This article takes an integrated approach to evaluating the interaction of initial conditions, political change, reforms and economic performance in a unified framework covering 28 transition economies in East Asia, Central and Eastern Europe, and the Former Soviet Union (FSU). Initial conditions and economic policy jointly determine the large differences in economic performance among transition economies. Initial conditions dominate in explaining inflation, but economic liberalization is the most important factor determining differences in growth. Political reform emerges as the most important determinant of the speed and comprehensiveness of economic liberalization, raising the important question of what determines political liberalization. Results suggest the importance of the level of development in determining the decision to expand political freedoms.
De la identidad regional gaucha brasileña, formada por las manifestaciones culturales de los habitantes de la provincia de Rio Grande do Sul (RS), ubicada al extremo sur de Brasil, y que limita con Argentina y Uruguay, se desprenden las características culturales y simbólicas del gaucho brasileño.
La presente investigación está ubicada en esta región, dada la escasez en términos de investigaciones sobre el diseño de joyería, a pesar del amplio desarrollo de la industria joyera en la zona– es el segundo polo de fabricación en Brasil –y de que hay allí universidades con cursos de grado en el área del diseño de joyería. De esos cursos egresan muchos profesionales independientes, poniendo sus colecciones en el mercado a partir de la fabricación artesanal de las piezas.
Puesto que la fabricación de joyas se realiza mediante técnicas artesanales, la concepción de la pieza va por el camino del diseño, desde su investigación temática hasta los dibujos técnicos. La elección e investigación de la temática para una colección de joyas corre por cuenta del diseñador. Lo que se observa es el interés por la aplicación de la temática regionalista en colecciones de joyas, como se puede observar en los trabajos de Celso Dornelles y Maria da Graça Portela Lisboa, que se proponen a rescatar en el pasado, materiales y formas de la cultura gaucha brasileña.
El auge de la cultura gaucha de los siglos XVIII y XIX, en los campos de Argentina, Brasil y Uruguay se puede verificar en los relatos de dos viajeros, como Saint-Hilaire1 y Dreys2 . Específicamente sobre la cultura encontrada en Rio Grande do Sul, Dreys describe en su observación la presencia de un hombre rural, sin fronteras, que trabaja en el campo y tiene como medio de transporte el caballo, que además es el amigo fiel del gaucho. La figura de ese campesino se ve reflejada en hombres y mujeres de las Pampas, mujeres que, como describe Assunção (2007, p. 287), "no tienen ningún escrúpulo en montar a horcajadas, como los hombres".
El término gaucho, utilizado para designar a todos los nacidos en la provincia de Rio Grande do Sul y en los países vecinos, no siempre tuvo connotaciones positivas. Dias y Appel3 (2012) describen la transformación del significado de la palabra. En 1790, gaucho y gauderio eran sinónimos de changadores, ladrones de ganado. Ya Assunção (2007, p. 226) dice que el vocablo tuvo tres significados: el vago del campo, el hombre de las pampas y, por último, volvió al primer significado de vagabundo rural, pero con características de soldado patriota.
Ya con las fronteras políticamente determinadas entre los tres países Argentina, Uruguay y Brasil, se observa el intenso intercambio cultural generado entre ellos, principalmente en las ciudades fronterizas. Hartamann (2011) en su observación in loco de fiestas de manifestaciones de la cultura gaucha el Desfile del 20 de septiembre4 en la ciudad brasileña de Uruguayana, frontera con Paso de los Libres, Argentina y de una "criolla"5 en Uruguay, pone de relieve la mezcla entre culturas en la que permanece en común el trabajo en el campo, la costumbre de tomar mate y el amor por el caballo. En Uruguayana el desfile es una mitificación del gaucho por parte de los peones de estancia y los estancieros, que muestran su mejor caballo y sus mejores accesorios, lo que se aleja de su realidad diaria, que es de una vida simple y sin lujos. En lo que se refiere a las "criollas" eso es distinto, se presenta como una manifestación cultural del trabajo y las habilidades campesinas en la que los gauchos participantes compiten por sus habilidades con el caballo. Distinto de la propuesta brasileña del desfile de 20 de septiembre, las "criollas" uruguayas no personifican a un gaucho guerrero y rico como los gauchos brasileños en sus eventos.
A partir de esa diferencia entre manifestaciones populares en RS hay una entidad que regulariza la manifestación de la cultura gaucha, el Movimiento Tradicionalista Gaucho (MTG) que surge en 1966 y tiene como objetivo "catalizar, disciplinar y orientar las actividades […] preconizando la Carta de Principios" (Mariante como se cita en Jacks, s/f, p. 38), el cual coordina los Centros de Tradiciones Gauchas (CTG). Eso contribuye para que haya una discusión interna de lo que es el gaucho ideal y sus manifestaciones. Incluye también un reglamento sobre la indumentaria, que los participantes fieles a ese movimiento deben seguir.
El MTG define conceptos propios de la cultura gaucha, como por ejemplo el tradicionalismo en la provincia de RS. Se entiende la expresión tradicionalista como un movimiento social en el RS en el siglo XX, por medio del cual se promueve el culto a la tradición gaucha. Savaris6 (en Dias y Appel, 2012) explica que el tradicionalismo no es tradición y tampoco regionalismo. Es una estructura montada para rendir culto al regionalismo, dar importancia al nativismo y valorar la tradición. Fagundes7 (s/f, párr. 1) complementa con el texto de la "Carta de Princípios do Movimento Tradicionalista do Rio Grande do Sul" que define al tradicionalismo como: "un organismo social, perfectamente definido y estatuido, de naturaleza cívica, ideológica doctrinaria, con características propias y singulares que ponen en plano especialísimo el panorama de la vida rio-grandense, brasileña y americana"8 .
La búsqueda en fortalecer la identidad cultural gaucha en el territorio de la provincia de RS se da por medio del Movimiento Tradicionalista Gaucho. En la presente investigación, el concepto de identidad es interpretado como la identificación de una población con un tipo de manifestación cultural. Otra cuestión que se plantea es la identidad fronteriza, que es comúnmente observada en la provincia, debido a las ciudades que limitan con Uruguay y Argentina. Se busca ubicar a esta cultura dentro de la cultura popular, identificándola en la manifestación de la identidad gaucha en la vida diaria de la población, y señalando cómo tuvo lugar su construcción en la provincia.
Para dar cuenta del fortalecimiento de la cultura, en el año 1868 se creó en RS la Sociedad Partenón Literario, en Porto Alegre, en la cual empezó una valorización literaria del gaucho, para contribuir con lo que sería, más tarde, la identidad gaucha y las costumbres. Ya en la década de 1950, hubo un auge del tradicionalismo, que tenía por objetivo el culto a las manifestaciones culturales gauchas. Fue en ese mismo período que se crearon los Centros de Tradiciones Gauchas, los CTGs. El primer CTG creado fue el 35CTG, en la ciudad de Porto Alegre, que empezó con la idea de mantener vívida la cultura campesina en la ciudad. Entre los fundadores estaban Barbosa Lessa, Flávio Ramos, Guido Mondin y Glaucus Saraiva, jóvenes que estaban en la capital para estudiar pero que tenían ese apego al campo (Fagundes, s/f).
Finalmente, el "nativismo" surgió en la década de 1980, poniendo la mirada en la música gaucha y la creación de festivales. Ese movimiento, o la continuación del tradicionalismo, como muchos autores lo definen, se convirtieron en un movimiento social, por la admiración de la clase media por los hábitos gauchos, que antes eran considerados inaceptables en la ciudad (Jacks, s/f). Ese movimiento empezó en el área urbana por medio de la radio, los periódicos, la televisión y se convirtió en objeto de admiración de los jóvenes de la ciudad, hasta influenciar a todas las edades y clases. Hoy se puede observar la gran cantidad de locales con vestimentas camperas como artículos de lujo, además de producción cinematográfica9 a partir de obras literarias sobre el gaucho.
A partir de ese movimiento, la población joven, por estar ubicada en el momento del fortalecimiento cultural y también por su inmigración desde las ciudades campesinas hasta los grandes centros urbanos, hace que ciertas tendencias se diseminen entre todos los miembros de una misma generación. Se empezó a reconocer la cultura gaucha como estilo de vida y construcción de una región, lo que llevó a la conformación del gauchismo, que se aplica al movimiento que trae desde el campo a la vida de la ciudad la vestimenta, las costumbres, la música y los objetos característicos. El ejemplo más frecuente es el uso de la indumentaria del campo por parte de jóvenes universitarios del área de estudios rurales (Ingeniería Agrónoma, Medicina Veterinaria y Zootecnia) y sus grupos de convivencia. También se puede citar el mate, que además de tomarlo en casa, lo llevan a todas partes.
Con ese nuevo público los nativistas y los tradicionalistas al diseño con temática regional se añaden distintos productos como la indumentaria y los accesorios. Entre los accesorios es posible observar el lanzamiento de una cooperativa que trabaja con lana y su de ella en productos de diseño. El sector joyero empezó en 2007 con lanzamientos de colecciones con temática regional. Por ejemplo, Celso Dorneles y Maria da Graça Portela Lisbôa, que buscan por medio de distintos puntos de la identidad cultural gaucha, una base para sus creaciones y además tienen influencia de la cultura fronteriza por su lugar de nacimiento. Utilizan la técnica de fabricación artesanal para presentar líneas de joyas con un límite de producción, y también para los materiales utilizados, que muchas veces vienen de creaciones de artesanos de la frontera.
La importancia de citar el mercado joyero en Brasil se debe al crecimiento de esa industria en la cadena productiva. Actualmente, el país vive un crecimiento en el sector de explotación de metales y piedras preciosas10 como industrias de base, y el desarrollo artesanal sobre el diseño joyero. El organismo del gobierno que actúa en esa área es el Instituto Brasileiro de Gemas e Metais Preciosos (IBGM) que todos los años publica un informe sobre tendencias del sector en el país y trata de brindar datos sobre los mercados interno y externo a las industrias.
Además de los materiales comunes para joyas como los metales, plata y oro, y las piedras preciosas, el país cuenta con una gran variedad de materias primas provenientes de la naturaleza, fauna y flora. En la provincia de RS, conocida por sus extensas tierras para la crianza de ganado vacuno, ovejas y caballos, los materiales derivados de esos animales son utilizados en gran escala, desde la indumentaria hasta productos para el hogar. Se clasifican como materiales tradicionales del campo, utilizados por diseñadores en colecciones de joyas y accesorios de la última década: el cuero, la lana, la crin, los cuernos y los huesos. La investigación se plantea un periodo de tiempo que va del 2007 hasta el 2013. Se toman esas fechas, debido a los años de lanzamientos de las colecciones con temática gaucha, además de observarse en esos años el fortalecimiento de la cultura y el gran número de empresas aplicando esas características en sus productos.
A partir de la problemática explicada en esta investigación se pregunta: ¿Qué elementos, tanto materiales como simbólicos, de la cultura gaucha de RS se incorporan al diseño de joyería? Con esa pregunta guía, se busca especificar la temática de construcción de una colección de joyas con elementos de la identidad cultural gaucha con los cuestionamientos a continuación:
• ¿Cómo los diseñadores aplican la simbología gaucha y los materiales tradicionales del campo en sus colecciones de joyas? ¿Por medio de materiales y formas?
• ¿Dónde buscan la inspiración?
• ¿De dónde sacan los materiales tradicionales?
Con esas preguntas se pretende analizar de qué manera todo eso se ve reflejado en colecciones de joyas a partir del trabajo de diseñadores que utilizan la cultura gaucha como temática para sus colecciones.
Notas
1. Auguste Saint-Hilaire – botánico, naturalista y viajero francés del siglo XVIII.
2. Nicolau Dreys, en su libro "Notícia descritiva da Província de São Pedro do Sul" (1839) narra sus experiencias y vivencias como comerciante en el extremo Sur. La obra narra el período de la Guerra Civil en Rio Grande do Sul. El autor hace una descripción del medio geográfico, las ciudades, la población y caracteriza al gaucho en lo que se refiere a su modo de vida. (Dreys como se cita en Flores).
3. Janine Appel fue 1ª prenda de la provincia de Rio Grande do Sul en los años 2007/2008. (Prenda es la designación utilizada para referirse a la mujer del gaucho, además de ser la representante femenina frente al MTG).
4. Desfile 20 de septiembre: alusión al día de conformación de la República Rio-Grandense en la época de la Guerra dos Farrapos.
5. Criollas en Uruguay: fiesta de la comunidad para demostrar las habilidades con el caballo.
6. Manoelito Savaris fue presidente del Instituto Gaúcho de Tradição e Folclore entre los años 2007/2010.
7. Antonio Augusto Fagundes es abogado, periodista, actor, compositor, escritor, antropó- logo, historiador y uno de los más grandes folcloristas de Rio Grande do Sul.
8. Traducción libre de la autora de la tesis.
9. El 20 de septiembre de 2013 fue el estreno de la película "O Tempo e O Vento", del director Jayme Monjardim, adaptación de la obra literaria "O Continente" de Érico Veríssimo, que es un tomo de la trilogía de ficción sobre el gaucho en épocas pasadas, desde los indígenas en las misiones jesuíticas hasta la revolución Farroupilha. (Disponible en: http:// www.otempoeoventoofilme.com. [20 de septiembre de 2013]).
10. Según el Instituto Brasileiro de Gemas e Metais Preciosos (IBGM) en el informe anual de 2012, actualmente en el sector de industria de oro y plata existen 1.100 empresas cuyos resultados del 2012 llegaron a 400 mil dólares. En escala mundial, segundo el Gold Fields Mineral Service (GFMS), en Londres, en 2012 Brasil fue el 19º productor de joyas en oro (23t) y el 11º consumidor de joyas en oro (27t). En el caso de la plata fue el 16º en producción, y consume cerca de 61t.
We can observe signs of development of civilization processes in Ukraine everywhere on a daily basis. Such achievements of mankind as computers, smart phones, digital photography, tablets, etc. are becoming common and natural. Along with the positive signs of the development of civilization, we see many achievements that are difficult to grasp by the mind of an ordinary person. In particular, along with the positive achievements of mankind, we must learn to recognize and counter the new inventions used by some states to wage aggression in time.The article highlights the visible aspects of a new type of modern war, which the state of Russia, is waging against its neighbors, including Ukraine, whenever it is convenient to them. These are the so-called «hybrid wars», which Russia is testing on the neighboring countries.In the article it is pointed out, that Russia never starts aggression openly; it always covers its intentions with «peaceful» rhetoric. As usual, Russia's victims are those neighboring countries that are unable to show power and information confrontation. It has become a tendency that when the time comes, the Russian leaders begin aggression, and their armed forces act according to a motto deduced by Machiavelli and later applied by the Bolsheviks in the 1920s: «You're either with us, or against us». Starting aggression, Russia continues to declare tales about friendship and peace to the whole world.In the main part of the article, the author emphasizes that all the wars that Russia is embarking on with neighboring countries have a common feature - the geographic location of these states, easily accessible to the Russian armed forces. The author of the article implicitly emphasizes the aggressive features of the historical path of Russia, in particular, the period when it began to transform from Muscovy to Russia. In the article, the author emphasizes that Russia by its behavior, in fact, convinces many prescient people that it is the heir to the robbery mind, which it adopted back in the XIII century from the Golden Horde. Actually, the Russian leadership inherited the habit of stealing another's living space and another's territory from Batu Khan's Horde. This habit gradually gained importance of the national feature of the Russians.One of the most dangerous methods that precedes Russia's use of firearms is intensification of the war in the information space. As usual, Russia's aggression against the nations it has sacrificed is a sign of interference with the humanitarian sphere of these peoples' lives. In other words, in the Russian version, information war is a mandatory prelude to the start of an actual war.An example of one of the anti-Ukrainian special operations of information war against Ukraine is given in an article by a famous historian from Ukraine, Serhii Terno, in which he reveals the purpose of an information war, which became quite evident after analyzing the content of a class book for fifth grade students recently published in Ukraine. Serhiy Terno convincingly, by demonstrating examples and evidence, proves that the information war that Russia is imposing on Ukraine has a final goal - the complete assimilation of the Ukrainian ethnos and the transformation of the Ukrainian living space into a «Russian dimension». Usually, such behavior in Russia precedes an armed attack, and it always happens if the victim of Russian aggression refuses to obey Russia's orders.In the article, the author indirectly helps the reader to recognize that there are new and improved old methods of waging war in the modern evolutionary development of world civilization processes.Experts specializing in the study of the development of interethnic relations, only after the open military aggression of Russia, which began in 2014, acknowledged that Russia is waging an aggressive war against Ukraine, which political scientists called «hybrid». One of the aspects of "hybrid" war is the war in the information space, and the battle for historical memory is at the forefront of information battles. Revealing this aspect, it would be appropriate to clarify the explanation of the term «historical memory» with an expanded explanation of the right to interpret national history, which we understand with the help of historical knowledge.By way of conclusion, the author cites vivid examples of participation in the information war of the representatives of the aggressor state to emphasize the importance of so called «battles» in the information space. The Ukrainian intellectuals' struggle for the right of young people for historical memory and justice is described in a convincing and successful way. Much attention is given to the Ukrainian historians' assessment of the value of research and study of historical memory. The article provides incontrovertible evidence that historical knowledge is a type of information weapon, which in many cases is more effective than a firearm. If we treat «historical memory» as one of the modern information weapons, the article covers examples of the use of these weapons in the context of the information war.Finally, quotes of influential scholars on how they assessed the importance of informational influence on the well-known historical figures are stated in the article: the queen of the Russian Empire, Catherine II and the German propaganda minister, Joseph Goebbels. ; Признаки развития цивилизационных процессов в Украине мы наблюдаем повсеместно и ежедневно. В современном мире такие прогрессивные достижения человечества, как компьютер, смартфон, цифровая фотография, планшет и многие другие новшества – обычные вещи. Вместе с тем рядом с позитивными достижениями имеют место достижения, которые трудно поддаются здравомыслию. В связи с этим мы должны научиться вовремя распознавать и противодействовать новым изобретениям, направленным против человечества, в частности новой методике ведения захватнических войн, используемой некоторыми государствами.В предлагаемой статье освещены аспекты нового типа современной войны, которую, соседствующая с Украиной держава – Россия, выбрав удобный момент, всегда начинает против своих соседей, в том числе и против Украины. Мы имеем ввиду так называемые «гибридные войны», эффективность которых Россия испытывает на ближайших соседних государствах.В статье акцентировано внимание на том, что Россия никогда не начинала агрессию открыто, она всегда прикрывает свои намерения «миролюбивой» риторикой. Обычно жертвами России становятся те государства-соседи, которые не в состоянии продемонстрировать силовое и информационное сопротивление. Стало закономерным, что при наступлении удобного момента руководство России начинает агрессию, российские вооруженные соединения действуют согласно правилу, сформулированному Макиавелли, а позднее одобренному большевиками в 20-х годах ХХ ст.: «кто не с нами, тот против нас». Тем не менее, начиная агрессию, Россия не устает декларировать всему миру сказки о дружбе и мире.В главной части статьи автор акцентирует внимание на том, что все войны, которые инициирует Россия с соседними государствами, имеют общий признак – легко досягаемое для российских вооруженных сил географическое расположение стран, против которых направлена агрессия. Автор статьи ненавязчиво обращает внимание на агрессивные особенности исторического пути России, в частности на том периоде, когда она начала превращаться из Московии в Россию. В статье автор акцентирует внимание на том, что Россия своим поведением убеждает всех дальновидных людей в том, что она является наследницей разбойнических привычек, которые она унаследовала еще в ХІІІ ст. от Золотой Орды. Собственно, от орды Батыя предводители России унаследовали привычку воровать чужую территорию. Эта привычка постепенно обрела значение национальной черты россиян.Один из самых опаснейших методов, который предшествует применению огнестрельного оружия и всегда применяется Россией, – это информационная война, которая интенсифицируется перед началом военных действий, то есть война в информационном пространстве. Обычно признаком начала агрессии со стороны России против народов, которые она избрала своими жертвами, является вмешательство в гуманитарную сферу жизни этих народов. Если выразиться другими словами, в российском варианте информационная война – это неотъемлемая прелюдия перед началом полномасштабной «горячей» войны. Пример проведения одной из антиукраинских спецопераций информационной войны России против Украины подается в статье известного в Украине историка из города Запорожье Сергея Терно. Анализируя содержание школьного учебника для пятиклассников, не так давно изданного в Украине, он раскрывает цель информационной войны, которая стала явной. Сергей Терно довольно убедительно доказывает, что информационная война, навязанная Украине Россией, имеет главную цель – ассимиляцию украинского этноса и превращение украинского жизненного пространства в «Русский мир».Обычно такое поведение России предшествует вооруженному нападению и всегда так случается, если жертва агрессии отказывается выполнять распоряжения Российского правительства.В предлагаемой статье автор ненавязчиво помогает читателю узнать, что в развитии современных эволюционных процессов существуют современные и усовершенствованные методы ведения захватнических войн. Ученые, которые специализируются на исследовании межнациональных отношений, только после открытой военной агрессии России против Украины, которая началась в 2014 г., признали, что Россия начала против Украины захватническую войну. Политологи навали ее «гибридной». Война в информационном пространстве – один из вариантов гибридной войны, а на переднем крае информационных «битв» ведется борьба за историческую память. Раскрывая этот аспект, будет целесообразным термин «историческая память» уточнить расширенным толкованием, которое должно звучать как борьба за право трактовки отечественной истории, к которой мы пришли на основании исторических знаний.В итогах статьи для того чтобы подчеркнуть значение «боев» в информационном пространстве, автор подает яркие примеры участия в информационных войнах первых личностей государств-агрессоров. Убедительно и довольно удачно подаются примеры борьбы украинской интеллигенции за отстаивание права подрастающему поколению на историческую память и справедливость. Значительное внимание в предлагаемой статье уделено оценкам украинских историков значения исследований и изучения исторической памяти. В статье приводятся неоспоримые доказательства того, что исторические знания есть одним из видов информационного оружия, которое во многих случаях действует более эффективно, чем оружие огнестрельное. В том случае, если мы «историческую память» объясняем как один из видов современного информационного оружия, то в предлагаемой статье освещаются примеры применения этого оружия в условиях информационной войны.В заключительной части статьи автор цитирует украинских историков, из высказываний которых мы узнаем, что украинские историки придавали большое значение информационному влиянию на общество. Пример такого влияния автор демонстрирует цитатами царицы Российской империи Екатерины ІІ и министра пропаганды Германии Йозефа Геббельса. ; Ознаки розвитку цивілізаційних процесів в Україні ми спостерігаємо повсюдно і щодня. Стають звичними і закономірними такі досягнення людства, як комп'ютер, смартфон, цифрова фотографія, планшет тощо. Поряд із позитивними ознаками розвитку цивілізації, ми бачимо багато досягнень, які важко осягнути розумом людини, яка тверезо мислить. Зокрема, поряд з позитивними досягненнями людства ми повинні навчитися вчасно розпізнавати і протидіяти новим винаходам, які використовуються деякими державами для ведення загарбницьких війн. У пропонованій статті висвітлено видимі аспекти нового типу сучасної війни, яку сусідня з Україною держава – Росія, відчувши зручний момент, розпочинає проти своїх сусідів, зокрема і проти України. Йдеться про так звані «гібридні війни», ефективність яких Росія апробовує на найближчих сусідніх країнах. У статті акцентовано увагу на тому, що Росія ніколи не починає агресію відкрито, вона завжди прикриває свої наміри «миролюбивою» риторикою. Звичайно жертвами Росії стають ті держави-сусіди, які не в змозі показати силове та інформаційне протистояння. Стало закономірністю, що у зручний момент керманичі Росії розпочинають агресію, і їх збройні сили діють за правилом, виведеним Макіавеллі, а пізніше облюбованим більшовиками в 20-ті роки ХХ ст.: «кто не с нами, тот против нас». Розпочавши агресію, Росія не вгаває декларувати для всього світу казки про дружбу і мир. В основній частині статті автор наголошує на тому, що всі війни, які розпочинає Росія з сусідніми державами, мають спільну ознаку – легкодосяжне для російських збройних сил географічне розташування держав, проти яких спрямована агресія. Автор статті ненав'язливо робить акценти на агресивних особливостях історичного шляху Росії, зокрема, на тому періоді, коли вона стала перетворюватись з Московії на Росію. У статті автор наголошує, що Росія своєю поведінкою, по суті, переконує всіх далекоглядних людей в тому, що вона є спадкоємцем розбійницького норову, який перейняла ще у ХІІІ ст. від Золотої Орди. Власне, від орди Батия керманичі Росії успадкували звичку красти чужий життєвий простір та чужу територію. Ця звичка поступово набула значення національної риси росіян. Одним із найнебезпечніших методів, який передує застосуванню Росією вогнепальної зброї, є інтенсифікація війни в інформаційному просторі. Звичайно ознакою початку агресії з боку Росії проти народів, які вона обрала своїми жертвами, є втручання в гуманітарну сферу життя цих народів. Якщо сказати іншими словами, у російському варіанті інформаційна війна – це обов'язкова прелюдія перед початком повномасштабної «гарячої» війни. Приклад проведення однієї із антиукраїнських спецоперацій інформаційної війни проти України наведено у статті відомого в Україні історика із Запоріжжя, Сергія Терно, у якій він розкриває мету інформаційної війни, що стала цілком очевидною після аналізу змісту шкільного підручника для п'ятикласників, не так давно виданого в Україні. Сергій Терно переконливо, вдаючись до демонстрації прикладів і доказів, доводить, що інформаційна війна, яку Росія нав'язує Україні, має остаточну мету – цілковиту асиміляцію українського етносу і перетворення українського життєвого простору на «русскій мір». Зазвичай така поведінка Росії передує збройному нападу, і це відбувається завжди, якщо жертва російської агресії відмовляється піддаватися наказам Росії. У пропонованій статті автор ненав'язливо допомагає читачеві визнати, що в сучасному еволюційному розвитку світових цивілізаційних процесів існують нові і вдосконалені старі методи ведення загарбницьких війн. Фахівці, які спеціалізуються на вивченні розвитку міжнаціональних відносин, лише після відкритої військової агресії Росії, яка почалася у 2014 р., визнали, що Росія веде проти України загарбницьку війну, яку політологи назвали «гібридною». Одним із аспектів гібридної війни є війна в інформаційному просторі, а на передньому краї інформаційних «боїв» знаходиться боротьба за історичну пам'ять. Розкриваючи цей аспект, буде доцільним термін «історична пам'ять» уточнити розширеним поясненням, яке має звучати як боротьба за право трактування вітчизняної історії, до якого ми приходимо на основі історичних знань. У висновках, щоб підкреслити значення «боїв» в інформаційному просторі, автор статті наводить яскраві приклади участі в інформаційній війні перших осіб держави-агресора. Переконливо і досить вдало описано прояви боротьби української інтелігенції за право молоді на історичну пам'ять і справедливість. Значну увагу в статті приділено оцінкам українських істориків значення дослідження і вивчення історичної пам'яті. У статті наводяться неспростовні докази того, що історичні знання є одним із видів інформаційної зброї, яка в багатьох випадках є ефективнішою від зброї вогнепальної. Якщо ми «історичну пам'ять» трактуємо як один з видів сучасної інформаційної зброї, то у пропонованій статті висвітлюються приклади застосування цієї зброї в умовах інформаційної війни. У заключній частині статті подаються цитати впливових науковців про те, як вони оцінювали значення інформаційного впливу на суспільство відомих історичних осіб: цариці Російської імперії Катерини ІІ і міністра пропаганди Німеччини Йозефа Геббельса.
[spa] La importancia de la Historia de la Arqueología radica en su capacidad para dar respuesta a la primera pregunta que nos debemos plantear como arqueólogos, ¿cómo hemos llegado a ser lo que somos? (Murray 2002, en Ruíz Zapatero 2017b). Para conocer este pasado es indispensable llevar a cabo su estudio, el cual se puede afrontar desde diversas perspectivas. Aquí nos centraremos en analizar las relaciones internacionales dentro de la Historia de la Arqueología, como parte del mecanismo para comprender nuestro pasado en una época donde las fronteras entre países dibujan tanto los tratos personales como académicos, en especial las relaciones entre arqueólogos españoles e italianos del siglo XX (Díaz-Andreu García 2016; Gracia Alonso 2010; Gracia Alonso 2012a), dado el desconocimiento que existe sobre este tema, en contraposición con los trabajos sobre las relaciones con alemanes, franceses y también en menor medida con los ingleses. La presente Tesis se propone profundizar en el conocimiento del impacto que las relaciones entre investigadores tuvieron en la Arqueología española del siglo XX. Con ello se intenta romper varios tópicos firmemente establecidos en la Historia de la Arqueología española, como que los profesionales españoles son receptores pasivos de las novedades que provienen de otros países y que, sobre todo en lo que se refiere a la dilatada etapa franquista, el aislamiento internacional de los expertos es prácticamente total. Dentro de este contexto, se han analizado específicamente las relaciones entre la arqueología española e italiana desde principios del siglo XX a 1975, estableciéndose este año como fecha límite del estudio. En nuestro examen hemos dividido el periodo estudiado en dos: antes y después de la Guerra Civil. Para alcanzar estos objetivos generales se han investigado a través de objetivos más específicos cuales fueron primer lugar las instituciones españolas que se encargaron de propiciar directa o indirectamente las estancias de arqueólogos españoles en territorio italiano. Como resultado, se han documentado multitud de ayudas económicas de carácter personal de dos instituciones, la Junta para la Ampliación de Estudios y el Centro Superior de Investigaciones Científicas. Con esta documentación se han pretendido establecer cuales fueron relaciones personales entre la arqueología española e italiana a lo largo de los dos periodos anteriormente descritos, así como formarnos una ida más precisa de la influencia que supusieron estos contactos en la arqueología española posterior. Para completar estos objetivos específicos, se ha realizado un estudio de las publicaciones españolas contemporáneas con un marcado carácter arqueológico, que permite refutar esta influencia a través de las referencias bibliográficas utilizadas en los artículos que contienen. También hemos tenido en cuenta el convulso contexto político del siglo XX como elemento influyente en todo el proceso. Con estas premisas hemos desarrollado varias hipótesis en función a los objetivos planteados, esbozando un escenario en el que, pese al desarrollo de instituciones acorde con las necesidades de mantener investigadores en el extranjero, Italia no fue un centro de recepción primordial para la arqueología de principios del siglo XX frente a Francia y Alemania, acrecentado por la situación de aislamiento político y académico durante el franquismo. Estas hipótesis generales se complementan con otras más específicas, fundamentadas en la difícil situación económica de los periodos entre guerras para la inversión en estancias en el extranjero, y la imprecisión de lo que se entiende por la labor arqueológica. Esto lleva a plantear que quizá nuestro conocimiento sobre los viajes de arqueólogos españoles a Italia se haya visto disminuido, a lo que en realidad fueron viajes más prolíficos, y cuya influencia posterior en España, considerada exigua a principios del siglo XX, se desarrolló con mayor fluidez a partir de los años cincuenta. Como método de trabajo se han realizado vaciados en diferentes archivos y bibliotecas nacionales, y en algún caso muy puntual se ha acudido a la historia oral. A partir sobre todo de la documentación obtenida en archivos y bibliotecas se han podido obtener los datos de los sujetos susceptibles de ser incorporados a este estudio. Conjuntamente, se ha llevado a cabo un análisis bibliométrico de varias de las revistas más importantes sobre arqueología publicadas durante el periodo establecido, recogiendo así toda la información relevante para nuestro trabajo. Además, se ha vaciado la información encontrada en publicaciones tanto coetáneas a los hechos como posteriores. Se ha dividido este estudio en dos grandes etapas temporales, abarcando la primera desde principios del siglo XX hasta la Guerra Civil, y la segunda desde ese último momento hasta el final del periodo franquista. Con todo ello, se ha realizado un análisis de las estancias de españoles en Italia, tanto por la colaboración en exposiciones como por viajes de estudio o de trabajo. También se ha examinado la importancia de las instituciones nacionales para el desempeño de estas acciones, y el reflejo de sus actuaciones en la difusión de los conocimientos adquiridos a través de las publicaciones españolas en las que participaron. Los resultados obtenidos nos han permitido demostrar cómo las relaciones personales entre los académicos internacionales repercutieron directamente en el desarrollo de la actividad arqueológica española, asegurar que esta no estuvo completamente cerrada a las influencias extranjeras, y observar una evolución en los contactos establecidos a lo largo del marco cronológico estudiado. Durante la primera etapa entre principios del siglo XX y la Guerra Civil, las pensiones (denominación que reciben las ayudas económicas en este periodo) fueron concedidas a un mayor número de investigadores españoles, que, finalmente, realizaron algún tipo de actividad arqueológica. Aunque la Escuela Española de Historia y Arqueología en Roma se funda en 1910 como centro de recepción para estos pensionados, no será el epicentro de las relaciones entre arqueólogos españoles e italianos, siendo más característicos los viajes itinerantes por la península itálica y cuya influencia inmediata ha sido menos señalada, aunque asienta las bases de los contactos de la etapa siguiente, mucho más evidentes y fructíferos. Durante el segundo periodo y una vez pasados los primeros años de postguerra, la Escuela reabre sus puertas en 1947, comenzando en la década de los cincuenta su edad dorada, hasta los años setenta. Esta se ve acompañada por un mayor número de estancias en Italia, sobre todo de larga duración, gracias a los acuerdos para excavar la Grotta dei Pipistrelli (Finale), la Grotta del´Olivo (Toirano) en 1954 y 1955 respectivamente, y fundamentalmente Gabii, entre 1956 y 1969. Esto permite establecer contactos más profundos y dilatados en el tiempo, siendo el máximo exponente de las relaciones entre ambos países la contraída por Martín Almagro Basch y Luis Pericot García con el arqueólogo italiano Nino Lamboglia, presente en la bibliografía española de forma destacada como se demuestra tanto en el análisis de las revistas, como en la correspondencia personal, y la documentación administrativa. A pesar de esta nota positiva, en comparación con las relaciones establecidas para la misma época con arqueólogos alemanes y franceses, las relaciones italo-españolas todavía siguen siendo menores quizá incluso con británicos. ; [eng] The importance of the History of Archaeology lies in the capacity to respond to the first question we should consider as archaeologists: how have we become what we are?. It is essential to study this past, and this research could be faced from different perspectives. Here we will focus on analysing the international relations inside the History of Archaeology, as part of the mechanism to understand our past in a period where borders between countries portray the personal and academic relations of scholars. In particular, the relationships between Spanish and Italian archaeologists of the 20th century will be examined due to the ignorance existing around this topic, compared to the studies about the relations with Germans scholars, and also, to a lesser extent, with British academics. The purpose of this thesis is to take a closer look at the impact that the relationships between researchers had in the Spanish Archaeology of the 20th century. With this, we have tried to break away from the clichés which were solidly established in the History of Spanish Archaeology, such as, the general belief that Spanish professionals were passive receptors of the newness that came from other countries, and the idea that, particularly during the Francoist period, the international isolation of the experts was practically total. Within this context, it has been specifically analysed the relations between Italian and Spanish archaeology from the beginnings of the 20th century to 1975, establishing this year as the closing date of the study. In our examination we have divided the period studied in two parts: before and after the Civil War. To accomplish these general objectives, our investigations started studying the Spanish institutions that were in charge, directly or indirectly, of the stays of Spanish archaeologists in Italian territory. As a result, we have documented a multitude of economic aids from two institutions: "Junta para la Ampliación de Estudios" and "Centro Superior de Investigaciones Científicas". Thanks to this information, it was possible to establish the personal relations between Italian and Spanish archaeology during the two periods described above, as well as confirming the influence that these interactions meant in the later Spanish archaeology. To achieve these specific goals, we have conducted a study of the contemporary Spanish publications related to archaeology, which refute this influence through the bibliographic references used in these articles. In addition, it was taken into consideration the rough political context of the 20th century as an influential element in all the process. Under this premiss, several hypotheses were developed in function of the objectives planned, setting a scenario where, despite the fact that the development of institutions in compliance to the necessity of keeping researchers in foreign countries, Italy was not the essential centre of receptions for the Archaeology in the beginning of the 20th century, in opposition to France and Germany, increased by the situation of academic and politic isolation during the Francoist period. These general hypotheses are completed by others more specific, based on the difficult economic situation of the periods between wars for the investment in foreign stays, and the inaccuracy of what is known as "archaeological labour". This can lead us to think that the knowledge about Spanish archaeological trips to Italy could have been misvalued, being in fact very productive journeys, of which later influence in Spain, considered exiguous in the start of the 20th century, developed with more fluency after the 1950s Furthermore, as a work method, different national archives and libraries have been exhaustively inspected, including some oral history resources. Jointly, a bibliometric analysis of several archaeological journals published during this period was taken, collecting all the relevant information for our work. In addition, the information found in coetaneous publications and later ones was also investigated. The study has been divided in two big temporal periods, first covering from the beginning of the 20th century until the Civil War, and the second from this last event up to the end of the Francoist period. Due to these facts, it was possible to conduct an analysis of Spanish scholars' stays in Italy, for their collaboration in exhibitions as well as for study and work trips. Also, the importance of the national institutions for the performance of these actions, and the observation of their intervention in the diffusion of the achieved knowledge throughout Spanish publications in which they took part in, were examined. Consequently, the results retrieved allow us to demonstrate how personal relationships among international scholars directly influenced the development of Spanish archaeological activities, which were not completely closed to foreign influences, and discover the evolution of these contacts over the timeline studied. Moreover, between the beginning of the 20th century and the Civil War, the "pensiones" (name given to the economic aids in this period) were granted to a larger number of Spanish researchers, that finally, carried out some type of archaeological activity. Despite the foundation in Rome of "Escuela Española de Historia y Arqueología" in 1910 as a centre of reception for all these pensioners, it would not become the epicentre of the relations among Italian and Spanish archaeologists but set up the basis of the contacts for the next period, that were much more prolific and obvious. The itinerant journeys around the Italian Peninsula were more characteristic during this first part, but its immediate influence was less emphasized. During the second period and the beginning of postwar, the "Escuela" reopened in 1947, beginning its golden era until the 1970s. The stays in Italy increased, especially long-term stays, thanks to the agreements to excavate Grotta dei Pipistrelli (Finale), Grotta del´Olivo (Toirano) in 1954 and 1955 respectively, and Gabii, between 1956 and 1969. These agreements allowed to establish strong and long contacts, being the most important of these connections the relationships between Martín Almagro Basch and Luis Pericot García with the Italian archaeologist Nino Lamboglia, who are strongly present in the Spanish literature, personal correspondence and administrative documents. However, even though Spanish-Italian relationships were very productive and prolific, the relations between Spanish researchers and German, French and British academics were more intense.
Inhaltsangabe: Identität und Transformation' lautet das Thema der vorliegenden Arbeit. Dabei gilt es zu klären, welche integrative Wirkung eine kollektive Identität besitzt und welche Rolle der Idee der 'Nation' als integrierender Kraft in den neuformierten postsowjetischen Gesellschaften dabei zukommt. Die zugrundeliegende Fragestellung der in den Kapiteln über Identität, Nation und Transformation behandelten Thematik lässt sich in folgende Fragen fassen: Was ist Identität und welche Rolle spielt sie beim Transformationsprozess? Wie ist der Beitrag nationaler Identitätsangebote zur Herausbildung einer kollektiven Identität zu bewerten? Braucht eine erfolgreiche Transformationsgesellschaft eine nationale Identität? Gegenstand dieser Arbeit ist demnach eine analytische Darstellung des für den Transformationsprozess im postsowjetischen Raum relevanten Faktors 'Identität'. Die kollektive Identität, die in den Nationalbewegungen zum Ausdruck kam und der Idee der 'Nation' prinzipiell zu eigen ist, war ein wesentlicher Faktor für den Zusammenbruch der Sowjetunion und ist auch jetzt noch ein wesentlicher Parameter bei der Untersuchung, wie erfolgreich der Transformationsprozess in den einzelnen Ländern verlaufen ist. Bevor die zentralen Annahmen und Thesen dieser Arbeit vorgestellt werden, soll zunächst die Methodik, und anschließend die Vorgehensweise erläutert werden. Die Annahmen und Thesen sind in dieser Arbeit als das tragende Gerüst zu verstehen, an denen sich der Autor entlang hangelt, immer in dem Bewusstsein, dass die Arbeit zu zerfasern droht, wenn der einmal eingeschlagene Gedankengang nicht mit Disziplin weiterverfolgt wird. Da sie die gedankliche Essenz der Kapitelinhalte sind, werden sie auch entsprechend oft wiederholt. In dieser Arbeit wird ein kulturwissenschaftlich-hermeneutischer Ansatz verwendet, der bewusst versucht die Frage der 'Politischen Kultur' im Transformationsprozess nicht auszuklammern. Die Frage nach der Identität der Bevölkerung verlangt einen derartigen Ansatz. Die zentrale Frage der politischen Kulturforschung ist die nach der Stabilität und Konsolidierung der Demokratie. Deshalb ist zu fragen, in welchem Maße endogene Faktoren, resultierend aus der eigenen gewachsenen historischen Kultur eines Landes, in der Lage sind, zu dieser Konsolidierung im Transformationsprozess beizutragen. 'Die Untersuchung von Kultur besteht darin (oder sollte darin bestehen), Vermutungen über Bedeutungen anzustellen, diese Vermutungen zu bewerten und aus den besseren Vermutungen erklärende Schlüsse zu ziehen, nicht aber darin, den Kontinent Bedeutung zu entdecken und seine unkörperliche Landschaft zu kartographieren.' Stefan Garsztecki ist prinzipiell beizupflichten, wenn er feststellt, dass 'gut 10 Jahre nach dem Beginn der Transformation [...] der Faktor Kultur in vergleichenden Studien allmählich in den Mittelpunkt rückt'. Dies lässt sich vor allem darauf zurückführen, dass der Kulturbegriff und das Konzept der politischen Kultur im Rahmen der Transformationsforschung einzig und allein darüber entscheidet, welche Aussagen sich über die 'demokratische Ausgestaltung, die Konsolidierung einer demokratischen Zivilgesellschaft, [...] die Permanenz der Demokratie' treffen lassen. Der Siegeszug des rational-choice-Ansatzes scheint also zugunsten von kulturwissenschaftlich-hermeneutischen Ansätzen vorerst gestoppt zu sein. Gerade beim Vergleich der unterschiedlichen Transformationserfolge ist der kulturwissenschaftliche Ansatz von großer Bedeutung. Aus diesem Grund wurde auch der Faktor 'Identität' ausgewählt, um als Variable bei der Untersuchung des Transformationsprozesses zu fungieren. Dementsprechend zu dem weitgefassten Zugang zum Transformationsprozess ist die Literaturauswahl in dieser Arbeit auch interdisziplinär und versucht möglichst verschiedenen Aspekte und Sichtweisen des Transformationsprozesses zu berücksichtigen. Der Zeitschrift OSTEUROPA kommt dabei ein besonderer Stellenwert zu, denn sie versteht sich als eine 'interdisziplinäre Monatszeitschrift zur Analyse von Politik, Wirtschaft, Gesellschaft, Kultur und Zeitgeschichte in Osteuropa, Ostmitteleuropa und Südosteuropa', entsprechend dem Ansatz dieser Arbeit. Klaus Mehnert, der Namensgeber des Kaliningrader Europa-Institutes, leitete die Zeitschrift zwischen 1951 und 1975. Sein interdisziplinärer Ansatz spiegelt sich im Europa-Institut Klaus Mehnert in Kaliningrad sowie in der Zeitschrift OSTEUROPA. Die Auswertung der Erscheinungen der letzten 15 Jahre in Bezug auf Artikel zum Thema 'Identität' nimmt einen großen Stellenwert in dieser Arbeit ein. Herauszuheben aus der verwendeten Literatur ist noch Georg Elwerts Beitrag zur Bildung von Wir-Gruppen und zur Entstehung von Nationalbewusstsein. Dadurch gelang es die Verbindung zwischen einer kollektiven Identität und dem in den postsowjetischen Staaten entstehenden Nationalbewusstsein zu ziehen. Im Kapitel zur 'Transformation' waren besonders das Lehrbuch von Wolfgang Merkel hilfreich, bei der Untersuchung der Transformation in Osteuropa sind Andreas Kappeler, Uwe Halbach und Peter W. Schulze als die wesentlichen Impulsgeber zu nennen. Ohne tiefer in die unterschiedlichen Ansätze zu Erkenntnis- und Wissenschaftstheorie, zu normativ-ontologischer, historisch-dialektischer und empirisch-analytischer Schule eingehen zu wollen, muss beachtet werden, dass es sich bei Begriffen wie 'Transformation', 'Identität', 'Integration', 'Nation' oder anderen um gedankliche und sprachliche Konstrukte handelt, die keine Abbildung in der Realität haben. Es sollte also prinzipiell ein Gespür dafür vorhanden sein, dass das Medium Sprache Wirklichkeit konstruiert. In der modernen Nationalismustheorie spricht man inzwischen von der 'Erfindung der Nation' und spielt dabei auf die Rolle der Eliten als Geburtshelfer beim sogenannten 'nationalen Erwachen' von Nachzüglergesellschaften an. Grundsätzlich gilt, dass Wissenschaft stets nur ein Abbild der Realität ist. Sämtliche Klassifikationsversuche sind im Grunde Versuche der Welt eine Struktur zu geben; die Sprache erfüllt in der heutigen Welt ganz wesentlich eine Benennungs- und Klassifizierungsfunktion. Sprache strebt danach, die Ordnung aufrechtzuerhalten und Zufall und Kontingenz zu leugnen und zu unterdrücken. Ambivalenz ist ein Nebenprodukt der Arbeit der Klassifikation. Ambivalenzen sollen aber vermieden werden, um die Ordnung des Gedankengebäudes aufrecht zu erhalten und Unbehagen zu vermeiden. Nach Zygmunt Bauman besteht die typisch moderne Praxis, die Substanz moderner Politik, des modernen Intellekts, des modernen Lebens darin, 'Ambivalenz auszulöschen: eine Anstrengung genau zu definieren – und alles zu unterdrücken oder zu eliminieren, was nicht genau definiert werden konnte oder wollte'. Die vorliegende Arbeit möchte aber genau dieses vermeiden, und stattdessen Ungenauigkeiten in geringem Umfang zulassen, da es unmöglich ist sie auszuschließen. Mit diesem kurzen gedanklichen Ausflug sollte lediglich auf die Schwierigkeit des Themas 'Identität und Transformation' mit derartig abstrakten Begriffen hingewiesen werden, da sich hinter den Begriffen Vorstellungswelten verbergen, die nie vollständig zu fassen sind; entstehende Unschärfen sind daher nicht beabsichtigt, sondern einfach unvermeidbar und erfüllen auch einen gewissen Zweck, da es illusorisch ist, die Komplexität der Welt mit wenigen Worten fassbar zu machen. Mit diesem Ansatz soll der Tendenz in der Politikwissenschaft entgegengewirkt werden, Typologien zu entwickeln, dabei den Kontakt zum Gegenstand zu verlieren und am Ende nichts mehr erklären zu können. Naturgemäß stellen sich Unschärfen dadurch ein, dass die zitierten Autoren die Begriffe unterschiedlich definieren und verwenden, besonders schwierig wird es, wenn Begriffe aus dem Englischen übersetzt werden. Dennoch soll zu Beginn der Kapitel über 'Identität' und 'Transformation' versucht werden, die Spannweite dieser Begriffe darzustellen, sie zu definieren und damit ihren Bedeutungsgehalt zu begrenzen. Dennoch soll in einem ersten Schritt versucht werden, sich dem Phänomen 'Identität' zu nähern (Kapitel 1.1 1.2). Aus den individuellen Vorstellungen von Identität entsteht eine kollektive Identität, die das Bewusstsein einer Großgruppe bestimmt. In Kapitel 1.3 wird zu ergründen versucht, warum das Bedürfnis nach einer kollektiven Identität besteht. Demnach gilt es zu unterscheiden zwischen einer individuell-psychologischen und einer kollektiven Identität. Diese stehen jedoch in einem Wechselverhältnis zueinander, auf das später noch eingegangen wird. Im Laufe des 19. Jahrhunderts entwickelten sich aus zahlreichen Faktoren neue Wir-Gruppen, die einer kollektiven Identität bedurften (Kapitel 1.4). Eine kollektive Identität, so die erste zentrale These der vorliegenden Arbeit, ist eine der Voraussetzungen für ein funktionierendes Gemeinwesen, da durch sie die notwendige gesellschaftliche Integration und Mobilisierung geleistet werden kann. Sie liefert den Kitt für die gesellschaftliche Kohäsion, verhindert einen Zerfall des Staatswesens gleichermaßen wie seine Integration in andere Staaten und die damit verbundene Selbstauflösung. Eine gemeinsame Identität setzt eine gemeinsame Interpretation geschichtlicher Ereignisse, gemeinsame Zukunftserwartungen und als Grundlage dessen eine gemeinsame Sprache und gemeinsame Medien voraus, in denen eine Artikulation der gemeinsamen Vorstellungen stattfindet und kontroverse Aspekte entsprechend diskursiv abgebildet werden. Somit umfasst Identität im Sinne der vorliegenden Arbeit die drei Bereiche Vergangenheit, Gegenwart und Zukunft. Eine kollektive Identität hat also gewisse Voraussetzungen, die entweder schon vorhanden sind oder erst konstruiert werden müssen. Nach der Implosion der Sowjetunion und dem Wegfall ihrer legitimitätsstiftenden Ideologie und ihrer integrierenden Faktoren (Kapitel 1.5) setzte in der postsowjetischen Phase die Suche nach einer neuen kollektiven Identität in den neuentstandenen Republiken ein (Kapitel 1.6). Die zweite These lautet, dass die zentrale Einheit, die kollektive Identität schafft, die Nation ist. Damit ist die Nation eine wesentliche Ressource im Transformationsprozess. Diesem Gedankengang wird im zweiten Kapitel nachgegangen. Nachdem zunächst erklärt werden soll, was unter dem Begriff der 'Nation' verstanden werden soll, soll das Konzept des Nationalstaates als politisches Ordnungsmuster (Kapitel 2.1) beschrieben werden. In Kapitel 2.2 wird darauf aufbauend auf die Integration dieses Konzeptes eingegangen. Negative Mobilisierung findet oftmals durch einen Rückgriff auf einen chauvinistisch ausgelegten Nationalstaatsgedanken statt. Bei der Literaturdurchsicht drängte sich fast der Eindruck auf, dass die beide Integrations- und Mobilisierungskonzepte so eng miteinander verbunden sind, das eine trennscharfe Unterscheidung fast unmöglich ist. Aus diesem Grund wird in Kapitel 2.3 das Konzept der negativen Mobilisierung in einem Exkurs behandelt. Der dadurch entstehende Nationalismus muss sicher als negativer Teilaspekt der positiven Integrationsleistung der Idee der 'Nation' gelten. Die anderen Voraussetzungen auf die der Nationalstaatsgedanke in Osteuropa mit seiner sehr viel heterogeneren Bevölkerungsstruktur als in Westeuropa trifft, sind unter anderem Gegenstand der Betrachtung im Kapitel 2.4. Den Abschluss des Kapitels zur Nation bilden darauf aufbauend Überlegungen zum Unterschied zwischen de westlichen und dem östlichen Nationenbegriff in Kapitel 2.5. Das relativ kurze dritte Kapitel ist der Nationalitätenpolitik in der Sowjetunion gewidmet. Diese Nationalitätenpolitik ist hauptverantwortlich für die 'Explosion des Ethnischen' ab Mitte der 80er Jahre. Nachdem erläutert wurde, worin der Ansatz dieser Politik grundsätzlich bestand, macht es sich Kapitel 3.1 zur Aufgabe den inoffiziellen Nationalitätenvertrag auszuführen, der die regionalen Eliten bewusst förderte. Gezielte Industrieansiedlungen durch die zentral koordinierte Planwirtschaft vergrößerten die Heterogenität in der Bevölkerungsstruktur (Kapitel 3.2). Auch diese Politik kann damit als ein Element der Nationalitätenpolitik gelten, da durch sie ortsfremde russischsprachige Kader auch an der Peripherie des Imperiums angesiedelt werden konnten. Dieses Gemisch aus den nationalisierenden lokalen Eliten und den ortsfremden sowjetisch sozialisierten Industriekadern, war die Grundlage für das Brodeln in der Perestrojka-Phase und das Hochkochen Anfang der 90er Jahre als der vermeintliche 'melting pot' Sowjetunion sich als Völkergefängnis entpuppte und durch die 'Explosion des Ethnischen' der Sowjetführung um die Ohren flog (Kapitel 3.3). Die territoriale Neuordnung nach der Implosion der Sowjetunion führte zur Schaffung von Nationalstaaten. Dies ist neben der politisch-institutionellen und ökonomischen Neuausrichtung der dritte Aspekt im Transformationsprozess. Deshalb wird auf die Neugliederung der ehemaligen Sowjetunion in Nationalstaaten als Teilaspekt postsowjetischer Transformation verstärkt in dieser Arbeit geachtet werden. Das Integrationskonzept über die Idee der 'Nation' die Gesellschaft zu integrieren, war zwar in Westeuropa sehr erfolgreich – auch wenn es für zwei Weltkriege mitverantwortlich war – trifft in Osteuropa aber auf ganz andere Voraussetzungen, da die Bevölkerungsstruktur viel heterogener ist. Stattdessen müssen in Osteuropa Integrationskonzepte zum Tragen kommen, die die kollektive Identität in einem größeren Zusammenhang sehen, in einer gemeinsamen politischen Vision, in der Menschenrechte und Demokratie fester Bestandteil sind. Die Untersuchung der Transformation in den ehemals realsozialistischen Staaten Osteuropas erfolgt im fünften Kapitel der Arbeit. Zuvor sollen im vierten Kapitel verschiedene Transformationstheorien vorgestellt werden und bezüglich ihrer Brauchbarkeit für die Analyse der Transformation in Osteuropa hinterfragt werden: Was können sie erklären und was nicht? Nach diesem eher allgemeineren Zugängen wird versucht, die Transformation in Osteuropa in wenigen Kapiteln fassbar zu machen. Eine empirische Darstellung des Transformationsprozesses der relevanten Länder kann nicht erfolgen, eher soll ein problemorientierter analytischer Aufriss einiger Faktoren erfolgen. Als erstes soll das Spezifische des Prozesses in den 90er Jahren in den osteuropäischen Ländern illustriert werden, danach prinzipielle Spannungsfelder, die sich aus historisch-kulturell-geografischen Daten ergeben, dargestellt werden, bevor in einem letzten Schritt der Ablaufprozess ebenso wie die verschiedenen Ebenen der Transformation schlaglichtartig beleuchtet werden. Der Teil der Arbeit der sich dem Phänomen der 'Transformation' widmet, wird grundsätzlich von folgenden Fragen strukturiert werden: Was soll unter Transformation verstanden werden? Gibt es überhaupt das große Paradigma 'Transformation' auf das sich alle Transformationsforscher als einheitlichen Untersuchungsgegenstand stützen können oder ist Transformation nicht ein konturloser Begriff unter dem sich alles und jedes fassen lässt, jegliche Systemwechsel in beliebigen politischen Systemen auf der ganzen Welt unbestimmt in Dauer, Intensität, Richtung und Ausgangssituation (Kapitel 4.1)? Welche theoretischen Zugänge wurden grundsätzlich entwickelt, um Transformationsprozesse besser analysieren und verstehen zu können? Vor welchem Hintergrund wurden sie entwickelt und was für ein Erklärungspotential bergen sie zum besseren Verständnis der Transformation in Osteuropa (Kapitel 4.2)? Auf Grundlage dieser Bestandsaufnahme erfolgte eine genauere Analyse des Transformationsprozesses in Osteuropa (Kapitel 5). Zunächst wurde das Hauptaugenmerk auf den Aspekt der Besonderheit dieses Transformationsprozesses gegenüber den vorherigen gelegt (Kapitel 5.1). Inwiefern war der Transformationsprozess in Osteuropa komplexer als die vorhergegangenen? Welche Ebenen umfasste er? Kapitel 5.2 ist der Darstellung der speziellen Gegebenheiten und Konstanten im postsowjetischen oder osteuropäischen Raum gewidmet. Transformation findet nicht im luftleeren Raum statt, sondern hat gewisse Voraussetzungen und Vorbedingungen, die auch Einfluss auf den Transformationsverlauf nehmen und die gewisse Entwicklungswege erschweren. In Kapitel 5.3 und 5.4 steht die Empirie der Transformation im Vordergrund. Zu fragen ist grundsätzlich: Was ist in den postsowjetischen Ländern überhaupt passiert? Welche Transformationen durchliefen das politische und das ökonomische System? Gibt es zugrundeliegende Logiken und Handlungsmuster? Die zentralen Annahmen der gesamten vorliegenden Untersuchung lassen sich wie folgt zusammenfassen: Identität ist eine Kategorie, die sich zusammensetzt aus einem individuell-psychologischen Aspekt und einem kollektiven. Eine kollektive Identität setzt sich zwar zusammen aus der Summe der Einzelidentitäten, umfasst aber nur einen kleinen Teilbereich der Einzelidentität, nämlich den, der sich auf die Wahrnehmung einer Gruppe als Gesamtheit bezieht. Gesellschaftliche Integration ist einer der entscheidenden Faktoren zur staatlichen Konsolidierung und damit zum Gelingen des Transformationsprozesses. Da die Implosion der Sowjetunion auch eine staatliche Neuordnung auf ihrem Territorium nach sich zog, müssen die selbstständig gewordenen ehemaligen Sowjetrepubliken nach einer kollektiven Identität suchen mit Hilfe derer es gelingen kann, die heterogenen postsowjetischen Bevölkerungsschichten zu integrieren. Die Idee der Nation ist zum zentralen Moment der kollektiven Identität im Transformationsprozess in vielen osteuropäischen Staaten geworden. Nationale Ideen werden von politischen Akteuren genutzt, um Bevölkerungsgruppen zu integrieren. Den Nationalbewegungen in den Volksfronten kam eine entscheidende Rolle beim Zusammenbruch der sowjetischen Ordnung zu. Nationalismus ist nicht von vorneherein negativ zu bewerten. Er leistet einen wesentlichen Beitrag zur gesellschaftlichen Integration in diesen Ländern. Dennoch liegen auch die Gefahren von nationalen Ideen angesichts der heterogenen Siedlungsstruktur Osteuropas auf der Hand. Notwendige geschichtliche Aufarbeitungsprozesse werden zudem verhindert und Frustrationen durch Transformationsprozess auf externe Faktoren abgeschoben was zur Bildung von Feindbildern beiträgt. Die vor dem Zusammenbruch des realsozialistischen Blocks entwickelten Transformationstheorien sind zwar hilfreich bei der Erklärung bestimmter Prozesse, jedoch besteht nach wie vor ein Mangel an Theoriemodellen, um die postsowjetische Transformation zu erklären. Aus diesem Grund soll neben den klassischen theoretischen Erklärungsansätzen, anschließend die Besonderheiten der Transformationsbedingungen im postsowjetischen Raum dargestellt werden. Transformation im postsowjetischen Raum findet seit Mitte der achtziger Jahre auf mehreren Ebenen statt. Da die Transformation nicht nur das politische, sondern auch das ökonomische und gesellschaftliche System erfasst, ist eine Betrachtung der einzelnen Ebenen, die komplex miteinander verwoben sind, sinnvoll. Bei der Untersuchung der Transformationsprozesse soll auch ein besonderes Augenmerk auf die Kontinuitäten im postsowjetischen Raum gelegt werden, die für ein Stocken oder eine Richtungsentscheidung mitverantwortlich sind. Die grundlegenden Thesen dieser Arbeit lauten zusammengefasst: Eine kollektive Identität ist eine der Voraussetzungen für ein funktionierendes Gemeinwesen, da durch sie die notwendige gesellschaftliche Integration und Mobilisierung geleistet werden kann. Jede soziale Gruppe gibt sich eine kollektive Identität. Dabei wird sehr oft auf die gemeinsame ethnische Abstammung und die Zugehörigkeit zu einer gemeinsamen Nation verwiesen. Das Identitätsbewusstsein der gesellschaftlichen Eliten in Osteuropa war geprägt durch eine Renaissance des Nationalen und hatte entscheidenden Einfluss auf den Transformationsprozess und die Herausbildung von Nationalstaaten auf dem Territorium der Sowjetunion. Die zentrale Einheit, die kollektive Identität schafft, ist die Nation. Damit ist die Nation eine wesentliche Ressource im Transformationsprozess. Das Integrationskonzept über die Idee der 'Nation' war zwar in Westeuropa sehr erfolgreich – auch wenn es für zwei Weltkriege mitverantwortlich war – trifft in Osteuropa aber auf ganz andere Voraussetzungen, da die Bevölkerungsstruktur viel heterogener ist. Stattdessen müssen liberalere Integrationskonzepte in Osteuropa zum Tragen kommen, die die kollektive Identität in einem größeren Zusammenhang sehen, in einer gemeinsamen politischen Vision, in der Menschenrechte und Demokratie fester Bestandteil sind.Inhaltsverzeichnis:Inhaltsverzeichnis: Einleitung5 1.Identität15 1.1Relevanz des Faktors 'Identität'15 1.2Annäherung an den Begriff 'Identität'16 1.3Der Bedarf nach einer kollektiven Identität20 1.4Bildung von Wir-Gruppen21 1.5Identitätsstiftung in der Sowjetunion22 1.5.1Patriotische Sinnstiftung als Integrationsfaktor24 1.5.2Forcierte Industrialisierung als Integrationsfaktor26 1.5.3Der 'Große Vaterländische Krieg' als Integrationsfaktor27 1.6Identitätssuche nach dem Zerfall der Sowjetunion28 1.6.1Patriotischer Konsens in Russland32 1.6.2Orthodoxer Patriotismus als Element der russischen Identität37 1.6.3Identitätssuche in den postsowjetischen Republiken39 1.6.4Nationalstaatsbildung in der Ukraine41 1.6.5Schaffung einer neuen Regionalidentität am Beispiel Transnistriens44 2.Der Begriff der 'Nation'48 2.1Der Nationalstaat als politisches Ordnungsmuster51 2.2Positive Integration durch das Konzept des Nationalstaates54 2.3Chauvinistischer Nationalismus als Schattenseite der positiven Integrationskraft der Idee der 'Nation'56 2.4Exkurs: Negative gesellschaftliche Mobilisierung60 2.5Der Unterschied zwischen dem westlichen und dem östlichen Nationenbegriff64 3.Nationalitätenpolitik in der Sowjetunion67 3.1Inoffizieller Nationalitätenvertrag70 3.2Gezielte Industrieansiedlungen als Teil der Nationalitätenpolitik72 3.3Folgen der Nationalitätenpolitik: Nationale Identität als Aufbruchsmoment und Ursache für den Zerfall der Sowjetunion74 4,Transformation82 4.1Annäherung an den Begriff der 'Transformation'83 4.2Transformationstheorien89 4.2.1Systemtheorien91 4.2.2Strukturtheorien93 4.2.3Kulturtheorien95 4.2.4Akteurstheorien96 4.2.5Theoriesynthese97 5.Transformation in Osteuropa99 5.1Grundproblematik100 5.1.1Die Unvergleichlichkeit des Systemwechsels von 1989101 5.1.2Das Dilemma der Gleichzeitigkeit105 5.2Prinzipielle Problemfelder bei der Transformation im postsowjetischen Raum107 5.2.1Geographische Gegebenheiten108 5.2.2Mächtiger Staat und passive Gesellschaft110 5.2.3Privilegierte Eliten und geknechtete Unterschichten111 5.2.4Die Welt der Bauern und die Welt der Städte113 5.2.5Russen und Nichtrussen114 5.2.6Extensivität und verzögertes Wirtschaftswachstum115 5.2.7Heiliges Russland und orthodoxe Staatskirche117 5.2.8Hochkultur und Volkskultur118 5.2.9Europa und Asien120 5.3Transformation des politischen Systems121 5.3.1Transformation des Herrschaftsmodells121 5.3.2Transformation zu scheindemokratischen Herrschaftsmodellen122 5.3.3Die Handlungslogik der Ein-Mann-Regime123 5.3.4Die Zerstörung des gesellschaftlichen Pluralismus126 5.4Transformation der Ökonomie128 Schluss132 Literatur136Textprobe:Textprobe: Kapitel 1.6, Identitätssuche nach dem Zerfall der Sowjetunion: Dem 'homo sovieticus' hatte sich die Frage nach seiner Identität kaum gestellt. Der Begriff 'identicnost' war in keinem sowjetischen Wörterbuch zu finden. Die Einheitsideologie ließ keinen Platz für weitergehende Fragen. Nach dem Zusammenbruch der Sowjetunion konnte die Suche nach neuen Identitäten schließlich beginnen. Nachdem im Kapitel 1.5 die identitäts- und integrationsstiftenden Mechanismen in der Sowjetunion beschrieben wurden, soll im Kapitel 1.6 die Suche nach neuen identitäts- und damit integrationsstiftenden Elementen beschrieben werden. Die Dekonstruktion sowjetischer Mythen ging Hand in Hand mit der Rekonstruktion von Mythen aus der Zarenzeit. Dazu gehörte ein stilisiertes und idealisiertes Bild des 'ancien régime': Die Verdienste der Romanovs wurden wiederentdeckt und alsbald in das neue kollektive Gedächtnis integriert. Adel, Großunternehmer und Industrielle, Kosaken, vor allem jedoch die Russisch Orthodoxe Kirche erlangten ihre historischen Rechte zurück. In diesen Konstruktionen ist immer auch die Sehnsucht nach einer heilen Vergangenheit erkennbar. In den Jahren der Transformation ist sich Russland seiner Identität unsicher geworden. Ende des Jahres 1997 stellte Christiane Uhlig das Fehlen einer kollektiven Identität fest, in deren Namen sich die verschiedenen gesellschaftlichen Gruppen und sozialen Schichten zu gemeinsamem Handeln für den Aufbau der neuen Gesellschaft zusammenfinden könnten. Gerade in Zeiten der Krise gibt es ein Bedürfnis nach nationalen Identifikationsangeboten. Dass gerade in den schwierigen Transformationsjahren der Verlust der sowjetischen Identität besonders schwer wiegt, beklagte auch Boris El'cin: 'Jede Etappe hatte ihre Ideologie. Jetzt haben wir keine. Russland braucht eine gesamtnationale Idee, die die Nation zusammenschweißt, die Menschen eint und mobilisiert zur Wiedergeburt Russlands und die ein Gegengewicht ist zum politischen Gezänk.' Dies war auch der Grund dafür, dass die halbamtliche Zeitung Rossijskaja Gaseta, einen Wettbewerb nach der besten 'Idee für Russland' ausschrieb. Es bestand also in der Administration und unter den Eliten Konsens, dass es notwendig sei, eine im eigentlichen Sinne staatliche Ideologie auszuarbeiten. Dies kann nur vor dem Hintergrund der kommunistischen Tradition verstanden werden nach der eine Ideologie notwendiger Bestandteil von Herrschaft war, um die Bevölkerung zu integrieren. Jetzt wurde der Bedarf nach einer Zivilreligion festgestellt, einem Konzept, das jenseits der Gesetzestexte eine Regelungsinstanz für die gesellschaftlichen Mechanismen darstellt. In den westlichen Staaten speist sich das dem Staat zugrunde liegende normative Konzept im Wesentlichen aus den jüdisch-christlichen religiösen Vorstellungen, die noch mal durch den Protestantismus an die europäische Neuzeit angepasst wurden, der griechisch-römischen Antike und dem Humanismus der Aufklärung. Diese Elemente bilden in den westlichen Staaten das zugrundeliegende normative Konzept für die politische Ordnung. Diese Geistestraditionen sind nicht in gleichem Maße in der russischen Tradition vorhanden, was die Etablierung von Demokratie, Menschen- und Bürgerrechten mit Sicherheit nicht gerade vereinfacht. Als Konsequenz der anderen geistesgeschichtlichen Traditionen müssen die Konzepte der Demokratie im postsowjetischen Raum mehr von oben nach unten vermittelt werden, als dass sie Bestandteil einer gemeinsamen Vorstellungswelt sind, die als vorhanden vorausgesetzt werden kann. Damit kommt dem Staat und seinen Apparaten eine viel bedeutendere Rolle bei der Vermittlung von gesellschaftlichen Konzepten zu als dies in westlichen Gesellschaften der Fall ist. Innerhalb Russlands lässt sich die Suche nach einem neuen kollektiven Identifikationsangebot anhand von verschiedenen politischen Diskursen darstellen: zum einen dem liberalen Diskurs und zum anderen 'die Rückkehr zum Imperium'. Einmal geführt durch die neo-nationalistische Rechte, die die Zeit vor 1917 zum 'Goldenen Zeitalter' verklärt. In diesem Diskurs finden sich Vorstellungen der Slawophilen, die die russische Nation als eine eigenständige Welt betrachten, die mit den slawischen Gebieten und Russischer Muttererde eng assoziiert sein sollte. Der andere Diskurs lässt sich als neo-sowjetischer Diskurs bezeichnen, der die sowjetische Heimat wieder integrieren möchte in einem sozialistischen multiethnischen Imperium. Hier ist die Kommunistische Partei Russlands der Hauptträger, der sozialistische Rhetorik mit russischem Nationalismus verknüpft. Auch wenn dieser Diskurs eng mit Vorstellungen von Inklusion, Gleichheit, Universalismus und internationaler Solidarität verknüpft ist, so ist doch gleichzeitig offensichtlich, dass es in Wirklichkeit um die Reetablierung einer Hegemonie unter russischer Führung gehen soll. Der liberale Diskurs, der zu Beginn der 90er Jahre von den liberalen Reformern geführt wurde, bedeutete einen Bruch sowohl mit der zaristischen als auch der sowjetischen Vergangenheit. Russland ist demnach ein selbständiger Staat, der keine Ansprüche auf die Territorien der anderen selbständig gewordenen Republiken erhebt. Der Staatsaufbau in Russland genießt demnach absolute Priorität. Die Beziehungen zu den neuen Republiken sollten auf Kooperation, gegenseitigem Respekt und Partnerschaft bestehen. Seit 1993 gibt es noch einen dritten Diskurs, den der 'Gosudarstvenniki', die zwar einerseits die Grenzziehungen akzeptieren, aber gleichzeitig die Einmischung Russlands in die Politik der Staaten des 'Nahen Auslands' wünschen. Russland kommt nach dieser Lesart nach wie vor ein spezieller Status im postsowjetischen Raum zu, da in vielen dieser Staaten russische Minderheiten existieren, die in erster Linie Opfer der national konnotierten Identitätspolitik der Republiken sind (Vgl. besonders die in Kapitel 1.6.5 beschriebene Situation in der Republik Moldau, bzw. der PMR). Das Bewusstsein dieser großen ethnolinguistischen Gemeinschaft und die Art, in der die russischsprachigen Brüder und Schwestern in den Republiken behandelt wurden, hatte starken Einfluss auf den in Russland geführten Diskurs und spielt m. E. nach wie vor eine bedeutende Rolle. Die russophonen Minderheiten und ihre Rolle in den Baltischen Staaten, in Moldau, Georgien oder der Ukraine sind nach wie vor Gegenstand der politischen Aufmerksamkeit. Sie werden als Kolonisten und Besatzer durch die Mehrheitsbevölkerung in den Republiken wahrgenommen. Dies steht im Gegensatz zu der Wahrnehmung der russischsprachigen Bevölkerung durch die 'Gosudarstvenniki', die die Rechte der Russophonen verteidigen. Die Idee Russlands ist in diesem Diskurs also ganz wesentlich mit der Beziehung zu ihren Diasporagruppen entstanden. Bei der nationalen Identitätsdebatte fällt ganz generell auf, dass der Diskurs versucht, die Komplexität der neuen sozialen Wirklichkeit in kollektive Identitätsformen zu fassen. Insgesamt mutet die Debatte demzufolge als ein Versuch einer rückwärtsgewandten Identitätsgewinnung an. Christiane Uhlig zufolge beanspruchen die Codierungen, die in den Debatten verwendet werden, 'universale Relevanz, sind dichotomer Natur, basieren auf dem Prinzip von Inklusion und Exklusion und dienen der Charakterisierung russischer Identität' Bei diesen meist kulturologischen Arbeiten, die sich mit der Identitätsfrage befassen, wird versucht, Schlüsse über den russischen Nationalcharakter zu ziehen, die aber 'einer genaueren Analyse nicht standhalten'. Dennoch hat sich ein Konsens gebildet, der durch das informelle Zusammenrücken der Eliten entstanden ist und für die Kontinuität und Stabilität Russlands auch in den Wirren der Transformation verantwortlich ist.
The article is focused on analyzing current state of land use by categories, regional economic and financial data to propose new robust model for economically efficient land use planning for commercial and non-commercial enterprises. The research results can serve as an important material for decision making process on how to develop the land and the City areas in context в new global economic development. It provides extensive overview of existing land use trends for in Kyiv city based on analytical data and scientific assumptions. The Author believe that this research will be beneficial for government, city government, international organizations, private institutions, and researchers. The goal of the research paper is to build a solid scientific model based on general understanding of underlying economic challenges of efficient land use considering past data, short term and in long term planning. The paper has an overview of city planning documentation and city statistical data in context of real estate, urban population, economic data, including research of real estate and currency exchange rate data to median salary in Kyiv starting from 2000s. It is important not to put too much focus on the existing models and systems, as they rely too much on the assumptions and complicated calculations, that are hard to make use of in real world planning. Instead we build our research on real-world data and developed a forecast of the size of investment in land use, average real estate prices for the next 5 years. The paper noted an existing problem of inconsistency of the existing norms and regulations in Ukraine concerning rational and effective land use and planning, especially for local authorities and commercial organizations. The author substantiates why the economy in the context of urbanization needs a new look. The paper uses the planning of the city of Kiev. It is a suitable example of a developing city, so the proposed model can be developed based on the city economical and land use data. This research can help solve the existing problems of urbanization in Ukraine and have a positive impact on the economic development of the city and the region.In present times large urban agglomerations serve as none of the major catalysts of economic trends. Urbanization, as process, plays key role in transformation of the local, regional and world economies. Urbanization should be considered an important factor in the development of the economy of both the city and the state. It dictates the path of development of micro- and macroeconomics of regions, although not directly. And in the context of long-term land use and spatial development, this process can play a significant role. The issues of suburban development, industrialization, post-industrialization, environmental problems and the issues of further existence and development of agricultural regions bordering on urban centers (urban agglomerations) cannot be excluded from the field of view. Alongside with new possibilities that arise from large urban economy, great number of challenges that need to be addressed appear. Besides to the economic related issues, irreversible ecology changes (rise of sea level, forest fires etc.) global pandemics and new technologies, manufacturing process must be included in urbanization research. This requires novel approach to how we view city, build economic models, and make forecasts for future development. In this paper we set initial stage for development of such robust economic model, while using data and statistics of Kyiv city. This city can serve as great test ground for proposed model, as it is relatively new urban center, that is part of the developing country economy.The goal of this research work is to analyze current and past land use patterns, outline existing issues and economical inefficiencies in those patterns in large urban city. In addition, we plan to look at land use from several viewpoints, that of the researcher, governmental institutions, commercial company, personal level. This will enable us to make correct assumptions and help build economical model for future land use development. Research work is based on official statistics data, provided by State Statistics Service of Ukraine, Kyiv city council, Municipal Enterprise "Kyivgenplan", private real estate companies, economists, and Public cadastral map of Ukraine. We used statistical analytics, mathematical correlation, polynomial and linear approximations, Ratio analysis, utility curves, profit curves and growth models. For predictions modeling key economic parameters were identified. This data was used to build linear dependency models of functions and plotted charts, diagrams based on calculations data.Ukraine does not stand aside from the global challenges of time related to globalization and urbanization. These are indicators such as: significant labor migration, outdated land legislation and inefficient use of land resources. Therefore, the author of the study analyzed the social, environmental, and economic factors influencing the development of the economy of individual united territorial communities of Ukraine with emphasis on the Kyiv city. The main reason for focusing research work on this city is general availability of statistical information and economic data from 2000s.In recent history several events have happened that made dramatic effects on Ukraine and Kyiv land use economics situation. Global financial crisis of 2008 has affected real estate price in Ukraine, in addition to Ukraine currency devaluation. In 2014 military conflict, war, in the east part of Ukraine and Russian annexation of Crimea, had it impact on the housing market, as well as further currency devaluation.Current land area of Kyiv is 82,64 thousand hectares with population of 2 967,4 million people. Land use in Kyiv is classified by following types: Residential buildings; Public buildings; Industrial, research and production and utility territories; Transport infrastructure; Green areas; Water resources; Agricultural companies and other. Analysis of the types of buildings in the capital shows that the largest share in the Residential housing are – private houses 3.76 thousand hectares, and high-rise buildings 8.4 thousand hectares. Non-residential real estate - buildings, premises that are not classified in accordance with the law to the housing stock, are divided into the following types: hotel buildings, office buildings, commercial buildings, garages, industrial buildings and warehouses, buildings for public performances, outbuildings and other buildings.To make better predictions and effectively analyze land use data, we will start with real estate data and general social information - such as monthly salary, average numebr of employees per company, followed by currency exchange rate, average office rent prices and average living apartments price in USD. According to official data, the average salary for full-time employees in 2020 was 16,186 UAH. As of 2018 the highest monthly wage was in the mining industry (44,405 UAH) and the lowest in construction (8,311 UAH), and health care (8,406 UAH). The prices in Kyiv suburbs are much lower than in the city, with average cost of sq. m being around 13,500 UAH.Based on the State Statistics Service of Ukraine Kyiv city data the housing stock in Kyiv in 2019 had a total area of 59.1 million m2, and an average of 20.2 m2 per person. The total number of apartments in Kyiv was 991.6 thousand. If we look at the state building codes as of 2019, the minimal the minimum area of a one-room apartment is 28 sq. m. At the same time according to State Statistics Service of Ukraine Kyiv city data in 2019 the average available housing area per single person living in Kyiv was 20,2 sq. m. Let's look at 26600 $ for 28 sq. meters apartment, with average monthly wage of 16,186 UAH, which is 575 $, for an average it will take 46 month to buy an apartment, if there will be no other expenses and salary is tax free. Median flat rent in Kyiv 2020 – 9.4 $ per sq. m., which makes 263.2$ for 28 sq. meters apartment per month or 7401 UAH.Afterwards we conducted study of enterprise operations statistics between 2018 and 2019. The following data was produced as a result - the number of business entities was 294,458 companies, number of full-time employees was 1,149,074 people, the volume of sold products produced by one (average) enterprise was 36,843.35 thousand UAH per year or 3070.2 thousand UAH per month, with the average number of employees in one company being 16 people. Today there are about 500,000 sq. m. of commercial real estate in Kyiv, and according to experts, by the end of 2020 this figure will increase by at least another 150,000 square meters. m.Based on available data we analyzed the average rent price that company need to pay for one month in Kyiv. If one office employee needs at least 6 sq. meters of office space, then the average company that consist of 16 employees will need to rent 96 sq. of office space. Using 2020 data, on average the monthly rent is 2400$ per month, so the company will need to pay 28,800$ per year. The study showed that the average cost of office space as following - 1200$ per sq. m in 2020; 1500$ per sq. m in 2019; 1300$ per sq. m in 2018; 903$ per sq. m in 2017.The author analyzed the dynamics of increasing the number of living apartments by year. In 1995 their number was (in thousands) - 889,4; 2000 – 926,9; 2005 - 984,4; 2010 - 1037,9; 2015 -1112,1; 2018 - 1081,7; 2019 - 991,6. It should be noted that since 2001 the total area is determined taking into account the summer premises with the established reduction factors. Since 2004, the total area of the housing stock and the number of apartments has included data on bankrupt enterprises and those that have completely ceased operations [stat data]. The population of Kyiv, according to official statistics is as following, by year: 1995 – 2643,8 thou. ppl.; 2000 – 2615,3 thou. ppl.; 2005 – 2666,4 thou. ppl.; 2010 – 2785,1 thou. ppl.; 2015 – 2888,0 thou. ppl.; 2018 – 2934,5 thou. ppl.; 2019 – 2950,8 thou. ppl.; 2020 - 2 967,4 thou. ppl. Total income per all officially employed in Kyiv city: 2010 - 5286,46 UAH, 2015 - 6255,92 UAH; 2018 - 13243,96 UAH; 2019 - 17546,89 UAH. The total share of business income and self-employment as compared to total income in Kyiv per year: 2010 – 8%; 2015 – 4,5; 2018 – 6.3%; 2019 – 6.2%.Another trend is the rapid reduction of vacancies in the Kyiv office centers. During the first half of 2019 the growth in demand and the small amount of new supply of office space led to a decrease in the average vacancy rate from 6.5 to 6%, this data was taken from international real estate agency report. In some office buildings the vacancy was in the range of 4-5%. For comparison: in 2016 on average 16% of the areas were vacant in Kyiv business centers, and in 2015 - more than 20% of spaces were vacant. We analyzed which types of industries have formed the highest demand for real estate office rent in Kyiv in recent years to form this trend. The highest percentage is 52% by IT technologies companies; professional services in various fields – 35%; FMCG – 7%; pharmaceutical companies – 3%, energy companies – 2% and agricultural companies – 1%.A new period of urban development requires new theories and qualitatively new research. It is an indisputable fact that urbanization is a process that will continue. Its pace will be determined by the state of the world and regional economy, as well as innovation and the results of the fourth industrial revolution. In our future research, special attention will need to be paid not only to the economic and social components of the urbanization process, but also to environmental factors. Environmental issues are one of the main problems in the process of urbanization. This is due to the rapid development of infrastructure, development of cities and adjacent areas. And as a result - an uncontrolled very rapid increase in population, an increase in the number of personal transport and the development of new enterprises. All these factors negatively affect the quality of life in cities and can reduce the attractiveness of real estate. Therefore, people do not move to such centers, but begin to build others. The proposed Index of economic feasibility of land use by purpose is a result of mathematical modeling of main economic parameters that include land use, such as land price, real estate prices, investments ratios and personal income levels. It will serve as a foundation to build a more robust economic model that will describe conditions needed for future economic growth, efficient land used patterns in urban and sub-urban areas. It should be noted that for making more accurate future predictions, land use patterns and economic data of close (up to 50 km) and distant sub-urban areas (region) should be studied and added to the model. ; У статті автор зосередив увагу на аналізі поточного стану землекористування за видами економічної діяльності підприємств, регіональними економічними та фінансовими даними, щоби запропонувати нову сучасну модель економічно ефективного планування землекористування для комерційних та некомерційних підприємств та установ. Результати досліджень можуть слугувати важливим матеріалом для процесу прийняття рішень про те, як розвивати наявні земельні ділянки та райони міста в контексті нового глобального економічного розвитку. Наведено детальний огляд нинішніх тенденцій землекористування в місті Києві на основі аналітичних даних та наукових гіпотез. Автор статті вважає, що це дослідження буде корисним для урядових організацій, органів місцевого самоврядування, міжнародних організацій, приватних установ та деяких науковців і дослідників.Метою цієї роботи є побудова сучасної наукової моделі, що ґрунтується на загальному розумінні основних економічних проблем ефективного землекористування з урахуванням нинішніх даних, а також короткострокового та довгострокового планування. У статті наведено огляд містобудівної документації та статистичних даних столиці в контексті інформації про нерухомість, міське населення, економічні дані, включно з дослідженнями даних про нерухомість і курс валют до середньостатистичної зарплати в Києві, починаючи з 2000 років. Важливо не надто суттєво зосередитися на нинішніх моделях і системах, оскільки вони занадто покладаються на припущення і складні розрахунки, які важко використовувати в реальному плануванні. Замість цього ми будуємо наші дослідження на реальних даних, тому розробляємо прогноз розміру інвестицій у землекористуванні та середні ціни на нерухомість на найближчі 5 років.У статті відзначено наявну проблему невідповідності сучасних норм і нормативно-правових актів в Україні щодо раціонального та ефективного землекористування та планування, особливо для місцевих органів влади та комерційних організацій. Автор дослідження обґрунтує, чому економіка в умовах урбанізації потребує нового погляду. У статті використовується інформація про планування міста Києва. Київ – вдалий приклад європейського міста, яке інтенсивно розвивається, тому запропоновану модель можна розробити на основі даних міського економічного планування та землекористування. Це дослідження може допомогти вирішити наявні проблеми урбанізації в Україні та позитивно вплинути на економічний розвиток міста та регіону.
In my doctoral thesis, I demonstrate i) how the demand and supply side respond to the (first time) availability of product information for mutual funds and ii) how actions and personal characteristics of portfolio managers impact investors and fund management. Essays (1) and (2) extend the scarce evidence on the utility of investor information disclosure by means of a comprehensive investigation into the disclosure practices of the mutual fund industry. Using product information with different degrees of salience and obligation, ranging from comprehensive mandatory pre-contractual product information to complementary fund characteristics only disclosed by selective players, the essays document the importance of thoroughly written and designed information. Specifically, on the demand side, I analyze i) whether retail investors can understand mutual fund product information and ii) if investors are able to benefit from novel disclosure initiatives. Moreover, on the supply side, I show if and to what extent mutual fund companies react to novel disclosure regulations. Essays (3) and (4) shift the focus towards the individuals in charge of managing retail investors' money, i.e. the portfolio managers, analyzing the impact of incentive mechanisms and personality traits on fund management and investor behavior. The overarching contribution of my research is threefold. First, by addressing information salience and understandability, I shed light on retail investor limitations not explained by the classical efficient market framework assuming investors to be fully rational utility-maximizing decision-makers (e.g., Fama 1970). Thus, my research adds to the rich behavioral finance literature dealing with cognitive capacity and information processing constraints (e.g., Kozup et al. 2012, Agnew and Szykman 2005). Second, by analyzing investor behavior from an objective point of view, I contribute to the understanding of determinants which affect flows of mutual fund investor (e.g., Sirri and Tufano 1998, Barber et al. 2005). Third, methodically my research adds to the quantification of qualitative data in the finance domain (e.g., Loughran and McDonald 2016, 2019) by applying advanced textual analytics (essays (1), (3) and (4)), allowing to investigate large samples of written (verbal) information. How do policy makers help consumers make sound investment decisions? Regulations which require disclosure of information are among the most ubiquitous interventions in investor protection. The popularity of mandatory information disclosure follows standard economic theory which suggests that disclosure can help avoid instances of market failure in situations characterized by asymmetric information and a risk of misaligned incentives (e.g., Akerlof 1970, Ross 1973). However, although broadly advocated as an appropriate policy measure, there is a paucity of data supporting the efficiency of mandatory information disclosure. For example, individuals' information processing abilities have been shown to be limited and, thus, the increasing extent of mandatory information likely leads to an 'information overload', where the marginal utility of information for the decision-maker becomes negative (e.g., Eppler and Mengis 2004). In my dissertation, I focus on investor information disclosed by actively managed equity mutual funds, since holdings in this asset class represent the by far largest fraction of household investments: in 2017, worldwide retail assets under management by equity mutual funds totaled at $21.8 trillion with the large majority being actively managed (Investment Company Institute 2018). Moreover, disclosure requirements are pervasive for fund companies and the market is a prime candidate for unintended consequences of mandatory disclosure such as information overload: investors face a dizzying number of product options and each product carries a host of characteristics, which should be considered in order to make an informed decision. Especially when investing in an actively managed mutual fund which is tantamount to delegating the management of a securities portfolio. I investigate four types of investor information which regulatory authorities have qualified as decision-relevant when it comes to this delegation task. First and foremost, investor should understand the fund's key features. For this to be the case, mandatory product information has to be easy to understand for the average investor (essay 1). The introduction of Key Investor Information Documents (KIIDs) for mutual funds in the European Union is the regulator's response to the quest for a more comprehensible description of the essential product features and we examine if these documents live up to their purpose. Following Loughran and McDonald (2014), we assess the comprehensibility and regulatory compliance of KIIDs and thereby extend the scarce academic evidence on the importance of product information documents (e.g., Habschick et al. 2012, Oehler et al. 2014, Walther 2015). We use a comprehensive sample of roughly 38,000 product information documents for mutual funds pre and post the introduction of KIIDs to capture the regulations impact on fund information comprehensibility. We find that while mutual fund product information remains difficult to read requiring on average 13 years of formal education from readers, textual readability significantly improved with the introduction of KIIDs. Furthermore, we show that the introduction of KIIDs translated into a 'clearer' writing style. By contrast, we detect that the relative usage of financial jargon increased in the new short form disclosure document. Moreover, the improvement on readability and the significant reduction in length seem to be achieved at the expense of an appealing font. Only half of the KIIDs comply with regulators' guidelines on font type and size. Taken together, we document mixed results on the regulations' effectiveness in creating clear and comprehensible pre-contractual information that enable retail investor to read and understand those documents. Second, unlike index funds, actively managed funds sell the potential to beat their benchmark (usually a market index) and investors who select this type of mutual fund are typically looking for an opportunity to outperform the market index. However, actively managed funds usually charge significantly higher fees than passive funds (e.g., Morningstar 2018). This cost difference may be justified by the fund manager's effort to manage the portfolio in a way which creates an opportunity to generate excess returns. Thus, assessing the fees charged by an actively managed fund in light of the actual level of activeness is a worthwhile screening exercise for investors: prior literature documents substantial underperformance for funds with low levels of activeness (e.g., Petajisto 2013, Cremers et al. 2016, Cremers and Pareek 2016). However, and even though fund companies employ Active Share (AS) , a metric to capture the degree to which a fund deviates from its benchmark, for a variety of purposes and provide AS information to institutional investors, they did not disclose it to retail investors and were not required to do so by regulators. The lack of equal access to AS information can be regarded as an information asymmetry, which prevents retail investors from fully evaluating the potential value proposition of an actively managed equity fund. Consequently, the New York Attorney General (NYOAG) revealed dubious index-hugging practices and unequal access to AS information for several of the largest US mutual funds and subsequently imposed disclosure of AS on them (NYOAG 2018). We make use of this unique intervention and thereby extend the few existing studies on funds' activeness (essay 2). In particular, we are the first to demonstrate if and how individual investors react to AS information once they (can) learn about it. We find that retail investors strongly respond to the NYOAG intervention, but not in the way intended by the regulators. We document a significant increase in investor flows into funds of fund companies affected by the intervention. The effect is most pronounced in the days after the intervention became public. However, rather than 'rationally' re-allocating assets away from 'high fee/low activeness' and into truly actively managed funds, investors are subject to a media attention bias. Fund companies that are prominently covered in the press following the disclosure intervention experience high net inflows, irrespective of the degree of AS. These findings are hard to square with the notion that retail investors have understood the concept behind AS and rationally traded on this newly available information. On the supply side, we do not observe a change in portfolio management habits following the intervention. Even for funds with the lowest AS levels—i.e. arguably those funds with the highest pressure to act in an attempt to legitimate 'active' fees—we do not observe any measurable effort to increase AS post-intervention. In sum, our evaluation of the NYOAG intervention documents a number of unintended consequences and reveals substantial limits to the effectiveness of this disclosure initiative. Third, investors face ongoing uncertainty about the standard of care fund managers exercise when managing their savings and whether they act in their best interest. Following the rationale "(…) that a portfolio manager's ownership of a fund provides a direct indication of his or her alignment with the interests of shareholders in that fund" (SEC 2004, section II, part D), managers of US mutual funds are required to disclose the amount of their private investments in all funds they manage. However, information about the beneficial holdings of portfolio managers (their skin-in-the-game) is far from readily accessible for the average retail investor. Instead, managers' private investments are disclosed in a supplementary fund information document that is only provided upon request and, at best, can be considered a secondary source for the average investor. Yet, interestingly, fund managers regularly use another medium to voluntarily disclose skin-in-the-game to their investors: the Letter to the Shareholder (LS). The LS is a non-mandatory–however commonly enclosed–component of the mutual fund's semi-annual or annual report. It is typically authored by the fund management, addresses the fund shareholders directly and thus constitutes a key element in communication with their shareholders (e.g., Hillert et al. 2016, Chu and Kim 2019). Unlike prior studies (e.g., Khorana et al. 2007, Ma et al. 2019, Evans 2008, Ibert 2018), who find that funds with managerial ownership yield higher risk-adjusted returns, I exploit verbal signaling of the managers in the LS to analyze aggregate investor fund flows applying advanced textual analytics (essay 3). With this, I contribute to prior research on the effects of fund manager skin-in-the-game by observing how retail investors respond to their managers' signaling activities. I find that signaling of skin-in-the-game in the LS triggers substantial net inflows from retail investors. The effect is most sizeable in the days after investors receive the LS and persistent throughout time. On the other side, I show that retail investors' asset allocation is unaltered by the actual amount invested by fund managers –an information the average retail investors most probable is unable (or unwilling) to find. Finally, I document that signaling of fund managers in the LS affects only retail investors. Professional investors, on the other hand, regularly have access to licensed fund data providers and potentially can easily obtain valuable information on fund manager investments. Fourth and lastly, we explore the consequences of a well-researched personality trait –narcissism– on fund managers' portfolio management. Unlike 'hard facts' of a fund, such as past performance, cost or investment style, investors do know little about their fund managers personality. Yet, looking into the literature on corporate managers (e.g., Chatterjee and Hambrick 2007, Kumar and Goyal 2015, Aktas et al. 2016), personality traits might also affect the job of fund managers. Applying text-mining techniques on verbatim fund manager interviews retrieved from The Wall Street Transcript, we find that narcissism is even more severe among professional fund managers than in the corporate context. We show that narcissistic fund managers are significantly more likely to deviate from their advertised investment style. Moreover, we document that while the realized performance of narcissistic fund manager is virtually identical to their non-narcissistic counterparts, we find that they exhibit a worse risk-return profile. Furthermore, we identify that large funds, i.e. those associated with higher compensation and prestige in the business, are more often managed by narcissistic managers, which is in line with prior literature documenting 'empire-building' behavior of narcissists. Given our evidence pointing to a rather negative relation of narcissism on portfolio management, we would expect investors to refrain investing with a narcissistic manager. However, we find that this is not the case. Most probable, investors do not know about personal traits of their fund managers and consequently are unable to act upon this information. Taken together, the findings of my essays stress the importance of salient information disclosure in order for retail investors to arrive at a wise investment decision. The empirical evidence provided highlights certain shortcoming in current disclosure practices and regulations. Essay (1) indicates that summary product information accompanied by formatting and language guidelines are a first step in the right direction to ensure investors comprehensibility of product information for mutual funds. However, we still detect linguistic barriers that potentially prevent investors from reading and understanding relevant product characteristics. Essay (2) provides insights on the effect of a non-standardized information disclosure intervention. As can be inferred from investors' (non-) response to the availability of information on funds' activeness, we observe that local interventions that address information asymmetries and therefore should benefit retail investors decision making, proof almost inefficient when not requiring a standardized, comparable and well-thought through information layout. Essay (3) supports this notion in documenting a prevalent mismatch between information availability and information usage. Finally, essay (4) points on the importance of personality traits. For retail investors it might be important to know more about the character of their fund managers given the evidence that personality traits, such as narcissism, affect day-to-day portfolio management. In sum, decision relevant information for investors, from the explanation of funds' investment style in the prospectus (essay 1), funds' 'true' degree of activeness (essay 2), an indication of manager private wealth investment (essay 3) or hints on the managers personality (essay 4), remains useless as long as the understandability, salience and transparency of disclosure stays low.
Overall purpose of the study While literature highlights the growing importance of, and opportunities in, emerging markets (Joosub & Coldwell, 2016; Boateng, Wang & Wang, 2017; Oguji & Owusu, 2017), there is also significant research regarding the risks associated with these markets (Khanna & Palepu, 2010; Luiz & Ruplal, 2013). These risks arise from differences in geographies, cultures, institutions, governance, languages, performance and economic structures, making the internationalisation strategies of African multinationals into other African countries complex and challenging. Despite these difficulties, African countries still promote trade within the continent. The 2018 African Continental Free Trade Area agreement, for example, promotes intra-regional trade in order to stimulate economic activity and increase development on the continent. South Africa, being the most developed economy on the continent, seems to be leading in doing business with other African countries, having a number of its home-grown multinationals internationalising on the continent. Success stories such as MTN, Shoprite, SAB Miller and Pick' n Pay have taken their operations into other countries in Africa, however what is not clear is how they have successfully applied their internationalisation strategies. Unlike research by Boateng et al. (2017) on how Chinese multinationals are using mergers and acquisitions as their entry mode, and Buckley's (2018) findings on Indian firms targeting countries with English as their official language, little research has been conducted on how South African companies are expanding outside their national borders. This research thus sought to explore the processes by which South African companies implement their internationalisation strategies into other African countries. Research problem As firms internationalise, they choose markets that are physically and psychically close based on their internationalisation experience. Previous literature shows that larger firms are better able to absorb the initial cost of internationalisation and opt for a higher degree of control (Dunning, 1988), yet not much research have been done on the African continent to explore how companies deal with psychic distance, firm resources and strategic choice in their internationalisation strategies. Studies conducted outside the continent in psychically distant locations show that firms design boundaries to protect their internal resources and capabilities from unintended spill overs, and look for local partner organisations that wield substantial capability to fill voids (Dunning, 1988). In addition, Barney (1991) argued that firms seek to exploit their rare, valuable and inimitable resources to gain a competitive advantage. Psychic distance research has been conducted on Chinese (Boateng, et al., 2017) and Indian firms (Buckley, 2018), however in Africa, where the cultural, institutional, economic and geographic distances are huge, not much evidence is available. There is also a variety of research on firm resources and strategic choices for Chinese and Indian firms, including how they are using leadership, technical talent, cheap labour (Contractor, 2013), financial resources, government to government relationships (Cheru & Obi, 2011) and home knowledge to enter African markets (Khanna & Palepu, 2010). As some South African businesses have failed in their internationalisation strategies on the continent, it is thus important to understand how those companies that have succeeded, did so. Design of the study A multi-method sequential explanatory approach (Ivankova, Creswell & Stick, 2006), comprised of a survey followed by case studies of internationalising South African companies, was used. The survey participants and firms were purposefully selected based on their roles in the internationalisation strategies, and the results of the survey were used to identify cases for the second phase of the research. An insurer and a bank with a total market capitalisation of R442b (JSE, 2017), representing 41% of the survey population, were selected as case studies. These cases were adopted to understand the internationalisation phenomenon in specific companies, while the research questions focussed on South African multinational enterprises (MNEs) that already had operations in other African markets. Empirical evidence from both the survey results and the two case studies were used to address the research questions. Findings This study revealed that South African multinationals face intense competition from local competitors in the rest of Africa, so they have to craft and adapt specific strategies during their expansions. This research confirmed the findings of previous studies by showing that the internationalisation of banks and insurance companies follow largely similar patterns (Focarelli & Pozzolo, 2008). Further, the case studies indicate complexities such as the need for local legitimacy, the tacitness of local cultures, and protracted implementation periods that cannot be explained by traditional FDI theories. For these reasons, the companies develop non-market resources such as spending periods of time in the potential host country before setting up operations to gather information and build hands-on market intelligence based on the experiential knowledge of the host country market. The bank case study, whose first wave of internationalisation, as with other major banks, was in the late 1800, uses the ownership entry mode. While literature has shown that companies acquire local partners when there are high psychic distances, because bank services require a high degree of information, information transfer and trust (Mulder & Westerhuis, 2015, cited in Fischer & Hasselknippe, 2017), risk management is very important. Firm resources such as good governance and ethical leadership are key for success. This case study revealed that because bank values such as integrity and accountability are global, a subsidiary's aptitude to demonstrate its ability to work within a country culture while retaining the values of the bank earns respect from regulators and customers and increases market share. In addition, it extended research conducted by Contractor (2013) on expatriates and Harvey, Speier & Novicevic (1999)'s findings on diasporas from home countries, by finding that the bank builds a pool of skilled African Diaspora, who are citizens of the host market, to manage and facilitate the integration process and bridge the cultural gap, thereby shortening the transient period. While literature has shown that banks and insurance companies follow similar internationalisation patterns (Focarelli & Pozzolo, 2008), the insurer, an internationalisation latecomer, adopted the partnership entry mode using learnings from "small deals" to achieve its ambition of being the Pan African financial services company. Although literature shows latecomers using entry modes such as mergers and acquisitions (Oguji & Owusu, 2017) and leapfrogging into innovation value chains (Ray, Ray & Kumar, 2017), this particular study indicates that the insurer used the partnership mode to minimise risks caused by the latecomer effect. While the bank has had experience in internationalisation for almost two centuries and has operations in 20 countries, the insurer only actively started internationalising 15 years ago but has operations in 35 countries. Focarelli and Pozzolo (2008) found that accessibility to domestic markets by foreign investors is greater for insurance companies than banks, while this study found that the insurer has greater accessibility to African markets through the adoption of the partnership model, which mitigates the risk of high cultural distances. These findings were not found in the literature reviewed for this study, and therefore offer opportunities for further research. Regardless of whether an ownership-based or a partnership-based model is used, distance and cultural integration are important determinants for both the bank and the insurer (Focarelli & Pozzolo, 2008. Although the cases in this study revealed similar internationalisation patterns, such as starting in psychically close locations (Johanson & Vahlne, 1977), using financial resources to sponsor the protracted implementation of the strategy (Dunning, 1988) and having local management run the business in the host country (Barney, Ketchen & Wright, 2011), they differed in entry mode, timing of entry and decision-making processes. In addition, this study revealed that both companies' inflection points were characterised by a continuous commitment of resources, hoping that they would get signals to either exit or scale up with minimal reputational damage. Contributions to research Theory A major contribution of this research pertains to the new research context of Africa. Most literature have focused on how global companies expanded into emerging markets (Enderwick, 2009; Khanna & Palepu, 2010), and more recently how companies from emerging markets like China and India (Boateng, et al., 2017; Buckley, 2018) have expanded globally. However, little has been done to understand how African corporates tackle such expansions. Africa, with its 56 countries and domestic institutions of a multi ethnic, multi-language (more than 500 for Nigeria alone), multi religious, multicultural and diverse colonial histories, offers a rich setting in which to study the influences of psychic distance and firm resources on internationalisation. The findings based on the African context for South African firms therefore provide important direct and practical implications for firms from other African economies. The conceptualisation of this study provides an insightful lens into the influence of psychic distance, firm resources and strategic choice on internationalisation processes, which is unexplored territory. With scant literature on Africa as an emerging continent, this study provides some empirical and case evidence for these propositions and contributes a basis for further research. Methodologically, this research extends the findings of Luiz and Ruplal (2013) by examining a number of sectors as opposed to a focus on mining companies alone. The research further contributes to a better understanding of internationalisation strategies by incorporating literature, case studies and a survey, as opposed to simply a survey as per Joosub and Coldwell (2016). The choice of case studies presented an opportunity to compare the internationalisation processes of an ownership-based first mover to a partnership-based latecomer, using firm resources as an enabler. Previous studies (Herrmann & Dotta, 2002; Wood, et al., 2011; Williams & Grégoire, 2014) have shown that MNEs send expatriates with international experience to manage operations in host countries. Harvey et al. (1999) provided a more nuanced view by observing that MNEs send people from diasporas to host countries as network agents, given their global consciousnesses and familiarity with the home cultures. This research, however, shows that due to the relationship-rich African cultures and the tacitness of host country knowledge, the bank (ownership model) specifically targeted and upskilled a pool of citizens of the potential host countries at the parent operation, who were subsequently deployed to bridge cultural gaps during implementation, thereby increasing the MNE's internationalisation capability. Emerging market firms' internationalisation is driven by intangible resources based on learning, linking and leveraging (Ray, et al., 2017). Although this study was exploratory in nature, the two case studies have shown a consistent pattern of an adaptive management cycle when setting up operations in other African countries. Due to the huge psychic distance encountered by these companies, they make use of repetitive and protracted planning and implementation processes. This increases the transient period and costs, yet the companies are willing to pay them to protect their reputations until they find signals to either exit or scale up. This finding regarding the existence of a transient period is not apparent in other literature. Even though Zhou and Li (2010), in their study of how strategic orientations influence dynamic capabilities, found that a firm's external interactions with customers and competitors in host countries affect its internal resource assortment and reconfiguration, they did not specifically deal with the issue of a transient period. Previous research indicated that firms look for partner organisations that wield substantial capability to fill voids (Dunning, 1988), that successful partnerships are built on trust which results in greater information sharing (Dyer, 1997), and that the selection of a local partner is informed by robust market assessment (Khanna & Palepu, 2010). This research confirms these findings by showing that spending time in the host country, doing due diligence on partner Board members, and providing a joint cultural induction of both partners' executives in the parent organisation, ensures strategic alignment with partners from the onset. Practice Despite South African firms having huge resources, literature has not overtly mentioned the nonmarket capabilities that such EMNEs build when localising their businesses to suit local market conditions. Businesses utilising the ownership model combat the liability of foreignness by acquiring a local business with ethical leadership, whilst companies using the partnership model find partners with similar values. This research contributes to the existing body of knowledge on practical internationalisation strategies into developing markets with high psychic distance. Although it is an exploratory study, it clarifies the strategic considerations that EMNEs contemplate during planning, as well as when assessing their entry strategies, implementing and integrating their resources, and in rare cases, how they exit such markets. Limitations of the study Like most empirical studies that are exploratory in nature, there are limitations to the conclusions that can be drawn, which constrain the generalisability of this study: • The study was heavily weighted to certain industry sectors - primarily financial services - which have a presence in other African countries. The obvious question is to what extent its findings are relevant to other industries? • For the two cases, the knowledge of the participants regarding how their organisations plan and implement their strategies could have been diverse, but the information was limited to those interviewed. • The volatility of African markets is very high, so between the time of embarking on the research and consolidating the results and findings, some institutional context could have changed, such as the impact of the weakening of the resources sector on Nigeria and Angola. Suggestions for future research • The case studies were restricted to financial services, thus a study of more industry sectors using additional case studies would be valuable to extend the results of this research effort. • Hoskisson, Eden, Lau & Wright (2000) argued that the process "emerging economies" takes place over a long time and multinationals' experimentation and learning is likely to be imperfect. Further research is thus needed to generate conclusive longitudinal empirical evidence theory in this area. • The growing Chinese FDI in Africa is often driven by the Chinese government's "Going Out" policy, which was established to support firms as they internationalise. Although South Africa has a "Trade Invest Africa" policy, companies in the study were oblivious to this government support. It is not clear whether South African companies have an advantage on the continent and how competition from Chinese companies, being embraced by African governments, impact South African MNEs' internationalisation strategies into the rest of Africa.
Not Available ; The land resource inventory of Budagumpa-2 microwatershedwas conducted using village cadastral maps and IRS satellite imagery on 1:7920 scale. The false colour composites of IRS imagery were interpreted for physiography and these physiographic delineations were used as base for mapping soils. The soils were studied in several transects and a soil map was prepared with phases of soil series as mapping units. Random checks were made all over the area outside the transects to confirm and validate the soil map unit boundaries. The soil map shows the geographic distribution and extent, characteristics, classification, behavior and use potentials of the soils in the microwatershed. The present study covers an area of 535ha in Koppaltalukand district, Karnataka. The climate is semiarid and categorized as drought - prone with an average annual rainfall of 662 mm, of which about 424 mm is received during south –west monsoon, 161mm during north-east and the remaining 77 mm during the rest of the year. An area of about 79per cent is covered by soils, 3 per cent mining/industrial, 10 per cent byrock outcrops and eight per cent by water bodies, settlements and others. The salient findings from the land resource inventory are summarized briefly below. The soils belong to 14soil series and 23soil phases (management units) and 6land use classes. The length of crop growing period is 150 cm) soils. About 32 per cent area has clayey soils at the surface, 44 per cent loamy soils and 3 per cent sandy soils at the surface. About 58per cent of the area has non-gravelly (200 mm/m)in available water capacity. About 75 per cent area has very gently sloping (1-3%) and 4 per cent area has nearly level (0-1%)lands. An area of about 20 per cent has soils that are slightly eroded (e1) and59 per cent moderately eroded (e2) lands. An area of about 2per cent has soils that are slightly acid (pH 6.0-6.5), 17 per cent soils are neutral (pH 6.5-7.3),55 per cent are slightly to moderately alkaline (pH 7.3 to 8.4)and 5 per cent are strongly alkaline (pH 8.4-9.0). The Electrical Conductivity (EC) of the soils is0.75%) in organic carbon. Available phosphorus is low (57 kg/ha) in65 per cent area of the microwatershed. About 53 per cent of the soils are medium (145-337 kg/ha) and 26 per cent of the soils are high (>337 kg/ha) in available potassium content. Available sulphur is low (20 ppm). Available boron is low (0.5 ppm) in about 37 per cent area,38per cent area is medium (0.5-1.0 ppm) and high (>1.0 ppm) in about 4 per cent. Available iron is sufficient (>4.5 ppm)in 41 per cent and deficient (0.6 ppm) in about 32 per cent area. Available manganeseand copper are sufficient in all the soils. The land suitability for 28 major agricultural and horticulturalcrops grown in the microwatershedwere assessed and the areas that are highly suitable (S1) and moderately suitable (S2) are given below. It is however to be noted that a given soil may be suitable for various crops but what specific crop to be grown may be decided by the farmer looking to his capacity to invest on various inputs, marketing infrastructure, market price and finally the demand and supply position. Land suitability for various crops in the microwatershed Crop Suitability Area in ha (%) Crop Suitability Area in ha (%) Highly suitable (S1) Moderately suitable (S2) Highly suitable (S1) Moderately suitable (S2) Sorghum 69 (13) 119 (22) Pomegranate 58 (11) 198 (37) Maize 17 (3) 107 (20) Guava 48 (9) 125 (23) Bajra 75 (14) 145 (27) Jackfruit 58 (11) 116 (22) Red gram 58 (11) 128 (24) Jamun 31 (6) 207 (39) Bengalgram 51 (10) 138 (26) Musambi 78 (15) 177 (33) Groundnut 48 (9) 267 (50) Lime 78 (15) 177 (33) Sunflower 78(15) 110 (35) Cashew 48 (9) 110 (21) Cotton 61 (11) 127 (24) Custard apple 112 (21) 266 (50) Chilli 58 (11) 77(14) Amla 92 (17) 287 (54) Tomato 58 (11) 49 (9) Tamarind 31 (6) 110 (21) Drumstick 58 (11) 254 (48) Marigold 48 (9) 140 (26) Mulbery 58 (11) 293 (55) Chrysanthemum 48 (9) 140 (26) Mango 31 (6) 27 (5) Jasmine 48 (9) 58 (11) Sapota 58 (11) 116 (22) Crossandra 48 (9) 82 (15) Apart from the individual crop suitability, a proposed crop plan has been prepared for the6 identified LUCs by considering only the highly and moderately suitable lands for different crops and cropping systems with food, fodder,fibre and other horticulture crops that helps in maintaining productivity and ecological balance in the microwatershed. Maintaining soil-health is vital to crop production and conserve soil and land resource base for maintaining ecological balance and to mitigate climate change. For this, several ameliorative measures have been suggested for these problematic soils like saline/alkali, highly eroded, sandy soils etc., Soil and water conservation treatment plan and drainage line treatment have been prepared that would help in identifying the sites to be treated and also the type of structures required. As part of the greening programme, several tree species have been suggested to be planted in marginal and submarginal lands, field bunds and also in the hillocks, mounds and ridges. That would help in supplementing the farm income, provide fodder and fuel, and generate lot of biomass which inturn would help in maintaining the ecological balance and contribute to mitigating the climate change. FINDINGS OF THE SOCIO-ECONOMIC SURVEY The survey was conducted in Budagumpa-2 is located at 15024'44.821'' to 150 2'24.481'' North and 760 19' 15.938'' to 76017'49.473'' covering an area of about 534.7 ha coming under Dhanakanadddi, Budhagumpaand, Kerihalli and Balebavi villages of Koppal taluk. Socio-economic analysis indicated that, out of the total sample of 36 respondents, 5 (13.89%) were landless, 2 (5.56%) were marginal farmers, 16 (44.44%) were small farmers, 9 (25%) were semi medium farmers and 4 (11.11%) were medium farmers. The population characteristics of households indicated that, there were 93 (51.96%) men and 85 (47.49%) women among the sampled households. The average family size of landless farmers' was 5, marginal and semi medium farmers' was 4.5, small farmers' was 4.8 and medium farmers' was 6.5. Majority of the respondents 21 (11.73%) people were in 0-15 years of age, 85 (45.49%) were in 16-35 years of age, 52 (29.05%) were in 36-60 years of age and 21 (11.73%) were above 61 years of age. Education level of the sample households indicated that, majority there were 39.66 per cent illiterates, 0.56 per cent of them had functional literate, 21.23 per cent of them had primary school, 2.23 per cent of them had Middle school education, 14.53 per cent of them had high school, 11.17 per cent of them had PUC and 5.59 per cent of them had degree education. About, 63.89 per cent of household heads were practicing agriculture and 38.89 per cent of the household heads were agricultural laborers. Agriculture was the major occupation for 37.99 per cent of the household members, 43.02 per cent were agricultural laborers, 1.12 per cent were general labour and government service, 1.68 per cent were private services, 11.73 per cent were student and 3.35 per cent were children. The households possess, 0.56 per cent of the population in the micro watershed has participated in gram panchayat and 99.44 per cent of the population in the micro watershed has not participated in any local institutions. In the study area, 100 per cent of the households possess katcha houses. The durable assets owned by the households showed that, 72.22 per cent of the households possess TV, 38.89 per cent of the households possess mixer/grinder, 13.89 per cent of the households possess bicycle, 52.78 per cent of the household's possess motor cycle and 97.22 per cent of the households possess mobile phones. Farm implements owned by the households indicated that, 19.44 per cent each of the households possess bullock cart, 38.89 per cent each of the households possess plough and weeder, 8.33 per cent of the households possess tractor, 22.22 2 per cent of the households possess sprayer, 2.78 per cent of the households possess sprinkler and harvester, 13.89 per cent of the households possess chaff cutter and 2.78 per cent of the households possess earth remover/ duster. Regarding livestock possession by the households, 33.33 per cent of the households possess bullocks, 19.44 per cent of the households possess local cow, 5.56 per cent of the households possess crossbreed cow and buffalo, 2.78 per cent of the households possess sheep. The average own labour men available in the micro watershed was 2.03, average own labour (women) available was 1.87, average hired labour (men) available was 19.42 and average hired labour (women) available was 7.42. Out of the total land holding of the sample respondents 14.79 ha (32.08%) of dry land, 24.62 ha (53.41%) of irrigated land and 6.69 ha (14.51%) of permanent fallow land. Marginal farmers possess 0.81 ha (100%) of irrigated land. Small farmers possess 8.62 ha (54.38%) of dry land and 7.23 ha (45.62%) of irrigated land. Semi medium farmers possess 6.17 ha (42.55%) of dry land and 8.33 ha (57.45 %) of irrigated land. Medium farmers possess 8.25 ha (55.22%) of irrigated land and 6.69 ha (44.78 %) of permanent fallow land. There were 23 functioning and 2 de-functioning bore wells in the micro watershed. Bore well was the major irrigation source in the micro water shed for 63.89 per cent of the farmers. The major crops have grown maize (24.02 ha), Bajra (9.31 ha), Red gram (6.04 ha), sunflower (4.25 ha), tomato (2.02 ha), Bengal gram (1.74 ha), paddy (1.72 ha), chilly (1.21 ha), Bengal gram (0.96 ha), cotton (0.51 ha) and cucumber (0.4 ha). The cropping intensity in Budagumpa-2 Micro watershed was found to be 108.16 per cent. The per hectare cost of cultivation for Maize, Bengal gram, Red gram, Bajra, Cotton, Tomato, Sunflower, cucumber, paddy and chilly was Rs. 33815.68, 49462.71, 24956.92, 15853.57, 61114.93, 31661.62, 36603.03, 35928.21, 86512.12 and 29662.81 with benefit cost ratio of 1:2.78, 1:2.42, 1:2.14, 1:0.78, 1:2.82, 1:2.24, 1:1.42, 1:1.37, 1:1.24 and 1:1.11 respectively. Further, 22.22 per cent of the households opined that dry fodder was adequate, 19.44 per cent of the households opined that dry fodder was inadequate, 38.89 per cent of the households opined that green fodder was adequate and 2.78 per cent of the households opined that green fodder was inadequate. 3 The average annual gross income was Rs. 24,400 for landless farmers, for marginal farmers it was Rs. 75,000, for small farmers it was Rs. 147,187.50, semi medium farmers it was Rs. 158,000 and medium farmers it was Rs. 77,500. The average annual expenditure is Rs. 11,767.75. For landless farmers it was Rs. 5,000, for marginal farmers it was Rs. 17,500, for small farmers it was Rs. 10,718.75, for semi medium farmers it was Rs. 15,098.77 and medium farmers it was Rs. 14,062.50. Sampled households have planted 387 coconut and 5 pomegranate trees in their field to cultivate horticultural crops. Households have planted 200 eucalyptus, 201 teak, 122 neem, 6 tamarind, 2 acacia, 5 banyan and 1 peepul trees in their field and also 100 neem trees in their backyard to cultivate forest species. Households have an average investment capacity of Rs. 1,111.11 for land development, Rs. 666.67 for improved crop production and Rs. 166.67 for subsidiary enterprises. Source of funds for additional investment is concerned; loan from bank was the source of additional investment for 19.44 per cent for land development, 16.67 per cent for improved crop production and 11.11 per cent for subsidiary enterprises. Own funds was the source of additional investment for 25 per cent for land development, 22.22 per cent for improved crop production and 5.56 per cent for subsidiary enterprises. Regarding marketing channels, 55.56 per cent of the farmers sold their produce to agent/traders, 50 per cent of the farmers sold their produce to local/village merchant and 2.78 per cent of the farmers sold their produce to regulated market. Further, 2.78 per cent of the households have used head load, cart and truck, 100 per cent of the households used tractor as a mode of transportation. Majority of the households 36.11 per cent have shown incidence of soil and water erosion problems. The household possess, (50%) were interested towards soil testing. The household's possess, 66.67 per cent of the households used fire wood and 33.33 per cent of the households used LPG as a source of fuel. Piped supply was the major source of drinking water for 66.67 per cent and 33.33 per cent of the households used bore well in the micro watershed. Electricity was the major source of light for 100 per cent of the households. In the study area, 27.78 per cent of the households possess sanitary toilet facility. Regarding possession of PDS card, 5.56 per cent of the sampled households possessed APL cards and 94.44 per cent of the sample households possesses BPL cards. Cereals were adequate for 100 per cent of the households, pulses were adequate for 61.11 per cent, vegetables were adequate for 66.67 per cent, fruits were 4 adequate for 2.78 per cent, milk were adequate for 86.11 per cent, egg were adequate for 69.44 per cent and meat were adequate for 66.67 per cent of the households. Pulses were inadequate for 38.89 per cent of the households, oilseed were inadequate for 61.11 per cent, vegetables were inadequate for 8.33 per cent, fruits were inadequate for 69.44 per cent, milk were inadequate for 5.56 per cent, egg were inadequate for 13.89 per cent and meat were inadequate for 2.78 per cent of the households. Farming constraints experienced by households in the micro watersheds were lower fertility status of the soil was the constraint experienced by 22.22 per cent of the households, wild animal menace on farm field (38.89%), frequent incidence of pest and diseases (44.44%), Inadequacy of irrigation water (41.67%), high cost of fertilizer and plant protection chemicals (55.56%), high rate of interest on credit (27.78%), Low price for the agricultural commodities (69.44%), lack of marketing facilities in the area (52.78%), Lack of transport for safe transport of the Agril produce to the market (30.56%), less rainfall (36.11%) and Source of Agri-technology information (33.33%). ; Watershed Development Department, Government of Karnataka (World Bank Funded) Sujala –III Project
Not Available ; The land resource inventory of Harve-2 microwatershed was conducted using village cadastral maps and IRS satellite imagery on 1:7920 scale. The false colour composites of IRS imagery were interpreted for physiography and these physiographic delineations were used as base for mapping soils. The soils were studied in several transects and a soil map was prepared with phases of soil series as mapping units. Random checks were made all over the area outside the transects to confirm and validate the soil map unit boundaries. The soil map shows the geographic distribution and extent, characteristics, classification, behaviour and use potentials of the soils in the microwatershed. The present study covers an area of 436 ha in Harve-2 microwatershed in Chamarajnagar taluk and district, Karnataka. The climate is semiarid and categorized as drought- prone with an average annual rainfall of 769 mm, of which about 316 mm is received during south –west monsoon, 252 mm during north-east and the remaining 201 mm during the rest of the year. An area of about 87 per cent area is covered by soils, 10 per cent area is covered by mining/industrial and 2 per cent is by others (Habitation and Water bodies). The salient findings from the land resource inventory are summarized briefly below. The soils belong to 10 soil series, 26 soil phases (mapping units) and 7 land management units. The length of crop growing period is about 150 days starting from the last week of July to 4th week of November. From the master soil map, several interpretative and thematic maps like land capability, soil depth, surface soil texture, soil gravelliness, available water capacity, soil slope and soil erosion were generated. Soil fertility status maps for macro and micronutrients were generated based on the surface soil samples collected at every 250 m grid interval. Land suitability for growing major agricultural and horticultural crops were assessed and maps showing degree of suitability along with constraints were generated. Entire cultivated area of about 86 per cent is suitable for agriculture. An area of about 6 per cent has deep (100-150 cm) soils, an area of 16 per cent has moderately deep (75-100 cm) soils. Maximum area of about 34 per cent is under moderately shallow (50-75 cm) soils and shallow (25-50 cm) soils occupy 30 per cent area in the microwatershed. An area of about 40 per cent has loamy soils at the surface and an area of about 47 per cent has sandy at the surface. An area of about 21 per cent has gravelly (15-35%) soils and an area of about 65 per cent has very gravelly (35-60%) soils in the microwatershed. About 44 per cent of the area has very gently sloping (1-3% slope) lands and about 43 per cent area is nearly level (0-1% slope) lands. An area of about 51 per cent has soils that are slightly eroded (e1), 35 per cent has soils that are moderately eroded (e2) and 1 per cent area under gullied lands. An area of about 6 per cent soils are slightly acid to moderately acid (pH 5.5- 6.5), 21 per cent area has neutral (pH 6.5-7.3) soils and 60 per cent has slightly alkaline to moderately alkaline (pH 7.3-8.4) soils in the microwatershed. The Electrical Conductivity (EC) of the soils are dominantly 57 kg/ha) in 62 per cent area in available phosphorus. An area of about 2 per cent has soils that are low (337 kg/ha) in available potassium. Available sulphur is low (4.5ppm) in the available iron. Available manganese and copper are sufficient in the entire cultivated area of the microwatershed. An area of about 32 per cent has soils that are deficient (<0.6 ppm) and 55 per cent has soils are sufficient in available zinc. The land suitability for 9 major crops (agricultural and horticultural) grown in the microwatershed were assessed and the areas that are highly suitable (S1) and moderately suitable (S2) are given below. It is however to be noted that a given soil may be suitable for various crops but what specific crop to be grown may be decided by the farmer looking to his capacity to invest on various inputs, marketing infrastructure, market price, and finally the demand and supply position. Land suitability for various crops in the microwatershed Crops Suitability area in ha (%) Highly Suitable (S1) Moderately Suitable (S2) Sorghum 16(4) 231(53) Maize 16(4) 231(53) Finger millet 16(4) 231(53) Red gram 10(2) 87(19) Groundnut 16(4) 231(53) Cotton 10(2) 236(54) Chilli 16(4) 231(53) Mango - 14(3) Sapota - 97(22) Apart from the individual crop suitability, a proposed crop plan has been prepared for the 7 identified LMUs by considering only the highly and moderately suitable lands for different crops and cropping systems with food, fodder, fibre and horticulture crops that helps in maintaining the ecological balance in the microwatershed. Maintaining soil-health is vital to crop production and conserve soil and land resource base for maintaining ecological balance and to mitigate climate change. For this, several ameliorative measures have been suggested to these problematic soils like saline/alkali, highly eroded, sandy soils etc., Soil and water conservation treatment plan has been prepared that would help in identifying the sites to be treated and also the type of structures required. As part of the greening programme, several tree species have been suggested to be planted in marginal and submarginal lands, field bunds and also in the hillocks, mounds and ridges. That would help in supplementing the farm income, provide fodder and fuel, generate lot of biomass, which in turn would help in maintaining the ecological balance and contribute to mitigating the climate change. Baseline socioeconomic characterisation is prerequisite to prepare action plan for program implementation and to assess the project performance before making any changes in the watershed development program. The baseline provides appropriate policy direction for enhancing productivity and sustainability in agriculture. Methodology: Harve 2 Microwatershed (Chamarajanagar taluk and district) is located in between 15018' – 15020' North latitudes and 7603' – 7605' East longitudes, covering an area of about 435.66 ha, bounded by Harve, Tammadahalli, Kethahalli and Kaggalipura villages with a length of growing period (LGP) 120-150 days. We used soil resource map as basis for sampling farm households to test the hypothesis that soil quality influence crop selection and conservation investment of farm households. The level of technology adoption and productivity gaps and livelihood patterns were analyses. The cost of soil degradation and ecosystem services were quantified. Results: The socio-economic outputs for the Harve 2 Microwatershed in Chamarajanagar taluk and district are presented here. Social Indicators; Male and female ratio is 48.8 to 51.1 per cent to the total sample population. Younger age 18 to 50 years group of population is around 64 per cent to the total population. Literacy population is around 66.6 per cent. Social groups belong to around other backward caste (OBC) is 50.0 per cent. Liquefied petroleum gas (LPG) is the source of energy for a cooking among all sample households. About 66.6 per cent of households have a yashaswini health card. Majority of farm households (50.0 %) are having MGNREGA card for rural employment. Dependence on ration cards for food grains through public distribution system is around 80.0 per cent. Swach bharath program providing closed toilet facilities around 90.0 per cent of sample households. Institutional participation is only 20.6 per cent of sample households. Women participation in decisions making are around 80.0 per cent of households. 2 Economic Indicators; The average land holding is 0.7 ha indicates that majority of farm households are belong to marginal and small farmers. The dry irrigated land of 56.4 % and rain fed land 43.6 % of total cultivated land area among the sample farmers. Agriculture is the main occupation among 15.4 per cent and agriculture is the main and agriculture labour is subsidiary occupation for 51.3 per cent of sample households. The average value of domestic assets is around Rs. 15487 per household. Mobile and television are popular media mass communication. The average value of farm assets is around Rs. 4280 per household, about 90 per cent of sample farmers weeder and drip/sprinkler (20.0 %). The average value of livestock is around Rs. 34444 per household; about 54.5 per cent of household are having livestock. The average per capita food consumption is around 552.3 grams (1502.4 kilo calories) against national institute of nutrition (NIN) recommendation at 827 gram. Around 90.0 per cent of sample households are consuming less than the NIN recommendation. The annual average income is around Rs.145229. per household. About 70 per cent of farm households are below poverty line. The per capita average monthly expenditure is around Rs.1198. Environmental Indicators-Ecosystem Services; The value of ecosystem service helps to support investment to decision on soil and water conservation and in promoting sustainable land use. The onsite cost of different soil nutrients lost due to soil erosion is around Rs. 617 per ha/year. The total cost of annual soil nutrients is around Rs. 232650 per year for the total area of 435.7 ha. The average value of ecosystem service for food grain production is around Rs 91737/ha/year. Per hectare food grain production services is maximum in banana (Rs. 200516) followed by turmeric (Rs. 94392), beans (Rs. 33933), groundnut (Rs. 9452), sorghum (Rs. 4237), horse gram (Rs. 3181) sorghum and mulberry (Rs. 1561). The average value of ecosystem service for fodder production is around Rs 1046/ ha/year. Per hectare fodder production services is maximum in groundnut (Rs. 1425) followed by sorghum (Rs. 1022) and horse gram (Rs. 690). The data on water requirement for producing one quintal of grain is considered for estimating the total value of water required for crop production. The per hectare value of water used and value of water was maximum in beans (Rs. 294826) followed by coconut (Rs. 239888), mulberry (Rs. 211913), banana (Rs. 3 146348), turmeric (Rs. 48512), sorghum (Rs. 38916), horse gram (Rs. 21416) and groundnut (Rs. 19822). Economic Land Evaluation; The major cropping pattern is horse gram (50.4%) followed by sorghum (15.4 %), coconut (13.4 %), turmeric (9.8 %), banana (6.5 %), groundnut (3.4 %) and mulberry (1.3 %). In Harve 2 Microwatershed, major soils are soil of Harve (HRV) series is having shallow soil depth cover around 11.0 % of area. On this soil farmers are presently growing coconut. Kaggalipura (KGP) are also having shallow soil depth cover 17.7 % of area, the crops are banana (50 %) and turmeric (50 %). Mukahalli (MUK) soil series having shallow soil depth cover around 1.3 % of areas, crops are horsegram (50.0 %) and sorghum (50.0 %). Lakkipur (LKR) soil series having moderately shallow soil depth cover around 63.8 % of area, crops are groundnut (83.9 %) and sorghum (16.1 %). Mukhadahalli (MKH) soil series are having moderately deep soil depth cover around 2.9 % of area; the major crops grown are horse gram (28.2 %) and sunflower (71.8 %). Kumachahalli (KMH) soil series are having deep soil depth covers around 2.9 % of area, the major crop grown is beans (33.6 %), turmeric (33.6 %) and horse gram (32.6 %). Balapur (BPR) soil series having deep soil depth cover 2.5 % of areas; crops are mulberry. The total cost of cultivation and benefit cost ratio (BCR) in study area for horse gram ranges between Rs.27090 ha in KMH soil (with BCR of 1.54) and Rs. 13481/ha in MKH soil (with BCR of 1.69). In sorghum the cost of cultivation ranges between 23827/ha in MUK soil (with BCR of 1.59) and Rs.220271 /ha in LKR soil (with BCR of 0.91). In turmeric the cost of cultivation range between Rs 87150 /ha in KMH soil (with BCR of 1.54) and Rs.105782/ha in KGP soil (with BCR of 1.79). In banana the cost of cultivation in KGP soil is Rs.86621/ha (with BCR of 3.31). In mulberry the cost of cultivation in BPR soil is Rs.68106/ha (with BCR of 1.02). In groundnut the cost of cultivation in LKR soil is Rs.36861/ha (with BCR of 1.30) and beans the cost of cultivation in KMH soil is Rs.23579/ha (with BCR of 2.44). The land management practices reported by the farmers are crop rotation, tillage practices, fertilizer application and use of farm yard manure (FYM). Due to higher wages farmer are following labour saving strategies is not prating soil and water conservation measures. Less ownership of livestock limiting application of FYM. 4 It was observed soil quality influences on the type and intensity of land use. More fertilizer applications in deeper soil to maximize returns. Suggestions; Involving farmers is watershed planning helps in strengthing institutional participation. The per capita food consumption and monthly income is very low. Diversifying income generation activities from crop and livestock production in order to reduce risk related to drought and market prices. Majority of farmers reported that they are not getting timely support/extension services from the concerned development departments. By strengthing agricultural extension for providing timely advice improved technology there is scope to increase in net income of farm households. By adopting recommended package of practices by following the soil test fertiliser recommendation, there is scope to increase yield in horse gram (20.9 to 41.2%), sorghum (45.0 to 73.6 %), groundnut (58.3 %), banana (52.6 %), coconut (51.0 %), mulberry (24.6 %) and turmeric (8.9%). ; Watershed Development Department, Government of Karnataka (World Bank Funded) Sujala –III Project
Not Available ; The land resource inventory of Lachankeri microwatershed was conducted using village cadastral maps and IRS satellite imagery on 1:7920 scale. The false colour composites of IRS imagery were interpreted for physiography and these physiographic delineations were used as base for mapping soils. The soils were studied in several transects and a soil map was prepared with phases of soil series as mapping units. Random checks were made all over the area outside the transects to confirm and validate the soil map unit boundaries. The soil map shows the geographic distribution and extent, characteristics, classification, behavior and use potentials of the soils in the microwatershed. The present study covers an area of about 716 ha in Koppal taluk and district, Karnataka. The climate is semiarid and categorized as drought - prone with an average annual rainfall of 662 mm, of which about 424 mm is received during south–west monsoon, 161 mm during north-east and the remaining 77 mm during the rest of the year. An area of about 84 per cent is covered by soils, 2 per cent by mining/industrial and 16 per cent by habitation and water bodies, settlements and others. The salient findings from the land resource inventory are summarized briefly below. The soils belong to 14 soil series and 25 soil phases (management units) and 5 land management units. The length of crop growing period is 150 cm) soils. About 2 per cent sandy soils at the surface, 65 per cent has loamy soils at the surface and 16 per cent has clayey soils at the surface. About 55 per cent of the area has non-gravelly (200 mm/m) in available water capacity. An area of about 13 per cent has nearly level (0-1%) and 71 per cent area has very gently sloping (1-3%) lands. An area of about 34 per cent has soils that are slightly eroded (e1) and 50 per cent moderately eroded (e2) lands. An area of about 0.75%) in 72 per cent area of the soils. Available phosphorus is high (>57 kg/ha) in the entire cultivated area of the microwatershed. Available potassium content is medium (145-337 kg/ha) in the entire cultivated area of the microwatershed. Available sulphur is low (4.5 ppm) in an area of about 59 per cent and deficient (0.6 ppm) in the entire cultivated area of the microwatershed. Available manganese and copper are sufficient in all the soils. The land suitability for 31 major agricultural and horticultural crops grown in the microwatershed was assessed and the areas that are highly suitable (S1) and moderately suitable (S2) are given below. It is however to be noted that a given soil may be suitable for various crops but what specific crop to be grown may be decided by the farmer looking to his capacity to invest on various inputs, marketing infrastructure, market price and finally the demand and supply position. Land suitability for various crops in the microwatershed Crop Suitability Area in ha (%) Crop Suitability Area in ha (%) Highly suitable (S1) Moderately suitable (S2) Highly suitable (S1) Moderately suitable (S2) Sorghum 82(11) 305(43) Sapota 89(12) 171(24) Maize 20(3) 368(51) Pomegranate 89(12) 171(24) Bajra 153(21) 315(44) Musambi 89(12) 171(24) Groundnut 75(10) 439(61) Lime 89(12) 171(24) Sunflower 71(10) 110(15) Amla 153(21) 388(54) Red gram 71(10) 110(15) Cashew 29(4) 217(30) Bengalgram - 388(54) Jackfruit 89(12) 172(24) Cotton 56(8) 332(46) Jamun 34(5) 226(32) Chilli 104(15) 284(40) Custard apple 153(21) 388(54) Tomato 104(15) 284(40) Tamarind 34(5) 95(13) Brinjal 109(15) 275(38) Mulberry 89(12) 245(34) Onion 58(8) 326(46) Marigold 49(7) 339(47) Bhendi 58(8) 326(46) Chrysanthemum 49(7) 339(47) Drumstick 89(12) 165(23) Jasmine 49(7) 339(47) Mango 34(5) 83(12) Crossandra 49(7) 338(54) Guava 44(6) 217(30) Apart from the individual crop suitability, a proposed crop plan has been prepared for the 5 identified LMUs by considering only the highly and moderately suitable lands for different crops and cropping systems with food, fodder, fibre and other horticulture crops that helps in maintaining productivity and ecological balance in the microwatershed. Maintaining soil-health is vital for crop production and conserve soil and land resource base for maintaining ecological balance and to mitigate climate change. For this, several ameliorative measures have been suggested for these problematic soils like saline/alkali, highly eroded, sandy soils etc. Soil and water conservation treatment plan has been prepared that would help in identifying the sites to be treated and also the type of structures required. As part of the greening programme, several tree species have been suggested to be planted in marginal and submarginal lands, field bunds and also in the hillocks, mounds and ridges. That would help in supplementing the farm income, provide fodder and fuel, and generate lot of biomass which in turn would help in maintaining the ecological balance and contribute to mitigating the climate change. SALIENT FINDINGS OF THE SURVEY Baseline socioeconomic characterization is prerequisite to prepare action plan for program implementation and to assess the project performance before making any changes in the watershed development program. The baseline provides appropriate policy direction for enhancing productivity and sustainability in agriculture. Methodology: Lachankari micro-watershed in Karkihalli Sub-watershed (Koppal taluk and district) is located in between 15014'–15013' North latitudes and 76014' – 76013' East longitudes, covering an area of about 715.81 ha, bounded by Lachanakeri, Karkihalli and Kunakeri villages with length of growing period (LGP) 120-150 days. We used soil resource map as basis for sampling farm households to test the hypothesis that soil quality influence crop selection, and conservation investment of farm households. The level of technology adoption and productivity gaps and livelihood patterns were analyses. The cost of soil degradation and ecosystem services were quantified. Results: The socio-economic outputs for the Lachankari micro-watershed in Koppal taluk and district are presented here. The data indicated that there were 149 (58.66%) men and 105 (41.34%) were women among the sampled households. The average family size of marginal farmers was 4.19, a small farmer was 5, a semi medium farmer was 4.33, a medium farmer was 4 and for large farmers it was 4.22. There were 54 (21.26%) people were in 0-15 years of age, 127 (50%) were in 16- 35 years of age, 62 (24.41 %) were in 36-60 years of age and 11 (4.33%) were above 61 years of age. The Lachankeri had 33.46 per cent illiterates, 0.39 per cent functional literates, 20.87 per cent of them had primary school education, 11.42 per cent of them had middle school education, 17.72 per cent of them had high school education, 8.27 per cent of them had PUC education, 0.39 per cent of them had ITI, 4.33 per cent of them had degree education and 3.15per cent of them had other education. The results indicate that, 94.12 per cent of households practicing agriculture and 3.92 per cent of the household heads were agricultural labourers. The results indicate that agriculture was the major occupation for 65.35 per cent of the household members, 1.18 per cent were agricultural labourers, 1.97 per cent were general labours, 0.79 per cent of them were in government sector and 27.56 per cent of them were students. The results shows that 0.39 per cent of them participated in self help groups, 3.54 per cent of them participated in user groups and 95.28 per cent of them have not participated in any local institutions. About 0per cent of landless farmers have participated in self help groups and 95.24 per cent have not participated in any local institutions. Marginal farmers participated in self help group (0%) and user groups (5.45%). 2 The results indicate that 1.96 per cent of the households possess thatched house, 0 per cent of the households possess Katcha house, 3.92 per cent of them possess pucca house and 7.84 per cent of them household's posses' semi pucca house. The results shows that 94.12 per cent of the households possess TV, 78.43 per cent of the households possess mixer grinder, 11.76 per cent of the households possess bicycle, 37.25 per cent of the households possess motor cycle, and 88.24 per cent of the households possess mobile phones. About 41.18 per cent of the households possess plough, 7.84 per cent of them possess tractor and 60.78 per cent of the households possess sprayer. The average value of plough was Rs.1, 738, the average value of tractor was Rs.3, 76,250 and the average value of sprayer was Rs.4, 741. The results indicate that, 21.57 per cent of the households possess bullocks, 41.18 per cent of the households possess local cow, 17.65 per cent of the households possess crossbred cows, 5.88 per cent of the households possess buffalo and 1.96 per cent of the households possess sheep. Average own labour men available in the micro watershed was 1.76, average own labour (women) available was 1.36, average hired labour (men) available was 6.9 and average hired labour (women) available was 5.62. The results indicate that, 88.24 per cent of the household opined that hired labour was adequate and 3.9 per cent of the households opined that hired labour was inadequate. Households of the Lachankeri micro watershed possess 29.54 ha (46.6 %) of dry land and 53.4 ha (33.86%) of irrigated land. The average value of dry land was Rs. 3, 80, 989 and average value of irrigated was Rs. 5, 65,389. Marginal farmers had irrigated area of 0.53 hectares, small farmers had 11.67 hectares, semi medium farmers had 13.7 hectares of irrigated land and medium farmers had 10.26 hectares of irrigated land. Farmers have grown cotton (0.81 ha), cow pea (1.3 ha), ground nut (8.72 ha), maize (18.74 ha), paddy (3.5 ha) and pearl millet (Sajje) (7.77 ha), red gram (togari) (45.54 ha). Marginal farmers have grown sugarcane (0.4 ha), ground nut (0.4ha), and maize (2.99 ha), Small farmers have grown ground nut (3.34 ha), sugarcane (1.3 ha) and maize (5.91 ha). Semi medium farmers have grown maize (4.99 ha), paddy (2.97ha), pearl millet (Sajje) (3.43 ha) and sugarcane (0.81ha).Medium farmers have grown maize (4.86 ha) and ground nut (2.96 ha). The cropping intensity Lachankeri micro watershed was found to be 152.38 per cent. In case of marginal farmers it was 100 per cent, for small farmers it was 94.38 per cent, in case of semi medium farmers it was 86.11 per cent, medium farmers had cropping intensity of 275.89 per cent 3 The results indicate that, the total cost of cultivation for groundnut was Rs. 63206. The gross income realized by the farmers was Rs. 72628. The net income from ground nut cultivation was Rs. 9421.94, thus the benefit cost ratio was found to be 1: 1.15. The results indicate that, the total cost of cultivation for bajra was Rs. 37238. The gross income realized by the farmers was Rs. 26355.59. The net income from Bajra cultivation was Rs. -10882.68. Thus the benefit cost ratio was found to be 01:00.7. The results indicate that, the total cost of cultivation for cowpea was Rs. 43484. The gross income realized by the farmers was Rs. 35506.25. The net income from cowpea cultivation was Rs-7977.92, thus the benefit cost ratio was found to be 01:00.8. The results indicate that, the total cost of cultivation for cotton was Rs. 49293. The gross income realized by the farmers was Rs 74100. The net income from cotton cultivation was Rs 24806.22. Thus the benefit cost ratio was found to be 01:01.5. The results indicate that, households have planted 2 teak, 77 neem trees, 3 tamarind, 1 peepul tree and 6 banyan trees. Marginal farmers have planted 12 neem, 2 teaks, 1 peepul and 1 banyan tree. Small farmers have planted 27 Neem. Semi medium farmers have planted 26 neem and 1 tamarind trees. Medium farmers have planted 12 neem trees. Bore well was the major source for drinking water for 82.35 per cent includes 20 per cent of landless, 83.33 per cent of marginal, 87.5 per cent of small farmers, 100 per cent of semi medium and 83.33 per cent of medium. Electricity was the major source of light for all the households in micro watershed. Kerosene was major source of light for 1.96 per cent of the households The results indicated that,49.02 per cent of the households possess sanitary toilet i.e. 20 per cent of landless, 16.67 per cent of marginal, 87.5 per cent of small, 16.67 per cent of semi medium and 100 per cent of medium and large farmers had sanitary toilet facility. The results indicated that, 90.2 per cent of the households sampled possessed BPL card. The results indicated that, wild animal menace on farm field (65.31%) of the households, frequent incidence of pest and diseases (19.61%), High cost of Fertilizers and plant protection chemicals (9.8%), , high rate of interest on credit (33.33%), low price for the agricultural commodities (9.8%), lack of marketing facilities in the area (39.22%), less rain fall (72.55%), Source of Agri-technology information (Newspaper/ TV/ Mobile) (15.69%). ; Watershed Development Department, Government of Karnataka (World Bank Funded) Sujala –III Project
Not Available ; The land resource inventory of Daddegallu-3 microwatershed was conducted using village cadastral maps and IRS satellite imagery on 1:7920 scale. The false colour composites of IRS imagery were interpreted for physiography and these physiographic delineations were used as base for mapping soils. The soils were studied in several transects and a soil map was prepared with phases of soil series as mapping units. Random checks were made all over the area outside the transects to confirm and validate the soil map unit boundaries. The soil map shows the geographic distribution and extent, characteristics, classification, behavior and use potentials of the soils in the Microwatershed. The present study covers an area of 311 ha in Koppal taluk and district, Karnataka. The climate is semiarid and categorized as drought - prone with an average annual rainfall of 662 mm, of which about 424 mm is received during south –west monsoon, 161 mm during north-east and the remaining 77 mm during the rest of the year. An area of about 97 per cent is covered by soils and three per cent by mining /industrial area, water bodies and others. The salient findings from the land resource inventory are summarized briefly below. The soils belong to 8 soil series and 13 soil phases (management units) and 5 land use classes. The length of crop growing period is 150 cm). Entire area in the microwatershed has clayey soils at the surface. About 52 per cent of the area has non-gravelly (200mm/m) in available water capacity. Entire area in the microwatershed has very gently sloping (1-3%) lands. An area of about 48 per cent is slightly eroded (e1), 41 per cent is moderately eroded (e2) lands and 8 per cent is severely (e3) eroded. An area of about 74 per cent soils strongly alkaline (pH 8.4 to 9.0) and 23 per cent is very strongly alkaline (pH > 9.0). Electrical conductivity (EC) of the soils are dominantly 337 kg/ha) in 71 per cent of the soils. Entire area in the microwatershed is low (<10 ppm) in available sulphur. Entire area in the microwatershed is medium (0.5-1.0 ppm) in available boron. Entire area in the microwatershed is deficient (<4.5 ppm) in available iron. Entire area in the microwatershed is deficient (<0.6 ppm) in available zinc. Available manganese and copper are sufficient in the entire area. The land suitability for 28 major agricultural and horticultural crops grown in the microwatershed was assessed and the areas that are highly suitable (class S1) and moderately suitable (class S2) are given below. It is however to be noted that a given soil may be suitable for various crops but what specific crop to be grown may be decided by the farmer looking to his capacity to invest on various inputs, marketing infrastructure, market price, and finally the demand and supply position. Land suitability for various crops in the microwatershed Crop Suitability Area in ha (%) Crop Suitability Area in ha (%) Highly suitable (S1) Moderately suitable (S2) Highly suitable (S1) Moderately suitable (S2) Sorghum 71(23) 96(31) Pomegranate - 129(41) Maize - 168(54) Guava - - Bajra - 167(54) Jackfruit - - Redgram - 94(30) Jamun - 40(13) Bengal gram 71(23) 96(31) Musambi 40(13) 89(29) Groundnut - - Lime 40(13) 89(29) Sunflower 40(13) 89(29) Cashew - - Cotton 71(23) 96(31) Custard apple 71(23) 96(31) Chilli - - Amla - 168(54) Tomato - 23(7) Tamarind - 40(13) Drumstick - 129(41) Marigold - 168(54) Mulberry - 82(26) Chrysanthemum - 168(54) Mango - - Jasmine - 39(12) Sapota - 23(7) Crossandra - 58(18) Apart from the individual crop suitability, a proposed crop plan has been prepared for the 5 identified LUCs by considering only the highly and moderately suitable lands for different crops and cropping systems with food, fodder, fibre and other horticulture crops. Maintaining soil-health is vital for crop production and conserve soil and land resource base for maintaining ecological balance and to mitigate climate change. For this, several ameliorative measures have been suggested to these problematic soils like saline/alkali, highly eroded, sandy soils etc., Soil and water conservation treatment and drainage line treatment plans have been prepared that would help in identifying the sites to be treated and also the type of structures required. As part of the greening programme, several tree species have been suggested to be planted in marginal and submarginal lands, field bunds and also in the hillocks, mounds and ridges. This would help in supplementing the farm income, provide fodder and fuel, and generate lot of biomass which in turn would help in maintaining the ecological balance and contribute to mitigating the climate change. Chapter 1 FINDINGS OF THE SOCIO-ECONOMIC SURVEY The survey was conducted in Daddegallu-3 is located at 15022'35.529'' to 150 20'45.305'' North and 760 7' 13.707'' to 7606'12.385''covering an area of about 311.52 ha coming under Dadhegala, Koppala and Yathnatti Villages of Koppal taluk. Socio-economic analysis indicated that, out of the total sample of 39 respondents, 1 (2.56%) were landless, 17 (43.59%) were marginal farmers, 13 (33.33%) were small farmers, 6 (15.38%) were semi medium farmers and 2 (5.13%) were medium farmers. The population characteristics of households indicated that, there were 106 (57.61%) men and 78 (42.39%) women among the sampled households. The average family size of landless farmers' was 4, marginal farmers were 4.4, semi medium farmers' was 4.5, small farmers' was 5.1 and medium farmers' was 7. Majority of the respondents 37 (20.11%) people were in 0-15 years of age, 74 (40.22%) were in 16-35 years of age, 51 (27.72%) were in 36-60 years of age and 22 (11.96%) were above 61 years of age. Education level of the sample households indicated that, majority there were 40.22 per cent illiterates, 21.74 per cent of them had primary school, 4.35 per cent of them had Middle school education, 15.76 per cent of them had high school, 5.43 per cent of them had PUC, 0.54 per cent of them had diploma education, 1.63 per cent of them had ITI education and 5.43 per cent of them had degree education. About, 94.87 per cent of household heads were practicing agriculture and 2.56 per cent of the household industry and trade and business. Agriculture was the major occupation for 69.57 per cent of the household members, 1.09 per cent were household industry and trade and business, 16.85 per cent were student, 1.63 per cent was housewives and 4.89 per cent were children. The households possess, 100 per cent of the population in the micro watershed has not participated in any local institutions. In the study area, 10.26 per cent of the households possess thatched houses, 58.97 per cent of the households possess katcha house, 20.51 per cent of the households possess pucca/RCC and 12.82 per cent of the households possess semi pacca. The durable assets owned by the households showed that, 94.87 per cent of the households possess TV, 2.56 per cent of the households possess DVD/VCD player and refrigerator, 100 per cent of the households possess mixer/grinder and mobile phones, 23.08 per cent of the household's possess bicycle and 30.77 per cent of the households possess motor cycle. Farm implements owned by the households indicated that, 12.82 per cent each of the households possess bullock cart, 20.51 per cent each of the households possess 2 plough, 2.56 per cent of the households possess seed/fertilizer drill and chaff cutter, 5.13 per cent of the households possess tractor, 17.95 per cent of the households possess sprayer and 46.15 per cent of the households possess weeder. Regarding livestock possession by the households, 15.38 per cent of the households possess bullocks and local cow, 5.13 per cent of the households possess crossbreed cow and 17.95 per cent of the households possess buffalo. The average own labour men available in the micro watershed was 1.68, average own labour (women) available was 1.46, average hired labour (men) available was 7.59 and average hired labour (women) available was 7.43. Out of the total land holding of the sample respondents 47.54 ha (89.88%) of dry land and 4.45 ha (8.42%) of irrigated land. Marginal farmers possess 12 ha (100%) of dry land. Small farmers possess 17.13 ha (95.49%) of dry land and 0.81 ha (4.51%) of irrigated land. Semi medium farmers possess 14.35 ha (89.87%) of dry land and 1.62 ha (10.13 %) of irrigated land. Medium farmers possess 4.05 ha (66.67%) of dry land and 2.02 ha (33.33 %) of irrigated land. There were 1 functioning bore wells in the micro watershed. Bore well was the major irrigation source in the micro water shed for 2.56 per cent of the farmers. The major crops have grown maize (37.87 ha), sunflower (3.33 ha), red gram (2.1 ha), jowar (1.62 ha), rabi maize (1.28 ha), Bengal gram and mulberry (1.21 ha), rabi bengal gram (0.93 ha), pearl millet (0.81 ha), red gram (0.61 ha) and paddy (0.4 ha). Cropping intensity in micro watershed was found to be 96.8 per cent. The households possess 69.23 per cent of the households have bank account. The household's posess, 64.1 per cent of the households have availed credit from different sources. The per hectare cost of cultivation for Maize, Bengal gram, red gram, bajra, mulberry, jowar and sunflower was Rs. 31782.98, 34704.54, 21997.31, 10613.13, 20133.77, 30097.46 and 39789.73 with benefit cost ratio of 1:1.05, 1:1.34, 1:1.05, 1:1.44, 1:0.82, 1:0.6, and 1:0.95 respectively. Further, 41.03 per cent of the households opined that dry fodder was adequate and 20.51 per cent of the households opined that green fodder was adequate. The average annual gross income was Rs. 53,200 for landless farmers, for marginal farmers it was Rs. 56,510.59, for small farmers it was Rs. 62,926.92, semi medium farmers it was Rs. 139,366.67 and medium farmers it was Rs. 130,000. The average annual expenditure is Rs. 11,333.44. For landless farmers it was Rs. 53,200, for marginal farmers it was Rs. 3,324.15, for small farmers it was Rs. 3 4,840.53, for semi medium farmers it was Rs. 23,227.78 and medium farmers it was Rs. 65,000. Sampled households have planted 5 teak, 50 neem, 2 tamarind and 1 banyan and peepul trees in their field and also 2 neem trees in their backyard to cultivate forest species. Households have an average investment capacity of Rs. 4,153.85 for land development, Rs. 666.67 for irrigation facility, Rs. 2,153.85 for improved crop production and Rs.179.49 for improved livestock management. Source of funds for additional investment is concerned; own funds was the source of additional investment for 61.54 per cent for land development, 7.69 per cent for irrigation facility, 41.03 per cent for improved crop production and 5.13 per cent for improved livestock management. Soft loan was the source of additional investment for 10.26 per cent for land development, 5.13 per cent for irrigation facility and 7.69 for improved crop production. Regarding marketing channels, 20.51 per cent of the farmers sold their produce to agent/traders, 82.05 per cent of the farmers sold their produce to local/village merchant and 2.56 per cent of the farmers sold their produce to regulated market. Further, 2.56 per cent of the households have used head load, 15.38 per cent of the households used cart, 71.79 per cent of the households used tractor and 15.38 per cent of the households used truck as a mode of transportation. Majority of the households 23.08 per cent have shown incidence of soil and water erosion problems. The household possess, (76.92%) were interested towards soil testing. The households possess, 89.74 per cent of the households used fire wood and 28.21 per cent of the households used LPG as a source of fuel. Piped supply was the major source of drinking water for 20.51 per cent, 66.67 per cent of the households used bore well, 2.56 per cent of the households used open well and 7.69 per cent used lake/ tank in the micro watershed. Electricity was the major source of light for 100 per cent of the households. In the study area, 53.85 per cent of the households possess sanitary toilet facility. Regarding possession of PDS card, 94.87 per cent of the sampled household's possessed BPL cards and 2.56 per cent of the sample households has not possess PDS cards. Cereals were adequate for 100 per cent of the households, pulses were adequate for 64.1 per cent, oilseeds were adequate for 41.03 per cent, vegetables were adequate for 66.67 per cent, fruits were adequate for 10.26 per cent, milk were adequate for 92.31 per cent, egg were adequate for 46.15 and meat were adequate for 20.51 per cent of the households. Pulses were inadequate for 30.77 per cent of the households, oilseed were inadequate for 53.85 per cent, vegetables were inadequate for 28.21 per cent, 4 fruits were inadequate for 64.1 per cent, milk were inadequate for 5.13 per cent, egg were inadequate for 7.69 per cent and meat were inadequate for 66.67 per cent of the households. Farming constraints experienced by households in the micro watersheds were lower fertility status of the soil was the constraint experienced by 82.05 per cent of the households, wild animal menace on farm field (56.41%), frequent incidence of pest and diseases (87.18%), Inadequacy of irrigation water (69.23%), high cost of fertilizer and plant protection chemicals (84.62%), high rate of interest on credit (100%), Low price for the agricultural commodities (76.92%), lack of marketing facilities in the area (92.31%), inadequate extension services (56.41%), Lack of transport for safe transport of the Agril produce to the market (79.49%), less rainfall (23.08%) and Source of Agri-technology information (10.26%). ; Watershed Development Department, Government of Karnataka (World Bank Funded) Sujala –III Project
En la arena educativa, uno de los focos de tensión irresuelto en la actualidad es el propio de las relaciones entre la escuela pública y la escuela privada. Los partidarios de cada opción participan en un debate apasionado con posiciones sustentadas básicamente en argumentos religiosos, políticos y sociales y ello, ante la carencia de estudios que posibiliten el conocimiento de la génesis y desarrollo de la escuela privada y permitan su tratamiento propiamente educativo. En consecuencia se ha determinado seguir el devenir histórico de la conformación de un sistema de instrucción nacional público y privado junto con el concepto de libertad de enseñanza, garante entre otros de la libertad de creación de centros, al menos desde el liberalismo doceañista hasta los albores de la Guerra Civil en un triángulo matriz cuyos vértices quedan determinados en cada momento histórico por ia ideología gubernamental, la todopoderosa actuación de la Iglesia católica y las siempre escasas partidas económicas dedicadas a la instrucción. El trabajo sigue la metodología de la investigación histórica tradicional procurando interpretar los hechos acaecidos basándose en documentos históricos. El punto de partida no puede ser otro que el R.D. de 1 de julio de 1902 documento que conforma un instrumento de inspección estatal de escuelas privadas que tradicionalmente habían quedado fuera de su control y la documentación consiguiente de más de un centenar de centros educativos que solicitan los trámites de apertura y funcionamiento dirigidos a la Universidad Literaria de Sevilla. Ellos son una fuente de información primigenia acerca de los cuadros de enseñanza (asignaturas, gabinetes y material científico) y documentos de filiación (certificados de buena conducta y residencia )entre otros, además de las condiciones de moralidad e higiene en que se desenvolvían .imprescindibles en la autorización del establecimiento. En esos momentos históricos , la necesaria reforma educativa en cuanto a leyes educativas, planes de estudios, contenidos.etc, cede paso al pulso, estatista de una parte; confesional de otra, por el control político e ideológico de la escuela. A comienzos del s. XX la ciudad de Huelva alcanza elevados índices demográficos y económicos debidos en buena parte a la actividad minera. Así, las necesidades de la población se traducen, bajo la premisa de la mejora de los servicios públicos, a veces en manos privadas, en una mayor demanda de agua, mercados de abastos y escuelas, entre otros. En 1901 el Gobernador civil propondrá al Consistorio una profunda reforma en el abastecimiento de aguas . Urge trazar una red apropiada que provea de agua potable a la población. A este problema se le une poco después, en el verano, las obras de la nueva plaza de abastos que quedarán paralizadas debido a problemas en el ensamblaje metálico de la cubierta .En lo referente a las escuelas, no pocas veces los planteamientos educativos quedarán en un segundo plano, advirtiéndose principalmente el coste que suponen las subvenciones, gratificaciones, construcciones, pago de haberes. en un mapa escolar variopinto donde toman acomodo la escuela pública - nacional, la católica, 1a escuela laica y un colegio. Otro de los problemas que preocupa ai consistorio es el de la mendicidad de oficio, que será estudiado en la Comisión de Beneficencia y el abaratamiento de los artículos de primera necesidad, aspectos de una sociedad en rápido crecimiento. El estudio de la escuela primaria privada requiere el establecimiento de cortes cronológicos. En el primero, que abarca desde principios de siglo hasta 1923 se hace patente el desarrollo "autónomo" de los colegios religiosos aprovechando los pactos con la Iglesia, las confrontaciones políticas, los beneficiosos procedimientos administrativos , al menos en lo relativo a la titulación^ la desidia que acompañaba estos temas. Con Primo de Rivera, el restablecimiento del R.D. de i de julio de 1902 y la proliferación de escuelas y colegios de congregaciones e institutos religiosos. El planteamiento novedoso de la escuela unificada de manos de la República y su programa laico y secular izad or culminará con disposiciones que dictarán la supresión de subvenciones a colegios religiosos, la incautación de sus edificios y la desaparición de algunos colegios. La escuela no oficial de Huelva forma un mosaico complejo y variado. Junto a la escuela de la mina surgida a partir de 1873 con la llegada de capitales extranjeros para la explotación de los criaderos de minerales y a escuela evangélica, tan ligada a ella y algunas pocas escuelas privadas no confesionales .laicas y racionalistas toleradas y vigiladas de cerca , ya en la capital, ya en la provincia, por los servidores de la Iglesia católica. Junto a unos pocos colegios para hijos de obreros, los colegios de primera y segunda enseñanza, garantes de una educación de calidad para la pujante clase media y los colegios y escuelas de órdenes, institutos y congregaciones religiosas, que se asientan en la capital y en desarrolladas localidades provinciales para ofertar junto a una educación de calidad otra de caridad para los más desfavorecidos. Queda patente la importancia de la escuela católica > parte medular del sistema educativo y ello por un doble motivo; por el número creciente de escuelas y colegios establecidos, y por la colonización creciente de sus enseñanzas en el currículo , sin olvidar el papel inspector que ejercen en el resto de escuelas, Restan las escuelas particulares, las más numerosas, las que se encuentran diseminadas por toda la geografía onubense, de corte mayoritariamente femenino si se atiende a la dirección y clientela y que subsiste a duras penas con exiguos pagos o cicateras subvenciones de los ayuntamientos a cambio de matricular a un determinado número de alumnos pobres, aliviando así las sonrojantes listas de matriculación escolar. El mapa escolar ha de completarse con la labor educativa y social de Manuel Siurot en sus Escuelas del Sagrado Corazón de Jesús, transmisor de las enseñanzas de Manjón y !a Escuela Francesa , verdadero referente educativo capitalino que perdura actualmente, Finaliza este trabajo reparando en los protagonistas inmediatos del hecho educativo: el profesorado y el alumnado. Dividido el periodo acotado en cuatro décadas , se estudian en cada una las titulaciones y obligaciones de maestros y maestras, haciendo referencia a los planes de estudio y, cuando los datos lo permiten, reparar en aspectos tales como el estado civil, procedencia, edad y número de maestros y maestras, así como la oferta educativa y los niveles de asistencia en las escuelas públicas, privadas, de patronato y subvencionadas, aspectos que permiten caracterizar la escuela en el periodo mencionado. Esta es nuestra contribución al conocimiento de la escuela privada, conocimiento modesto tanto por la dimensión local como por el estudio de una documentación que refleja parcialmente la realidad, pues si bien es cierto que hemos seguido fielmente todos los documentos de los archivos mencionados, también es cierto que por el camino se han quedado cientos de escuelas "amigas" que quedan fuera de control aunque aún perduren en la memoria. Queda abierta una vía para futuras investigaciones. ; In the educational arena, one of the tension focal points still unresolved at present Is the one belonging to the relationship between the state school and the private (Independent) school. Supporters of each option take part in a passionate debate with positions essentially sustained by religious, political and social arguments due to the lack of studies that make possible the understanding of the genesis and development of the private (independent) school and enable their proper educational treatment. Consequently, it has been determined to follow the historical development of configuration of a national state and private education system together with the concept of academic freedom, guarantor of, among others, the freedom of establishment of centres, at least from the doceanista liberalism to the dawn of the Civil War in a matrix triangle whose vertices are determined in each historical period by the governmental ideology, the powerful action of the Catholic Church and the always scarce economic funds devoted to instruction. The study follows the methodology of traditional historical research trying to interpret the events based on historical documents. The starting point can not be other than the Royal Decree of 1st July 1902, a document that functions as a state inspection instrument of private (independent) schools that had traditionally been beyond its control and the consequent documentation of more than a hundred education centres applying for the opening and operation procedures directed to the Literary University of Seville. They are a primal source of information with regards to teaching charts (subjects, offices and scientific equipment) and affiliation documents (certificates of good behaviour and residence) among others, including the morality and hygiene conditions where they were working, essential for the approval of the establishment. In those historical moments, the necessary educational reform in terms of education laws, curricula, contents.etc, gives way to the arm wrestle, state-controlled on the one hand, confessional on the other, for the political and ideological control of the school. At the beginning of the twentieth century, the city of Huelva reaches high demographic and economic indices largely due to the mining activity. Thus, the population necessities are translated, under the premise of improving public services, sometimes in private hands, in a higher demand for water, food markets and schools among others. In 1901 the Civil Governor will propose to the City Council a major remodelling of the water supply, it urges to design an appropriate network for providing drinking water to the population. This concern is joined shortly after, in summertime, by the building work of the new food market that will be paralysed due to problems with the metallic structure of the roof. With regards to schools, not rarely educational approaches will remain in the background, noticing mainly the costs involving subsidies, school fees, building work, salary payments.in a diverse school map that accomodates the state elementary school - the national, the Catholic, the secular school and a secondary school. Other problems that concern the City Council are the proffesional begging, which will be studied by the Charity Committee, and the price reduction of prime necessity goods, aspects of a society in rapid growth, The study of the private elementary school requires the establishment of chronological frames. In the first one, spanning from the beginning of the century until 1923, is patent the "autonomous" development of religious schools taking advantage of pacts with the Church, political confrontations, beneficial administrative procedures, at least in terms of qualifications, or the apathy that accompanied these issues. With Primo de Rivera, the restoration of the Royal Decree of 1st July 1902 and the proliferation of elementary and secondary schools of religious congregations and religious high schools. The original approach of the unified school thanks to the Republic and its lay and secular plan will culminate in provisions that will dictate the abolition of subsidies to religious schools, the seizure of their buildings and the dissapearance of some schools. The non-official school of Huelva forms a complex and varied mosaic. Together with the school of the mine emerged from 1873 with the arriving of foreign capital for the exploitation of mineral farms and the Evangelical school, so bound to it and a few non-religious private schools, secular and rationalist tolerated and closely monitored, in the capital and the province, by the servants of the Catholic Church. Together with a few schools for the children of labourers, primary and secondary schools, guarantors of a quality education for the burgeoning middle class and elementary and secondary schools of religious orders, high schools and religious congregations, that establish themselves in the capital and in developed provincial localities to offer besides a quality education, a charity one for the most deprived people, it becomes clear the importance of the Catholic school, core of the education system and this is obvious for two reasons: because of the growing number of established primary and secondary schools, and the growing colonisation of their teachings in the curriculum, not forgetting the inspector role they play in the other schools. It remains to mention private home-schools, the most numerous ones, which are scattered throughout the geography of Huelva, mainly for girls if we look into their management and customers, and that hardly survive with meagre payments or stingy subsidies from Town Councils in exchange of enrolling a certain number of poor pupils, relieving in that way the embarrasing school enrolment lists. The school map should be completed with the educational and social work of Manuel Siurot in his schools of the Sagrado Corazón de Jesús, transmitter of the Manjon and French School pedagogies, real capital educational model that currently endures. This paper finishes noticing the immediate leading figures in the educational process: teachers and pupils. Dividing the chosen period in four decades, the qualifications and duties of teachers are estudied in each of them, referencing to the curricuium and, when data allows it, notice aspects such as marital status, origin, age and number of teachers as well as the educational provision and attendance standards of state schools, private (independent) schoois, sponsored schools and subsidised schools, ail aspects that allow to picture the school in the mentioned period of time. This is our contribution to the knowledge of the private (independent) school, modest knowledge for both the local dimension and the study of documentation that reflects the reality only partially, even if we have accurateily followed all the documents of the mentioned archives, it is also true that we had left behind hundred of private "child-friendly" schools (escuelas "amigas3) outside our matter of study even if they still endure in our memory, An avenue for future research remains open.
Social Impact Assessment (SIA) is the process of analyzing, monitoring and managing the social effects of planned or implemented development interventions. The primary purpose of SIA is to bring about a sustainable and equitable biophysical and social environment. SIA is a prerequisite in FAO and World Bank aided projects which cover sectors of mining, agriculture, fishery, dams and transportation. In forestry it has the great potential of enhancing sustainable forest management, taking into account rural development objectives and local needs. SIA can be applied before and after the implementation of projects and programs. In the context of recent policy changes in China, the Natural Forest Protection Program (NFPP) has been implemented in a "top-down" process from 1998 to 2010. A large part of the forests on main river basins in Western regions are being conserved with severe restrictions for commercial use. The social effects of the NFPP are still debatable, indicating a need for conducting a SIA of the NFPP using a systematic conceptual approach. Objectives of the research are: (1) To understand how and to what extent the NFPP affected the local forest-dependent communities and their households; (2) To identify the local strategies currently used to cope up with the impacts; and (3) To develop the optimal strategies likely supported for a better harmonization between livelihood and the NFPP implementation in different regional contexts. The empirical research is approached through quantitative and qualitative social research methods for data collection and analysis. For the case studies, four villages with a total number of 175 respondents were selected for field surveys where questionnaires, interviews and group discussions were employed. The research findings indicate that, the NFPP has significant impacts on the population characteristics, institutional arrangements and infrastructure and public services at the community level and at household level, the income derivation, expenditure, labour time distribution, perceptions on public health/safety and changing values of forests perceived by individuals. The research reveals that, synthesizing de facto impacts of the NFPP makes potential negative social impacts predictable. The policy-makers and project teams implementing the NFPP should be aware that, the NFPP results in dynamic change processes which include the de facto and potential impacts as well as the influence factors; among these, contribution of strategies derived from local communities and households as the spontaneous reactions to cope with the NFPP impacts should be taken into consideration. Recommendations are given referring to a better implementation of the NFPP and the need for future researches concerning the SIA for sustainable forest management in different regional contexts.:TABLE OF CONTENT ACKNOWLEDGEMENTS . i LIST OF FIGURES . vi LIST OF TABLES . viii LIST OF BOXES . ix LIST OF ACRONYMS . x ABSTRACT . xii ZUSAMMENFASSUNG . xiii 1 INTRODUCTION . xiii 1.1 Background . 1 1.2 Problem statement and justification . 5 1.3 Research objectives . 6 1.3.1 General research objectives . 6 1.3.2 Specific research objectives . 7 1.4 Structure of the dissertation . 8 2 CURRENT STATE OF KNOWLEDGE AND INFORMATION . 10 2.1 General remark . 10 2.2 Forestry reforms in China . 10 2.2.1 China's forestry sector since the economic reform in 1978 . 10 2.2.2 Forest tenure and administration . 13 2.2.3 Chronology of sectional reforms in China and their consequences . 14 2.2.4 Policy reforms in the forestry sector . 18 2.3 The Natural Forest Protection Program . 21 2.3.1 Background and objective . 21 2.3.2 Scale and main contents . 21 2.3.3 Implementation process . 22 2.3.4 Budget . 23 2.3.5 Legal basis . 23 2.3.6 Current implementation status and main achievements . 23 2.3.7 Various impacts of the NFPP derived from previous researches . 23 2.4 Social Impact Assessment as a development tool . 25 2.4.1 Concepts of Social Impact Assessment . 25 2.4.2 A brief history of Social Impact Assessment . 27 2.4.3 Principles and guidelines for Social Impact Assessment . 29 2.4.4 Basic model of Social Impact Assessment . 29 2.4.5 Process of Social Impact Assessment . 31 2.4.6 SIA case study examples and matrix of common social indicators . 31 3 CONCEPTUAL FRAMEWORK AND THEORETICAL PERSPECTIVES . 38 3.1 General remark . 38 3.2 Basic settings in the ―Function evaluation‖ approach . 40 3.3 Integration framework: indirect and direct human impacts . 42 3.4 Conceptual framework of SIA: focusing on changes in social setting . 46 3.5 Human ecosystem as an organizing concept for SIA . 47 3.5.1 Concept of human ecology and human ecosystem models . 47 3.5.2 Systems model of human ecology . 48 3.5.3 Concept model of human ecosystems . 50 3.5.4 Learning from the two conceptual models of human ecosystem . 51 3.5.5 A local forest-dependent community as a small scale human ecosystem . 53 3.6 Framework conceptualizing social impacts in the empirical context . 55 3.7 Research questions . 57 4 RESEARCH METHDOLOGY . 60 4.1 Defining and operationalizing the research indicators . 60 4.1.1 Foundation of the definition . 60 4.1.2 Defining and operationalizing the selected research indicators . 62 4.2 Selection of case study areas . 68 4.3 Methods for quantitative and qualitative data collection . 71 4.3.1 Introduction . 71 4.3.2 Field reconnaissance survey . 71 4.3.3 Secondary data collection . 71 4.3.4 Primary data collection . 72 4.4 Data processing and analysis . 75 4.5 Research procedure . 76 4.6 Discussion on the attribution gap . 76 4.7 Reliability and validity of the field research process . 76 5 SCOPING AND OBSERVATION OF THE STUDY AREAS . 79 5.1 General remark . 79 5.2 Case study area 1: Gansu Xiaolongshan state-owned forest area . 79 5.2.1 General information of Gansu Province . 79 5.2.2 Profile of Xiaolongshan state-owned forest area . 81 5.2.3 Profiles of the villages investigated . 84 5.2.4 Characteristics of household respondents in the two villages . 86 5.3 Case Study Area 2: Chongqing collective-owned forest area . 87 5.3.1 General information of Chongqing Municipality . 87 5.3.2 Information on Dazu County and its collective forest area . 90 5.3.3 Profiles of the villages investigated . 92 5.3.4 Characteristics of household respondents in the two villages . 93 6 ASSESSMENT OF SOCIAL IMPACTS AND CAUSAL ANALYSIS . 96 6.1 Social impacts on the local community level . 96 6.1.1 Change in the community population characteristics . 96 6.1.2 Change in the community institutional arrangements . 99 6.1.3 Change in the community infrastructure and public services . 111 6.2 Social impacts on the household level . 118 6.2.1 Impacts on households and families . 118 6.2.2 Impacts on individuals . 131 7 DIAGNOSIS: COMPARATIVE ANALYSIS AND DISCUSSION . 145 7.1 General remark . 145 7.2 The de facto impacts of the NFPP on local communities and households . 145 7.2.1 The social change processes in the local community . 145 7.2.2 Human impacts on the local households . 149 7.3 External and internal factors influencing the extent of impact results. 152 7.3.1 Introduction . 152 7.3.2 The external factors at community level . 152 7.3.3 The internal factors at household and individual level . 154 7.4 Potential impacts of the NFPP on the local community and households. 154 7.5 Dynamics of de facto and potential impacts, local strategies and influence factors 155 8 CONCLUSION AND RECOMMENDATIONS . 157 8.1 General remarks . 157 8.2 Recapitulation of major findings and conclusions . 157 8.3 Scope and limitations of the empirical study . 158 8.4 Recommendation for future policy implementation . 160 8.5 Relationship between theory and findings . 163 8.6 A critical review of methodology and implications for SIA research . 165 REFERENCES . 168 APPENDICES . 179 Appendix 1: Some data and background information available in literature . 180 Appendix 2: Supplementary material and material information used in research . 195 Appendix 3: Questionnaires used in the field surveys . 203 Appendix 4: Part of the data collected in the field . 212 Appendix 5: Photos in the fields . 234 ; Social Impact Assessment (SIA) ist ein Prozess, der Analyse, Monitoring und Bewältigung der sozialen Effekte geplanter oder durchgeführter Entwicklungsinterventionen umfasst. Das Hauptanliegen von SIA ist, eine nachhaltige und gerechte biophysische und soziale Umwelt zu schaffen. SIA ist für Projekte der FAO und der Weltbank in den Sektoren Bergbau, Landwirtschaft, Fischerei, Talsperren und Transport eine Grundvoraussetzung. Für die Forstwirtschaft ergibt sich daraus das Potenzial, nachhaltige Waldbewirtschaftung zu stärken und dabei die Ziele ländlicher Entwicklung und lokale Erfordernisse zu berücksichtigen. SIA kann vor und nach der Durchführung von Projekten und Programmen angewendet werden. Im Zusammenhang mit den aktuellen politischen Veränderungen in China wird das Natural Forest Protection Program (NFPP) im Zeitraum von 1998-2010 nach dem top-down-Verfahren durchgeführt. Die sozialen Auswirkungen des NFPP sind noch immer umstritten. Das unterstreicht die Notwendigkeit der SIA unter Anwendung einer systematischen konzeptionellen Herangehensweise. Ein besonders kritischer Faktor dabei ist, dass ein erheblicher Anteil der Wälder in den Wassereinzugsgebieten wichtiger Flussläufe in den westlichen Regionen durch strikte Einschränkungen der kommerziellen Nutzung geschützt wurden. Die Ziele der Forschung sind: (1) Aufzeigen wie und in welchem Ausmaß das NFPP die örtlichen waldabhängigen Gemeinden und ihre Haushalte beeinflusst hat; (2) Identifizieren lokal entwickelter und angewandter Strategien, um die Auswirkungen des NFPP zu bewältigen; und (3) Entwickeln optimaler Strategien für eine bessere Harmonisierung der Lebensgrundlagen mit der Umsetzung des NFPP in unterschiedlichen regionalen Kontexten. Die empirische soziale Forschung bedient sich quantitativer und qualitativer Methoden zur Datensammlung und Datenanalyse. Für die Fallstudie wurden vier Dörfer mit insgesamt 175 Befragten ausgewählt. Bei der Primärdatenerhebung kamen Fragebögen, Interviews und Gruppendiskussionen zur Anwendung. Die Forschungsergebnisse zeigen, dass das NFPP signifikanten Einfluss ausübt auf Größe und Anteil armer Bevölkerung, auf institutionelle Rahmenbedingungen, die Infrastruktur und den öffentlichen Dienstleistungssektor auf Gemeindeebene. Auf Haushaltsebene wurde signifikanter einfluss nachgewiesen für die Generierung von Einkommen, die Ausgaben, die Arbeitszeitverteilung, die Vorstellungen über Gesundheitswesen und Sicherheit als auch auf die Wahrnehmung der sich verändernden Werte des Waldes. Es wird ersichtlich, dass durch Zusammenführen der de facto-Auswirkungen des NFPP potenzielle negative soziale Einflüsse vorhersagbar werden. Entscheidungsträger und Projektteams sollten sich darüber bewusst werden, dass das NFPP zu dynamischen Veränderungsprozessen führt, welche die de facto- und potentiellen Auswirkungen sowie die Einflussfaktoren betreffen. Dies schließt den Beitrag der lokal entwickelten Strategien ein. Empfehlungen betreffen die bessere Umsetzung des NFPP sowie die Notwendigkeit weiterer Forschung hinsichtlich der SIA im Zusammenhang nachhaltiger Waldbewirtschaftung in verschiedenen regionalen Kontexten.:TABLE OF CONTENT ACKNOWLEDGEMENTS . i LIST OF FIGURES . vi LIST OF TABLES . viii LIST OF BOXES . ix LIST OF ACRONYMS . x ABSTRACT . xii ZUSAMMENFASSUNG . xiii 1 INTRODUCTION . xiii 1.1 Background . 1 1.2 Problem statement and justification . 5 1.3 Research objectives . 6 1.3.1 General research objectives . 6 1.3.2 Specific research objectives . 7 1.4 Structure of the dissertation . 8 2 CURRENT STATE OF KNOWLEDGE AND INFORMATION . 10 2.1 General remark . 10 2.2 Forestry reforms in China . 10 2.2.1 China's forestry sector since the economic reform in 1978 . 10 2.2.2 Forest tenure and administration . 13 2.2.3 Chronology of sectional reforms in China and their consequences . 14 2.2.4 Policy reforms in the forestry sector . 18 2.3 The Natural Forest Protection Program . 21 2.3.1 Background and objective . 21 2.3.2 Scale and main contents . 21 2.3.3 Implementation process . 22 2.3.4 Budget . 23 2.3.5 Legal basis . 23 2.3.6 Current implementation status and main achievements . 23 2.3.7 Various impacts of the NFPP derived from previous researches . 23 2.4 Social Impact Assessment as a development tool . 25 2.4.1 Concepts of Social Impact Assessment . 25 2.4.2 A brief history of Social Impact Assessment . 27 2.4.3 Principles and guidelines for Social Impact Assessment . 29 2.4.4 Basic model of Social Impact Assessment . 29 2.4.5 Process of Social Impact Assessment . 31 2.4.6 SIA case study examples and matrix of common social indicators . 31 3 CONCEPTUAL FRAMEWORK AND THEORETICAL PERSPECTIVES . 38 3.1 General remark . 38 3.2 Basic settings in the ―Function evaluation‖ approach . 40 3.3 Integration framework: indirect and direct human impacts . 42 3.4 Conceptual framework of SIA: focusing on changes in social setting . 46 3.5 Human ecosystem as an organizing concept for SIA . 47 3.5.1 Concept of human ecology and human ecosystem models . 47 3.5.2 Systems model of human ecology . 48 3.5.3 Concept model of human ecosystems . 50 3.5.4 Learning from the two conceptual models of human ecosystem . 51 3.5.5 A local forest-dependent community as a small scale human ecosystem . 53 3.6 Framework conceptualizing social impacts in the empirical context . 55 3.7 Research questions . 57 4 RESEARCH METHDOLOGY . 60 4.1 Defining and operationalizing the research indicators . 60 4.1.1 Foundation of the definition . 60 4.1.2 Defining and operationalizing the selected research indicators . 62 4.2 Selection of case study areas . 68 4.3 Methods for quantitative and qualitative data collection . 71 4.3.1 Introduction . 71 4.3.2 Field reconnaissance survey . 71 4.3.3 Secondary data collection . 71 4.3.4 Primary data collection . 72 4.4 Data processing and analysis . 75 4.5 Research procedure . 76 4.6 Discussion on the attribution gap . 76 4.7 Reliability and validity of the field research process . 76 5 SCOPING AND OBSERVATION OF THE STUDY AREAS . 79 5.1 General remark . 79 5.2 Case study area 1: Gansu Xiaolongshan state-owned forest area . 79 5.2.1 General information of Gansu Province . 79 5.2.2 Profile of Xiaolongshan state-owned forest area . 81 5.2.3 Profiles of the villages investigated . 84 5.2.4 Characteristics of household respondents in the two villages . 86 5.3 Case Study Area 2: Chongqing collective-owned forest area . 87 5.3.1 General information of Chongqing Municipality . 87 5.3.2 Information on Dazu County and its collective forest area . 90 5.3.3 Profiles of the villages investigated . 92 5.3.4 Characteristics of household respondents in the two villages . 93 6 ASSESSMENT OF SOCIAL IMPACTS AND CAUSAL ANALYSIS . 96 6.1 Social impacts on the local community level . 96 6.1.1 Change in the community population characteristics . 96 6.1.2 Change in the community institutional arrangements . 99 6.1.3 Change in the community infrastructure and public services . 111 6.2 Social impacts on the household level . 118 6.2.1 Impacts on households and families . 118 6.2.2 Impacts on individuals . 131 7 DIAGNOSIS: COMPARATIVE ANALYSIS AND DISCUSSION . 145 7.1 General remark . 145 7.2 The de facto impacts of the NFPP on local communities and households . 145 7.2.1 The social change processes in the local community . 145 7.2.2 Human impacts on the local households . 149 7.3 External and internal factors influencing the extent of impact results. 152 7.3.1 Introduction . 152 7.3.2 The external factors at community level . 152 7.3.3 The internal factors at household and individual level . 154 7.4 Potential impacts of the NFPP on the local community and households. 154 7.5 Dynamics of de facto and potential impacts, local strategies and influence factors 155 8 CONCLUSION AND RECOMMENDATIONS . 157 8.1 General remarks . 157 8.2 Recapitulation of major findings and conclusions . 157 8.3 Scope and limitations of the empirical study . 158 8.4 Recommendation for future policy implementation . 160 8.5 Relationship between theory and findings . 163 8.6 A critical review of methodology and implications for SIA research . 165 REFERENCES . 168 APPENDICES . 179 Appendix 1: Some data and background information available in literature . 180 Appendix 2: Supplementary material and material information used in research . 195 Appendix 3: Questionnaires used in the field surveys . 203 Appendix 4: Part of the data collected in the field . 212 Appendix 5: Photos in the fields . 234
