the same could be expressed about the majority of the mentioned schemes. In fact, Dahl itself warned about the difficulties of combining variables to compare power relations and argued that it depends on the requirements of the research.1 This complexity is even larger when normative factors are included; for example, despite the proposal of Nye of measuring soft power through polls and focus groups, he also cautioned about the limits of the intangible variables.2 Hurt addresses certain ways of skipping the difficulties in measuring the power of legitimacy, such as examining: the rates of compliance, the reasons given for compliance and for non-compliance, the support given by the centers of Power and the need for legitimacy argument (akin to a counterfactual technique).3 But, once again, no combined power relations framework is presented.In addition, Lukes argues that power depends on the "significance" of the outcomes, namely, in the capacity of affecting the interests of the agents. He refers to two methods: by changing incentives structures (indoctrination) and by influencing interests (subject freedom). However, Lukes confesses that the main question remains open: how to use certain power to shape certain preferences?4In conclusion, in these approaches no power relation mechanism explains, in a measurable way, how material and normative resources are combined to shape power and influence decisions. Therefore, I would like to subsequently suggest a very simple framework that may allow us to implement the knowledge mentioned hitherto to study specific cases in IR.In line with the majority of the authors, in order to make power measurable I consider that we have to divide it in two variables: material power (or simply Power) and legitimation power (or legitimacy). In international politics, the power of an actor is expressed by its military (backed-by-economical) resources, and for the scheme it would receive "high" or "low" values. The legitimacy of the actors, which is based on their capacity to be perceived as norms-compliers and to build consensus around them5, would receive also "high" or "low" values.A power analysis based on the combination of those two variables, as it is shown below in illustration I, leads us to the taxonomy of four types of cases, each one ascribed to an "outcome". It is important to clarify that, for this paper, the outcomes would reflect the domestic situation of the main agent (the State) given an international system; it is a sort of outside-in analysis if we take into account Gourevitch´s second image reversed.6 Further work has to be done to adapt this scheme so as to explain the conduct of the State vis-à-vis other States as well as to include the domestic sphere of legitimacy.The first actor, which has high power and high legitimacy, could describe his situation as "stable"; that means, the actor would overcome the domestic and external challenges without internal changes and high international costs.The second actor, having high power but low legitimacy, is considered to be in a "changeable" situation. Although this actor is capable of overcoming internal and external challenges, due to the fact that it lacks of support from the other actors he could suffer from high international costs and possibly domestic changes.Illustration I – Taxonomy of Power-Legitimacy outcomesPOWERLEGITIMACYHigh PowerLow Power High Legitimacy "STABLE" "PROTECTABLE" Low Legitimacy "CHANGEABLE" "REVOLUTIONABLE" To the third actor, which has low power but high legitimacy, his situation is defined as "protectable". Due to his incapacity to overcome alone the internal and external challenges, this actor may count on the support of other actors to reduce the possibility of domestic changes; otherwise he will suffer from it.The fourth actor, with low power and low legitimacy, is placed in a "revolutionable" situation; that means, this actor is candidate to suffer from internal changes and high international costs at the time he would face challenges.Testing the Power Analysis framework with the "Arab Spring"The phenomenon known as the "Arab Spring", composed of dozens of countries in which massive protests were held, constitutes an outstanding test for the theory. A large quantity of those cases happened in a very short range of time, with all the variety of domestic conditions, reactions from the regime and from the world, as well as different outcomes. This makes those events ideal for the present examination; even though it is just a "sample" of a more deeply study.7Although no State of those that suffered uprisings is considered in a "stable" situation at all, Saudi Arabia and Jordan could be mentioned as good examples of Arab countries that combined high power (relatively, of course) and high legitimacy. Their regimes faced the uprisings from the beginning (mid-January 2011), but were capable of overcoming the internal challenges through a combination of repression and reforms, without suffering changes in their regime and being supported by the international community.Egypt is probably the best representation of a country whose regime kept high power at the moment of facing domestic challenges but received low legitimacy from the world; this "changeable" situation caused drastic changes at the top of the leadership (including the president, ministers, etc), albeit not of the whole regime (still leaded by the Military Council). Syria seems to be in a similar situation; while the power of the regime is still high, the legitimacy is not low enough to bring to major changes due to the sustained support of Russia, China and Iran. As a result, Syria constitutes today an excellent test for the power of legitimacy (and norms) in international politics.Between those countries that experienced a combination of low power and high legitimacy, experiencing a "protectable" situation, it is possible to mention Bahrain. Despite its regime was not capable of overcoming the internal revolts alone, it counted with the support of most of the Arab countries in the repression, and the Western approval of the "regional intervention" leaded by Gulf countries around the GCC. Yemen was in a comparable position, but at the end of 2011 the legitimacy of its regime was reduced when the region and the world understood the necessity to remove the President to maintain the remaining, in what was denominated later "the Yemenite option".Finally, Libya constitutes the case in which the regime was in a "revolutionable" situation, owing to its low Power to contain the rapid domestic rebellion and its low legitimacy after the first days of tremendous repression. The international costs were so high that included a military intervention leaded by NATO (with the endorsement of the Arab League), that led to the total collapse of the regime. It is possible to say that Tunisia was in an analogous situation while it did not need for a civil war and an external intervention to consummate finally a revolution (i.e., the complete removal of the existing regime).ConclusionsThroughout the paper we were able to observe that the ontological, epistemological and methodological discussions about the complex concept of Power maintain their relevance in the main schools of IR, and in some cases even constitute an essential part of their latest developments.At the same time, the inter-paradigmatic efforts of the last decades are demanding new power analysis approaches; that means, theoretical schemes that would embed a combination of the different factors at stake (material and non-material, resources and interactions, agents and structures) to specific cases of study.Deeper examinations of the "Arab Spring" cases need to be implemented so as to confirm the presented findings, as it was previously said. However, these small samples could possibly reveal that the implementation of a framework that combines both material and non-material resources is possible and, even more, desirable, to a better understanding of the devices of power in IR. 1 Robert A. Dahl, "The concept of Power", p.2142 Joseph S. Nye, Soft Power- The Means to Success in World Politics. p.63 Ian Hurt, "Legitimacy and Authority in International Politics". International Organization 53 No2 (Spring 1999), 390-3914 Stephen Lukes, "Power and the Battle for Hearts and Minds", p.4925 This short definition is based on concepts presented in Ian Clark, "Legitimacy in International Society" (London: Oxford University Press, 2005). It includes components both from the structure and the agent.6 Peter Gourevitch, "The second image reversed – the international sources of domestic politics" International Organization 32 No4, (Autumn 1978), 881-911.7 An investigation is "under construction", called "The Arab League and its legitimation role in the Arab Spring". It focuses on the power of the Arab League to yield legitimacy (or not) in six different cases. Bibliography Bachrach, Peter and Baratz, Morton S. "Two Faces of Power". The American Political Science Review 56 No4, (December 1962), 947-952 Baldwin, David A. Paradoxes of Power (NYC: Basil Blackwell, 1989). Barnett, Michael and Duvall, Raymond. "Power in International Politics", International Organization 59, No1 (Winter 2005), 39-75 Berenskoetter, Felix and Williams, Michael J. Power in World Politics. (NYC: Routledge, 2007) Bourdieu, Pierre. 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