In 2019, Sweden implemented legislative changes to renegotiate hydropower permits to both consider environmental rehabilitation and to ensure national supply of hydropower. This means that efforts for environmental rehabilitation of the 2,000 hydropower plants in Sweden need to be considered. Such rehabilitation measures include implementation of environmental flows, enhancing connectivity or morphological restoration. In order to enable prioritization among measures, it is necessary to assess the expected environmental benefits and consequences of implementation. We developed a new method to assess and prioritize among environmental-flow measures that aim to rehabilitate ecosystems in regulated rivers at the catchment level, with the Ume River in northern Sweden as an example. The Ume River is heavily regulated for hydropower production with 19 hydropower stations, with 13 run-of river impoundments in cascade and six storage reservoirs. Our strategy was to identify measures with minimal impact on hydropower production that also provide significant environmental benefits. Based on field studies of remaining natural values and potential for ecological rehabilitation, we quantified the estimated gain in the area of habitat for target organism groups, e.g. lotic fish species and riparian plants, if rehabilitation actions would be implemented along the entire Ume River. Regulated flows imply changes in the seasonal variation in flow, which often means that spring floods are lacking and that flows increase during the winter compared with natural unregulated flows. Hydropeaking, defined as rapid and frequent changes in flow and water levels to optimize hydropower production, is a common procedure that adversely affects habitats in river ecosystems. An important aspect of hydropeaking is zero-flow events, which occurs when hydropower stations are stopped due to low electricity demand or low electricity prices. We quantified the consequences for hydropower production of introducing environmental flows by identifying a set of rules of operation of the hydropower stations that reflect the limitations that ecological regulation of flows and water levels entail. In the work, consideration of technical limitations in the hydropower stations was a key to attain cost-effective measures. We then used hydropower production optimization programs to calculate changes in hydropower production and revenues. We also quantified the environmental benefits of environmental flows described as increases in the area of habitat for riverine species and improvements in ecosystem functions in the Ume River. We identified increasing the area of aquatic habitat with high flow velocity, providing suitable habitat for lotic species, enhancing the establishment of riparian and increasing longitudinal connectivity as the main aspects of the Ume River ecosystems in need of rehabilitation. This thesis focuses specifically on three aspects of environmental flows. (1) Analysis of hydropeaking and zero-flow events for all hydropower stations in a catchment and the introduction of a ban of zero-flow events as an environmental flow measure. The hydropower stations in Ume River system stand still without flow 9% to 55% of the time in a hydrologically normal year, transforming lotic habitat into stagnant water. (2) A comprehensive assessment of environmental flow measures which in addition to banning zero-flow events include improvements of connectivity, spill water to by-passed reached laid dry as well as more natural water-level variation, combined into a total of scenarios where the environmental benefits and impacts on electricity production were quantified. In addition, we modeled a spring-flood scenario and a scenario transforming the flow of the Ume River to its natural flow regime. (3) Predictions of the effects on hydropower production of introducing environmental flow scenarios were modeled using climate change projections for IPCC scenario A1B until the year 2040, where the efficiency of environmental flow measures in a future climate and detection of potential bottlenecks in flow linked to ecological extremes such as periods of drought and flood. Further, the thesis present the framework of collaborative management that facilitated the process to solve complicated societal challenges connected to mitigation measures and environmental flows in higly-regulated river basins. This framwork allowed both for finding the most cost effective environmental flow measures as well as detecting environmental rehabilitation measures that otherwise might go undetected, despite having little impact on hydropower production. Our results show that introducing a zero-flow ban with the aim of avoiding stagnant water would on average mean 0.5% electricity production loss per year and benefit existing and newly created 240 hectares of lotic habitat with a flow rate exceeding 0.1 m/s, suitable for lotic species such as grayling Thymallus thymallus. The small effect in electricity production is the result of an effort to route the flow through the turbines to generate electricity, which means that the main effect is to move electricity production from daytime to nighttime. Implementation of zero-flow restrictions in combination with allocating 1-12% of the average annual flow at all hydropower stations to side channels and reaches laid dry would result in a loss of 2.1% of the annual electricity production for the Ume River catchment. Adding flow to fish-ways would increase the loss to 3.1% per year. With the implementation of more natural water-level variation in the main channel, the loss increases to 3.8%. These measures would more than triple the habitat of lotic species such as grayling Thymallus thymallus, and increase the area of riparian vegetation by about 66%. Assessing hydropower production in the Ume River in a future climate shows that hydropower production is expected to increase by 2.6% compared to current conditions until 2040, which opens up for mitigating the effects of climate change by implementing flow measures that mimic conditions before climate change, which can help to avoid extreme hydrological events potentially harming the riverine ecosystem. The environmental flow scenarios developed in previous projects were tested in simulations with future flow conditions and the results show that all effects on electricity production were projected to be significantly smaller in the future compared with models without climate change. The operation of storage reservoirs is expected to become more important in a future climate. Our assessment is a way of predicting the effectiveness of environmental flow measures in the future with climate change. Our method forms the basis to guide future nationwide implementation of environmental rehabilitation of regulated rivers with the aim of maintaining and restoring riverine ecosystems. ; Sverige har cirka 2000 kraftverk som står inför en miljöanpassning enligt Nationella Prövningsplanen, där miljöåtgärder som ekologisk flödesreglering, återetablerad konnektivitet och morfologiska restaureringsåtgärder ska utvärderas och i nästa steg prioriteras mellan. För att möjliggöra prioritering bland åtgärder för ekologisk reglering är det absolut nödvändigt att veta de förväntade miljönyttorna och konsekvenserna av genomförandet, vilket sällan har kvantifierats för ett helt avrinningsområde. Vi har utvecklat en ny metod för att bedöma och prioritera bland miljöflödesåtgärder som syftar till att rehabilitera reglerade ekosystem på avrinningsområdesnivå med Umeälven i norra Sverige som exempel. Umeälven är kraftigt reglerad för vattenkraftproduktion med 19 vattenkraftstationer, varav 13 är kraftverksdammar i kaskad och sex är dammar som fungerar som regleringsmagasin. Strategin var att identifiera åtgärder med minimal påverkan på vattenkraftproduktionen som samtidigt gav betydande miljövinster. Baserat på fältundersökningar av kvarvarande naturvärden och potential för ekologisk rehabilitering, kvantifierade vi den beräknade vinsten i form av area av livsmiljö för målorganismgrupper, t.ex. strömlevande fiskarter och strandvegetation längs hela Umeälven. Reglerade flöden innebär att den naturliga flödesregimen förändras och att flödenas säsongsvariation blir tidsmässigt omvänd, vilket ofta innebär att vårflod saknas och att flöden ökar under vintern jämfört med naturliga flöden. Korttidsreglering, definierat som snabba och frekventa förändringar i flöde och vattenstånd för att optimera vattenkraftsproduktionen, är ett vanligt förfarande som påverkar livsmiljöer i vattendraget negativt. En viktig aspekt av korttidsreglering är nolltappning som inträffar när vattenkraftstationer stoppas på grund av lågt elbehov eller låga elpriser. Vi kvantifierade konsekvenserna för vattenkraftproduktionen genom att identifiera en uppsättning vattenhushållningsregler för driften av vattenkraftsstationerna som återspeglar de begränsningar som ekologisk reglering av flöden och vattenstånd medför. I arbetet var hänsyn till tekniska begränsningar i kraftverken en nyckel till kostnadseffektiva åtgärder. Vi använde sedan produktionsoptimeringsprogram för att beräkna förändringar i vattenkraftproduktion och intäkter. Vi kvantifierade även miljönyttor beskrivet som den beräknade ökningen i yta av de ekosystem som minskat mest i yta till följd av reglering och förbättringar i ekosystemfunktioner i Umeälven. I Umeälven betydde det att vi fokuserade på habitat för strömlevande arter, strandvegetation samt på att öka konnektiviteten. Denna avhandling fokuserar på tre områden inom ämnet ekologiska flöden. (1) Analys av korttidsreglering och nolltappningshändelser för alla kraftverk i Umeälven samt vidhängande nolltappningsförbud som flödesåtgärd med kvantifierade konsekvenser på elproduktion och miljövinster. Umeälvens vattenkraftstationer står stilla utan flöde 9 – 55% av tiden ett hydrologiskt normalt år och förvandlar lotiska livsmiljöer till stillastående vatten. (2) En bedömning av ekologiska flödesåtgärder som omfattar förbud mot nolltappning, konnektivitetslösningar, spill till torrfåror och sidofåror och vattenståndsanpassning som basfunktioner. Basfunktionerna kombinerades vidare till totalt 28 scenarier med olika miljönyttor och beskrivningar av produktionspåverkan. Dessutom modellerade vi ett vårflodsscenario och ett scenario med naturlig flödesregim. (3) Prognoser för vattenkraftsproduktion och kostnader för att införa scenarier med ekologiska flöden modellerades med den tillrinning som förväntas i ett framtida klimat enligt IPCC:s scenario A1B fram till år 2040, för att detektera t.ex. konsekvenser under hydrologiska extremer som torka. Resultaten visar att införa ett nolltappningsförbud med syfte att undvika stillastående vatten i medeltal innebär 0,5% produktionsförlust per år och gynnar befintligt eller nyskapar 240 hektar habitat med en flödeshastighet som överstiger 0,1 m/s, d.v.s. lämpligt för lotiska arter som harr (Thymallus thymallus). Den relativt begränsade produktionsförlusten är ett resultat av en strävan att vattnet ska gå genom turbinerna för att generera el. Det medför att produktionstillfällen flyttas från dagtid till nattetid, men att produktionsförlusten blir liten. Genomförande av restriktioner av nolltappning i kombination med spill till torrfåror och sidokanaler vid alla vattenkraftverk om 1-12% av det genomsnittliga årliga flödet skulle resultera i en förlust av 2,1% av den årliga elproduktionen för Umeälvens avrinningsområde. Att lägga till erforderligt flöde till fiskvägar skulle öka förlusten till 3,1% per år. Med implementering av mer naturliga vattenståndsvariationer i huvudfåran ökar förlusten till 3,8%. Dessa åtgärder skulle öka livsmiljön för lotiska arter som harr mer än tredubbelt, och öka arean av strandvegetation med cirka 66%. Modellering av ekologisk reglering i ett framtida klimat visar att vattenkraftsproduktionen beräknas öka med 2,6% fram till 2040 jämfört med nuvarande förhållanden, vilket öppnar upp för genomförande av flödesåtgärder som efterliknar hydrologiska förhållanden före klimatförändringar, vilket är nödvändigt för att undvika hydrologiska extremförhållanden, som skulle kunna skada älvens ekosystem och samhällsfunktioner. Scenarierna med ekologiska flöden framtagna i tidigare projekt testades med framtida flöden i simuleringar, vilket visar att effekterna på elproduktionen skulle bli betydligt mindre i framtiden jämfört med modeller utan förväntade klimatförändringar. Driften av regleringsmagasin bedöms få en ökad betydelse i ett framtida klimat både för att undvika vattenbrist och höga flöden. Vår metod utgör en bas för arbete med att uppnå hållbarhetsmål för många vattendrags ekosystem i perspektivet av inte bara nuvarande reglering och tillrinning, men även i ett framtida klimat.
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The 10-year treasury yield reached an historic low this week, crossing the 1% barrier. For many observers, this was a troubling development that confirms the U.S. economy is being sucked into the mire of secular stagnation. For others, it was an unsurprising outcome given the long-run trajectory of interest rates and the ongoing safe asset shortage problem. Both views have some merit. The decline of the 10-year treasury yield does create problems for the U.S. economy, but it has been happening for some time. There is nothing magical about crossing the 1% barrier, though it does brings closer the day of reckoning for the Fed's operating framework.
The decline of the 10-year treasury yield, if sustained, means the entire yield curve may soon run into its effective lower bound. This will render useless much of the Fed's toolbox. Fortunately, there is a fix for the Fed's operating framework that makes it robust to any interest rate environment. This fix, ironically, ties the Fed more closely to fiscal policy while making it more Monetarist in practice.
This post outlines the proposed fix, but first motivates it by explaining how the decline in the 10-year treasury yield creates problems for the U.S. economy.
Why The 10-Year Treasury Yield Decline Matters
The are three reasons why the fall in the 10-year treasury yield matters. First, it implies there is an excess demand for safe assets. These are securities that are expected to maintain their value in a financial crisis and, as a result, are highly liquid. The biggest sources of safe assets are government bonds from advanced economies, especially U.S. Treasuries. The global demand for them has far outstripped their supply and this has led to the global safe asset shortage problem. The 10-year treasury yield falling below 1% is the latest manifestation of this phenomenon.
The safe asset shortage is problematic because it amounts to a broad money demand shock that slows down aggregate demand growth. One solution is for safe asset prices (interest rates) to adjust up (down) to the point that safe asset demand is satiated. The effective lower bound (ELB) on interest rates prevents this adjustment from happening and causes investors to search for safe assets elsewhere in the world. Other economies, as a result, are also affected by the safe asset shortage problem and experience lower aggregate demand growth.1
The demand for safe assets, as noted above, is closely tied to the demand for liquidity. This can be seen in the figure below which shows that the use of money assets (i.e. money velocity) closely tracks the 10-year treasury yield. Over the past decade, this has meant the public's desired money holdings have increased as the 10-year treasury yield has fallen. All else equal, this implies slower growth in aggregate spending.
Below is a chart from an upcoming policy brief of mine that illustrates this point from a global perspective. It shows the average 10-year government bond yield between 2009 and 2019 plotted against the average growth rate of domestic demand over the same period. The government bond yield can be viewed as the safe asset interest rate in these advanced economies. The figure reveals a strong positive relationship between the safe asset yield and the domestic demand growth rate.
One has to be careful interpreting the causality here, but I do further analysis in the policy brief and find shocks to the bond yields do influence domestic demand growth. The safe asset shortage, therefore, appears to be a drag on global aggregate demand growth. The first reason, then, why the decline in the 10-year treasury yield matters is that it portends weaker aggregate demand growth.
The second reason the decline matters is that it leads to a flattening of the yield curve. Financial firms that fund short term and invest long term rely heavily on a positive slopping yield curve to make this business model work. A flattening yield curve undermines it and may lead to less financial intermediation. This is one reason an inverted yield helps predict recessions. In this case, however, the effect may be longer lasting than the business cycle as the decline in treasury yields appears to be on a sustained path.
The third reason the decline matters is that it impairs the Fed's current tool box. The Fed's target interest rate is now down to a 1-1.25% range, a small margin for a central bank that normally cuts around 5% during a recession. The Fed could turn to large scale asset purchases once it hits the ELB, but with the 10-year treasury now near 1%, there is not much space here either. Consequently, the Fed's toolbox is shrinking and soon could be rendered useless.
Now the Fed can add to its toolbox and indeed the Fed is exploring new tools--such as negative interest rates and yield curve control--under its big review of monetary policy. Even these tools, however, are limited since the declining 10-year treasury yield is compressing the yield curve.
The Fed's current toolbox, in short, is premised on a positive interest rate world that is slowing fading. The Fed, therefore, may soon face a day of reckoning for its current operating framework. That possibility and what the Fed could do in response is considered next.
Revamping the Fed's Operating Framework
The Fed's operating framework--defined here as the instruments, tools, and targets the Fed uses in its conduct of monetary policy--has been geared toward a positive interest rate environment. This framework has been increasingly strained by the downward march of interest rates. The 10-year treasury yield dropping below 1% underscores this challenge.
The Fed needs, consequently, an operating framework that is robust to any interest rate environment and one that is capable of stabilizing aggregate demand growth. I have proposed a fix to the Fed's operating system that addresses these challenges in a forthcoming journal article. Here I want to briefly outline that proposal. It has three parts: (1) the Fed adopts a dual reaction function, (2) the Fed adopts a NGDP level target, and (3) the Fed is empowered with a standing fiscal facility for use at the ZLB. The three parts are explained below.
Part I: A Dual Reaction Function. To make the Fed's operating framework robust to both positive and negative interest rate environments, I call for a two-rule approach to monetary policy. Specifically, the Fed would follow a version of the Taylor rule when interest rate are above zero percent and follow the McCallum rule when interest rate are at zero percent or below. The former rule uses an interest rate as the instrument of monetary policy while the latter rule uses the monetary base as the instrument. Consequently, the Fed would have effective instruments to use no matter what happens to interest rates.
Part II: A NGDP Level Target. A level target provides powerful forward guidance since it forces the central bank to make up for past misses in its target. For reasons laid out here, I prefer a nominal NGDP level target (NGDPLT) and specifically, one that targets the forecast. This combined with the first feature implies the following dual reaction function system for the Fed:
Here, in is the neutral interest rate, the NGDPGap is the percent difference between the forecasted level of NGDP and the NGDPLT for the period of t to t+h, Δb is the growth rate of the monetary base, Δx* is the target NGDP growth rate, and Δv is the expected growth rate in the velocity of the monetary base for the period of t to t+h.
Part III: A Standing Fiscal Facility. The final part of the proposal establishes a standing fiscal facility for the Federal Reserve to use when implementing the McCallum rule. That is, when the Fed starts adjusting the the growth of the monetary base according to the McCallum rule, it will do so by sending money directly to the public. My proposal, then, incorporates 'helicopter drops' into the Fed's toolkit in rule-like manner.
I provide more details in the paper, but here are the advantages of this proposed operating framework. First, it keeps countercyclical macroeconomic policy at the Federal Reserve. This provides continuity with the existing division of labor between the U.S. Treasury Department and the Federal Reserve. Second, it enables the Fed to provide meaningful countercyclical monetary policy no matter what happens to interest rates. Third, it provides credible forward guidance since it combines a NGDPLT with helicopter drops. Finally, since this operating framework would require the Fed to be much more intentional about the rules it follows, it would make the Fed more rules-based and predictable.
This proposal would require approval from Congress. Given the Fed's shrinking toolbox and the ongoing expectation that it deliver countercyclical policy, this may not be as big an ask as some imagine. Moreover, it could easily be seen as return to a more Monetarist Federal Reserve since it would be relying more explicitly on the monetary base to implement monetary policy.
Conclusion Some commentators have speculated that the corona virus might be a shock that forces us out of our complacency and spawns many unintended innovations. To the extent this shock leads to ongoing declines in the treasury yields and exhausts the Fed current toolbox, it might also lead to innovations in U.S. monetary policy. Here's hoping it does along the lines suggested above.
1 The safe asset shortge can also become self-perpetuating and lead to what Caballero et al (2017) call a 'safety trap'. This problem emerges when the excess demand for safe assets pushes down safe asset yields to the effective lower bound (ELB) on interest rates. If the excess demand for safe assets is not satiated at that point (i.e. the equilibrium real safe asset interest rate is below the ELB), then aggregate demand will contract and push down inflation. Via the Fisher relationship, the lower inflation will drive up the real safe asset interest rate and increase the spread between it and the equilibrium real safe asset interest rate. As a result, aggregated demand will further contract and the cycle will repeat. This is the safety trap.
학위논문(석사)--서울대학교 대학원 :행정대학원 글로벌행정전공,2019. 8. 권혁주. ; 한국의 자금세탁방지제도는 2001년 9월 3일 특정금융거래정보의 보고 및이용 등에관한법률과 범죄수익은닉의규제및처벌등에관한법률이 국회를 통과하면서 도입되었다. 자금세탁방지제도는 불법자금의 세탁을 적발하고 예방하기 위해 정부와 민간영역에서 이루어지는 모든 장치를 의미하는 것으로 관련 장치로서 법?제도적 장치 분만 아니라 관련된 사법제도와 금융제도, 국제협력을 모두 포괄하는 개념이다. 이 연구는 한국의 자금세탁방지제도 도입과정을 세시기로 나눈 뒤, 정책네트워크 모형을 이용하여 분석하였다. 기존 연구에 의하면 정책네트워크 행위자, 행위자의 목표와 전략, 행위자들간의 상호작용, 정책네트워크의 구조와 유형, 정책환경 등이 정책결과에 영향을 끼친다. 이 연구에서는 정책환경 요소와 정책망 요소, 정책결과로 나누어 분석을 진행하였다. 정책환경 요소로는 정책문제에 대한 사회적 인식, 정치경제적 상황, 국제적 맥락 등이 해당하며, 정책망 요소에는 행위자, 행위자간 상호작용, 정책네트워크 구조가 해당한다. 그리고 이러한 요소들이 정책결과에 미친 영향을 분석하였으며, 분석결과는 다음과 같다. 제도 도입 제1기에는 금융실명제 도입과, 전직대통령의 비자금 사건 등이 발생하면서 자금세탁방지제도에 대한 논의가 시작되었다. 시민단체, 국회, 정부가 주요 행위자였으며, 제도 도입을 적극적으로 지지한 시민단체와 일부 국회의원과 제도 도입에 유보적인 입장을 취하는 정부와 국회가 갈등하였다. 행위자들은 제도 도입을 두고 궁극적인 목표에 상이한 의견을 보이면서 대립하였고 이를 중재할 주요 행위자가 부재하면서 정책 네트워크는 분산형 갈등 네트워크 형태를 나타내면서 정책도입에 실패하였다. 제도 도입 2기에는 정부가 정책목표를 변경하여, 금융실명제 보완책과 함께 자금세탁방지제도를 도입할 것을 발표하였다. 시민단체와 정부가 세부내용을 두고 갈등을 보였음에도 정책도입이라는 궁극적인 목표에는 합의한데 반해, 국회는 제도도입에 반대하며 갈등양상을 보였다. 또한 1997년 경제위기와 대통령 선거를 앞두고 자금세탁방지제도 도입 논의가 금융실명제 보완책 및 경제위기 책임론과 함께 논의되면서 갈등이 심화되었다. 결국 갈등 상황에서 이를 중재할 행위자도 부재하였고, 분산형 갈등 네트워크 하에서 갈등이 지속되었다. 제도 도입 3기에는 외환자유화 조치로 불법 자금거래에 대한 가능성이 증가하고, 국제자금세탁방지기구로부터 자금세탁방지 비협조국가(NCCTs)로 지정될 가능성이 증가하면서 행위자들의 목표에 변화가 있었다. 정부와 국회, 시민단체는 제도 도입에 합의하면서 행위자들간 상호작용의 형태는 협력적이었다. 세부 방안을 두고 국회 논의과정에서 갈등이 있었으나 여야 국회의원 9인으로 이루어진 위원회가 이를 조정하는 역할을 하면서 최종적인 합의에 도달하였다. 3기의 네트워크는 협력적 집중 네트워크 형태를 보였고, 조정과 협의를 거쳐 최종적으로 자금세탁방지제도 도입이라는 정책산출을 달성하였다. 분석을 통해 도출한 함의는 첫째, 정책네트워크 유형이 정책결과에 영향을 끼쳤음을 확인할 수 있었다. 1,2기에서 3기로 시간이 흐름에 따라 정책네트워크는 분산형 갈등 네트워크에서 집중형 협력 네트워크로 변화하였고, 제3기에는 행위자들간의 협력적 상호작용과 갈등 중재자의 존재로 정책산출에 성공할 수 있었다. 둘째, 환경요인이 정책네트워크와 정책 결과에 영향을 끼치는 과정을 확인할 수 있었다. 환경변화는 행위자들의 목표와 이해관계, 상호작용 형태, 네트워크 구조에 영향을 끼치고 결과적으로 정책 결과에도 영향을 끼쳤다. 환경 변화는 제도가 도입될 수 있는 기회를 제공하거나, 행위자들 사이의 갈등을 심화시키는 요인으로 작용하기도 하였으며, 행위자들의 선호에 영향을 주고 상호작용 형태 변화에 영향을 주었다. 또한 갈등이 지연되는 경우에는 정책 중재자의 필요성을 대두시키기도 하였다. 그러나 이 같은 정책환경의 영향력은 제한적이었고 정책행위자 끼치는 영향을 통해 정책결과에 영향을 줄 수 있었다. 또한 환경변화 그 자체가 강제성을 가지지 않는 경우 행위자에게 미치는 영향도 간접적이었다. 셋째, 정책네트워크 참여자의 이해관계가 정책 산출에 영향을 끼쳤다. 자금세탁방지제도 도입과 강력한 규제방안의 도입은 금융시장의 투명성 확보 및 국민 경제의 경쟁력을 확보한다는 점에서 규범적인 요소였음에도, 제도 도입 과정에서 정치자금법 제외여부, 선거관리위원회 전속 통보제도, FIU의 계좌 추적 범위 등의 논의를 보면 공익적 가치보다 정책도입 참여자들의 이해관계가 크게 작용했음을 알 수 있다. 최종 정책산출물 또한 이 같은 이해관계의 조정과 타협의 결과물로 볼 수 있다. 마지막으로, 행위자들의 목표가 상충하는 경우뿐만 아니라 공통된 목표를 공유하는 경우에도 정책조정자의 역할이 중요했음을 확인할 수 있다. 정책의 큰 방향에는 합의하더라도 세부적인 내용에 대한 행위자간 갈등은 불가피하다. 이 경우 세무 갈등을 조정하고 최종적 합의에 이를 수 있도록 중재역할을 하는 행위자의 존재가 정책산출에 큰 영향을 미친다. 주제어 : 자금세탁, 자금세탁방지제도, 정책 네트워크 분석. ; In Korea, anti-money laundering policy was introduced on November 28, 2001 with the enforcement of 'the act on report on, and the use of specific financial transaction information' and 'the act on regulation and punishment of criminal proceeds concealment.' The anti-money laundering policy is a collective system of various preventive and suppressive measures taken by the government and the private sectors to prevent money laundering in a wide range of areas including legislation, criminal investigation, financial supervision and financial activities. This study analyzed the introducing process of anti-money laundering policy in Korea. This study demonstrated how various policy actors interacted in policymaking process and how these interactions affected policy outputs using the policy network analysis. The analysis classified factors into policy environment factors, policy network factors, and policy output. Social awareness on policy problem, political and economic situations, and international context were considered as sub-components of the policy environmental factors. As a policy network factor, actors, the interaction among actors, and the structure of the policy network were considered. After that, analysis on the impact of these factors on the final policy output was conducted. For more detailed analysis, the process of introducing an anti-money laundering system is analyzed by dividing it into three periods based on significant changes in policy network. In the first period, with the introduction of the real-name financial system, the need to prevent money laundering began to be discussed. The main policy actors of this period were civic groups and some lawmakers in the National Assembly who shared same policy goal, and the government and political parties still had a lukewarm attitude to enact anti-money laundering legislation. Actors were in conflict while disagreeing over the ultimate policy goals and there was no influential actor who could coordinate conflicts and make it possible to reach agreement. Policy network in the first period defined as a decentralized conflicting network and under this network structure, conflicts between actors had been prolonged and fail to reach to policy output. In the second period, the government changed its policy goal and announced to introduce the measures which complement the real-name financial system and the anti-money laundering system to prevent illegal financial transactions. The government and civic groups shared common goal of introducing the system though they had differences over details. However, the political parties strongly opposed the policy adoption, actors showed conflicting interaction. It was hard to find a major actor who would act as a coordinator in the policy network at this time. The policy network was a decentralized conflicting network, and the conflict between actors was prolonged. Conflicts became intense as issues such as supplementing the real-name financial transaction system and disputes over the responsibility of the economic crisis were discussed along with the anti-money system, and the lack of influential actor to coordinate and mediate the conflicts led to failure in policy adoption and prolonged conflicts. In the third period, NGOs, the government, and the National Assembly had a consensus on the policy goal of introducing an anti-money laundering system, but they differed on detail contents of the system. Thus, there were conflicts among civic groups, the government, and the National Assembly in discussing the details. Unlike the first and second period, there was a mediator who coordinated conflicts and made agreement. With this cooperative interaction and the existence of policy intermediaries, the policy network has changed from a decentralized conflicting network to a centralized cooperative network. Policy output has been successfully achieved through a coordination and compromise. The implications of this study are as follows. First, the type of policy network was a major factor determining policy output. In this study, the types of policy networks were classified by the pattern of interaction (cooperative/conflicting) and distribution of influence (centralized/ decentralized) to centralized cooperative network, centralized conflicting network, decentralized cooperative network and decentralized conflicting network. In each period, the type of policy network and the corresponding policy output were analyzed. The network was transformed into a centralized cooperative network and succeeded in introducing the new policy. Second, it could be seen how the policy environment affected the policy network and policy output. Changes in the policy environment brought changes in policy actors' goals and interests and affected the interaction pattern and lastly policy output. These environmental changes provided an opportunity for the debate on anti-money laundering to take place, and have intensified or complicated conflicts among actors. Also, these changed the goals and preferences of the actors and changed the patterns of interaction into cooperative. In the event of a prolonged conflict, these promoted the needs of active policy coordinator to solve the conflicts. However, the impact of the policy environment on policy network and policy output was limited and only affected policy output through the influence on actors. In addition when the policy environment didn't function as coercive force, it did not directly affect the actors' goals and interaction. Third, the interests of policy participants have had a great impact on detailed policy output. The introduction of the anti-money laundering system and strong detailed regulatory measures were normative in terms of the public interest, enhancing transparency in financial markets and secure competitiveness of the national economy by preventing illegal fund flows. However, in the policy network, the interests of policy actors affected more importantly rather than the public interest and justification. From the beginning of the discussion, the details of the anti-money laundering system had changed continuously depending on the interests of the actors. The final policy output in the third period can be evaluated as the results of negotiations and compromise of actors' interests. Finally, the existence of a policy coordinator was important not only when policy goals differed among actors, but also when common policy goals were shared. In the case of all policies, differences over details are inevitable. The role of a policy coordinator is critical to coordinating conflicts that may occur in the short term and reaching a final policy output. Keyword : Money laundering, Anti-money laundering policy, Policy network. ; Chapter1. Introduction 1 1.1 Purpose of Research 1 1.2 Scope of Research 3 1.3 Research Method 5 Chapter2. Theoretical Background 6 2.1 Policy Network 6 1) Concept of Policy Network 6 2) Factors of the Policy Network Analysis Model 7 3) Types of Policy Network 11 2.2 Framework of Analysis 14 1) Variables of Analysis 14 2) Research Questions 19 Chapter3. Overview on AML 20 3.1 Anti-Money Laundering 20 1) The Concept of Money Laundering 20 2) Concept of Anti-Money Laundering 21 2) International Cooperation for AML 22 3) Measures of the AML System 24 3.2 Current AML System in Korea 26 1) Legislation 26 2) AML Regime 26 3) Organization and Authority 32 4) International Cooperation 33 Chapter4. Analysis on Policy-Making Process 36 4.1 Introduction 36 4.2 Policy Network Analysis 37 1) The First Period (1993-1996) 37 (1) Overview 37 (2) Policy Environment 38 (3) Policy Network Factor 39 (4) Output 49 (5) Conclusion 49 2) The Second Period (1997-2000) 50 (1) Overview 50 (2) Policy Environment 51 (3) Policy Network Factor 54 (4) Output 66 (5) Conclusion 66 3) The Third Period (2000-2001.9) 68 (1) Overview 68 (2) Policy Environment 70 (3) Policy Network Factor 73 (4) Output 89 (5) Conclusion 91 Chapter5. Conclusion 93 5.1 Summary 93 5.2 Implication of Analysis 96 Bibliography 101 Abstract in Korean 105 ; Master
Abstract: This research devoted to analyze relationship between social media political marketing through trust, knowledge & voting intention of youth voters, regarding with Indonesia Presidential Election 2019. In total hundreds of respondents, with 51 women and 49 men, thus majority are Tanjungpura University students. With age 17-35 as young adults, actively on social media, indeed aware with presidential candidates 2019 of political marketing, for at least six months. By using online questionnaire and spread through social media, the data processed with SmartPLS 3.2.8. software. The methods is a causal research, based on Likert seven-point scale. Results, however revealed no significant relationship between social media political marketing with youth voting intention (H3). 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73 páginas. ; En Colombia, con la Ley 1407 de 2010 se implementa el sistema acusatorio en la Justicia Penal Militar contando ya con una reforma mediante la Ley 1765 de 2015 en la que establece una nueva estructura administrativa e independencia del mando militar, por lo que se hace necesario realizar el análisis del sistema acusatorio ordinario para determinar las falencias y poder superarlas en el régimen especial, enfocado en el control de la acusación, para obtener un modelo de impartición de justicia más acusatoria. Si bien la acusación está compuesta por dos etapas, un escrito de acusación y otra la lectura final en audiencia pública denominada Audiencia de Formulación de Acusación, en el procedimiento ordinario conforme a la Ley 906 de 2004 esta audiencia se encuentre precedida por el Juez de Conocimiento, el cual requiere en principio del control formal y en desarrollo jurisprudencial en forma excepcional del control material; en el Proceso Penal Militar, establece que la acusación es de recibo del Juez del Control de Garantías, quien es el encargado de dar lugar a las partes para que en forma oral en audiencia pública expresen las causales de nulidades y se efectúen las observaciones sobre el escrito de acusación tanto de orden formal como material. Y aunque la acusación comprende los actos precisos de la investigación y que por lo tanto debe cumplir con ciertas formalidades y exista el deber procesal del Ente Acusador, de realizar el ejercicio responsable de la acción penal, es necesaria una verificación del escrito de acusación ejerciendo además el control material de la misma, pues puede contener vicios o errores que pueden ser corregidos o no: Un primer aspecto a tener en cuenta es evitar que sea un juicio innecesario, al faltar elementos que otorguen certeza tanto de la conducta punible frente al hecho, como de la fundamentación jurídica de la misma conducta, que puedan llevar a un desistimiento del caso, Y el segundo aspecto, es que en efecto se cuente con el factor de convicción y que este deba estar encaminado a la valoración fáctica, jurídica y los presupuestos de la acción penal, estudiados bajo los parámetros de legalidad, pertinencia, conducencia y utilidad. Para lograr un mejor alcance de la temática a tratar, se procederá a explicar brevemente cómo se realiza el control de la acusación en el proceso penal de los Estados Unidos de América, debido a que ofrece la oportunidad de explorar un ordenamiento jurídico completamente diferente y también se estudiará el control de la acusación en el proceso penal Chileno, como primer país suramericano que inicio con el sistema acusatorio oral basado en el sistema procesal alemán, con la finalidad de lograr definir lo que eventualmente debe debatirse al momento de la acusación dentro del Proceso Penal Militar e identificar las ventajas y desventajas frente a los principios fundamentales como la legalidad, la defensa técnica y el debido proceso, además de acudir a fuentes jurisprudencias y dogmáticas, para establecer los retos que la Justicia Penal Militar debe afrontar para implementar el control formal y material de la acusación, frente a los hechos jurídicamente relevantes para llegar a tener los elementos de convicción de la responsabilidad en grado de probabilidad. Así mismo, poder entender el otro papel importante que realiza la acusación en el proceso penal con el que se puede aplicar el principio de oportunidad, logrando de esta manera una solución más fácil de aceptación con un arreglo de los cargos impuestos en la acusación como terminación anticipada del proceso, logrando una justicia negociada sancionatoria, ahorrando tiempo y presupuesto, para otro tipo de casos que ameriten un más arduo trabajo de persecución penal. Este trabajo de grado aportará una reflexión para el desarrollo de la actividad no sólo de las partes e intervinientes en el proceso penal, sino también para que la sociedad sea cada vez más atentada a las incidencias del proceso, como aporte al debido proceso, como pilar fundamental de la convivencia social, al analizar la acusación en el procedimiento penal de los Estados Unidos de América y de la República de Chile y al observar en la práctica el sistema penal acusatorio ordinario Colombiano, en la que se encontrarán diferencias procedimentales y que en efecto cuenta con deficiencias al ejercer el control de la acusación y para que la Justicia Penal Militar pueda superar en el momento de aplicar la norma especial. Por lo que el método de investigación que se empleará es el comparativo - analítico, con el objetivo de contextualizar el escenario de la Audiencia de Formulación de Acusación en el Proceso Penal Colombiano a través de la construcción de novedosas ideas, en torno a la necesidad del cambio de paradigma limitativo que al respecto existe hoy en día en nuestro país. ; Contenido 1. Introducción 1 2. Problema de investigación 4 3. Objetivo General 4 3.1 Objetivos Específicos 4 4. La Acusación: Estados Unidos de América y la República de Chile 5 4.1 La Acusación en el Sistema Procesal Penal de los Estados Unidos de América 5 4.2 La Acusación en el Sistema Procesal Penal de la República de Chile 11 4.3 Ventajas y Desventajas del Control a la Acusación 13 5. La Acusación: Colombia 18 5.1 La Acusación en la Justicia Penal Ordinaria. 18 5.2 La Acusación en la Justicia Penal Militar 25 6. La Acusación Dentro del Proceso Penal Militar Una Propuesta Basada en la Comparación 39 6.1 Sistema Acusatorio de la Justicia Penal Militar Frente a los Principios Rectores y Garantías Procesales 39 6.1.1 El Principio de Legalidad 40 6.1.2 El Derecho de Defensa y Debido Proceso 41 6.1.3 De la Presunción de Inocencia 43 6.1.4 El Derecho a la Libertad 44 6.1.5 El Principio de Oportunidad 45 6.2 Retos Procesales Dentro del Sistema Acusatorio de la Justicia Penal Militar 45 7. Anexos 50 8. Conclusiones 60 9. Referencias Bibliográficas 64 ; In Colombia, with Law 1407 of 2010, the accusatory system is implemented in the Military Criminal Justice, already having a reform through Law 1765 of 2015 in which it establishes a new administrative structure and independence of the military command, which is why it is necessary perform the analysis of the ordinary accusatory system to determine the flaws and be able to overcome them in the special regime, focused on the control of the accusation, in order to obtain a more accusatory model of justice. Although the accusation is composed of two stages, a document of accusation and another the final reading in public hearing called Audience of Formulation of Accusation, in the ordinary procedure according to Law 906 of 2004 this hearing is preceded by the Judge of Knowledge, which in principle requires formal control and case law development in exceptional form of material control; in the Military Criminal Procedure, establishes that the accusation is the receipt of the Judge of the Control of Guarantees, who is in charge of giving rise to the parties so that orally in a public hearing they express the grounds for annulments and observations are made on the written accusation of both formal and material order. And although the accusation includes the precise acts of the investigation and that therefore must comply with certain formalities and there is the procedural duty of the Accuser, to carry out the responsible exercise of the criminal action, a verification of the indictment is necessary. the material control of the same, because it can contain vices or errors that can be corrected or not: A first aspect to take into account is to avoid unnecessary judgment, by missing elements that give certainty of both the conduct punishable against the fact, and the legal basis of the same conduct, which may lead to a dismissal of the case, And the second aspect is that in fact we have the factor of conviction and that it must be aimed at the factual, legal assessment and budgets of the criminal action, studied under the parameters of legality, relevance, conduct and usefulness. In order to achieve a better scope of the subject to be dealt with, a brief explanation will be given of how the prosecution is carried out in the criminal proceedings of the United States of America, since it offers the opportunity to explore a completely different legal order and also the control of the accusation will be studied in the Chilean criminal process, as the first South American country that started with the oral accusatory system based on the German procedural system, with the purpose of defining what should be debated at the moment of the accusation within the Process Military Penalty and identify the advantages and disadvantages against fundamental principles such as legality, technical defense and due process, in addition to sources of jurisprudence and dogmatics, to establish the challenges that the Military Criminal Justice must confront to implement formal control and material of the accusation, in front of the legally relevant facts for to have the elements of conviction of responsibility to the degree of probability. Likewise, to be able to understand the other important role that the accusation makes in the criminal process with which the principle of opportunity can be applied, thus achieving an easier solution of acceptance with an arrangement of the charges imposed in the accusation as a termination anticipated of the process, achieving a sanctioned negotiated justice, saving time and budget, for other types of cases that merit a more arduous work of criminal prosecution. This work of degree will provide a reflection for the development of the activity not only of the parties and intervenors in the criminal process, but also so that the society is more and more attacked to the incidences of the process, as a contribution to the due process, as a pillar of the social coexistence, by analyzing the accusation in the criminal procedure of the United States of America and the Republic of Chile and by observing in practice the ordinary Colombian criminal accusatory system, in which procedural differences will be found and that in effect It has shortcomings in exercising control of the charge and that the military justice system can overcome at the time of applying the special rule. Therefore, the research method that will be used is the comparative - analytical, with the objective of contextualizing the scenario of the Hearing of Formulation of Indictment in the Colombian Criminal Process through the construction of new ideas, around the need of change of limitative paradigm that exists today in our country.
Abstract: Despite crises and uncertainty in international capital markets, foreign direct investment (FDI) by multinational enterprises (MNE) is booming. The buzzword is globalization. The business world is expected to be moving closer together through more or less recent developments in communication technologies and transportation facilities. The political ideal of democracy along with a liberalization of national economies seems to have finally gained the recognition it deserves as the system that in the end allows for the best utilization of wealth creating endowments. Besides differences in economic development, cultural differences remain as a single important means of distinguishing between people from several nations. The critical issue is that this situation is being recognized and mankind restrains from emphasizing distinctions, and instead focuses an working out compatibility between cultures. Culture has been given the attribute of being responsible for economic performance by several scholars over the past decade. The original aim has been at explaining the continuous growth of the economies of Asian NICs which, however, came to an abrupt and widely unexpected end an 2 July 1997. Still the importance of culture seems to have been underestimated, otherwise the crisis might have been foreseeable. If cultural factors are of significant importance for overall economic performance, i.e. an the macro-economic level, they must be of at least the same importance for the performance of companies that work within the particular culture, i.e. an the micro-economic level. In this case, not only local but international investors in particular are affected by their respective cultural environment as two - or even more - different cultures have to be brought to work together. Obviously, a consensus has to be found between influences from home and host country culture. This situation often is expected to be a threat to the economic performance of the MNE. However, no existing culture in the world today can be viewed as superior to others in all aspects. Moreover, each culture has positive as well as negative factors. A MNE then, if it is able to effectively bring together several cultures in order to achieve one common goal, should be able to make use of the positive sides of the cultures at its different locations. Dunning Bansal analyze the effects of culture an multinational enterprises applying John H. Dunning's "Eclectic Paradigm of International Production", which is seen as the most comprehensive approach to explaining MNE behavior. They mainly base their findings an identifying cultural influences an foreign investment in existing literature. The unequal distribution of comparative competitive advantages in different industrial sectors between countries is attributed to culture. MNEs from one country that have an advantage in one sector are found to be able to export this advantage to a foreign location at least to some extent. Home country culture is expectedly found to influence a company's perception about its ownership advantages, the necessity and its ability to internalize markets, and its perception about locational advantages in both the home and the host countries. This paper extends that point of view by taking into account not only the culture in the MNE's home country, but also cultural features in the post country. The perspective is changed in so far as the host country culture is given a greater role in influencing the MNE's perceptions about its ownership advantages and Internalization and locational opportunities. One may argue that each company has a unique business culture that is supported by the home country culture and will be taken everywhere the company goes. However, Berger found that it is not possible to export the basic cultural factors that are held responsible for economic performance. Therefore, it is desirable to integrate the MNE's business culture and the host country's culture. According to Smith, business culture is strongly dependent on national culture anyway. Therefore, in order to make this paper appiicable to all companies in one country and to make cultures comparable, it will make no difference between national culture and business culture. This implies that culture not only is a firm specific but also a location specific factor in MNE activity. Having talked about the significance of culture for MNEs, the question arises of what culture is and how exactly does it influence the. location selection of MNEs. Studies an culture have identified several categories which Dunning Bansal found to be differing only in certain minor details. In agreement with this statement, this paper focuses an the study an countries' value systems introduced by Hofstede, extended by Hofstede Bond, and restated and summarized in Hofstede. It is the most widely known and applied approach to explain international cultural differences. Moreover, it represents a strong means of analyzing the core dimensions of both home and host country culture. On the other hand, it has been shown, for example, by Aharoni and Davidson that certain country characteristics such as language and customs play a major role in MNE location. Therefore, an the basis of Terpstra David's anthropological approach, further factors from the international business environment, that are more obvious an the outer layer of a country's culture, are taken into consideration. Both the environmental factors and the underlying value system will be shown to influence and support the central prerequisite for the positive outcome of economic transactions: trust. Trust has been identified by Fukuyama and Berger as the single most important aspect influencing economic performance. The relevance of trust to economic theory, thereby, is derived from the fact that essentially economic life consists of multiple encounters between individuals. Indeed, economic transactions depend an individual decisions made within an interdependent system. If trust is lacking between the individuals the respective decisions will lead to a negative outcome of economic transactions due to rising transaction costs. Furthermore, trust can be seen as the single cultural component that is generated by interaction between people and, therefore, may be influenced by outsiders. lt is a characteristic that is shown to be of great importance to a foreign company aiming at internalizing markets in distant cultural settings. Casson analyzes the effects of trust and the efforts of the outsider, who takes the role of the group leader, an the level of transaction costs. By analyzing the significance Hofstede's value System and the two environmental factors of religion and language have for trust, this thesis will show how the perception an the achievability of intercultural trust between a foreign investor and the host country culture influences the location selection of MNE. In the part that is intended to show the relevance of culture in international business activities in the real world, this study will for several reasons consider operations of firms from only one source country - the United States of America - in only one host country - Thailand. Restrictions in financial resources, as weil as time and space, are self-explanatory causes for this limitation. More important, however, is the need to narrow down the research to a country by country scope due to the vast cultural differences that exist between each country. So why does it make sense to choose the very countries of the USA and Thailand? The United States of America as a country is in the lead position in the world, both from a political and economic standpoint. Moreover, the USA serves as a model for industrialized as well as for developing nations. The development of multinational enterprises initially was started by U.S. firms and FDI by U.S. companies still accounts for the largest part of world wide foreign investment. In 1995, U.S. companies controlled 21,318 foreign subsidiaries worldwide, worth $2,815 billion in foreign direct investment. Of these investments $614 Billion were located in the Pacific Asian region, including Southeast Asia. Thailand, as one of the NICs in Southeast Asia, is predestined for this study due to two major characteristics that make it unique in the world. First, it has never been colonized by Western countries and, therefore, could retain its distinct cultural identity much clearer than other nations. Secondly, before the start of the crisis in July 1997, the Thai GNP had grown for 30 consecutive years. Indeed, in 1988 the fastest annual growth rate ever recorded in the world's economic history was calculated in Thailand at 13.2 percent. Therefore, the country has been attributed the "fifth tiger" following Hong Kong, South Korea, Singapore, and Taiwan. Mainly supported by rising exports and continuing foreign investments, the annual growth from 1992 to 1996 continued at an estimated average of 8.2 percent. Until the mid-1980s U.S. companies were the largest foreign investors. It was only after 1987 that net inflows of investment from Japan and the four original "tigers" exceeded that of the United States. This paper is separated into three interactive parts. Part 1 deals with the theoretical background behind this study, and after these introductory notes, gives an overview of the theory of international production in order to show which factors influence MNEs and their activities. First, the basic terms are defined and then the most important theories are summarized. Chapter three starts with the definition of culture and goes an to show some basic elements of the environment international companies have to deal with, namely, religion and language. It then summarizes Hofstede's value system approach and Casson's findings an trust and leadership. Finally, the environmental factors and the value System are integrated into the theory of trust and leadership in order to show how they are able to reduce the cultural distance between investors and host countries. Part II of the paper is devoted to the interaction between the two cultures of Thailand as a host country and the USA as the investor's home country. First, both value systems and environmental factors are analyzed and compared. Then some findings from interviews with U.S.-American' investors an cultural factors that influenced their location selection will be summarized in order to provide some anecdotal evidence an how trust was generated in their decision to invest in Thailand. In Part III, the findings from the two previous parts will be synthesized into the theory of international production. Based an the assumption developed in the preceding parts that location decisions are made in pursuit of a fit between the investor's and the host country's cultures, the findings an the influences of inter-cultural trust and leadership an transaction costs will be integrated into the respective components of the Eclectic Paradigm of International Production. Finally, the findings are summarized and some conclusions are drawn. Einleitung: Trotz der Krisen auf Kapitalmärkten in Asien und anderswo boomen ausländische Direktinvestitionen weltweit. Die vorliegende Arbeit untersucht die These, dass Kultur eine wichtige Rolle bei der Standortwahl multinationaler Unternehmen (MNU) spielt. Kultur wird definiert als eine "kollektive Programmierung des Geistes, die das Verhalten in der Umwelt und die Auffassung darüber auf eine Art und Weise beeinflusst, die durch menschliches Zusammenleben erlernt wird". Vertrauen wird als wichtigster Kulturaspekt herausgestellt, da ein hohes Maß an Vertrauen zu einer Reduktion von Transaktionskosten führt. Vertrauen kann durch eine Führungspersönlichkeit erzeugt werden. Das Maß an interkulturellem Vertrauen, das zwischen der MNU und dem Gastland aufgebaut werden kann, variiert mit der Durchsetzungsfähigkeit der Führungskraft und der Offenheit der Untergebenen für Manipulation. Dabei hängen die angenommene Stärke der Führungskraft und die erwartete Offenheit des lokalen Personals für fremde Einflüsse ab von Unterschieden und Gemeinsamkeiten in den jeweiligen Wertesystemen und kulturellen Aspekten wie Religion und Sprache bzw. Sprachkenntnissen. Erfahrungsberichte U.S.-amerikanischer Investoren in Thailand werden analysiert, um zu zeigen, dass die Erwartung, dass eine hohes Maß an interkulturellem Vertrauen erzeugt werden kann, eine wichtige Rolle bei der Wahl Thailands als Standort für die Südostasien-Zentrale spielen kann. Ein umfassender Vergleich der U.S.-amerikanischen und thailändischen Kulturen wird angeführt, um die obigen Annahmen zu belegen. Die Ergebnisse werden in das "Eklektische Paradigma der Internationalen Produktion" (auch OLI-Paradigma) eingeflochten, um die Relevanz der eigentümer-, standort- und internalisierungsbezogenen Aspekte bei der Suche der MNU nach dem Standort aufzuzeigen, an dem das höchste Maß an Vertrauen erreicht werden kann.
Väitöskirjatutkimus tarkastelee julkisen diskurssin ja argumentoinnin tilaa Suomessa. Julkisuudessa esiintyvä poliittinen argumentaatio toimii hegemonisen vaikutusvallan areenana, jolla määritellään mistä asioista puhutaan, miten, ja kenen toimesta. Joitain argumentteja edistetään strategisesti poliittisten tavoitteiden saavuttamiseksi, kun taas toisia otetaan itsenäisesti käyttöön niiden toimivuuden vuoksi. Argumentaatio nojaa suostutteluun, eikä suoraan vallankäyttöön. Demokratiassa argumentaatio on tapa saavuttaa tukea omille aloitteille, ja perustella hyväksyttävästi kiistanalaisia päätöksiä. Tässä tutkimuksessa tarkastellaan erityisesti taloudellisiin perusteisiin pohjautuvaa argumentaatiota, sen hyödyntämistä politiikassa, ja sen ylivaltaa päätöksenteon perusteena. Argumentin taustatekijöiden yhteneväisyys auttaa pohjaoletuksia tukemaan toisiaan yli erilaisten yhteiskunnan alojen, kuten esimerkiksi liiketoiminnasta median kautta politiikkaan. Vakuuttavat argumentit yhdellä kentällä houkuttelevat hyödyntämään niitä myös muualla. Esimerkiksi irtisanomistilanteissa yrityksen on kannattavaa korostaa väistämättömyyttä ja välttämättömyyttä, vähätellen näin omaa toimintakykyään ja siten myös vastuuta ulkoisten tekijöiden pakottavista toimista. Poliittinen toimija voi samoin oikeuttaa toimensa vedoten ulkoisiin tekijöihin, koska tämä argumentti on kansalaisille tuttu jo työelämästä. Taloudellista logiikkaa on vaikea kiistää. Tutkimusta ohjaa "kipeiden, mutta välttämättömien päätösten" leviäminen yleiseksi argumentaation muodoksi suomalaisessa yhteiskunnassa. Siinä missä yritysjohtajat perustelevat henkilöstövähennyksiä kipeinä, mutta välttämättöminä ratkaisuina, jotka takaavat yrityksen tuottavuuden tulevaisuudessa, poliitikot puolestaan pahoittelevat joutuvansa tekemään yhtä lailla kipeitä, mutta välttämättömiä leikkauksia hyvinvointiyhteiskunnan palveluihin taatakseen sen kestävän tulevaisuuden. Molemmissa tapauksissa toimijat julistavat ryhtyvänsä näihin toimiin vastentahtoisesti, mutta vedoten pakottaviin tekijöihin. Niin ikään vedoten leikkauksiin nyt, jotta tulevaisuus voidaan turvata – lyhytkestoista kärsimystä seuraa parempi tulevaisuus. Julkisen talouden sopeuttaminen ja yrityksen kulurakenteen tasapainottaminen seuraavat täysin samanlaista argumentaatio-rakennetta. Tässä tutkimuksessa tarkastellaan taloudellisen toimintalogiikan ja argumentaation valta-asemaa demokraattisessa päätöksenteossa. Globalisaation aikakaudella kansantaloudet ovat asettaneet kilpailukyvyn ja vastuullisen taloudenhoidon etusijalle. Kyseessä on suuri muutos tavassa hahmottaa yhteiskunnan ja valtion roolia politiikassa talouden alaisina toimijoina. Tässä tutkimuksessa tätä kehityskulkua ohjaa uusliberaali ideologia, joka suuntautuu markkinavoimien keskeisyyttä korostavien kehysten kautta, ja ilmenee argumentaation tasolla. Laajan yhteiskunnallisen diskursiivisen muutoksen hahmottaminen vaatii kaikkien näiden kolmen teoreettisen tasojen huomioimista: ns. faircloughlaisen koulukunnan (Fairclough & Fairclough 2012) kriittisen diskurssianalyysin argumentatiivinen käänne yhdistetään kehysteoriaan ja ideologiateoriaan selittämään kuinka yhteiskunnallista todellisuutta rakennetaan uudelleen. Vaikka talous pidetään käsitteellisesti erossa politiikasta, talouden prioriteetit ohjaavat kuitenkin politiikkaa keskeisesti. Tämä johtaa siihen, että politiikka menettää osan merkityksestään todellisten vaihtoehtojen harkinnan ja keskustelun areenana. Tutkimuksen teoreettinen kolmijakoisuus yhdistyy tutkimusaineiston omaan kolmijakoisuuteen: tutkimusalueena ovat yhtälailla yritysten, median, ja politiikan diskurssit. Mikäli yhden yhteiskunnallisen alueen puhetapa ja logiikka ylikorostuu todelliseksi hegemoniaksi, kenttien väliset erot muuttuvat pinnallisiksi. Vaikka on ymmärrettävää, että liiketoiminnassa taloudellinen ajattelutapa on luonnollisesti keskiössä, median tehtävä on informoida kansalaisia ja tarjota moninaisia näkökulmia yhteiskunnallisiin asioihin. Yksipuolisen kuvan välittäminen kiistanalaisista asioista vähentää myös median mahdollisuuksia toimia valtaapitävien vahtikoirina. Edelleen, habermaslaisen ideaalin mukaan edustuksellinen demokratia edellyttää harkintaa – deliberaatiota – ja vilpitöntä keskustelua erilaisista poliittisista vaihtoehdoista. Ainoastaan keskustelemalla vaihtoehdot läpi voidaan tehdä päätöksiä, jotka ovat demokratian hengen mukaisia, tasa-arvoisia ja osallistavia. Näihin poliittisen vallankäytön oikeutus nojaa. Jos argumentit eivät kuitenkaan jätä tilaa vaihtoehdoille, poliittisen päätöksenteon rooliksi jää talousdiskurssin vahvistaminen. Toisin sanoen, talouspoliittinen päätöksenteko erotetaan "normaalista" poliittisesta päätöksenteosta. Jos talouskriisi hahmotetaan koko valtion – yhteiskunnan – kriisinä, joka uhkaa olemassaoloamme, tuntuu vastuuttomalta "haaskata aikaa" harkitsemalla eri vaihtoehtoja. Talousdiskurssi tarjoaa valmiit vaihtoehdot. Seurauksena uskottavien tai ylipäänsä hyväksyttävien poliittisten valintojen kirjo kaventuu taloudellisten perusteiden mukaisesti. Suomesta lähtöisin oleva, mutta maailmanlaajuiseen maineeseen noussut Nokia toimii tässä tutkimuksessa suuntaa-antavana esimerkkinä yritysten talousdiskurssista globalisaation aikakaudella. Tutkimus ei siis ole niinkään keskittynyt Nokiaan yrityksenä, vaan Nokiaan tietynlaisena markkinoita korostavan logiikan ja puhetavan malliesimerkkinä Suomessa. Nokian vaikutusvalta Suomessa tekee yrityksestä luonnollisen tutkimuskohteen: 2000-luvun alussa monesti ajateltiin, että se, mikä on hyväksi Nokialle, on myös hyväksi Suomelle. Lisäksi Suomen kansallinen konteksti pohjoismaisena hyvinvointivaltiona toimii tutkimuksessa vastakkaisena kehyksenä uusliberaalin ideologian markkinakeskeiselle ajattelulle. Suomen suhteellisen kapea ja läheisesti kytkeytynyt taloudellinen ja poliittinen eliitti huomioidaan myös tutkimuksessa. Tutkimuksen analyysin ensimmäinen taso kohdistuu Nokian lehdistötiedotteiden yritysdiskurssia seuraavaan argumentointiin keskittyen erityisesti irtisanomistilanteista tiedottamiseen. Nokian kaltaisen suuryrityksen irtisanomiset ovat lähtökohtaisesti merkittäviä, mahdollisesti ristiriitaisia tilanteita, jolloin Nokian on tärkeää onnistua esiintymään vastuullisena yrityksenä. Analyysin toinen taso tarkastelee Nokiaa koskevaa uutisointia irtisanomistapauksissa kolmen eri sanomalehden kautta (Helsingin Sanomat, Kauppalehti ja Ilta-Sanomat). Analyysi osoittaa kuinka voimakkaasti Nokian puoltama markkinakeskeisyyttä korostava kehys kulkee läpi sanomalehtien uutisoinnin. Kolmannella tasolla syvennytään poliittisen diskurssin tasolle, kohdistuen hallituksen esityksiin valtion talousarvioiksi. Analyysin kolmas taso irtoaa Nokiasta ja keskittyy enemmän talouspoliittisen argumentaation kirjoon, seuraten Fairclough & Faircloughn (2012) esimerkkiä. Valtiovarainministerin budjettipuhe sekä eduskuntaryhmien vastaukset käsitellään valtiontalouden tilan ja tulevaisuuden arviointina. Tutkimuksen aikajana sijoittuu vuosien 2000 ja 2013 välille. Tutkimus koostaa yhteen kehyksiä ja argumentaatiota, antaen esimerkkejä sekä lehdistötiedotteista että sanomalehtiartikkeleista, koskien Nokian irtisanomistilanteita tältä aikaväliltä. Poliittisen diskurssin osalta samalta aikajaksolta poimittiin neljä budjettipuhetta – 2001, 2006, 2011, ja 2013 – erilaisin hallituskoostumuksin. Budjettipuheet sijoittautuvat myös mielenkiintoisesti erilaisiin makrotaloudellisiin jaksoihin: vuoden 2001 budjettipuheenvuorossa Suomi astuu aidosti globaalin maailmantalouden piiriin, kun taas vuonna 2006 ollaan taloudellisen nousukauden huipulla. Vuoden 2011 budjettipuheenvuoron aikaan talouskriisistä on ehtinyt kulua jo joitain vuosia kunnes tapahtuu laajamittainen siirros elvytyspolitiikasta talouskuriin koko Euroopassa. Viimein vuoden 2013 talouspuheessa lama jatkuu edelleen ja tulevaisuus näyttää yhä epävarmalta. Samana vuonna Nokian matkapuhelintoiminta myytiin Microsoftille. Tämä tutkimus osoittaa talousdiskurssin – ajattelun, puheen ja toiminnan – voiman suomalaisessa yhteiskunnassa. Vaikkei ole yllättävää, että suuryritys nojautuu voimakkaasti markkinoiden lainalaisuuksiin, on ongelmallista moniäänisen yhteiskunnallisen keskustelun kannalta, että näihin lainalaisuuksiin pohjaava argumentaatio toistuu mediassa. Joissakin tapauksissa tätä argumentaatiota ei ainoastaan toistettu vaan vahvistettiin, jättäen muille näkökulmille hyvin vähän tilaa ja siten vähemmän näkyvyyttä. Yhteiskunnalliset ja työntekijöiden intressit alistettiin säännönmukaisesti kilpailukyvylle ja kustannustehokkuudelle. Samat rakenteet toistuivat erityisen voimakkaina poliittisessa diskurssissa etenkin finanssikriisin jälkeisinä vuosina. Tutkimuksessa käy ilmi kuinka kansantalouden tasapainottaminen ottaa usein talouskurin ("austerity") muodon. Vastuullisuus politiikassa ymmärretään yhtäältä yhteiskunnallisen oikeudenmukaisuuden varmistamisena, mutta toisaalta julkistalouden rajaamisena, joka menee tasapainotusta pidemmälle. Ottaen kuitenkin huomioon, että julkistalouden tasapainotus nähdään yhteiskunnallisen oikeudenmukaisuuden edellytyksenä, näidenkin arvojen välinen järjestys seuraa taloudellisia vaatimuksia. Samanlainen argumentaatio-rakenne löytyy yritysdiskurssista, jossa työntekijöiden oikeudet tai irtisanomisten yhteiskunnallinen vaikutus toki huomioidaan, mutta kustannustehokkuus ja tuottavuus ovat etusijalla. Mediassa tätä logiikkaa ei myöskään kumottu. Ammattiliitot eivät onnistuneet löytämään tukea argumenteilleen ja poliitikot puolestaan käyttivät Nokian alamäkeä vertauskuvallisena perusteena tehdä leikkauksia julkisella sektorilla. Sekä Nokialle että Suomelle tarjottiin kriiseihinsä lääkkeeksi tiukkaa taloudellista kurikuuria. Vaikka hyvinvointivaltion perinteiset arvot, kuten yhteiskunnallinen vastuullisuus ja oikeudenmukaisuus näkyvät usein argumentaatiossa, ne asettuvat argumentaation kokonaisuudessa toissijaisiksi arvoiksi, jotka pehmentävät kovia taloudellisia päämääriä. Tämä kehitys selittää myös osaltaan myöhempien hallitusten linjauksia. Väitöskirjatutkimus sijoittautuu osaksi monipuolista tutkimusperinnettä sekä teorian että empirian osalta. Tutkimus soveltaa faircloughlaista poliittisen diskurssin argumentaatio-analyysiä aiempaa laajemmin. Teoreettinen malli kokonaisuudessaan ottaa laajemmin haltuun yhteiskunnallisten diskurssien muutoksen monelta eri näkökannalta. Tutkimus sijoittuu myös erikoisella tavalla kolmen erilaisen tieteenalan – vastuullisen yritystoiminnan tutkimuksen ja organisaatiotutkimuksen, kriittisen mediatutkimuksen, sekä poliittisen talouden tutkimuksen – risteykseen. Tutkimuksen löydökset vahvistavat kriittisen tutkimuksen aiempia löydöksiä, sekä valottavat suomalaisen yhteiskunnan muutosta. Vaikka tutkimus on keskittynyt osittain Nokiaan ja erityisesti Suomen kansalliseen kontekstiin, on kuitenkin todennäköistä, että tutkimuksen lähestymistapa ja tulokset ovat sovellettavissa laajemminkin eurooppalaisessa kontekstissa. Tutkimus antaa myös viitteitä siitä, että yhteiskunnallisen diskurssin ja argumentaation yksipuolistumisen seurauksia esimerkiksi politiikalle on syytä tutkia edelleen. Taloudellisen teknokratian ylivalta saattaa heijastua poliittisten ja yhteiskunnallisten voimien kanavoitumiseen uusin tavoin. ; This dissertation studies the range of public discourse and argumentation in Finland. Political arguments in public discourse are a site of a struggle over meaning and hegemonic influence, defining what issues get talked about and by whom. Specific arguments are at one hand strategically promoted, and on the other autonomously adopted. Persuasion, rather than coercion, is necessary to convince others of the legitimacy of proposed actions in a democracy. The dissertation focuses in particular on how public economic discourse and argumentation resonates in political discourse. Discourse, after all, reflects social practice. The sharing of similar meanings, premises and arguments informs a specific kind of logic that is not unique to a single discursive field. The mutual supportiveness of the argumentative elements increase their salience. Successful arguments, in particular, lead by example. A corporate actor may find it useful to stress extraneous circumstances over his own agency to claim that controversial actions are inevitable and necessary, and thus not debatable. Lack of agency suggests lack of accountability. Political agents gain more legitimacy for their proposed policy agenda if the assumptions and arguments implicit in that agenda are familiar to audiences from the business context. This research is motivated by a critical examination of the proliferation of arguments of "tough but necessary" decisions, commonplace in the public sphere. The same argumentative structure is visible between CEOs, who argue for downsizings as painful but necessary, even inevitable actions that would safeguard the company's future prosperity, and politicians, who argue that reduction of public expenditures is an equally painful but necessary action to balance public finances in order to secure the future of the Finnish welfare society. In both cases, actors declare reluctance and yet demand decisive action, short-term loss over long-term gain. After all, reducing public expenditure and labour costs both serve the bottom-line. This rationale reflects the economic logic of scarcity in both cases. The dissertation considers the consequences of prioritizing economic discourse in political discourse and democratic practice. The age of globalization has prompted a shift towards conceptualizing politics through competitiveness and fiscal responsibility first. Rather than looking at the arguments presented alone, it is necessary to understand such macro-level shifts in discourse and social practice in broader terms. These arguments and discourse form the operational level of pro-market frames, informed by neoliberal ideology. All three levels – argumentation theory informed by the argumentative turn of "Faircloughian" critical discourse analysis (Fairclough & Fairclough 2012), framing theory, and ideology theory – are necessary to fully encapsulate how understanding and decision-making in society develops not only through sense-making but sense-giving. This approach is integral to producing, reproducing, and sustaining structures of power through an interplay of business and political interests in public discourse. The theoretical triangulation of this work is matched with an empirical triangulation of business, media, and political discourse. The risk posed by hegemonic dominance of one particular ideology and its associated frames and discourse are different depending on the discursive field in question. In business discourse prioritizing corporate logic can be expected to dominate. In media reporting, however, a plurality of viewpoints should be available to inform the citizenry. Moreover, deliberative democracy in particular relies on sincere debates and arguments in order to, according to the Habermasian ideal, achieve equitable and inclusive decision-making. However, if there are no viable alternatives, and discourse links financial survival directly to national political survival, political deliberation becomes fraught. Hesitation and delay are often presented as irresponsible in what is seen as an impending crisis. As such, politics risk becoming a de facto extension of economics. In so doing political decisions necessarily derive their basis and legitimacy from economics, and economic language. This leads to a narrowing of credible and feasible political alternatives, when it is the purpose of politics to find possibilities and alternatives. A singular ideology means there is no choice, and politics lose their raison d'etre. The Finland-originated but multinational telecommunications company Nokia serves in this dissertation as a corporate operative exemplifying the rationale of business argumentation and discourse. This dissertation is not as much an investigation of what kind of a corporate actor Nokia is, but what kind of corporate discourse it promoted in the Finnish context. Nokia's power and influence in Finland make it a suitable example to draw on for the purposes of analysing the interplay of economic and political discourse. What was good for Nokia was often seen as being good for Finland. Furthermore, Finland's position in the tradition of Nordic welfare states makes the competition between the competing frames of pro-market and societal interest also relevant, as the corresponding ideological struggle is between neoliberal ideology and the tradition of the Nordic welfare state respectively. The role of elite-dissemination of hegemonic ideological logic and discursive practice is also explored, given the tightly knit composition of Finnish business and political elites. The first level of analysis focuses on corporate speech via Nokia's press releases, particularly relating to downsizing events, which were controversial and required careful argumentation to preserve the legitimacy of the company as a responsible corporate citizen. The second level of analysis deals with of media discourse relating to Nokia's downsizing. It observes how strongly the media took up Nokia's pro-market framing of the events. Media analysis focuses on three Finnish newspapers: Helsingin Sanomat (a socio-political approach), Kauppalehti (business approach) and Ilta-Sanomat (tabloid with national interest leanings) to provide a broad overview of reporting relating to Nokia's downsizing actions. The third level of analysis looks at political discourse in the form of budgetary speeches by Finnish Finance Ministers and party responses in Parliament. This last level follows the example set by Fairclough & Fairclough (2012) in seeing budgetary debates as key moments that present the state of the national political economy is stated and propose possible ways forward. The research timeline covers business discourse from Nokia from the early 2000s to 2013 – to the point when Nokia's mobile phone business was sold to Microsoft. The same timeline is followed in the media material following Nokia's rationalizations and public reactions to its downsizing events. Political discourse is explored through four budgetary speeches and their responses from 2001, 2006, 2011 and 2013. This allows the research to canvas the state of Finnish public discourse in three fields over a period of time – 12 years. This period covers the rapid globalization process of Finland and Nokia both in the early 2000s, the height of an economic boom in 2006, the shift from stimulus to austerity in 2011, and an uncertain future discussed in 2013. The research shows that economic logic is a powerful means to frame the debate: while it is expected that corporations prioritize economic logic in stating their case, it is troubling from the perspective of societal plurality that the same logic is reproduced in mainstream Finnish media. In some cases it is not only reproduced, but amplified through quoted expert sources, leaving very little room for objections challenging economic logic. This is not to say societal concerns are not addressed, but they are clearly given lower priority. Objections from the point of view of e.g. employee interest are subservient to issues of competitiveness and efficiency. It becomes increasingly problematic when the same logic is applied, most notably after the 2007-2008 financial crisis, to political debates. This argumentative development continues with later Finnish governments. The analysis reveals a powerful preference for pro-market frames that are largely interpreted as austerity policy. While both societal and fiscal responsibilities feature strongly in the arguments deciding the course of Finnish public finances, the arguably more powerful aspect is the latter one. It is only through fiscal responsibility that societal responsibilities can be realized. In essence, this argumentative structure is notably similar to that of a corporation undergoing restructuring: only once the company returns to profitability can the company's responsibilities towards its employees be realized. The media, it is found, often emphasizes this framing of priorities. Indeed, trade unions fail to argue for their members and politicians use Nokia's decline as a direct comparison to the decline of Finnish public finances. Both Nokia and Finland are represented in a crisis, and the only way out for both is fiscal discipline. On the level of discourse, there still exists wide support for responsible, fair, and socially just policies of the welfare state. While these values exist in discourse, they are relegated to secondary positions because they make less sense in the context of pro-market arguments in a competitive state. This research contributes expansively to both theoretical and empirical literature on the neoliberal shift in conceptualizing the political economy in the Nordic states. Theoretical triangulation serves as a workable model of intertwined approaches to qualitative analysis that still presents argumentative political discourse, frames and ideology as separate concepts. It also contributes in the fields of 1) business studies – and organization studies and critical literature of corporate social responsibility in particular – 2) critical media studies and 3) studies on the political economy. The findings are in line with previous literature in the critical tradition, and shed light on the transformation of Finnish society (and welfare state) in the 21st century. While centred on Finland and partially on Nokia, it is unlikely that this homogenizing argumentative this practice is unique to the Finnish context. The consequences of this development for active social and political participation need to be explored further.
At DiGRA 2013 (Georgia Institute of Technology, Atlanta, USA), the Indie Game Studies panel and dedicated issue of the journal Loading…, curated by Prof Bart Simon, brought the emerging forms of independent game development to the attention of game scholars (Parker 2014). Five years later, the indie scene has become richer and varied, and has been adapting to mutating contexts of production and distribution. Festivals, incubators for start-ups and small companies, workshops and mentoring schemes, have been proliferating in the USA, Canada, Australia, Northern Europe, and the United Kingdom. Numerous independent companies have been founded in the geographical areas where the video game industry was already solid, and a significant presence is establishing in parts of the world that have been traditionally distant from the main hubs of video game development. While the differences (economic, managerial, ideological) with the mainstream productions have always been contested, the recent proliferation of independent companies has further confused the boundaries that appeared to separate the independent territories from the 'official' video game industry. In 2013 the trade association TIGA estimated that in the United Kingdom '83% of all studios that started up in 2011 and 2012 were independent (as opposed to publisher owned)' (TIGA 2013). It has been estimated that, in 2014, 95% of video game companies in the United Kingdom were micro or small businesses, according to NESTA (2014) and the British government (GOV.uk 2014). In Australia, independent companies now form the 'backbone' of game development (Apperley and Golding 2015, 61; Banks and Cunningham 2016). In 2013, a survey involving 2,500 North American game developers revealed that 53% of them identified as 'indie' (GDC 2013), and a subsequent survey by IGDA revealed that 48% of US game developers self-identified as independent (IGDA 2014). Independence is no longer a marginal or alternative mode of production, if it ever was, but the most common type of organization within the video game industry. It appears that almost every game developer is now partially or temporarily 'indie' within their career, and the trend is expected to grow, consistently with the recent developments of the cinema, music, and fashion industries (Hesmondhalgh 2013, McRobbie 2016). The workshop will explore the current state, meanings, and values associated with independence in video game culture, through a series of contributions and findings that analyse the domain from different perspectives, disciplines and geographical specificities. What is at stake, in 2018, when making claims of autonomy, self-management, and creative control? Are indie games helping improve the diversity deficit in game makers and audiences? Is there still room for independence, in a production context where short-term contracts, individualism, and financial risks are considered necessary to be involved in game development? The workshop picks up where the 2013 DiGRA panel left off, bringing together the most current research and theorizing on the topic of "indie game studies." Speakers, including some of from the original panel in Atlanta, will present and compare research in a series of short (approx. 15 minutes) presentations. The presentation will culminate in a discussion, to which participants will be invited to contribute, identifying patterns, controversies and gaps, with a view toward continuing towards further collaboration, research, publication and dissemination. Speakers' contributions: Indie Game Studies – 5 years later Paolo Ruffino (Lecturer in Media Studies, University of Lincoln, UK) Ruffino will introduce the workshop. Drawing on Felan Parker's proposal of 'indie game studies', the workshop gathers some of the international scholars who are currently doing research on independent game development (Parker 2014). This presentation looks at the various approaches to the study of independence. It also questions the reasons for doing research on this topic in this particular historical moment, while developers are starting to organise in local/global unions and networks of mutual assistance. It also draws on regionally specific studies regarding the meaning and values of independence, with a view on mapping the contemporary topics and questions of academic research in the field. Game Production Studies: Theory, Method and Practice Casey O'Donnell (Associate Professor in the Department of Media and Information at Michigan State University, USA) Dr. O'Donnell's addition to this workshop is rooted in a deep interest and care for game production studies, beginning with his early dissertation work with AAA game developers and subsequently working in a variety of fields doing research on game production in the educational, crowdsourcing and "indie" communities. O'Donnell's focus will be on the theories, methods and practices of performing indie game production studies. Game Production Studies explore the wide array of processes, practices, texts, technologies and aspects that take place in and surrounding the game production process. This process is often referred to generally as "game development," which while rooted in the practice of making games actually constitutes a wide variety of tasks, disciplinary perspectives, processes, people and institutions. Indiepocalypse Nadav Lipkin (Assistant Professor of Media, Communication and Technology at La Roche College, Pittsburgh, PA, USA) In his 2013 article for Loading…, Lipkin went about defining independent games. A fear at the heart of that discussion was that larger corporations would co-opt the indie movement by producing games that look indie without being independent from dominant production practices. Since then, subsequent research suggests a different concern is perhaps more worthy of examination. For this workshop, Lipkin will discuss the Indiepocalypse and focus on how the biggest threat to independents is not the mainstream but each other. Overproduction, a glamorization of insecure and unpaid labor, and mainstream distribution partners (especially Steam) who have contradictory financial interests need to be better understood. By examining these conditions, Lipkin intends to connect the games industry more closely to examinations of other creative industries plagued by similarly poor labor and economic conditions. Some notes on the indiefication of game development Olli Sotamaa (Postdoctoral Research Fellow at Game Lab, School of Information Sciences at University of Tampere, Finland) This presentation will draw on my study of the Finnish game development scene that has been going on for almost a decade now. While Finland arguably is a small node in the global circuits of game production, well known hit games like Rovio's Angry Birds and Supercell's Clash of Clans have attracted attention worldwide. Following Garda & Grabarczyk (2016), I consider it important to highlight how the notions of independent games are always connected to given time and place. Accordingly, I examine how independence and 'indie' get a particular meaning in a North-European game development scene defined by small domestic market and early focus on mobile games. Drawing from diverse examples ranging from Housemarque, an independent studio founded in 1995 and a nominee for the Best Indie Studio in Develop Awards 2018, to Arvi Teikari, the designer of IGF 2018 winner Baba is You, this presentation explores the different understandings of indie in an environment that has never hosted a strong AAA industry. As at least some of the game development practices look increasingly similar, it is clear that we need to take a closer look at the production networks (Tyni 2017) and cultural intermediaries (Parker, Whitson & Simon 2018) and explore how they differ between individual games and companies. The other side of the spectrum – how indies saved VR Paweł Grabarczyk (Post-Doc at ITU Copenhagen, Denmark) As has been pointed out (Juul 2015, Garda & Grabarczyk 2016) pixel art and low (or at least relatively humble) production values have become the de facto aesthetic standard for contemporary independent games. Indie games can typically be run on modest computers as they do not require expensive graphics cards or fast processors. The result of this common association is that independent games with relatively high production values are sometimes dubbed as "AAA indie" (Hellblade Senua's Sacrifice can be a good example of this). Contrary to this VR technologies are typically associated with expensive, high end machines because they require both: the purchase of a relatively powerful computer and the purchase of the headset itself. On the face of it, VR games and indie aesthetics could not be further apart. It is thus very surprising that this expensive technology attracted a substantial number of independent developers (for example, there are currently 1864 games tagged as "independent" "VR" games on the Steam platform). More importantly, many of the most successful VR games belong to the indie category (Job Simulator, SuperHot VR, Beat Saber). I believe that this phenomenon demands further study, because it escapes some of the existing classifications and conceptualizations of independent games market (the move from retro-aesthetics being the most obvious reason for this). I argue that there are three reasons why independent developers were attracted to VR platforms. The first reason is the move from pixel art to low poly art which has been visible in many recent games (and which made the transition from "flat" games to VR games possible). The second reason is the spirit of innovation which permeates both communities (indie developers and VR developers). The third, most intriguing factor is that VR games created an economic niche which resulted from the lack of so called "AAA" games being developed specifically for VR. Project:INDIE Dr Celia Pearce (Associate Professor of Game Design at Northeastern University, USA) Over the past decade, indie games have grown at such a rapid rate that by 2014 roughly half of game developers identified as indie. This explosion is the outcome of a bottom-up, complex, emergent process representing the convergence of a variety of visible and invisible factors, including: emerging technologies, new publication and funding models, game academia, festivals and exhibitions, accessible creation tools, peer-learning and creative communities (e.g. game jams, co-working spaces), as well changes in government and popular perception of games. Project:INDIE is an initiative and consortium formed to develop an overview of the indie ecosystem, mapping the complex interrelationships and influences between its constituent parts. We will do this by aggregating existing research on indie games, identifying gaps and setting research agendas, and conducting comparative analysis on datasets from key players to understand the synergies between various contributing factors to the growth and commercial success of indie and artgames. Independent game industry in Melbourne, Australia Dr Brendan Keogh (Digital Media Research Centre, Queensland University of Technology, Australia) Like other countries beyond North America and Japan, Australia has an emerging, grassroots videogame industry consisting primarily of small teams of independent studios creating original IP in precarious conditions. In Australia, this independent game industry has centred on Melbourne, Victoria, where state funding and the support of institutions such as the State Library of Victoria and the Australian Centre of the Moving Image have encouraged the growth of a robust and diverse ecology of videogame makers. Crucially, within this ecology are two interlocking but distinct independent scenes with different practices and approaches. This talk will present preliminary findings from interview research conducted with 40 videogame makers and cultural institutions in Melbourne to highlight the specific tensions, experiences, skills, and identities across these two Melbourne indie game scenes to draw attention to the need to account for a variety of scales of formal and informal creative labour practices within local videogame development fields. BIOGRAPHICAL INFORMATION Paweł Grabarczyk is a post-doc researcher at IT University of Copenhagen and adjunct professor at University of Lodz. His research focuses mostly on the boundaries between philosophy and game studies: specifically philosophy of language (ontology of games and conceptual analysis) and philosophy of mind (forms of representation in games and virtual reality). He is also interested in the study of modern and historical trends in games (indie games, shareware games) and demoscene. He is the president of Centre for Philosophical Research and an editor-in-chief of Replay: The Polish Journal of Game Studies. Brendan Keogh is an Australian Research Council Discovery Early Career Research Fellow currently conducting research into Australian videogame makers and skills transfer. He is the author of A Play of Bodies: How We Perceive Videogames and Killing is Harmless: A Critical Reading of Spec Ops The Line. Nadav Lipkin is an Assistant Professor of Media, Communication and Technology at La Roche College in Pittsburgh. His dissertation, "Agents at work: Decision making capacity and creative labor in network society," explores agency for creative professionals through a cross-industry analysis and a case study of the independent game development community in New York City. His research focuses on independent media production both in and beyond the games industry. Currently, he is examining the responses of YouTube content producers to changes in the platform's content policies. Casey O'Donnell is an Associate Professor in the Department of Media and Information at Michigan State University. His research examines the creative collaborative work of videogame design and development. This research examines the cultural and collaborative dynamics that occur in both professional "AAA" organizations and formal and informal "independent" game development communities. His first book, "Developer's Dilemma" is published by MIT Press. Casey is an active game developer, releasing "Osy," in 2011, "Against the Gradient," in 2012, "GLITcH" in 2013 and "Kerem B'Yavneh," in 2016. His work has been funded by the National Science Foundation (NSF) and the National Institute of Health (NIH). Celia Pearce is an award-winning game designer, researcher, writer and curator. She currently holds a position as Associate Professor of Game Design at Northeastern University. She is the author or co-author of numerous of books and papers, including Communities of Play (MIT Press), Ethnography and Virtual Worlds (Princeton) and IndieCade@10: A Decade of Innovation (CMU ETC Press-In Progress), which chronicles the history of IndieCade, the festival she co-founded. Her recent game credits include Fracture, co-designed for the Blinks Platform, and eBee, which won the 2016 award for Innovation in Tabletop Game Design at Boston Festival of Indie Games. Paolo Ruffino is Lecturer in Media Studies at University of Lincoln, UK, and artist with the collective IOCOSE. Ruffino is the author of Future Gaming: Creative Interventions in Video Game Culture (Goldsmiths and MIT Press), and editor and co-author of numerous publications on games cultures, gamification, and game art. He has been researching in the areas of digital culture, media and cultural studies, media art, and semiotics. Ruffino is President of DiGRA Italia and board member of British DiGRA. Olli Sotamaa is an Associate Professor of game cultures studies at the University of Tampere. His publications cover co-production, user-generated content, game industry analysis & game studies methods. Sotamaa is the co-director of University of Tampere Game Research Lab and a team leader at the Centre of Excellence in Game Culture Studies (2018-2025). His current research interests include game production studies, creative labour and game policy. BIBLIOGRAPHY Apperley, T. and Golding, D. (2015) "Australia" in In Video Games Around the World (M.J.P. Wolf, dir.), Cambridge (MA): The MIT Press, pp. 57–70. Arsenault, D., and Guay, L.-M. (2015). "Canada". In Video Games Around the World (M.J.P. Wolf, dir.), Cambridge (MA): The MIT Press, p. 105-118. Garda, M.B. & Grabarczyk, P. (2016). Is Every Indie Game Independent? Towards the Concept of Independent Game. Game Studies, vol. 16, Issue 1. GDC (2013) "GDC State of the Industry research exposes major trends ahead of March show". GDConf.com. February 28. Available at http://www.gdconf.com /news/gdc_state_of_the_industry_rese/ GOV.uk (2014). "Video games tax relief passes final hurdle". GOV.uk, 27th March. Available at https://www.gov.uk/government/news/video-games-tax-relief-passes-final-hurdle Gregg, M. (2011) Work's Intimacy. Cambridge, UK and Malden, MA: Polity Press Hesmondhalgh, David. 2013. The Cultural Industries. 3rd Edition. London: Sage. Kultima, A; Alha, K. & Nummenmaa, T. (2016). Building Finnish Game Jam Community through Positive Social Facilitation. Proceedings of the 20th International Academic Mindtrek Conference, pp. 433-440. New York: ACM. Juul, J. (2014). "High-tech Low-tech Authenticity: The Creation of Independent Style at the Independent Games Festival". In Proceedings of the 9th International Conference on the Foundations of Digital Games. Fort Lauderdale. Lessard, J. (2012). "Glutomax: Québecois Proto-Indie Game Development". Loading. Vol. 7, no 11, December 31st. Available at http://journals.sfu.ca/loading/index.php/loading/article/view/127. Lipkin, N. (2012). "Examining Indie's Independence: The Meaning of "Indie" Games, the Politics of Production, and Mainstream Cooptation". Loading. Vol. 7, no 11, December 31st. Available at http://journals.sfu.ca/loading/index.php/loading/article/view/122. NESTA (2014) "A Map of the UK Games Industry", Nesta.org, 25th September. Available at https://www.nesta.org.uk/publications/map-uk-games-industry McRobbie, A. 2016. Be Creative: Making a Living in the New Culture Industries. Cambridge: Polity Press. Parker, F. (2014) "Indie Game Studies Year Eleven". In Proceedings of DiGRA 2013: DeFragging Game Studies, Vol. 7, August 2014. Available at http://www.digra.org/digital-library/publications/indie-game-studies-year-eleven/ Parker, F; Whitson, J.R. & Simon, B. (2018). Megabooth: The cultural intermediation of indie games. New Media & Society, 20(5), 1953-1972. Ruffino, P. (2012). "Narratives of Independent Production in Video Game Culture". Loading. Vol. 7, no 11, December 31st. Available at http://journals.sfu.ca/loading/index.php/loading/article/view/120. Swalwell, M., and Davidson, M. (2015). "Game History and the Case of 'Malzak': Theorizing the Manufacture of 'local Product'in 1980s New Zealand". Locating Emerging Media (Ben Aslinger et Germaine R. Halegoua, dirs.), London: Routledge. Swalwell, M. (2012). "The Early Micro User: Games writing, hardware hacking, and the will to mod". In Proceedings of DiGRA Nordic 2012 Conference: Local and Global—Games in Culture and Society , June, Tampere Swalwell, M. (2008). "1980s Home coding: The art of amateur programming". Aotearoa Digital Arts New Media Reader (Stella Brennan and Su Ballard, dirs.), p. 192-201. Tyni, H. (2017). Double Duty: Crowdfunding and the Evolving Game Production Network. Games and Culture, Online First. UKIE (2017) "The UK Video Games Sector: a Blueprint for Growth". The UK Interactive Entertainment Association. Available at http://ukie.org.uk/blueprint
¨The actions taken by the Armed Forces are not a mere overthrow of a government but rather the final closing of a historical cycle and the opening of a new one in which respect for human rights is not only borne out by the rule of law and of international declarations, but is also the result of our profound and Christian belief in the preeminent dignity of man as a fundamental value.¨ (…) ¨It will be the objectives of the Armed Forces to restore the validity of the values of Christian morality, of national tradition and of the dignity to be an Argentinean; (…) a final solution to subversion in order to firmly found a reorganized Argentina on the values of Western and Christian civilization by eradicating, once and for all, the vices which afflict the nation. This immense task will require trust and sacrifice but has only one beneficiary the Argentinean people¨ (1). With these words the military junta addressed the Argentines after taking over the government through a coup d'état the 24th of March 1976. Already in this first official communication it is possible to find the strong messianic discourse where the armed forces were fulfilling their holy mission to protect the Christian-national identity of the country.For the first time in the history of Argentina catholic-nationalism, as a nationalist ideology, had an absolute control of the State and was backed by the entrepreneurship and by important sectors of the middle class.(2) The military junta, leaded by Jorge Rafael Videla, was the perfect embodiment of a permanent alliance between religion and fatherland. The armed forces were compelled, being the institution that gave birth to the nation, to fulfill a decisive role in the "holy mission" to morally regenerate the country. This would have allowed Argentina, and therefore all of the Western-Christian civilization, to not just vanquish communism but, also, all of its roots like liberalism, democracy and agnosticism. The military, alongside the Argentinean Catholic Church and its supporters, were convinced that the final battle of the "third world war" was taking place in Argentina. Generals Ramon Camps and Menéndez would even call the "Argentinean theater of operations" as third world war, where they thought the international subversive movements were playing a pivotal role (3). This extremely eschatological feeling was completely different from other similar Cold War scenarios in other developing countries. In Argentina the "final showdown against international communism" syndrome was exacerbated by this alliance between the sword and the cross that would fight communism in order to make a "healthy" society possible, which would lead the way to the regeneration of the "atheist infected" western world. This expectation was the pillar of messianic spirit that justified the extermination plan.But the Proceso de Reorganización Nacional (National Reorganization Process), as the military junta denominated the period that begun with the coup d'état, was more than an extermination plan; it aimed at a total "restoration" of society. The speech given by Lieutenant Jorge Eduardo Goleri at a book burning gathering in Córdoba in April 1976 clearly shows what the Junta was aiming for: "God's will requires that the military preserves the natural order manifest in the Western and Christian civilization to which Argentina is integral, but the East had organized a massive international conspiracy to subvert that civilization by restructuring society in accordance with the seditious and atheistic doctrine of communism. We are facing the imminent doom of our way of being Christian under the assault of subversion"(4).The Junta regarded itself as the creative agent of historical destiny(5). In their eschatological mindset they were analogous to the Messiah. They saw themselves as the mythological/biblical Hero that defended the most sacred/holy interests and appeared when a series of afflictions required his abilities of salvation. The Hero needed a nemesis in order to act and what better foe than international communism. But the latter was constructed in a Manichean, epical and apocalyptical manner. The myth of the Hero was opposite to the myth of a "Metaphysical Enemy". The former would engage in a Mythological/Holy War against an invisible but encompassing "Evil". Violent acts from left-wing guerrilla groups, which the Junta labeled as terrorism, perfectly ascribed that ontological description. Communism, with its terrorist offspring, was foreign, atheist and ideological. The military, then, had to combat it not just in the streets or countryside; but in the people's minds, and souls, as well. Guerrilla fighters were just the armed side; the roots of communism, meaning of terrorism and anti-Catholicism, were to be found in individuals that had ideas contrary to the Juntas' weltanschauung. They were ideas that opposed the catholic foundations of the nation and the society that it embodied.The Junta's adversary was an essentially ideological foe as General Videla stated to a British journalist: "A terrorist (read communist or atheist) is not just someone with a gun or a bomb, but also someone who spreads ideas which are contrary to Western and Christian civilization" and he continued, "…Subversion is all action that seeks the alteration or the destruction of the people's moral criteria and form of life, with the end of seizing power and imposing a new form based upon a different scale of values"(6). The guerrilla was not the most dangerous enemy; because in military terms it was already defeated before the Junta took power. The nemeses were communism, liberalism and democracy, ideologies that advocated an "Anti-Christian Revolution" that subverted the catholic foundations of the country(7). Accordingly, the subversive was guilty of the most serious crime against the Augustinian concept of "Common Good". In this latter sense, the battle against that invisible, but spiritual, Evil was a conflict inside each one of us. Like Massera said: "…the Third World War is not only fought in battlefields but, more importantly, in the believer's soul" (8). This Holy War mobilized the Junta as a "warrior-savior", as a modern crusader fighting for God and freedom from foreign atheist ideologies. This, in part, self-perceived holy mission strengthened the Junta's self-image as Christ's vicar, as crusading defender of Christianity and its Natural Order from the "pagan agents and antinational beings of the Antichrist"(9). Not surprisingly, the military profession was defined by Monsignor Bonamín as a profession of religiosity. Consequently, it is no wander that before the armed forces toppled Isabel Peron's government, they asked for the Catholic Church benediction the night before the coup(10). The Argentinean Catholic Church was as deeply as it could possibly be involved in this crusade. The Crusade's sanctification by the ChurchAfter Videla and Massera were blessed by the heads of the Argentinean Episcopate the night before the coup, Parana's Archbishop and military Bishop Adolfo Tortolo announced that the Catholic Church would positively cooperate with the new government (11). The Church was actively supporting and legitimizing the imminent armed forces' putsch. This probably did not surprise the future Junta's leaders. In December 1975, just three months before the coup d'état, Tortolo had called for the military to inaugurate a "purification process" and his subordinate Bonamín had stated, during the mass in front of future Junta leader General Viola, that Christ wanted the armed forces to be beyond their function in the future (12). The vicars of Christ on Earth were actually telling the military what were their Lord's orders. This symbiosis between the sword and the cross continued even after the first accusations of human rights violations against the Junta. On October 1976, Tortolo declared that he did not know of any evidence that proved that human rights were being violated or abused. In 1977 he went even further by affirming that the Church thought that the armed forces were acting accordingly to the special demands of the present juncture; meaning that the military was fulfilling its duty (13). The same with Bonamín's declarations regarding the role of the armed forces: "…it was written, it was in God's plan that Argentina did not have to lose its greatness and it was saved by its natural custodian: the army"; "…Providence has given the army the duty to govern, from the Presidency to the intervention in a trade union"; and finally "…the anti-guerrilla fight is a battle for the Republic of Argentina, for its integrity, but also for its altars (…) This fight is a fight in morality's defense, of men's dignity, ultimately a fight in God's defense (…) That is why I ask for the divine protection in this dirty war to which we are committed to." (14)The vast majority of the Argentinean Catholic Church favored and strongly supported the military junta's government and repression. Only four of the eighty-four clerical members of the Argentinean Episcopate publicly denounced the regime's repression (15). However, the Church was not just backing the Junta because it legitimized its sacred duty to defend the fatherland or because it identified itself in the Junta's messianic mission; but because Church also had to deal with its own internal enemies. The Argentinean Catholic Church was, perhaps, the most conservative Latin-American national Church. It was strongly in disagreement with the three most important progressive movements inside the Catholic Church: the Second Vatican Council, the Third World Priesthood Movement and the Latin-American Episcopal Council of Medellin. The Theological Liberation Movement that spread through Latin America during the 60s and 70s was extremely popular among young Argentineans. Several priests identified themselves with the Movement and tried to bring change to the Argentinean Church through their communal and pastoral actions among poor sectors. Additionally, several Montoneros' members were former catholic school's students that had radicalized, in part, because of their experience with the Theological Liberation Movement. The Catholic Church, then, supported, or did not protest too much against, the "internal cleansing" done by the military; like the killing of Father Mujica, Angelleli and four Palotines clerics among other cases (16).Lastly, the Catholic Church was involved in a much sinister way with the Junta's actions. The heads of the Argentinean Church knew about the repressive methods being used by the security and armed forces and chose not to condemn them. They considered them as necessary sacrifices for the Common Good. Nevertheless, several clerics went further by assisting and taking an active part in the implementation of torture and other repressive mechanisms used by the Junta. More than two hundred prelates participated in four different ways: offering confession/absolution to the victims before being executed or thrown into the sea; assisting the torturers by playing the "good cop" role; being themselves the torturers; and, by confessing and spiritually assisting the torturers and other victimizers (17). The priest Christian von Wernich is, maybe, one of the best examples of the fusion between the cross and the sword. Not only he assisted the torturers in their tasks, he even was involved in the kidnapping and torture of several desaparecidos and in the infiltration of exiled groups in New York (18). He, among others like Archbishop Plaza, Fathers Astigueta, Castillo and Perlanda López that also assisted torture sessions, justified the repressive methods, not considering them sins, by legitimizing their, and the military, behavior under the Augustinian and De Vitorian doctrines of "just war". The support of the Catholic Church for the fight against subversion and its blessing was a pivotal element in the implementation of the plan of extermination and its suppressive mechanisms. The repressive methods, chosen by the Junta, were not void themselves of a messianic and divine nature. Divine and Redemptory Violence The three main types of violent acts that reflected the Junta's Messianic crusade, which were an integral part of their repressive methods, were: torture, thevictim's throwing into the sea and the appropriation of the victims' children by families deemed proper by the military. These violent means, chosen by the perpetrators to perpetually annihilate the ideas that were subverting the Argentinean Catholic traditions, were constructed under the discourse of "love" in two different ways: firstly, the kind of love upheld by Thomas Aquinas where the authority could legitimately kill evil-doers when the formers were motivated by charity. The crusading Junta envisaged that the repressive methods it used had a transcendental value. That type of violence was constructive rather than destructive, insofar as it was able to eradicate evil in order to create good (19). Love was considered the reason for an act of violence, for a punishment that redeemed the sinner, disregarding whether the latter survived the penitence. General Ramón Camps, commenting of how the detention centers perfected the victims through torture, said: "It is love that prioritizes and legitimates the actions of soldiers. The use of force to put an end to violence does not imply hate since it is nothing other than the difficult search for the restoration of love. In the war we are fighting, love of social body that we want to protect is what comes first in all of our actions" (20). Massera and Videla also referred to the dictatorship's repression as an "act of love" or "work that began with love"(21). All these statements reflected how the just war's discourse of Christian charity was in their minds by giving love a pivotal place.Secondly, there was another, and more complex, kind of love in the Junta's Christian-inspired crusade, which contrasted with the former metaphysical type and appeared exclusively in the torture tables of the detention centers, and should be labeled as sexual love. The torture sessions were filled of sexual symbolisms and discourse. The eroticism present in the torments was the exteriorization of the torturer's sexual -religiously repressed- desires into the body -the sexual surrogate totem- of the tortured. Consequently, the act of torture symbolized the act of sex(22). Like Jacobo Timerman perfectly put it, the Junta's violence was the emotional and erotic expression of a militarized nation (23).An expression orchestrated by the use of the picana. The latter was the preferred torture instrument used by the torturers for many reasons. Historically, it was first used by the nationalists during Uriburu's dictatorship and it was extremely effective in administering the desired amount of pain. However, symbolically, thepicana represented, better than other torments, the rawest manifestation of the Junta's conception of power related to "love's twofold sense". Considering torture as a Christian act of love, the picana was the necessary instrument to get a confession from the torturer that would eventually get him redemption. But thepicana had to fill a "void space". According to the perpetrators the victims were atheists (then they were not Argentines), which meant that in order to get any kind of absolution they had to, somehow, recognize and accept the Word of Christ. The Word would fill the empty victims; but first the picana would have to fill them with the will to "repent" and "convert". Once the tortured had received several electric shocks, they would receive and recite the Word by being ordered by the torturers to deliver Catholic prayers (24). Through these confessions the Junta's self perceived role of being the vicars of Christ on Earth was realized every time. They had defeated the atheist enemy but, employing Christian charity, they also had won the battle for the subversives' souls. Redemption was offered to anyone, even the irrecoverable cases. Even if their bodies were deprived of life their souls were saved. One of the ways that the ones not redeemed during confession were granted spiritual salvation was by the purifying power of water. By throwing them into the sea alive they were bestowing them a new, or first, "baptism" (25). It was the perpetrators' holy mission to redeem the victims' souls in life or in death. The picana, when considering torture as a sexual act, was also a phallic symbol. The torturer would make use of the picana-phallus to inflict pain and, at the same time, through the victim's screams and spasms satisfy his own repressed sexual desires. The perpetrator would systematically use the picana-phallus in the erogenous parts of the body. The body of the tortured would then transform into the sexual object of the repressor's desires. A sinful object that had to be purified with repent or conversion but only after the torturer's sexual desire had been satisfied (26). Symbols of divine violence can be found in other examples of torture sessions during the Junta's dictatorship. The torturers would yell at the captives, and would also made them say, "Viva Cristo Rey" and would make them thank God for another day by make them recite prayers before sleep. The picana was sometimes referred as "giving holy communion" as well as water-boarding was named "baptism". Among the many names that the torture chambers were given by the perpetrators there were: "the confessionary" and "the altar" (27). The latter clearly reflects the idea of sacrifice embedded in the repressors' minds. Regarding the victims' religious creeds the torturers would make a distinction between the recoverable and irrecoverable cases. Among the former ones there would be victims that had a catholic background because they had gone to catholic schools or because they knew how to recite prayers (28). Nevertheless, being catholic was not synonym of survival. The irrecoverable Catholics would only have their souls saved, but not their lives. Amid the desaparecidos there were an important proportion of Jews. About 1% of the Argentine population was of Jewish origin, but 20% of desaparecidos shared the same religious background (29). The Junta believed in an international communist conspiracy that, like the Nazis before, was leaded by the Jewry. Being Jewish meant being a Bolshevik. Additionally, the Junta's Messianic trope further propelled the kidnapping and execution of the community that, according to them, was responsible for Christ's crucifixion (30). Lastly, the appropriation of the desaparecidos children by the military was, perhaps, the most sinister of the Messianic-inspired repressive acts done by the military., The kidnapped pregnant women that gave birth in captivity, after being tortured regardless of their condition, were deprived of their children. The newborns were appropriated by families that would rise according to Catholic tradition. Motivated by Christian charity and its doctrine, these children would avoid the atheism, Judaism or wrongly conceived Catholicism that their parents would have offered them. These newborns were, according to the Junta, truly "innocent" and deserved to have the chance to live a proper life in genuine catholic families. Concluding RemarksThe Messianic ideology during the dictatorship was present not only in the Junta's ideology, but also in its discourse and repressive methods. Even if not everything that happened during the military regime can be explained through the catholic-nationalist ideology, the latter provides the essential motivation for the government. It is difficult to imagine that the magnitude, and chosen methods, of the repression would have been the same without the Messianic trope. By comparing the level of Argentinean repression to other military regimes of the Southern Cone in the same period, the distinction is remarkable. Not only the repressive mechanisms used by the Argentinean dictatorship were distinct, and more sadist and cruel, than the Chilean, Uruguayan and Brazilian cases, but the amount of Argentina's desaparecidos dwarfs those cases.Additionally, the Argentinean Catholic Church was the only one to completely back the regime and its repressive methods. In Chile, for example, the heads of the Church were divided in supporting Pinochet. Ultimately, the majority of the Church would condemn the Chilean regime. Regarding the political leadership, there are no religious discourses that serve as justification for the regimes in the other Southern Cone's dictatorships. The military juntas of those countries never legitimized their governments or their respective coup d'états in God's will or the salvation of Christian-Western civilization. National security and the fear of communism were their justification. Even if the regimes were ideologically justified, these were never of a religious nature like in the Argentinean case. It is probably the catholic-nationalist ideology, matured in the 30s, augmented by the international communist conspiracy typical of the Cold War that prompted the Junta in Argentina to completely wipeout what they perceived as atheist and foreign elements in society. Without a Messianic military that was ready to fight a crusade in order to restore order to the nation and without the blessing and active support from the Church, the repression would not have had the size and the horror that it had. The armed forces were fighting what they thought was the last crusade of the 20th century against the atheist forces of communism. The "Third World War" was already happening to them. Winning it was more than strategic, it was a holy mission. (1) Excerpts from a radio announcement made by the Junta after taking control of the State. Cited in Loveman, David and Davies, M. Thomas; The Politics of Antipolitics: The Military in Latin America; University of Nebraska Press; Lincoln; 1978; pp. 177. (2) See Novaro, Marcos and Palermo, Vicente; La Dictadura Militar; Paidos; Buenos Aires; 2003. (3) See Clarin, June the 26th 1976. Cited in Novaro, Marcos and Palermo, Vicente; La Dictadura Militar; Paidos; Buenos Aires; 2003; pp. 93. (4) Cited in Frontalini, Daniel and Caiati, Maria C.; El mito de la guerra sucia; CELS; Buenos Aires; 1984; pp. 90. Note how the East is viewed as the geopolitical source of "evil" similar to the Nazis' fear of the East. (5) See Graziano, Frank; Divine Violence. Spectacle, Psychosexuality, & Radical Christianity in the Argentine "Dirty War"; Westview Press; Boulder; 1992; pp. 120.(6) See CONADEP; Nunca Más; Eudeba; Buenos Aires; 1984; pp. 342. (7) See Castro Castillo, Marcial; Fuerzas armadas: Ética y represión; Nuevo Orden; Buenos Aires; 1979; pp.120. (8) Massera, Emilio; El país que queremos; FEPA; Buenos Aires; 1981; pp. 44. This concept of an internal and spiritual struggle is common to all religious fanatic ideologies. For example the original significance of Jihad was that of the soul's struggle against temptation. The concept would later evolve to holy war. (9) As subversives were defined by Ramon Agosti. Cited in Verbitsky, Horacio; La última batalla de la tercera guerra mundial; Legasa; Buenos Aires; 1984; pp.16. (10) La Nación, March the 25th 1976; cited in Mignone, Emilio; Iglesia y Dictadura; Colihue; Buenos Aires; 1986; pp.25. (11) See Mignone, Emilio; Iglesia y Dictadura; Colihue; Buenos Aires; 1986; pp.25. Additionally, Tortolo was Videla's private confessor. (12) Ibid; pp. 25(13) Ibid; pp. 26-28. (14) Ibid; pp. 30-31. (15) See Novaro, Marcos and Palermo, Vicente; La Dictadura Militar; Paidos; Buenos Aires; 2003; pp. 99 (16) Ibid; pp. 97(17) See Mignone, Emilio; Iglesia y Dictadura; Colihue; Buenos Aires; 1986; and CONADEP;Nunca Más; Eudeba; Buenos Aires; 1984; pp. 342-360. (18) See Mignone, Emilio; Iglesia y Dictadura; Colihue; Buenos Aires; 1986pp.179-188. (19) Graziano, Frank; Divine Violence. Spectacle, Psychosexuality, & Radical Christianity in the Argentine "Dirty War"; Westview Press; Boulder; 1992; pp.152(20) See Camps, Ramón; Caso Timerman: punto final; Tribuna Abierta; Buenos Aires; 1982; pp. 21. (21) CONADEP; Nunca Más; Eudeba; Buenos Aires; 1984; pp. 348. Additionaly, it is interesting to notice how Carl Schimitt's political theology theory is translated into the Junta's discourse. In this sense, the Junta's actions would be a Schimittian case of politics not being able to be dettached from religion. This, in turn, would contradict several secularization theories. See, Schimitt, Carl, Political Theology: Four Chapters on the Concept of Sovereignity, Chicago Univertisty Press, Chica, 2006.(22) Interestingly, Saint Augustine described copulation in such a dreadful way that it seemed like an act of torture. See Foucault, Michel; Historia de la Sexualidad: Vol. 1, La voluntada del saber; Siglo XXI; Buenos Aires; 2008; pp. 37. (23) See Timerman Jacobo; Preso sin nombre, celda sin número; De la Flor; Buenos Aires; 2002; pp. 17. (24) See CONADEP; Nunca Más; Eudeba; Buenos Aires; 1984; pp. 347-360; and Graziano, Frank; Divine Violence. Spectacle, Psychosexuality, & Radical Christianity in the Argentine "Dirty War"; Westview Press; Boulder; 1992; pp. 166. (25) It is rather interesting to note that throwing victims alive into the sea or rivers was a common killing method used by other strongly catholic Messianic inspired authoritarian regimes or groups. The falangistas would throw communists, anarchists and socialists (and whoever they thought was not catholic enough) to the rivers during the Spanish Civil War. The Algerian French and later the OAS would throw FLN suspects to the Mediterranean during the Algerian War of Independence. Even in Argentina, during the 1930s, the nationalists were talking about pushing the communists into the sea. A more detailed research should be conducted on this issue. Probably the Spanish Inquisition's torture methods, involving boiled water or a pool where the suspected heretics would drown, clearly influenced all of these cases into using natural sources of water to purify their sacred lands from the nonbelievers. (26) For more on torture as a sexual act and the picana as phallus see Graziano, Frank; Divine Violence. Spectacle, Psychosexuality, & Radical Christianity in the Argentine "Dirty War"; Westview Press; Boulder; 1992; pp. 158-190. (27) CONADEP; Nunca Más; Eudeba; Buenos Aires; 1984; pp. 26-50. (28) Many tortured victims remember how the torturers were clearly surprised to see the formers wearing crosses after making them take out their clothes. In some of these cases the torturers would say to the victims that their life would be saved because they were Christians but had lost their way and it would be the repressors' task to show them the right path. (29) See Novaro, Marcos and Palermo, Vicente; La Dictadura Militar; Paidos; Buenos Aires; 2003; pp. 115. (30) During the trial of torturer known as Jorge "El Tigre" Acosta a witness remembered him saying, after killing a captive while torturing him, that he was happy that he had died because he was going to be freed but he did not want a Jew to walk freely in Argentina; all Jews were guilty because they had killed Christ. See Diario Perfil; "Juicio al Tigre Acosta por el asesinato de Hugo Tarnopolsky"; May the 12th 2007. *Estudiante de Doctorado, New School for Social Research, New YorkMaestría en Estudios Internacionales, Universidad Torcuato Di Tella, Buenos AiresÁrea de Especialización: Procesos de formación del Estado moderno, sociología de la guerra, terrorismo, genocidio, conflictos étnicos, nacionalismos y minorías.E-mail: guere469@newschool.edu
The laws of history are as absolute as the laws of physics, and if the probabilities of error are greater, it is only because history does not deal with as many humans as physics does atoms, so that individual variations count for more. — Isaac Asimov, Foundation and Empire From a certain point onward there is no longer any turning back. That is the point that must be reached. — Franz Kafka, The Trial INTRODUCTION How ought we characterise the exercise of power in our societies? Are they societies that confine and discipline our bodies, or ones that control us in potentially subtler ways? This article adopts the framework for analysis used by twentieth century French philosopher Gilles Deleuze in his short but defining essay on the subject, 'Postscript on Societies of Control'.[1] It firstly considers the background to the concept of control, then provides a definition of the concept, and, finally, asks whether our society is one of control. It argues that Deleuze is correct to say control has replaced discipline as the primary mechanism of power in our era. ORTHODOXY In order to address the question of whether societies of control are increasingly replacing disciplinary societies, it is imperative first to understand what disciplinary societies are. Discipline is a concept developed most powerfully by Deleuze's contemporary, Michel Foucault.[2] Foucault's philosophy primarily concerns the technologies of power operating within society and their effect on human autonomy. He pursues this study via a genealogical approach; that is, he employs a historical critique to interrogate the workings of powers at play in modern society. In this way—despite his vocal opposition to Hegel—Foucault is very much Hegelian in his belief that close examination of historical parallels and events can clarify and deepen our understanding of present-day technologies of power and how they shape or restrict our autonomy.[3] Through his historical work, which spans various societal and public institutions, Foucault identifies a fundamental change in the mechanisms of power exercised by the state in the eighteenth and nineteenth centuries. He articulates this shift as a transition away from sovereign power to technologies of discipline. This notion of discipline and disciplinary society is perhaps best exemplified by Foucault's enquiry into the French penal system in his Discipline and Punish.[4] The book opens with vivid depictions of public torture and execution in pre-eighteenth century France. Foucault explains that the physicality and the public nature of punishment in the French criminal system up until then was an essential aspect of the exercise of sovereign power. Yet, while brutal public spectacle instilled fear and awe, it also provided public fora for communities to revolt against the perceived injustices of the sovereign. By moderating power through the benevolent reform of the criminal, by the discipline of the docile body, and by the fragmentation of public space into discrete, segregated institutions, state power could be obscured and, thus, maintained. These forces are the hallmarks of a disciplinary society. REVISION In his 'Postscript', Deleuze—building on the work of Foucault—argues that the twentieth century has marked a shift from disciplinary societies to societies of control. A precise definition of control and societies of control has proven to be elusive;[5] it is therefore helpful to consider both the antecedents and critiques of Deleuze's analysis in addition to his work itself.[6] Antecedents Deleuze has attributed the concept of control to William Burroughs.[7] Burroughs, in turn, provides not a definition of control, but brief observations as to its exercise; in truth, his analogies are of only limited assistance when read in the context of mechanisms of power within society at large.[8] Nevertheless, there are two salient points to note. Firstly, Burroughs establishes that when one maintains total or absolute power over the actions of another, they can more accurately be said to be using them rather than controlling them. Secondly, Burroughs shows that control requires concessions and illusions: controllers must make concessions to the controlled in order to maintain the illusion of choice and free agreement, obscuring their true motives in order to avoid revolt. In contrast to Burroughs, Félix Guattari provides an analogy of control that usefully supports the conception Deleuze comes to advance: the gated home and community accessed and exited via electronic cards.[9] This has elements of discipline, as movement being granted or denied constitutes a form of confinement. But, as Deleuze argues, it also represents a departure from the disciplinary society, as 'what counts is not the barrier but the computer that tracks each person's position […] and effects a universal modulation'.[10] Among his identified influences, Deleuze contends that Foucault sees as 'our immediate future' societies of control.[11] Deleuze particularly emphasises that Foucault's work on discipline is historical (focused on the exercise of power in the nineteenth century); we should, therefore, not be so naive as to assume Foucault would not have recognised the possibility of further historical change. Indeed, Deleuze says that Foucault concludes his Discipline and Punish with the explicit recognition that a prison as a physical space is becoming less important in the exercise of power. This, Deleuze suggests, presages a fuller analysis of a new sort of power.[12] Deleuze makes these forceful arguments as to Foucault's understanding of power in response to a critique by Paul Virilio that Foucault did not understand the nature of modern power. Ironically, that critique is also an important precursor to Deleuze's analysis. Virilio argues that the patrolling of the highway—and not the prison—exemplifies the exercise of police power. Deleuze concurs, adding that modern authorities possess predictive technologies that anticipate the movement of subjects and consequently have less need for confining subjects. Deleuzian societies of control That predictive power is a hallmark of control. In his 'Postscript', Deleuze fleshes out this position polemically. It must be noted that Deleuze never attributes any concrete definition to the notion of control itself; he is primarily concerned with how a society of control operates. This section will similarly consider the features and modes of operation that constitute a Deleuzian society of control. Much like with the disciplinary society, the technologies of power that govern a society of control cannot be boiled down to one single technology or mechanism. Instead, there are targeted and multi-faceted ways in which societies of control manage the lives of their subjects. Most fundamentally, there are no enclosures or strictly delineated confined spaces (like, for instance, the disciplinary society's schools, barracks, and factories, which are all subject to clear separation from one another). Instead, there is a single modulation, which allows for the coexistence and connection of various states (the corporation, the education system, and the army are all connected, one flowing into the other). This brings us to the next point: exploring how these spaces or states are connected. The disciplinary society operates on the basis that its subjects start over when they move from one space to another. Though it does recognise analogies between the spaces (the discipline of the school may be similar to the discipline of the army), the spaces and norms are ultimately distinct from each other, with one having little bearing on the other. Societies of control, on the other hand, are predicated on connection between spaces, such that 'one is never finished with anything.'[13] These connections encourage a culture of constant progression or improvement. The question this cultural attitude begs (to what ends is progression and improvement directed?) admits no answer. There are also differences in the conceptualisation and treatment of the person. The disciplinary society takes the individual and subjugates her through discipline so that she will conform to the mass. No such subjugation is necessary in societies of control. The individual is not viewed as a member of a mass, but as a data point, a market audience, a sample. This allows for targeted control to take shape, where compliance is not forced upon the individual (as with discipline) but facilitated. There are no overarching aims or requirements outlined by societies of control (no 'watchwords'). The society is governed merely by way of codes that function as 'passwords'; these can allow or deny the individual access to certain information or amenities. The control of access is presumably based on the conduct of the individual and is a means of exercising control over individuals' choices: the individual self-disciplines because of incentives and disincentives encoded within herself as a data-point. This, in turn, suggests (perhaps even necessitates) a degree of technological surveillance that goes beyond that of the comparatively simple model of the Benthamic Panopticon Foucault famously employs. Additionally, there are no clear hierarchies, if there are any at all. Unlike in disciplinary societies, power is not centralised or in the hands of a single 'owner' or state. Rather, control is exercised by a corporation—invested with its own personhood—comprising stockholders. The make-up of this corporation is transitory and fundamentally transformable. All of these technologies—singular modulation across singular space, an ethos of the relentless pursuit of progress, the 'dividualisation' or 'data-fication' of the individual, the facilitation of compliance, the use of codes as passwords, technological surveillance, and the absence of clear hierarchies of power—together create a society of control. Critiques Here we will explore three critiques of Deleuze's thesis: the privatisation of public space, the role of surveillance in control, and the telos of control. Privatisation Michael Hardt deals at length with the Deleuzian conception of societies of control, both in his joint work with Antonio Negri on Empire, as well as more specifically, in a piece titled 'The Global Society of Control.' Here, Hardt contends that there is an incompleteness to Deleuze's work on control, and proceeds to elaborate on the operation of societies of control to fill in these purported gaps. He does so by situating these societies within his and Negri's broader framework of Empire. The study is multifaceted, but here only one aspect of the critique will be considered: the erasure of the dialectic between public and private. 'There is no more outside,' insists Hardt.[14] This is to say, there are no longer any meaningful or permanent divisions between private and public spaces. Nikolas Rose, similarly, argues that inherently public spaces (like public parks, libraries, and playgrounds) are being abandoned in favour of privatised and privately secured places (like shopping malls and arts centres) for acceptable members of the public.[15] Those who have no legitimate, consumerised reason to occupy these new privatised 'public' spaces are denied access to them. Populations and classes of people deemed 'dangerous' or 'undesirable' are excluded from the private-public spaces and, so, from society itself. Deleuze touches on this idea of exclusion as well, in saying that 'three quarters of humanity', who are too poor for debt (as in, those who cannot be managed through the mechanisms of 'control', because these mechanisms rely on monetary and consumerist incentives or 'passwords') and too numerous of confinement (which makes it logistically difficult to subject them to technologies of 'discipline' that rely on confinement) will have to face exclusion to shanty towns and ghettos.[16] From this, we can take two points. Firstly, that neither the societies of control, nor disciplinary societies are or have ever been able to exercise control or discipline over every individual; when they are unable to, they simply exclude these potentially unpredictable and uncontrollable threats to order. Secondly, there is the implicit acknowledgment that technologies of control and discipline can coexist; to conceive of discipline and control as dichotomous notions would be inaccurate.[17] In fact, the question posed by this essay itself may fall victim to a false dichotomy between Foucauldian discipline and Deleuzian control. These mechanisms of power are not necessarily mutually exclusive. We should, therefore, be wary to adopt a view that control represents a natural or irreversible progression (from discipline) in the exercise of power (as Hardt and Negri may be suggesting in saying that control is an intensification of discipline),[18] because they are contingent historical realities. That is what Foucault's work—and Deleuze's analysis of it—suggested of discipline, and it is no less true in the case of control. Thus, we can qualify our thesis by saying that while societies of control are increasingly replacing those of discipline, technologies of discipline (and even of sovereignty) are still employed in certain contexts. Surveillance Surveillance is implicit within Deleuze's conception of control (in the understanding of the individual as a mere data point, not the member of a mass), but Oscar Gandy articulates this technology more explicitly.[19] Such an emphasis on surveillance is problematised, however, by Rose, who posits that societies of control are not predicated on surveillance but on the instilling of self-discipline and self-regulation in their subjects. That rather misses the mark, because, as we have seen, societies of control employ a range of technologies to exercise power. Nothing suggests an emphasis on self-discipline ought to exclude the technology of surveillance, which is implicit in the incentivisation of labour and use of passwords. Telos But Rose's critique of surveillance does helpfully inform another point of discussion: the odd ideas prioritised within societies of control. Deleuze makes brilliant and incisive concluding remarks about this telos of self-improvement and self-actualisation. But what are the motivations behind this ethos of motivation? That is the question Deleuze poses in his conclusion, and it is a question that largely remains unanswered. In some ways, one can only hazard a guess at the mechanisms at work here. That is rather the point. Societies of control have evolved such that their technologies of power and their telos can be more obscure than that of disciplinary societies. VALIDATION With definitions—or, rather, understandings—of both disciplinary societies and societies of control to hand, this essay considers whether it can be said that the latter are replacing the former. The institutions of the disciplinary society Foucault identifies in his body of work—the home, the school, the prison, the barracks, the factory—are all still extant. However, as we have noted above, there need be no 'either/or' as between societies of discipline and of control; the question is more accurately one of degree and we must identify whether a general movement may be occurring. Again, that movement need not be total or irreversible. Such a movement seems to be taking place all around us. For example, remote working and learning, which Deleuze identified as increasing in the 1980's and which has skyrocketed in light of the coronavirus pandemic, has weakened substantially the disciplinary segregation of physical space.[20] At the same time, it has strengthened the all-encroaching productivity ethos of societies of control by placing work or study (itself little more than a preparatory step towards work) within the walls of the private family home. Whilst coronavirus may have accelerated a shift towards societies of control, this trend runs much deeper still. Below, we shall seek to validate the shift Deleuze identifies by employing and analysing four impressionistic vignettes. Vignette A In April 2021, Chinese state television broadcast an exposé of intolerable working conditions faced by food delivery drivers—long hours, meagre pay, algorithms that encourage dangerous driving and heavily fine lateness, and harassment from customers who have full and 'live' access to drivers' locations and contact details. China's couriers are estimated to contribute to close to 1% of the country's economic activity, but the undercover government official earned just £4.52 over a 12-hour shift.[21] The courier works in no strictly delineated or confined space, but everywhere, openly. He is the subject of constant surveillance. Customers have his precise location, his 'ETA', the corporation's promised delivery slot, and his personal mobile phone number at their fingertips. The threat of an angry call or harsh review might appear in those circumstances to operate rather like a panopticon unconfined by space, enforcing conformity. But that is only a minor part of this story; it is secondary to the algorithmic surveillance and control in which both the courier and the customer are merely variables. Drivers will be set timescales in which to complete a delivery determined by the average speed at which drivers have previously made that journey or a similar journey. If they beat that timeframe, they may be rewarded with bonus pay. If they fail, their pay will be docked. Both processes—the incentivisation of speed and disincentivisation of slowness—are automated. The algorithm does not care how the driver gets from A to B, only that he does so quickly and does not damage the customer's goods in the process. So, drivers will travel recklessly in order to beat the clock to boost their meagre pay, but this only shortens the average time of journey completion, making pay boosts harder to achieve and pay docks more likely and contributing to an insane culture of paranoia and uncertainty. Compliance with the requirements of speed in this system is facilitated, not forced. In paying the less perfect worker less and the more perfect worker more, the corporation is nudging the courier to an (ultimately ephemeral) standard of compliance. But it need take no further punishing or corrective action: it knows that the courier, impacted by these forces, will correct himself. The password operating here is that of a courier 'score' that determines the level of pay afforded for work done. This is ripe terrain to consider Deleuze's challenge as to whether the unions will be able to resist forces of control upon the breakdown of the workplace. China, where organised labour is met with fear and hostility, shows that the communist party will intervene by challenging monopolies and exposing low pay. They may moderate the technology of power, but they will not extinguish it; the work is too economically important for that. In the UK, there have been increased efforts by unions to protect insecure, 'gig-economy' labourers and they have had some success.[22] But here too the overall system of algorithmic control is not removed, but mollified. Vignette B A London-based junior employee at Goldman Sachs, one of the largest investment banks in the world, has complained that staff face 18-hour shifts that mean they are earning less than the UK living wage and regularly take sick leave due to burnout. In 2015, US employee Sarvshreshth Gupta, who had been working 100-hour weeks, took his own life.[23] The company has a £50,000 entry-level base salary.[24] The company's average employee takes home about £260,000 per year.[25] It is at first blush surprising that employees at Goldman Sachs could be said to be subjects of control by twenty-first century technologies of power, and even more surprising to suggest that their situation is comparable to that of couriers in China. But this is precisely the sort of topsy-turviness that is to be expected from (and ultimately serves to legitimate) societies of control, where we all 'work hard'. The impetus to 'get ahead' is central to the ethos of self-improvement and motivation instilled by societies of control. That is perhaps nowhere more evident than amongst the new, highly-remunerated, highly-overworked, 'meritocratic', professional or upper class of managers, bankers, and lawyers.[26] Previously, elite status was maintained through generations by inheritance. That method of status-maintenance has now mostly been displaced by investments in 'human capital'. This can be achieved directly—through funding private schooling, tuition, and even work placements paid for by the volunteer—or indirectly, through covering children's rent and paying for their goods. The crucial factor in bringing about this shift has been the rise of 'meritocracy', which purports that success (i.e. the rate of remuneration for one's work) is a result and marker of an individual's inherent drive and talent but which in reality allows 'a relatively tiny segment of the population […] to transmit advantage from generation to generation' because elite parents stack the odds in favour of their children's advancement from birth.[27] This is the society of control in action: demanding, inequitable and possessing an obscured, democratically-papered-over telos, drive and skill directed at productive activities. But the elite class are not spared from the brutalities of this system, as the above vignette suggests. Since societies are increasingly meritocratic (in the sense that the most skilled and driven will generally be remunerated the most, not in the sense that the system promotes a level playing field) young elite professionals still have to work incredibly hard to 'climb the ladder'. Even if they reach seemingly secure positions of employment, they will still want to continue to reap the rewards of their labour, still need to work intensively to secure funds to invest in their children's human capital, and still be motivated by the overwhelming and corrupting cultural ideal of self-improvement and motivation. The name of Goldman Sachs' personnel team, 'Human Capital Management', is telling. It has been noted, '[l]ives are things that people have; capital has rates of return.'[28] Vignette C About one in every hundred adults in Britain has been trained as a 'mental health first aider' by the MHFA.[29] They advertise their 'proactive' services thus: 'for every £1 spent by employers on mental health interventions, they get back £5 in reduced absence [.] and staff turnover.'[30] The second of five listed responsibilities for first-aiders is to communicate concerns about 'anyone in your workplace, for example to an appropriate manager.'[31] Separately, the UK government is providing '£1 million for innovative student mental health projects' that offer targeted support to those identified statistically as being at highest risk of mental ill-health.[32] Deleuze argued the hospital was being replaced by 'neighbourhood clinics, hospices, and day care'.[33] Similarly, the above vignette suggests that the power that would in a disciplinary society be exercised by the asylum has, in our societies of control, been exercised dispersedly by employers, with the aim being to improve profit-margins and productivity rates. The actual mental wellbeing of employees—or, rather, of human capital—is a means to that end that may give rise to some incidental good. But even these incidental goods are monetised, such as when companies compete on their 'work-life balance' or their inclusion of private therapy in 'healthcare plans' so as to attract the most human capital. Under these conditions, the public healthcare officials sectioning or supporting a member of the public who risks harm to herself or others are reduced in their significance. In their place, the anxious employer preempts possible harm to the corporation by proactively addressing and preventing harm to the employee. Similarly, 'mental health teams' in schools and universities are encouraged by the government to anticipate, based on a series of data-sets, those students who are 'more at risk' and provide targeted interventions to safeguard their health (and, by extension, their productivity). Deleuze says that 'the socio-technological study of the mechanisms of control […] would have to be categorical'. By this it is meant that we must look to each institution of power—the healthcare system, the corporate system, the educational system—and describe the power being exercised there. The above vignette shows that that has become an artificial mode of analysis in this era of control. The healthcare system has been radically dispersed, with detection, prevention, and mitigation (recovery being ancillary) of illness now increasingly undertaken by the corporation and its agents, including crucially the employee herself qua employee or human capital. She will contact her mental health first aider colleague or her employer (though any difference between the two seems doubtful). She will purchase products—self-help books, meditation apps, tickets to motivational talks—with a view to her greater productivity and, hence, 'employability'. In fact, the monetary value she attributes (through her valuable spare time as much as through her pay-power) to her own productivity and employability may reduce the corporate system's nascent role in facilitating compliance; her self-improvement becomes her guiding, internalised ethos as a consumer-employee and she will discipline herself, knowing this self-improvement will be coded and rewarded. Thus, technologies of power in the modern, mental health context cannot be identified within a healthcare system, a corporate system or an education system, nor even within what might be dubbed a 'consumer system'; there is no single system of operation of which we can speak. This conceptual challenge itself demonstrates the ultimate annihilation of the institutions Deleuze anticipates in societies of control. Vignette D In May 2021, the UK government proposed halving state funding for university courses they do not regard as 'strategic priorities', such as music, drama, visual arts, and archaeology. It is estimated that such courses would run at a deficit of £2,700 per enrolled student, and many courses may therefore have to close if the plans go ahead. The government says the decision is 'designed to target taxpayers' money towards the subjects which support the skills this country needs to build back better'.[34] They also say universities should "focus [.] upon subjects which deliver strong graduate employment outcomes in areas of economic and societal importance".[35] Deleuze foretold the 'effect on the school of perpetual training, and the corresponding abandonment of all university research'.[36] Alarming an idea as this may be, the above vignette should at least discourage us from dismissing it altogether. The government's proposal betrays a deeply production-oriented approach to higher education that sees knowledge and learning as purely instrumental to the development of concrete 'skills' to be directed at the most economically valuable production of goods and services and, correspondingly, the strongest employment outcomes. The UK education system no longer possesses its own watchwords (save, perhaps, 'instilling British Values'). Instead, all activity is directed at the future employment prospects of the student. The privatisation of schools (through academisation in England) has allowed for corporate sponsorship that makes this close instrumentalism perfectly plain: the corporation's senior managers become senior managers of underperforming schools and they are expected to foster students' 'aspirations'. Here, the corporate and educational systems are blended together, the former funding the latter, the latter supplying labour to the former. The physical spaces in which learning occurs can at times barely be distinct from the corporate, whether a company name is printed across the school entrance ('Bridge Academy in partnership with UBS') or affixed to laptops donated to school students studying remotely. CONCLUSION There is a great deal of truth to Deleuze's thesis that societies of control are replacing disciplinary societies. We have noted the destruction of swathes of confined and discrete spaces; the intermixing of institutions; the pervasive power of technology to tweak and modulate behaviour through coding; and the pointless but universal ethos of motivation. As Deleuze ably demonstrates, analyses of discipline, confinement, hierarchy, and masses can only take us so far in understanding these forces. More necessary in our quest to uncover the telos we are being made to serve is a socio-technological study of control and its methods. However, this essay has also sought to demonstrate the limits of Deleuze's proposed methodology. For a 'categorical' socio-technological study of control becomes more elusive the more deeply a society succumbs to control. Schools, prisons, barracks, hospitals, factories, offices, and homes are increasingly blended (and so less discrete) environments. The office educates, entertains, protects, and diagnoses its employees. The school is a business, its pupils are prospective employees. University is a career stage. Beds, dining tables, and lounges are workstations. For those on 'home detention' during coronavirus in the United States or under TPIMs (Terrorism Prevention and Investigation Measures) in the United Kingdom, these same spaces are prison cells. The gradual annihilation of the disciplines as physical and conceptual spaces—which Deleuze foresaw—also renders obsolete our existing methods of understanding power. We are in need of new tools to respond to these developments; the study of categories must be replaced with the study of networks and systems. We must explore with curiosity and thoroughness the complex web of relations operating through spaces and lives. BIBLIOGRAPHY Adams R, 'English universities must prove "commitment" to free speech for bailouts' The Guardian (16 July 2020) accessed 6 May 2021 Bakare L and Adams R, 'Plans for 50% funding cuts to arts subjects at universities "catastrophic' The Guardian (6 May 2021) accessed 6 May 2021 Burroughs WS, 'The Limits of Control' in Grauerholz J and Silverberg I (eds), Word Virus: The William S Burroughs Reader (4th edn, Fourth Estate 2010) Collini S, 'Snakes and Ladders' London Review of Books (London, 1 April 2021) 15 Deleuze G, 'Foucault: Lecture 17' (University of Paris, 25 March 1986) accessed 9 May 2021 — — 'Foucault: Lecture 18' (University of Paris, 8 April 1986) accessed 9 May 2021 — — 'Foucault: Lecture 19' (University of Paris, 15 April 1986) accessed 9 May 2021 — — 'Postscript on Societies of Control' (1992) 59 October 3 Department for Education and others, '£1 million for innovative student mental health projects' UK Government (5 March 2020) accessed 11 May 2021 Ewald F, The Birth of Solidarity: The History of the French Welfare State (Cooper M ed, Johnson TS tr, Duke University Press 2020) Feng E, 'For China's Overburdened Delivery Drivers, The Customer—And App—Is Always Right' NPR (Beijing, 1 December 2020) accessed 7 May 2021 Foster M, 'Guess How Much Goldman's Average Salary Is (GS)' Investopedia (25 June 2019) accessed 10 May 2021 Foucault M, The Birth of Biopolitics: Lectures at the Collège de France 1978–79 (Senellart M ed, Burchell G tr, Palgrave Macmillan 2008) — — Discipline and Punish: The Birth of the Prison (Sheridan A tr, 2nd edn, Vintage Books 1995) Hardt M, 'The Global Society of Control' (1998) 20(3) Discourse 139 — — and Negri A, Empire (Harvard University Press 2001) Makortoff K, 'Goldman Sachs junior banker speaks out over "18-hour shifts and low pay' The Guardian (London, 24 March 2021) accessed 7 May 2021 MHFA, 'Being a Mental Health First Aider: Your Guide to the Role' accessed 10 May 2021. — — 'Workplace Info Pack' accessed 10 May 2021. Morar N, Nail T and Smith DW (eds), Between Deleuze and Foucault (Edinburgh University Press 2016) Muldoon J, 'Foucault's Forgotten Hegelianism' (2014) 21 Parrhesia 102 Nealon J, Foucault Beyond Foucault: Power and Its Intensifications since 1984 (Stanford University Press 2008) Negri A, Interview with Gilles Deleuze: 'Control and Becoming' (Joughin M tr, Spring 1990) Rice-Oxley M, 'UK training record number of mental health first aiders' The Guardian (2 September 2019) accessed 11 May 2021 Roffe J, Gilles Deleuze's Empiricism and Subjectivity: A Critical Introduction and Guide (Edinburgh University Press 2016) Rose N, 'Government and Control' (2000) 40(2) The British Journal of Criminology 321–339 Wallin J, 'Four Propositions on the Limits of Control' (2013) 39(1) Visual Arts Research 6–8 Wise JM, 'Mapping the Culture of Control: Seeing through The Truman Show' (2002) 3(1) Television & New Media 29–47 Yang Y, 'China's food delivery groups slammed after undercover TV exposé' Financial Times (London, 29 April 2021) accessed 11 May 2021 — — 'How China's delivery apps are putting riders at risk' Financial Times (London, 26 January 2021) accessed 11 May 2021 [1] Gilles Deleuze, 'Postscript on Societies of Control' (1992) 59 October 3–7. [2] On their complex relationship before and after Foucault's death, see François Dosse, 'Deleuze and Foucault: A Philosophical Friendship' in Nikolae Morar, Thomas Nail and Daniel W Smith (eds), Between Deleuze and Foucault (Edinburgh University Press 2016). [3] James Muldoon, 'Foucault's Forgotten Hegelianism' (2014) 21 Parrhesia 102. [4] Michel Foucault, Discipline and Punish: The Birth of the Prison (Alan Sheridan tr, 2nd edn, Vintage Books 1995) [5] Michael Hardt, 'The Global Society of Control' (1998) 20(3) Discourse 139. [6] Deleuze cites these authors in his 'Postscript': (n 1). [7] Gilles Deleuze, 'Foucault: Lecture 19' (University of Paris, 15 April 1986). [8] Burroughs himself concedes his analogy of the life-boat is a 'primitive' one: William S Burroughs, 'The Limits of Control' in James Grauerholz and Ira Silverberg (eds), Word Virus: The William S Burroughs Reader (4th edn, Fourth Estate 2010). [9] 'Postscript' (n 1) 7. [10] ibid. [11] 'Postscript' (n 1) 4. [12] Foucault refers to it as 'biopower'. Biopower is not something that this essay will address, but we can observe that it may be that the Foucauldian notion of biopower and the Deleuzian notion of control are broadly similar or even the same: for a fuller discussion of that relationship, see Thomas Nail, 'Biopower and Control' in Between Deleuze and Foucault (n 2). [13] 'Postscript' (n 1) 5. [14] Hardt (n 5) 140. [15] Nikolas Rose, 'Government and Control' (2000) 40(2) The British Journal of Criminology 331. [16] 'Postscript' (n 1) 7. [17] JM Wise, 'Mapping the Culture of Control: Seeing through The Truman Show' (2002) 3(1) Television & New Media 29. [18] Nail, 'Biopower and Control'. [19] Wise, 'Culture of Control' 33. [20] Deleuze, 'Foucault: Lecture 18'. [21] Yuan Yang, 'China's food delivery groups slammed after undercover TV exposé' Financial Times (London, 29 April 2021). [22] For instance, many will now be recognised as 'workers' rather than as 'self-employed', with greater protections: Uber v Aslam [2021] UKSC 5. [23] Kalyeena Makortoff, 'Goldman Sachs junior banker speaks out over "18-hour shifts and low pay' The Guardian (London, 24 March 2021). [24] ibid. [25] Michael Foster, 'Guess How Much Goldman's Average Salary Is (GS)' Investopedia (25 June 2019). [26] Stefan Collini, 'Snakes and Ladders' London Review of Books (London, 1 April 2021) 15. [27] ibid 22. [28] ibid. [29] Mark Rice-Oxley, 'UK training record number of mental health first aiders' The Guardian (2 September 2019). [30]MHFA, 'Being a Mental Health First Aider: Your Guide to the Role'. [31] MHFA, 'Workplace Info Pack'. [32] Department for Education and others, '£1 million for innovative student mental health projects' UK Government (5 March 2020). [33] 'Postscript' (n 1) 4. [34] Lanre Bakare and Richard Adams, 'Plans for 50% funding cuts to arts subjects at universities "catastrophic' The Guardian (6 May 2021). [35] Richard Adams, 'English universities must prove "commitment" to free speech for bailouts' The Guardian (16 July 2020). [36] 'Postscript' (n 1) 7.
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Timothy Mitchell on Infra-Theory, the State Effect, and the Technopolitics of Oil
This is the first in a series of Talks dedicated to the technopolitics of International Relations, linked to the forthcoming double volume 'The Global Politics of Science and Technology' edited by Maximilian Mayer, Mariana Carpes, and Ruth Knoblich
The unrest in the Arab world put the region firmly in the spotlights of IR. Where many scholars focus on the conflicts in relation to democratization as a local or regional dynamic, political events there do not stand in isolation from broader international relations or other—for instance economic—concerns. Among the scholars who has insisted on such broader linkages and associations that co-constitute political dynamics in the region, Timothy Mitchell stands out. The work of Mitchell has largely focused on highly specific aspects of politics and development in Egypt and the broader Middle East, such as the relations between the building of the Aswan Dam and redistribution of expertise, and the way in which the differences between coal and oil condition democratic politics. His consistently nuanced and enticing analyses have gained him a wide readership, and Mitchell's analyses powerfully resonate across qualitative politically oriented social sciences. In this Talk, Timothy Mitchell discusses, amongst others, the birth of 'the economy' as a powerful modern political phenomenon, how we can understand the state as an effect rather than an actor, and the importance of taking technicalities seriously to understand the politics of oil.
Print version of this Talk (pdf)
What is, according to you, the biggest challenge / principal debate in current globally oriented studies? What is your position or answer to this challenge / in this debate?
I'm not myself interested in, or good at, big debates, the kinds of debates that define and drive forward an academic field. The reason for that is partly that once a topic has become a debate, it has tended to have sort of hardened into a field, in which there are two or three positions, and as a scholar you have to take one of those positions. In the days when I was first trained in Political Science and studied International Relations, that was so much my sense of the field and indeed of the whole discipline of political science. This is part of one's initially training in any field: it is laid out as a serious debate. I found this something I just could not deal with; I did not find it intellectually interesting which I think sort of stayed with me all the way through to where I am now. So although big debates are important for a certain defining and sustaining of academic fields and training new generations of students, it is not the kind of way in which I myself have tended to work. I have tended to work by moving away from what the big debates have been in a particular moment. My academic interests always started when I found something curious that interests me and that I try to begin to see in a different way.
However, I suppose with my most recent book Carbon Democracy (2011), in a sense there was a big debate going on, which was the debate about the resource curse and oil democracy. That was an old debate going back to the 70's, but had been reinvigorated by the Iraq war in 2003. But that to me is an example of the problem with big debates, because the terms in which that debate was argued back and forth—and is still argued—did not seem to make sense as a way to understand the role of energy in 20th century democratic politics. Was oil good for democracy or bad for democracy? The existing debate began with those as two different things—as a dependent or independent variable—so you would already determine things in advance that I would have wanted to open up. In general I'm not a good person for figuring out what the big debates are.
But I think, moving from International Relations as a field to 'globally oriented studies', to use your phrase, one of the biggest challenges—just on an academic level, leaving aside challenges that we face as a global community—is to learn to develop ways of seeing even what seem like the most global and most international issues, as things that are very local. Part of the problem with fields such as 'global studies', the term 'globalization', and other terms of that sort, is that they tend to define their objects of study in opposition to the local, in opposition to even national-level modes of analysis. By consequence, they assume that the actors or the forces that they're going to study must themselves be in some sense global, because that is the premise of the field. So whether it is nation states acting as world powers; whether it is capitalism understood as a global system—they have to exist on this plane of the global, on some sort of universal level, to be topics of IR and global studies. And yet, on close inspection, most of the concerns or actors central to those modes of inquiry tend to operate on quite local levels; they tend to be made up of very small agents, very particular arrangements that somehow have managed to put themselves together in ways that allow them take on this appearance and sometimes this effectiveness of things that are global. I'm very interested in taking things apart that are local, on a particular level, to understand what it is that enables such small things, such local and particular agents, to act in a way that creates the appearance of the global or the international world.
Now this relates back to the second part of your question, about substantive concerns that we face as a global community. When I was writing Carbon Democracy there was all this attention on the problem of 'creating a more democratic Middle East', as it was understood at the time of the Iraq war. It struck me that when debating this problem—of oil and democracy, of energy and democracy—we saw it as somehow specific to these countries and to the part of the world where many countries were very large-scale energy producers. We were not thinking about the fact that we are all in a sense caught up in this problem that I call carbon democracy, and that there are issues—whether it is in terms of the increasing difficulty of extracting energy from the earth, or the consequences of having extracted the carbon and put it up in the atmosphere—that we, as democracies, are very, very challenged by. Those issues—and I think in particular the concerns around climate change—when you look at them from the perspective of U.S. politics, and the inability of the U.S. even to take the relatively minor steps that other industrialized democracies have taken: this inaction suggests a larger problem of oil and democracy that needs explaining and understanding and working on and organizing about. I also think there is a whole range of contemporary issues related to energy production and consumption that revolve around the building of more egalitarian and more socially just worlds. And, again, those issues present themselves very powerfully as concerns in American politics, but are experienced in other ways in other parts of the world. I would not single out any one of them as more urgent or important than another, and I do think we still have a long struggle ahead of us here.
How did you arrive at where you currently are in your approach to issues?
Well, I had a strange training as a scholar because I kept shifting fields. I actually began as a student of law and then moved into history while I was still an undergraduate, but then became interested in political theory; decided that I liked it better than political science. But by the time I arrived in political science to study for a PhD, I had become interested in politics of the Middle East. This was partly from just travelling there when I was a student growing up in England, but I also suppose in some ways the events of the seventies had really drawn attention to the region. So the first important thing that shaped me was this constant shifting of fields and disciplines, which was not to me a problem—it was rather that there was a kind of intellectual curiosity that drove me from academic field to field. And so if there was one thing that helped me arrive at where I am, it was this constant moving outside of the boundaries of one discipline and trespassing on the next one—trying to do it for long enough that they started to accept me as someone who they could debate with. And I think all along that has been important to the kind of scholarship I do; yet therefore I would say where I currently am in my thinking about my field is difficult in itself to define. But I think it is probably defined by the sense that there are many, many fields—and it is moving across them and trying to do justice to the scholarship in them, but at the same time trying to connect insights from one field with what one can do in another field. I have always tried to draw things together in that sense, a sense that one can call an interdisciplinary or post-disciplinary sensitivity.
I think the other part of what has shaped me intellectually was that, in ways I explained before, I was always drawn into the local and the particular and the specific and I was never very good at thinking at that certain level of large-scale grand theory. So having found myself in the field of Middle Eastern politics in a PhD-program, and being told that it involves studying Arabic which I was very glad to do, I then went off to spend summers in the Arab world, and later over more extended periods of time for field research. But to me, Egypt and other places I've worked—but principally Egypt—became not just a field site, but a place where I have now been going for more than 30 years and where I have developed very close ties and intellectual relationships, friendships, that I think have constantly shaped and reshaped my thinking. And even when I am reading about things that are not specifically related to Egypt—the work I do on the history of economics, or the work I have done on oil politics that are not directly connected with my research on Egypt—I am often thinking in relation to places and people and communities there that have profoundly shaped me as a scholar.
So traveling across different contexts I'd say I have not developed a kind of set of theoretical lenses I take with me. Rather, I would say I have developed a way of seeing—I would not necessarily call it 'meta', I see it as much more as sort of 'infra': much more mundane and everyday. While I have this sort of intellectual history of moving across disciplines and social sciences in an academic way, there is another sort of moving across fields, another sensibility, and that sensibility provides me with a sense of rootedness or grounding. And that is a more traditional way of moving across fields, because whether when one is writing about contemporary politics or more historically about politics, one is dealing constantly with areas of technical concern of one sort or another, with specialist knowledge. Engaging with that expert knowledge has always provided both a political grounding in specific concerns and with a kind of concern with local, real-world, struggles on the ground. So that might have been things like the transformation of irrigation in nineteenth-century Egypt, or the remaking of the system of law; or it might be the history of malaria epidemics in the twentieth century, or the relationship between those epidemics and transformations taking place in the crops that were grown; or, more recently—and more obviously—of oil and the history of energy, and the way different forms of energy are brought out of the ground. And I should mention beside those areas of technical expertise already listed, economics as well: a discipline I was never trained in, but that I realized I had to understand if I was to make sense of contemporary Egyptian politics—just as much as I had to understand agricultural hydraulics or something of the petroleum geology as a form of technical expertise that is shaping the common world.
In sum, what keeps me grounded is the idea that to really make sense of the politics of any of those fields, one has got to do one's best to sort of enter and explore the more technical level—with the closest attention that one can muster to the technical and the material dimensions of what is involved—whether it is in agricultural irrigation, building dams or combating disease. And entering this level of issues does not only mean interviewing experts but arriving at the level of understanding the disease, the parasite, the modes of its movement, the hydraulics of the river, the properties of different kinds of oil... So as you can see it is not really 'meta', it really is 'infra' in the anthropological way of staying close to the ground, staying close to processes and things and materials.
What would a student need to become a specialist in IR or understand the world in a global way?
A couple of things. I think one is precisely the thing I just mentioned in answer to your last question: that is, the kind of interest in going inside technical processes, learning about material objects, not being afraid of taking up an investigation of something that is a body of knowledge totally outside one's area of training and expertise. So, if I was advising someone or looking for a student, I would not say there is a particular skill or expertise, but rather a willingness to really get one's hands dirty with the messy technical details of an area—and that can be an area of specialist knowledge such as economics, but also technical and physical processes of, for instance, mineral extraction. I think to me this is—for the kind of work I am interested in doing—enormously important.
The other thing that I would stress in the area of globally-oriented studies, is that one could think of two ways of approaching a field of study. One is to move around the world and gather together information, often with a notion of improving things, such as development work, human rights work, international security work. This entails gathering from one's own research and from other experts in the field, with a certain notion of best practices and the state of field, and of what works, and therefore what can then be moved from one place to another as a form of expert knowledge. Some people really want that mobile knowledge, which I suppose is often associated with the ability to generalize from a particular case and to establish more universal principles about whatever the topic is. And in this case one's own expertise becomes the carrying or transmission of that expert knowledge. One saw a lot of that around the whole issue of democratization that I mentioned before in the Middle East, around the Iraq war when experts were brought in. They had done democracy elsewhere in the world and then they turned up to do it in Iraq, and again following the Arab Spring.
Against that, to me, there is another mode of learning, which is not to learn about what is happening but to learn from. So to give the example, if there is an uprising and a struggle for democracy going on in the streets of Cairo, one could try and learn about that and then make it fit one's models and classify it within a broader range of series of democratizations across the world, or one could try and learn from it, and say 'how do we rethink what the possibilities of democracy might be on the basis of what is happening?' To me those are two distinct modes of work. They are not completely mutually exclusive, but I think people are more disposed towards one or the other. I have never been disposed, or good at, the first kind and do like the second, so I would mention that as the second skill or attitude that is useful for doing this sort of work.
In which discipline or field would you situate yourself, or would we have to invent a discipline to match your work?
I like disciplines, but I do not always feel that I entirely belong to any of them. That said, I read with enormous profit the works of historians, political theorist, anthropologists, of people in the field of science and technology studies, geographers, political economists and scholars in environmental studies. There are so many different disciplines that are well organized and have their practitioners from which there is a lot to learn! But conversely, I also think, in ways I have described already, there is something to be learnt for some people from working in a much more deliberately post-disciplinary fashion. The Middle East, South Asian and African Studies department to which I have been attached here in Columbia for about five years, represents a deliberate attempt by myself and my colleagues to produce some kind of post-disciplinary space. Not in order to do away with the disciplines, but to have another place for doing theoretical work, one that is able to take advantage of not being bound by disciplinary fields, as even broad disciplines—say history—tend to restrict you with a kind of positive liberty of creating a place where you can do anything you want—as long as you do it in an archive. I quite deliberately situate myself outside of any one discipline, while continuing to learn from and trespass into the fields of many individual disciplines. They range from all of those and others, because I am here among a community of people who are also philologists; people interested in Arabic literature and the history of Islamic science; and all kinds of fields, which I also find fascinating. The first article I ever published was in the field of Arabic grammar! So I have interests that fit in a very sort of trans-disciplinary, post-disciplinary environment and I thrive on that.
Yet doing this kind of post-disciplinary work is in a practical sense actually absolutely impossible. If only for the simple fact that if it is already hardly possible to keep up with 'the literature' if one is firmly situated within one field, then one can never keep up with important developments in all the disciplines one is interested in. There are some people that manage to do this and do it justice. My information about contemporary debates in every imaginable field is so limited; I do not manage to do justice to any field. In the particular piece of research I might be engaged in, I try to get quickly up to pace on what's going on, and I often come back again and again to similar areas of research. I am currently interested in questions around the early history of international development in the 1940's and 1950's, and that is something I have worked on before, but I have come back to it and I found that the World Bank archives are now open and there is a whole new set of literatures. I had not been keeping up with all of that work. It is hard and that is why I am very bad at answering emails and doing many of the other everyday things that one is ought to do; because it always seems to me, in the evening at the computer when one ought to be catching up with emails, there is something you have come across in an article or footnotes and before you know it you are miles away and it has got nothing to do with what you were working on at the moment, but it really connects with a set of issues you have been interested in and has taken you off into contemporary work going on in law or the history of architecture… The internet has made that possible in a completely new way and some of these post-disciplinary research interests are actually a reflection of where we are with the internet and with the accessibility of scholarship in any field only just a few clicks away. Which on the one hand is fascinating, but mostly it is just a complete curse. It is the enemy of writing dissertations and finishing books and articles and everything else!
What role does expertise, which is kind of a central term in underpinning much of the diverse work or topics you do, play in the historical unfolding of modern government?
That is a big question, so let me suggest only a couple of thoughts here. One is that modern government has unfolded—especially if one thinks of government itself as a wider process than just a state—through the development of new forms of expertise, which among other things define problems and issues upon which government can operate. This can concern many things, whether it is problems of public health in the 19th or 20th century; or problems of economic development in the 20th century; or problems of energy, climate change and the environment today. Again and again government itself operates—as Foucault has taught us—simultaneously as fields of knowledge and fields of power. And the objects brought into being in this way—defined in important ways through the development of expert knowledge—become in themselves modes through which political power operates. Thanks to Foucault and many others, that is a way of thinking or field of research that has been widely developed, even though there are vast amounts of work still to do.
But I think there is another relationship between modes of government and expertise, and this goes back to things I have been thinking about ever since I wrote an article about the theory of the state (The Limits of the State, pdf here) that was published in American Political Science Review a long time ago (1991). The point I made then, is that it is interesting to observe how one of the central aspects of modern modes of power is the way that the distinction between what is the state and what is not the state; between what is public and what is private, is constantly elaborated and redefined. So politics itself is happening not so much by some agency called 'state' or 'government' imposing its will on some other preformed object—the social, the population, the people—but rather that it concerns a series of techniques that create what I have called the effect of a state: the very distinction between what appears as a sort of structure or apparatus of power, and the objects on which that power works.
More recently one of the ways I have thought about this, is in terms of the history of the idea of the economy. Most people think of 'the economy' either as something that has always existed (and people may or may not have realized its existence) or as something that came into being with the rise of political economy and commercial society in the European 18th and 19th century. One of the things I discovered when I was doing research on the history of development, is that no economist talked routinely about an object called 'the economy' before the 1940's! I think that is a good example of the history of a mode of expertise that exists not within the operations of an apparatus of government but precisely outside of government.
If you look in detail at how the term 'the economy' was first regularly used, you find that it was in the context of governing the U.S. in the 1940's immediately after the Second World War. In the aftermath of the war there was enormous political pressure for quite a radical restructuring of American society: there were waves of strikes, demands for worker control of industries, or at least a share of management. And of course in Europe, similar demands led to new forms of economy altogether, in the building of postwar Germany and in the forms of democratic socialism that were experimented with in various parts of Western Europe. As we know, the U.S. did not follow that path. And I think part of the way in which it was steered away from that path, was by constructing the economy as the central object of government, coupled with precisely this American cultural fear of things where government did not belong. So this was radically opposed to how the Europeans related government to economy: European governments had become involved in all kinds of ways, deciding how the relation between management and labor should operate in thinking about prices and wages; instituting forms of national health insurance and health care; and the whole state management of health care itself... Now this was threatening to emerge in the U.S., and was emerging in many ways in the wartime with state control of prices and production. In order to prevent the U.S. from following the European path after the war, this object outside of government with its own experts was created: the economy. And the economists were precisely people who are not in government, but who knew the laws and regularities of economic life and could explain them to people. It is interesting to think about expertise both as something that develops within the state, but also as something that happens as a creation of objects that precisely represent what is not the state, or the sphere of government.
Your most recent book Carbon Democracy (2011) focuses on the political structures afforded, or engendered, by modes of extraction of minerals and investigates how oil was constitutes a dominant source of energy on which we depend. Can you give an example of how that works?
Let me take an example from the book even though I might have to give it in very a simplified form in order to make it work. I was interested in what appeared to be the way in which the rise of coal—the dominant source of energy in the 19th century and in the emergence of modern industrialized states—seemed to be very strongly associated with the emergence of mass democracy, whereas the rise of oil in the 20th century seemed to have if anything the opposite set of consequences for states that were highly dependent on the production of oil. I wanted to examine these relations between forms of energy and democratic politics in a way that was not simply some kind of technical- or energy determinism, because it is very easy to point to many cases that simply do not fit that pattern—and, besides, it simply would not be very interesting to begin with. But it did seem to me, that at a particular moment in the history of the emergence of industrialized countries—particularly in the late 19th century—it became possible for the first time in history and really only for a brief period, to take advantage of certain kinds of vulnerabilities and possibilities offered by the dependence on coal to organize a new kind of political agency and forms of mass politics, which successfully struggled for much more representative and egalitarian forms of democracy, roughly between the 1880's and the mid 20th century. In general terms, that story is known; but it had been told without thinking in particular about the energy itself. The energy was just present in these stories as that which made possible industrialization; industrialization made possible urbanization; therefore you had lots of workers and their consciousness must somehow have changed and made them democratic or something.
That story did not make sense to me, and that prompted me to research in detail, and drawing on the work of others who had looked even more in detail at, the history of struggles for a whole set of democratic rights. The accounts of people at the time were clear: what was distinctive was this peculiar ability to shut down an economy because of a specific vulnerability to the supply of energy. Very briefly, when I switched to telling the story in the middle of the 20th with oil, it is different: partly just because oil was a supplementary source of energy—countries and people now had a choice between different energy sources—but also because oil did not create the same points of vulnerability. There are fewer workers involved, it is a liquid, so it can be routed along different channels more easily; there is a whole set of technical properties of oil and its production that are different. That does not mean to say that the energy is determining the outcome of history or of political struggles, and I am careful to introduce examples that do not work easily one way or the other in the history of oil industry in Baku, which is much more similar to the history of coal or the oil industry in California for that matter. But you can pay attention to the technical dimensions in a certain way, and the to the sheer possibilities that arise with this enormous concentration of sources of energy—which reflects both an exponential increase in the amount of energy but also an unprecedented concentration of the sites at which energy is available and through which it flows—that you can tell a new story about democratic politics and about that moment in the history of industrialized countries, but also the subsequent history in oil-producing countries in a different way. That would be an example of how attention for technical expertise translates into a different understanding of the politics of oil.
This leads to my next question, which is how do you speak about materials or technologies without falling into the trap of either radical social reductionism or a kind of Marxist technological determinism? Do you get these accusations sometimes?
Yes, I think so, but more so from people who have not read my work and who just hear some talks about it or some secondary accounts. To me, so much of the literature that already existed on these questions around oil and democracy, or even earlier research on coal, industrialization and democracy, suffered from a kind of technical determinism because they actually did not go into the technical. They said: 'look, you've got all this oil' or 'look, you had all that coal and steam power' and out of that, in a very determinist fashion, emerged social movements or emerged political repression. This was determinist because such accounts had actually jumped over the technical side much too fast: talking about oil in the case of the resource curse literature, it was only interested in the oil once it had already become money. And once it was money, then it of course corrupts, or you buy people off, or you do not have to seek their votes. The whole question of how oil becomes money and how you put together that technical system that turns oil into forms of political power or turns coal into forms of political power, does not get opened up. And that to me makes those arguments—even though there is not much of the technical in them—technically very determinist. Because as soon as you start opening up the technical side of it, you realize there are so many ways things can go and so many different ways things can get built. Energy networks can be built in different ways and there can be different mixes of energy. Of course most of the differences are technical differences, but they are also human differences. It is precisely by being very attentive to the technical aspects of politics—like energy or anything else, it could be in agriculture, it could be in disease, it could be in any area of collective socio-technical life—that one finds the only way to get away from a certain kind of technical determinism that otherwise sort of rules us. In the economics of growth, for instance, there is this great externality of technological change that drives every sort of grand historical explanation. Technology is just something that is kept external to the explanatory model and accounts for everything else that the model cannot explain. That ends up being a terrible kind of technical determinism.
The other half of the question is how this might differ from Marxist approaches to some of these problems. I like to think that if Marx was studying oil, his approach would be very little different. Because if you read Marx himself, there is an extraordinary level of interest in the technical; that is, whether in the technical aspects of political economy as a field of knowledge in the 19th century, or in the factory as a technical space. So, conventional political economy to him was not just an ideological mask that had to be torn away so that you could reveal the true workings of capitalism. Political economy has produced a set of concepts—notions of value, notions of exchange, notions of labor—that actually formed part of the technical workings of capitalism. The factory was organized at a technical level that had very specific consequences. The trouble with a significant part of Marx's theories is that he stopped doing that kind of technical work and Marxism froze itself with a set of categories that may or may not have been relevant to a moment of 19th century capitalism. There is still a lot of interesting Marxist theory going on, and some of the contemporary Italian Marxist theory I find really interesting and profitable to read, for example. Some of the work in Marxist geography continues to be very productive. But at the same time there are aspects of my work that are different from that—such as my drawing on Foucault in understanding expertise and modes of power.
How come so many of the social sciences seem to stick so rigidly to the human or social side of the Cartesian divide? It seems to be constitutive of social science disciplines but on the other hand also radically reduces the scope of what it can actually 'see' and talk about.
I think you are right and it has never made much sense to me. I suppose I have approached it in two kinds of ways in my work. First, this kind of dualism was much more clearly an object of concern in some of the early work I published on the colonial era, including my first book, Colonising Egypt (1988), where I was trying to understand the process by which Europeans had, as it were, come to be Cartesians; had come to see the world as very neatly defined it into mind on the one hand and matter or on the other—or, as they tended to think of it, representations on the one hand and reality on the other. And I actually looked in some detail, at the technical level, at this—beginning with world exhibitions, but moving on to department stores and school systems and modern legal orders—to understand the processes by which our incredibly complicated world was engineered so as to produce the effect of this world divided into the two—of mind or representation or culture on the one hand, and reality, nature, material on the other.
Second, what were the effects, what were the repetitive practices, that made that kind of simple dualism seem so self-evident and taken for granted? All that early work still informs my current work, although I do not necessarily explore this as directly as I did. One of the things I try to do is avoid all the vocabulary that draws you into that kind of dualism. So, nowhere when I write, do I use a term like 'culture', because you are just heading straight down that Cartesian road as soon as you assume that there is some hermetic world of shared meanings—as opposed to what? As opposed to machines that do not involve instructions and all kinds of other things that we would think of as meaningful? So I just work more by avoiding some of the dualistic language; the other kind would be the entire set of debates—in almost every discipline of the social sciences—around the question of 'structure versus agency' which just doesn't seems to me particularly productive. And I have been very lucky, recently, in coming across work in the fields of science and technology studies, because it is a field of people studying machines, studying laboratories and studying people, a field that took nature itself as something to be opened-up and investigated. In taking apart these things, they realized that those kinds of dualisms made absolutely no sense. And they have done away with them in their modes of explanation quite a long time ago. So there was already a lot in my own work before I encountered Science and Technology Studies (STS) that was working in that direction; but the STS people have been at it for a long time and figured out a lot of things that I had only just discovered.
Can you explain why it seems that perhaps implicitly decolonization, or the postcolonial moment—which is understood within political science and in development literature as a radical moment of rupture in which a complete transfer of responsibility has taken place, instituted in sovereignty—is an important theme in your work?
I have actually been coming back to this in recent work, because I am currently looking again at that moment of decolonization in Egypt. The period after World War II, around the 1952 revolution and the debacle around the building and the financing of the Aswan Dam, constitutes a wonderful way to explore questions on how much change decolonization really engendered and to see how remarkably short-lived that sort of optimism about decolonization, meaning a transfer of responsibility and sovereignty, actually was. Of course decolonization did transfer responsibility and sovereignty in all kinds of ways, but then that was exactly the problem for the former colonial regimes: because, from their perspective, then, how were all the people who had profited before from things like colonialism to continue to make profits? The plan to build the High Dam at Aswan—although there has always been Egyptians interested in it—initially got going because of some German engineering firms… For them, there was no opportunity in doing any kind of this large-scale work in Europe at the time because of the dire economic situation there. But they knew that Egypt had rapidly growing revenues from the Suez Canal and so they got together with the British and the French, and said: let's put forward this scheme for a dam so that we can recycle those revenues—particularly the income from the Suez Canal, which was about to revert to Egyptian ownership—back into the pockets of the engineering firms, or of the banks that will make the loans and charge the fees. And that is where the scheme came from. Then the World Bank got involved, because it too had found it had got nothing to do in Europe in the way of development and reconstruction, so it invented this new field of development. And it became a conduit to get the Wall Street banks involved as well. And the whole thing became politicized and led to a rupture, which provided then the excuse for another group, the militarists, the MI6 people, to invade and try to overthrow Nasser. So just in the space of barely four years from that moment of decolonization, Egypt had been reinvaded by the French, the British, working with the Israelis, and had to deal with the consequences and the costs of destroyed cities and military spending. That is an example of how quickly things went wrong; but also of how part of their going wrong was in this desperate attempt by a series of European banks and engineering firms trying to recover the opportunities for a certain profit-making and business that they had enjoyed in the colonial period and now they suddenly were being deprived of.
Last question. Has your work helped you make sense of what is currently going on in Egypt and would you shine your enlightened light on that a bit? Not on the whole general situation but perhaps on parts which are overlooked or which you find particularly relevant.
May be in a couple of aspects. One of them is this kind of very uneasy and disjunctive assemblage relationship between the West and forms of political Islam. It sometimes seemed shocking and disturbing and destabilizing that the political process in Egypt led to the rise and consolidation of power of the Muslim Brotherhood. But of course the U.S. and other Western powers have had a very long relationship going back at least to the 1950's—if not before—with exactly these kinds of political forces or people who were locally in alliance with them, in places like Saudi Arabia. I have a chapter in Carbon Democracy that explores that relationship and its disjunctions. And I think it is important to get away from the notion that is just a sort of electoral politics and uneasy alliances, but it is actually the outcome of a longer problem. Both domestically within the politics in the Arab states, of how to found a form of legitimacy that does not seem to be based on close ideological ties with the West, but at the same time operates in such in a way, that in practical terms, that kind of alliance can work. So that would be one aspect of it, to have a slightly longer-term perspective on those kinds of relationships and how disjunctively they function.
The other thing, drawing it a little more directly on some of the work on democracy in Carbon Democracy, is that so much of the scholarship on democracy is about equipping people with the right mental tools to be democrats; the right levels of trust or interpersonal relations or whatever. There is a very different view in my book, that the opportunities for effective democratic politics require very different sets of skills and kinds of actions—actions that are much more as it were obstructionist, and forms of sabotage, quite literally, in the usage of the term as it comes into being in the early 20th century to describe the role of strikes and stoppages. These are, I attempt to show, the effective tools to leverage demands for representation in more egalitarian democratic politics. I have been very interested in the case of Egypt, in the particular places and points of vulnerability, that gave rise to the possibility of sabotage. For instance, one of the less noted aspects of the Egyptian revolution in general, was the very important role played by the labor movement; this was not just a Twitter or Facebook revolution, but that was important as well. Although the labor movement was very heavily concentrated in industries—in the textile industry—the first group of workers who actually successfully formed an independent union were the property tax collectors. And there is a reason for that: there was a certain kind of fiscal crisis of the state—which had to do with declining oil revenues and other things—and there was the attempt to completely revise the tax system and to revise it not around income tax—because there were too few people making a significant income to raise tax revenues—but around property taxes. And that was a point of vulnerability and contestation that produced not just some of the first large-scale strikes but strikes that were effective enough that the government was forced to recognize a newly independent labor movement. This case is an instance of how the kind of work I did in the book might be useful for thinking about how the revolutionary situation emerged in Egypt.
Timothy Mitchell is a political theorist and historian. His areas of research include the place of colonialism in the making of modernity, the material and technical politics of the Middle East, and the role of economics and other forms of expert knowledge in the government of collective life. Much of his current work is concerned with ways of thinking about politics that allow material and technical things more weight than they are given in conventional political theory. Educated at Queens' College, Cambridge, where he received a first-class honours degree in History, Mitchell completed his Ph.D. in Politics and Near Eastern Studies at Princeton University in 1984. He joined Columbia University in 2008 after teaching for twenty-five years at New York University, where he served as Director of the Center for Near Eastern Studies. At Columbia he teaches courses on the history and politics of the Middle East, colonialism, and the politics of technical things.
Related links:
Faculty Profile at Colombia University Read Mitchell's Rethinking Economy (Geoforum 2008) here (pdf) Read Mitchell's The Limits of the State: Beyond Statist Approaches and Their Critics (The American Political Science Review 1991) here (pdf) Read Mitchell's McJihad: Islam and the U.S. Global Order (Social Text 2002) here (pdf) Read Mitchell's The Stage of Modernity (Chapter from book 'Questions of Modernity', 2000) here (pdf) Read Mitchell's The World as Exhibition (Chapter from book 'Colonising Egypt' 1991) here (pdf)
ANALISIS PENGARUH KARAKTERISTIK PEMERINTAH DAERAH TERHADAP TINGKAT PENGUNGKAPAN LAPORAN KEUANGAN(Studi pada LKPD Kota Pontianak Periode 2014-2016) OLEH :NOVIA VIRGINIAAKUNTANSI ABSTRAK Laporan keuangan pemerintah daerah merupakan laporan wajib yang harus diungkapkan oleh setiap pemerintahan yang ada di Indonesia untuk menyediakan informasi yang menyangkut posisi keuangan, kinerja, serta perubahan posisi keuangan suatu perusahaan yang bermanfaat bagi sejumlah besar pemakai dalam pengambilan keputusan. Tingkat pengungkapan LKPD memiliki beberapa faktor yang mempengaruhinya. Pada penelitian ini peneliti menggunakan 7 karakteristik pemerintahan yaitu ukuran pemerintan daerah, ukuran legislatif, umur administratif pemerintah daerah, kekayaan pemerintah daerah, diferensiasi fungsional, rasio kemandirian keuangan daerah, serta lingkungan eksternal yaitu Intergovernmental Revenue. Tujuan dalam penelitian ini adalah untuk mengetahui pengaruh karakteristik pemerintah daerah terhadap tingkat pengungkapan laporan keuangan. Populasi dari penelitian ini adalah laporan keuangan pemerintah daerah Kota Pontianak pada tahun 2014-2016 yang telah di audit oleh BPK dan didapat melalui studi lapangan. Variabel penelitian terdiri dari ukuran pemerintan daerah, ukuran legislatif, umur administratif pemerintah daerah, kekayaan pemerintah daerah, diferensiasi fungsional, rasio kemandirian keuangan daerah, serta lingkungan eksternal yaitu intergovernmental revenue. Dan variabel dependen yaitu tingkat pengungkapan laporan keuangan. Analisis data yang digunakan pada penelitian ini adalah analisis deskriptif dan teknik pengujian data yang telah dilakukan ialah menggunakan uji korelasi. Hasil penelitian ini menunjukkan bahwa dari 7 variabel yang diuji hanya terdapat 2 variabel yang berpengaruh positif terhadap tingkat pengungkapan LKPD Kota Pontianak yaitu diferensiasi fungsional dan intergovenmental revenue. Sedangkan 5 variabel lainnya terbukti memiliki pengaruh yang negatif terhadap tingkat pengungkapan LKPD. Kata kunci : Laporan keuangan, Standar Akuntansi Pemerintahan, Pemerintah Daerah. 1BAB 1PENDAHULUAN1.1.LATAR BELAKANG Demi meningkatkan layanan publik serta memenuhi kebutuhan dan hak publik, maka pemerintah Indonesia berusaha semaksimal mungkin untuk mewujudkan tata kelola pemerintahan yang baik atau Good Public Government (GPG). GPG adalah sistem atau aturan dan perilaku yang berkaitan dengan pengelolaan kewenangan oleh penyelenggara negara dalam menjalankan tugas-tugasnya secara bertanggung jawab. Otonomi daerah ialah salah satu bentuk implikasi dari GPG. Otonomi daerah adalah pembagian kekuasaan yang diberikan oleh pemerintah pusat kepada masing-masing daerah untuk mengurus dan mengatur daerahnya dengan peraturannya sendiri. Tujuan administratif yang ingin dicapai melalui pelaksanaan otonomi daerah ialah adanya pembagian urusan pemerintahan antara pemerintah pusat dan pemerintah daerah, termasuk juga sumber keuangan, dan pembaharuan manajemen birokrasi pemerintahan di daerah. Sedangkan tujuan ekonomi yang ingin dicapai dalam pelaksanaan otonomi daerah di Indonesia adalah terwujudnya peningkatan indeks pembangunan manusia sebagai indikator peningkatan kesejahteraan masyarakat di Indonesia. Menyajikan laporan keuangan pada masing-masing daerah otonom juga termasuk dalam salah satu tujuan dari otonomi daerah. Laporan keuangan pada dasarnya adalah hasil dari proses akuntansi yang dapat digunakan sebagai alat komunikasi antara data keuangan atau aktivitas suatu perusahaan dengan pihak yang berkepentingan dengan data atau aktivitas dari perusahaan tersebut (Munawir 2004:2). Laporan keuangan adalah suatu penyajian terstruktur dari posisi keuangan dan kinerja keuangan dalam suatu entitas. Catatan informasi keuangan dalam suatu perusahaan pada suatu periode akuntansi tertentu yang dapat digunakan untuk menggambarkan kinerja perusahaan tersebut. Kinerja perusahaan perlu untuk di analisis dan di gunakan hasil nya sebagai acuan untuk pengambilan keputusan bagi atasan. Maka dari itu laporan keuangan bertujuanuntuk menyediakan informasi yang menyangkut posisi keuangan, kinerja, serta perubahan posisi keuangan suatu perusahaan yang bermanfaat bagi sejumlah besar pemakai dalam pengambilan keputusan.Undang-undang Nomor 17 tahun 2003 tentang Keuangan Negara menyebutkan bahwa laporan keuangan pemerintah harus disusun dan disajikan sesuai Standar Akuntansi Pemerintahan. Penyusunan laporan keuangan pemerintah harus sesuai dengan Standar Akuntansi Pemerintahan (SAP) sehingga bisa dikatakan laporan keuangan pemerintah tersebut tergolong konsisten dan memenuhi kewajiban akuntabilitas serta transparansi. Dalam hal ini jelas sudah bahwa pelaporan laporan keuangan harus lah sesuai dengan pedoman yang telah di tetapkan yaitu Standar Akuntansi Pemerintahan (SAP). Namun pada kenyataannya masih banyak daerah yang belum menyusun laporan keuangannya sesuai dengan SAP.Penelitian Setyaningrum (2012) menemukan bahwa tingkat pengungkapan wajib LKPD terhadap SAP di Indonesia masih sangat rendah, rata-rata hanya sebesar 52,09, sedangkan (Liestiani 2008) 35,45%, (Lesmana 2010) 22%, dan (Suhardjantoetal 2010) 51,56%. Patrick (2007) menemukan bahwa ukuran, kesempatan berinovasi, diferensiasi fungsional, spesialisasi pekerjaan, ketersediaan slack resources, dan pembiayaan utang merupakan karakteristik yang memiliki asosiasi positif terhadap penerapan inovasi administrasi GASB 34, sedangkan intergovernmental revenue memiliki asosiasi negatif. Liestiani (2008) menemukan bahwa kekayaan, kompleksitas pemerintahan, dan jumlah temuan audit memengaruhi tingkat pengungkapan LKPD, sedangkan Lesmana (2010) menemukan bahwa umur Pemda dan rasio kemandirian keuangan daerah berpengaruh positif terhadap tingkat pengungkapan wajib LKPD. Hasil berbeda terdapat pada penelitian Suhardjanto et al. (2010) dengan menggunakan modifikasi model Patrick (2007) yang menemukan bahwa dana perimbangan dan latar belakang bupati merupakan prediktor yang sangat signifikan terhadap kepatuhan dan pengungkapan SAP yang wajib.Laporan Keuangan Pemerintah Daerah (LKPD) Kota Pontianak tahun 2014 menyandang predikat Wajar Tanpa Pengecualian dari Badan Pemeriksa Keuangan (BPK) RI Perwakilan Provinsi Kalimantan Barat (Kalbar). Predikat tertinggi dalam opini yang diberikan BPK ini merupakan keempat kalinya disandang Pemkot Pontianak secara berturut-turut yakni sejak tahun 2011-2014, Pemkot Pontianak sudah lebih dulu menerapkan akrual basis meskipun sebenarnya sistem tersebut baru wajib diterapkan mulai 2016 mendatang oleh Pemerintah Pusat. (Bappeda Kota Pontianak)Meskipun Pemerintah Kota Pontianak sudah mencapai predikat dengan opini tertinggi, namun faktor-faktor yang mempengaruhi tingkat pengungkapannya perlu untuk diteliti lebih lanjut agar Pemerintah Kota Pontianak dapat selalu mempertahankan predikat tertinggi tersebut. Kondisi ini membuat saya tertarik untuk menganalisis lebih lanjut mengenai faktor-faktor yang memengaruhi pengungkapan wajib LKPD khususnya di Pemerintah Daerah Kota Pontianak. 1.2.RUMUSAN MASALAHHasil rerata pengungkapan Laporan Keuangan Daerah (LKPD) di Indonesia yang masih tergolong rendah membuat peneliti menganalisis lebih lanjut apakah pengaruh karakteristik pemerintah terhadap tingkat pengungkapan Laporan Keuangan Kota Pontianak tahun anggaran 2014-2016. Dari penjelasan latar belakang permasalahan sebelumnya, peneliti ingin meneliti pengaruh faktor-faktor yang mempengaruhi tingkat pengungkapan Laporan Keuangan Pemerintah Daerah (LKPD) di Kota Pontianak, dapat dirumuskan sebagai berikut:Apakah ukuran Pemerintah Daerah memilik hubungan positif terhadap tingkat pengungkapan Laporan Keuangan Pemerintah Daerah?Apakah ukuran Legislatif memilik hubungan positif terhadap tingkat pengungkapan Laporan Keuangan Pemerintah Daerah?Apakah Umur Administratif Pemerintah daerah memiliki hubungan positif terhadap tingkat pengungungkapan Laporan Keuangan Pemerintah Daerah?Apakah Kekayaan Pemerintah Daerah memiliki hubungan positif terhadap tingkat pengungungkapan Laporan Keuangan Pemerintah Daerah?Apakah Diferensiasi Fungsional memiliki hubungan positif terhadap tingkat pengungkapan Laporan Keuangan Pemerintah Daerah?Apakah Rasio Kemandirian Keuangan Daerah memiliki hubungan positif tingkat pengungkapan Laporan Keuangan Pemerintah Daerah?Apakah Intergovernmental Revenue pemerintah daerah memiliki hubungan positif terhadap tingkat pengungkapan Laporan Keuangan Pemerintah Daerah? 1.3.TUJUAN PENELITIANBerdasarkan rumusan masalah yang telah diuraikan sebelumnya, maka tujuan dari penelitian ini adalah:Menganalis pengaruh ukuran Pemerintah Daerah memilik hubungan positif terhadap tingkat pengungkapan Laporan Keuangan Pemerintah Daerah?Menganalisis pengaruh ukuran Legislatif memilik hubungan positif terhadap tingkat pengungkapan Laporan Keuangan Pemerintah Daerah?Menganalisis pengaruh umur administratif pemerintah daerah memiliki hubungan positif terhadap tingkat pengungungkapan Laporan Keuangan Pemerintah Daerah?Menganalisis pengaruh kekayaan Pemerintah Daerah memiliki hubungan positif terhadap tingkat pengungungkapan Laporan Keuangan Pemerintah Daerah?Menganalisis pengaruh diferensiasi fungsional memiliki hubungan positif terhadap tingkat pengungkapan Laporan Keuangan Pemerintah Daerah?Menganalisis pengaruh Rasio Kemandirian Keuangan Daerah memiliki hubungan positif terhadap tingkat pengungkapan Laporan Keuangan Pemerintah Daerah?Menganalisis pengaruh intergovernmental revenue pemerintah daerah memiliki hubungan positif terhadap tingkat pengungkapan Laporan Pemerintah Da erah? 8BAB IITELAAH PUSTAKA 2.1 LANDASAN TEORI Masalah dalam kinerja keuangan pemerintah daerah di Indonesia sudah banyak diteliti diantaranya yang diteliti oleh Patrick (2007) dan Setyaningrum (2012). Walaupun begitu masih sedikit penelitian yang menguji tentang pengaruh karakteristik pemerintah daerah terhadap tingkat pengungkapan laporan keuangan. Penelitian ini menitik beratkan pada penelitian Setyaningrum (2012). Namun penelitian saya ini menguji pengaruh karakteristik pemerintah daerah terhadap tingkat pengungkapan laporan keuangan di Kalimantan Barat khusus nya di Kota pontianak, sedangkan penelitian yang dilakukan oleh Setyaningrum (2012) meneliti pengaruh karakteristik pemerintah daerah terhadap tingkat pengungkapan laporan keuangan se Indonesia. 2.2 KAJIAN EMPIRIS Tinjauan empiris merupakan pembahasan kritis tentang penelitian empiris terdahulu terkait dengan topik yang di teliti. Adapun yang menjadi landasan pada penulisan skripsi ini adalah : Table 2.1kajian empirisPenelitianVariabel yang digunakanHasilDyah Setyaningrum (2012)Ukuran Pemerintah Daerah,Ukuran Legislatif,Umur Administratif Pemerintah Daerah,Kekayaan Pemerintah Daerah,Diferensisasi Fungsional,Rasio Kemandirian Keuangan Daerahintergovernmental Revenue Variabel yang di gunakan pada penelitian nya adalah ukuran Pemda, ukuran legislatif, umur administratif Pemda, kekayaanPemda, diferensiasi fungsional,rasio kemandirian keuangan daerah, pembiayaan utang, danintergovernmental revenue secara seksama hasil penelitian nya mempengaruhi tingkat pengungkapan Laporan Keuangan Pemda Kabupaten/Kota di Indonesia.Patricia A. Patrick (2007) Variabel yang di gunakan dalam penelitian ini ialah Budaya Organisaasi (lebih cenderung pemerintah untuk berinovasi, tanggapan untuk konstituen), Struktur Organisasi seperti (spesialisasi pekerjaan, administrative intensity, diferensiasi fungsional, ketersediaan slack resources dan ukuran organisasi), Lingkungan Eksternal (pembiayaan utang dan intergovernmental revenue). Ukuran Organisasi, kecenderungan pemerintah untuk berinovasi dan tanggapan terhadap konstituen berpengaruh positif dan berpengaruh sangat signifikan dalam mengaplikasikan penerapan GASB 34. Variabel spesialisasi pekerjaan, diferensiasi fungsional, administrative intensity, dan pembiayaan utang terbukti mempunyai hubungan yang positif serta moderat hingga lemah.Sedangkan intergovernmental revenue mempunyai hubungan negatif dan lemah terhadap determinasi dalam adopsi GASB 34.Djoko Suhardjanto (2011)Ukuran DaerahJumlah SKPDStatus Daerah Lokasi Pemerintah DaerahJumlah Anggota DPRDMenggambarkan bahwa rata-rata pengungkapan wajibdi neraca pemerintah daerah idalah 10,49 atau sebesar 30,85%. Dari 51 sampel, hanya 18 pemerintah daerah yang mengerjakan pengungkapanwajib diatas nilai rata-rata (>10,49). Nilai minimumtingkat pengungkapan wajib diperoleh Kota Sukabumi yang mengungkapkan hanya 5 itempengungkapan wajib atau 14,70%, sedangkan tinggianpemda yang mempunyai peringkat paling tinggi dalam mengungkapkan pengungkapan wajib akuntansi adalah Kabupaten Sinjai. Dari 34 itempengungkapan wajib di neraca, Kabupaten Sinjai melakukan pengungkapan wajib sebanyak 19 item atau sebesar 55,88%. Hasil tersebut menggambarkanbahwa kedisiplinan pengungkapan wajib sesuaidengan SAP masih rendah. 2.2.1 Kontribusi Pada Skripsi Pada penelitian Setyaningrum (2012), saya menggunakan hampir seluruh dari variabel yang ada pada penelitian ini, hanya ada satu variabel yang saya eliminasi karna saya anggap kurang berpengaruh untuk penelitian pada studi kasus di Pemerintah Kota Pontianak. Penelitian ini merupakan jurnal rujukan saya dalam menyusun skripsi ini.Pada penelitian Patrick (2007), saya menggunakan penelitian ini sebagai referensi tambahan bagi saya dalam menyusun skripsi ini, karena ada beberapa kesamaan variabel dengan penelitian Setyaningrum (2012)Pada penelitian Suhardjanto (2011), saya menggunakan penelitian ini sebagai referensi tambahan karena ada beberapa kesamaan pada variabel dengan skripsi saya. Selain itu metode yang digunakan dalam mengolah data mempunyai kesamaan sehingga membantu saya dalam mengolah data skripsi ini.2.3 KERANGKA KONSEPTUAL Penelitian ini bertujuan untuk menguji pengaruh karakteristik pemerintahan terhadap tingkat pengungkapan laporan keuangan yang terdiri dari Ukuran Pemerintan Daerah, Ukuran Legislatif, Umur Administratif Pemerintah Daerah, Kekayaan Pemerintah Daerah, Diferensiasi Fungsional, Spesialisasi Pekerjaan, Rasio Kemandirian Keuangan Daerah dan intergovernmental Revenue. Semua variabel ini harus mengacu pada PP Nomor 71 Tahun 2010 tentang Standar Akuntansi Pemerintahan.Berikut ini merupakan kerangka konseptual yang menggambarkan model penelitian dan hubungan antar variabel yang digunakan dalam penelitian. Ukuran pemerintah daerahUkuran legislatifUmur administratif pemerintah daerahKekayaan pemerintah daerahDiferensiasi fungsionalRasio kemandirian keuangan daerahTingkat Pengungkapan Wajib Laporan Keuangan Pemerintah (LKPD)Intergovernmental revenueH1H2 H3H4H5H6H7Gambar 2.1 Kerangka Konseptual 2.4.HIPOTESIS PENELITIAN Pengujian hipotesis dilakukan untuk menjawab rumusan masalah, yaitu menguji apakah karakteristik pemerintah daerah berpengaruh terhadap tingkat pengungkapan laporan keuangan khusus nya di Kota Pontianak. Karakteristik pemerintah terdiri dari Ukuran Pemerintan Daerah, Ukuran Legislatif, Umur Administratif Pemerintah Daerah, Kekayaan Pemerintah Daerah, Diferensiasi Fungsional, Spesialisasi Pekerjaan, Rasio Kemandirian Keuangan Daerah dan intergovernmental Revenue. Dua teori utama yang terkait dengan GPG adalah teori agensi dan teori sinyal. Menuru Mardiasmo (2002) menyatakan bahwa pengertian akuntabilitas publik sebagai kewajiban pihak pemegang amanah (agent) untuk memberikan pertanggungjawaban, menyajikan, melaporkan, dan mengungkapkan segala aktivitas dan kegiatan yang menjadi tanggungjawabnya kepada pihak pemberi amanah (prinsipal) yang memiliki hak untuk meminta pertanggungjawaban tersebut. Pemerintah dalam hal ini bertanggungjawab memeberikan informasi yang transparan dan akuntabel, salah satunya yaitu melalui kepatuhan dalam penyusunan LKPD sekaligus pengungkapan dan penyajian laporan sewajar mungkin. BAB IIIMETODE PENELITIAN 3.1 BENTUK PENELITIANJenis penelitian pada skripsi ini adalah penelitian kuantitatif, dimana Penelitian ini bertujuan untuk menganalisis pengaruh karakteristik pemerintah daerah terhadap tingkat pengungkapan Laporan Keuangan Pemerintah Daerah (LKPD) berdasarkan Standar Akuntansi Pemerintahan. Data yang di peroleh akan diolah menggunakan aplikasi statistik yaitu spss versi 20.0 . 3.2 TEMPAT DAN WAKTU PENELITIANPada penelitian ini, saya mengambil data di beberapa kantor terkait dengan variabel yang ada pada skripsi ini, adapun kantor yang saya datangi untuk mendapatkan data sekunder antara lain:Kantor BAPPEDA Kota PontianakKantor Badan Keuangan Daerah Kota PontianakKantor Inspektorat Kota PontianakKantor Organisasi Kota PontianakKantor DPRD Kota PontianakPenelitian ini saya lakukan pada bulan januari 2018 bertahap hingga seluruh data sekunder yang saya butuhkan pada skripsi ini dapat terkumpul. 3.3 DATAJenis data yang saya gunakan dalam penelitian ini adalah data sekunder, Data sekunder adalah data yang mengacu pada informasi yang dikumpulkan dari sumber yang telah ada. Sumber data sekunder adalah catatan atau dokumentasiperusahaan, publikasi pemerintah, analisis industri oleh media, situs Web, internet dan seterusnya (Uma Sekaran, 2011). 3.4 POPULASI DAN SAMPELPenelitian ini akan menggunakan sampel Pemda Kota Pontianak untuk tahun anggaran 2014-2016 yang telah diaudit oleh BPK RI dan memiliki data yang lengkap terkait dengan variabel-variabel yang digunakan dalam penelitian ini. Pemilihan sampel dilakukan dengan cara purposive sampling. Kriteria-kriteria atas sampel dalam penelitian ini adalah sebagai berikut:Laporan Keuangan Pemda (LKPD) Kota Pontianak pada tahun 2014-2016 yang telah diaudit oleh BPK.Memiliki data yang lengkap untuk pengukuran keseluruhan variabel:Menyediakan empat komponen LKPD, yaitu Laporan RealisasiAnggaran, Neraca, Laporan Arus Kas, dan Catatan atas LaporanKeuangan.Menyediakan data jumlah SKPD sebagai entitas akuntansi tahun2014-2016 pada LKPD/Laporan Hasil Pemeriksaan SistemPengendalian InternalMenyediakan data jumlah anggota DPRD tahun 2014-2016 pada Pemda Kota Pontianak atau melalui situs resmi Pemda.Menyediakan data umur administratif Pemda Kota Pontianak yang diukur dari undang-undang pembentukannya sampai dengan tahun 2014-2016 3.5 VARIABEL PENELITIAN Variabel independenVariabel independen ialah variabel yang menjelaskan atau mempengaruhi variabel yang lainnya. Variabel independen pada penelitian ini adalah karakteristik Pemerintah Daerah, yaitu ukuran Pemerintah Daerah, ukuran legislatif, umur administratif Pemerintah Daerah, kekayaan Pemerintah Daerah, diferensiasi fungsional,,rasio kemandirian keuangan daerah, dan intergovernmental revenue. Variabel Dependen (terikat)Variabel dependen ialah variabel yang dapat dijelaskan dan dipengaruhi oleh variabel independen. Penelitian ini bisa menggunakan tingkat pengungkapan Laporan Keuangan Pemda dalam komponen Catatan atas Laporan Keuangan (CaLK) berdasarkan Standar Akuntansi Pemerintahan sebagai variabel dependen. Penelitian ini menggunakan tingkat pengungkapan Laporan Keuangan Pemda dalam komponen Catatan atas Laporan Keuangan (CaLK) berdasarkan Standar Akuntansi Pemerintahan sebagai variabel dependen. Penelitian ini serupa dengan penelitian yang dilakukan dengan Liestiani (2008), dimana tingkat pengungkapan LKPD yang dilakukan adalah dengan menggunakan sistem scoring. 3.6 METODE ANALISISPada penelitian ini, saya menggunakan spss versi 20.0 dengan metode korelasi untuk megetahui seberapa signifikan variabel dependen di pengaruhi oleh variabel independen.Keterangan:DISC : Tingkat Pengungkapan WajibSIZE : Ukuran PemdaULEG : Ukuran LegislatifAGE : Umur Administratif PemdaWEALTH : Kekayaan PemdaSKPD : Diferensiasi FungsionalMANDIRI : Rasio Kemandirian Keuangan PemdaIRGOV : Intergovernmental revenue Landasan EmpirisDyah Setyaningrum (2012)Patricia A. Patrick (2007)Djoko Suharjdanto (2011)3.7 Kerangka Proses Berpikir LANDASAN TEORITISLKPDTingkat pengungkapanKualitas pengungkapanKarakteristik pemerintah daerahKarakteristik pemerintah daerah dan tingkat pelaporan keuangan pemerintah daerah Rumusan Masalah Tujuan PenelitianHipotesis PenelitianAlat analisisSpss versi 20.0Hasil PenelitianDan PembahasanSkripsi Gambar 3.1 Kerangka Proses Berfikir BAB IVHASIL DAN PEMBAHASAN 1.1 HASIL PENELITIAN4.1.1. Deskripsi Objek Penelitian Penelitian ini menggunakan Laporan Keuangan Daerah Pemerintah Kota Pontianak pada tahun 2014-2016 berdasarkan Standar Akuntansi Pemerintahan (SAP) yang telah di audit oleh BPK. Penelitian ini menggunakan metode korelasi dengan software spss versi 20.0 dimana variabel dependen di uji korelasinya dengan variabel independen untuk mengetahui apakah ada hubungan yang signifikan terhadap variabel dependen.Tabel 4.1Variabel DependenTingkat Pengungkapan Laporan Keuangan Pemerintah Kota PontianakTahunYang di ungkapkan201499201599201697 Sumber :Data Olahan Pada tahun 2014 Laporan Keuangan Pemerintah Daerah Kota Pontianak yang diungkapkan adalah sebanyak 99, pada tahun 2015 juga menunjukan hasil yang serupa yaitu sebanyak 99, kemudian pada tahun 2016 tingkat pengungkapan Laporan Keuangan Pemerintah Daerah Kota Pontianak mengalami penurunan yaitu menjadi 97. Berdasarkan Standar Akuntansi Pemerintahan (SAP) ada 185 laporan yang harus disajikan dalam Laporan Keuangan Pemerintah Daerah. 38 Tabel 4.2Variabel Independen Variabel IndependenTahun 2014 2015 2016Kekayaan PemdaRp3.498.247.431.898,37 Rp. 334.673.293.035,95 Rp. 389.368.618.493,49 Ukuran legislatif (DPRD)414141Umur Administratif Pemda686970Kekayaan pemdaRp.298.768.480.274,53 Rp. 334.673.293.035,95 Rp. 389.368.618.493,49 Diferensiasi Fungsional (SKPD)343430Rasio Kemandirian Daerah13,5267703 45,9261847 163,724085 Sumber : Data Olahan 1.2 ANALISIS STATISTIK DESKRIPTIF Dari 3 Laporan Keuangan Pemerintah Daerah kota Pontianak tahun anggaran 2014-2016 yang digunakan pada penelitian ini diperoleh statistik deskriptif yang dapat digunakan untuk mengetahui nilai rata-rata, standar deviasi, nilai minimum dan nilai maksimum atas variabel-variabel penelitian. Tabel 4.2 merupakan statistik deskriptif atas variabel dependen yaitu tingkat pengungkapan (DISC), dan variabel-variabel independen yaitu ukuran pemerintahan (SIZE), ukuran legislatif (ULEG), umur administratif pemerintah daerah (AGE), kekayaan pemerintah daerah (WEALTH), diferensiasi fungsional (SKPD), rasio kemandirian keuangan daerah (MANDIRI), dan Intergoveenmental Revenue (IRGOV).Tabel 4.3Statistik DeskriptifVariabel NMean Max Min Std. DevDISC3979998.331.155SIZE33.E+124.E+123.97E+124.192E+11ULEG3414141.000AGE3687069.001.000WEALTH32.9877E+113.8937E+113.40937E+1145623676696SKPD3303432.672.309MANDIRI313.5268163.724174.39234779.0414456IRGOV3.0016245.0155814.007292337.0073383853Sumber : Data olahan 4.3 PEMBAHASAN 4.3.1 Variabel DependenTabel 4.4Tingkat Pengungkapan Laporan Keuangan Pemerintah Daerah kota PontianakTahunYang di ungkapkanYang harus di ungkapkanPersentase 149918553,5 159918553,5 169718552,4 %Sumber : Data olahan Penelitian ini menggunakan Laporan Keuangan Pemerintah Daerah Kota Pontianak pada tahun 2014-2016, dari hasil penelitian menunjukan bahwa tingkat pengungkapan pada Pemerintah Kota pontianak di tahun 2014 yaitu 53,5 %, pada tahun 2015 yaitu 53,5 % dan pada tahun 2016 yaitu 52,4 %. Pada penelitian sebelumnya, Laporan Keuangan Pemerintah Daerah seluruh Indonesia Penelitian Setyaningrum (2012) menemukan bahwa tingkat pengungkapan wajib LKPD terhadap SAP di Indonesia sebesar 52,09% sedangkan (Liestiani 2008) 35,45%, dan (Lesmana 2010) 22%. Dalam hal ini Kota Pontianak masih termasuk Daerah yang lebih tinggi tingkat pengungkapannya dari pada tingkat rata-rata pengungkapan daerah di seluruh Indonesia. 4.3.2 Variabel IndependenTabel 4.5Uji Korelasi 4.3 PENGUJIAN HIPOTESIS PENELITIAN 4.3.1 Pengaruh Ukuran Pemerintah Daerah terhadap tingkat pengungkapan wajib LKPD. Berdasarkan tabel 4.5 hasil korelasi antara ukuran pemerintah daerah terhadap tingkat pengungkapan wajib LKPD menunjukan hasil yang negatif yang artinya ukuran pemerintah tidak berpengaruh terhadap tingkat pengungkapan wajib LKPD. Hasil penelitian ini sejalan dengan penelitian yang dilakukan oleh Setyaningrum (2012) dan penelitian yang dilakukan oleh Lesmana (2010). Tetapi hasil penelitian ini tidak sejalan dengan penelitian yang dilakukan Patrick (2007) yang menyatakan bahwa ukuran organisasi berpengaruh positif dan sangat kuat terhadap penerapan sebuah inovasi baru, yaitu GASB 34. Begitu pula hasil yang ditunjukan oleh penelitian Sumarjo (2010) yang menyatakan bahwa semakin besar ukuran pemerintahan maka semakin baik kinerja keuangan pemerintah daerah. 4.3.2 Pengaruh Ukuran Legislatif (DPRD) terhadap tingkat pengungkapan wajib LKPD. Berdasarkan tabel 4.5 hasil korelasi antara ukuran Legislatif (DPRD) terhadap tingkat pengungkapan wajib LKPD ialah tidak memiliki hubungan karena sampel yang digunakan sama, yaitu jumlah anggota legislatif pada tahun 2014-2016 sama. Masa pergantian anggota DPRD dilakukan 5 tahun sekali sehingga pada tahun 2014-2019 jumlah anggota DPRD kota Pontianak tidak mengalami perubahan pada jumlah anggotanya. 4.3.3 Pengaruh Umur Administratif Pemda tingkat pengungkapan wajib LKPD. Berdasarkan tabel 4.5 hasil korelasi antara Umur Administratif Pemda tingkat pengungkapan wajib LKPD menunjukan hasil yang negatif yang artinya Umur Administratif Pemda tidak berpengaruh terhadap tingkat pengungkapan wajib LKPD. Hasil ini berbanding terbalik dengan penelitian yang dilakukan oleh Setyaningrum (2012) yang menyatakan bahwa semakin tua umur administratif Pemda maka akan mendorong Pemda untuk mengungkapkan LKPD secara lebih lengkap. 4.3.4 Pengaruh Kekayaan Pemda terhadap tingkat pengungkapan wajib LKPD. Berdasarkan tabel 4.5 hasil korelasi antara Pengaruh Kekayaan Pemda terhadap tingkat pengungkapan wajib LKPD menunjukan hasil negatif yang artinya kekayaan pemda tidak berpengaruh terhadap tingkat pengungkapan wajib LKPD. Hasil ini berbanding terbalik dengan penelitian yang dilakukan Setyaningrum (2012) yang menyatakan bahwa kekayaan pemerintah daerah berpengaruh positif terhadap tingkat pengungkapan LKPD. Begitu pula penelitian yang dilakukan oleh Liestiani (2008) dan Lasward et al. (2008) yang menyatakan bahwa kekayaan pemerintah daerah memiliki hubungan yang positif terhadap tingkat pengungkapan LKPD.4.3.5 Pengaruh Diferensiasi Fungsional terhadap tingkat pengungkapan wajib LKPD. Berdasarkan tabel 4.5 hasil korelasi antara Diferensiasi Fungsional terhadap tingkat pengungkapan wajib LKPD menunjukan hasil yang positif yang artinya diferensiasi fungsional memiliki pengaruh positif terhadap tingkat pengungkapan LKPD. Hasil penelitian ini berbanding terbalik dengan penelitian yang di lakukan Setyaningrum (2012), Lesmana (2010), dan Hilmi (2011). Hasil penelitian yang mereka sejalan yaitu diferensiasi fungsional tidak memiliki pengaruh dengan tingkat pengungkapan LKPD. 4.3.6 Pengaruh Rasio kemandirian keuangan daerah terhadap tingkat pengungkapan wajib LKPD. Berdasarkan tabel 4.5 hasil korelasi antara rasio kemandirian keuangan daerah terhadap tingkat pengungkapan wajib LKPD menunjukan hasil yang negatif yang artinya rasio kemandirian keuangan daerah memiliki pengaruh yang negatif terhadap tingkat pengungkapan LKPD. Hasil penelitian ini sejalan dengan penelitian yang dilakukan oleh Setyaningrum (2012) yang menyatakan rasio kemandirian keuangan daerah memiliki pengaruh yang positif terhadap tingkat pengungkapan LKPD. Namun penelitian yang dilkukan oleh Lesmana (2010) tidak menyatakan bahwa rasio kemandirian keuangan daerah memiliki pengaruh yang negatif. Semakin tinggi rasio kemandirian keuangan Pemda menunjukkan semakin mandiri Pemda dalam membiayai sendiri kegiatan pemerintahan, pembangunan, dan pelayanan kepada masyarakat sehingga tingkat ketergantungan kepada pihak eksternal menjadi rendah. Hal inilah yang membuat Pemda tidak termotivasi untuk meningkatkan pengungkapan laporan keuangannya karena rendahnya tuntutan transparansi dan akuntabilitas LKPD dari pihak eksternal. 4.3.7 Pengaruh Intergovernmental Revenue terhadap tingkat pengungkapan wajib LKPD. Berdasarkan tabel 4.5 hasil korelasi antara intergovernmental revenue terhadap tingkat pengungkapan wajib LKPD menunjukan hasil yang positif yang artinya intergovernmental revenue memiliki pengaruh yang positif terhadap tingkat pengungkapan wajib LKPD. Namun penelitiian ini berbanding terbalik dengan penelitian yang dilakukan Seytaningrum (2012) yang menyatakan bahwa intergovernmental revenue memiliki pengaruh yang negatif tingkat pengungkapan wajib LKPD. Seharusnya semakin besar dana perimbangan dari pusat maka akan mendorong pemerintah daerah untuk lebih giat lagi dalam melengkapi laporan keuangannya sebagai tanggungjawab pemerintah daerah terhadap pemerintah pusat. BAB V PENUTUP 5.1 SIMPULAN Penelitian ini bertujuan untuk menganalisis pengaruh karakteristik pemerintah terhadap tingkat pengungkapan laporan keuangan pemerintah khususnya di Kota Pontianak tahun anggaran 2014-2016. Berdasarkan hasil pengujian ditemukan bahwa tingkat pengungkapan laporan keuangan pemerintah Kota Pontianak pada tahun 2014 adalah sebesar 53,5%. Pada tahun 2015 tingkat pengungkapan LKPD adalah sama sebesar 53,5%. Pada tahun 2016 tingkat pengungkapan LKPD mengalami penurunan yaitu sebesar 52,4%. Adannya penurunan yang terjadi pada tingkat pengungkapan LKPD menunjukan bahwa pemerintah Kota Pontianak belum berhasil berusaha untuk meningkatkan kualitas laporan keuangannya. Hasil dari penelitian ini mengemukakan bahwa dari 7 variabel yang diuji hanya terdapat 2 variabel yang berpengaruh positif terhadap tingkat pengungkapan LKPD Kota Pontianak yaitu diferensiasi fungsional dan intergovenmental revenue. Sedangkan 5 variabel lainnya terbukti memiliki pengaruh yang negatif terhadap tingkat pengungkapan LKPD. 5.2 KETERBATASAN PENELITIANPenelitian ini hanya sebatas untuk mengetahui pengaruh karakteristik pemerintah daerah terhadap tingkat LKPD Kota Pontianak. Diharapkan pada peneliti selanjutnya untuk dapat meneliti kabupaten-kabupaten yang ada di Pontianak.Kurangnya karakteristik pemerintah daerah yang digunakan pada penilitian ini. Pada peneliti selanjutnya diharapkan agar dapat menambahkan karakteristik baru seperti beban utang, latar belakang pendidikan Walikota/Bupati dan yang lainnya.
ANALYSIS OF THE UNTRANSLATIBILITY IN DIRECT – SPEECH TRANSLATION: TOWARDS TINTIN IN THE LAND OF SOVIETS Prafita Isti Wardani S1 – Sastra Inggris Faculty of Arts and Language State University of Surabaya wardaniprafita@gmail.com Dian Rivia Himmawati English Literature Faculty of Arts and Languages State University of Surabaya dianrivia@gmail.com Abstrak Abstrak ini memuat tentang analisis ketidakterjemanan yang terjadi pada penerjemahan ucapan dalam Tintin di Tanah Sovyet dari Bahasa Inggris kedalam Bahasa Indonesia. Analisis ini dilakukan untuk mengetahui kemunculan ketidakterjemahan ucapan dalam penerjemahan komik popular. Tujuan dari analisis ini adalah untuk mengetahui bagaimana ketidakterjemahan penerjemahan ucapan dalam Tintin di Tanah Sovyet muncul. Analisis ini dilakukan dengan menggunakan metode kualitatif yaitu observasi sehingga data temuan dibandingkan dengan beberapa teori seperti teori penerjemahan oleh Nida dan teori ketidakterjemahan oleh Nababan. Selanjutnya, beberapa teori lain seperti tipe ketidakterjemahan oleh Beker, proses penerjemahan oleh Muchali dan komik oleh Duncan juga menjadi acuan analisis. Teori tentang cara, orientasi dan prosedur penerjemahan oleh Newmark menjadi teori utama untuk mengetahui faktor penyebab ketidakterjemahan. Setelah analisis dilakukan, ada tiga jenis ketidakterjemahan yang terjadi pada penerjemahan Tintin di Tanah Sovyet yaitu (1) konsep spesifik budaya, (2) bahasa sumber yang rumit dan (3) perbedaan penerjemahan ekspresif. Acuan penerjemah tidak dapat hilang dari konteks Bahasa Inggris. Dengan kata lain, hasil penerjemahan masih berorientasi pada Bahasa Inggris. Hasil penerjemahan tidak sesuai dengan konteks Bahasa Indonesia. Untuk menghasilkan makna yang sesuai, penerjemah seharusnya menggunakan metode penerjemahan yang berorientasi pada bahasa target. Selain itu, ucapan merupakan salah satu unit kecil dalam bahasa yang seharusnya diterjemahkan menggunakan prosedur penerjemahan dalam proses diversi dan rekonstruksi. Kata kunci: Penerjemahan, Ketidakterjemahan, Ucapan, Komik. ABSTRACT This study investigates the untranslatability which appears in direct – speech translation towards Tintin in the Land of Soviets from English translation into Indonesian translation. This study was conducted because of the appearance of the untranslatability in a translated booming comic. The purpose of this study is to know how the untranslatability of direct – speech translation in Tintin in the Land of Soviets appears. This study was conducted using observation of qualitative method to compare the data found through Nida's theory about translation and Nababan's theory about the untranslatability. Then, some related theories were used, such as: type of the untranslatability by Beker, process of translation by Muchali and comic by Duncan. Then, method, orientation and procedure of translation by Newmark were also stated to analyze some factors affected the appearance of the untranslatability. This study found that the untranslatability appears from (1) cultural – specific concept (2) SL systematically complex (3) differences in expressive meaning. The translator was not out from English translation (SL). In the other word, the orientation of the translation was emphasizing in English translation (SL). Indonesian translation (TL) produced was inappropriate. To produce an appropriate meaning, the translator has to choose method of translation which orientation is emphasizing in target language (TL). Then dealing with direct – speech as the minimal unit of language, the translator should use procedure of translation to replace English translation into Indonesian translation in diversion and reconstruction process of translation. Keywords: Translation, Untranslatability, Direct – Speech, Comic Introduction Translation comes to solve people's problem who want to know some literary works which do not use their language. House (2009, p. 3) states that translation is a replacement from an original text (SL) into another text (TL) which can be seen as a service that is used to serve people whom need to understand the world with the language confines them. Translation is not only about the replacement of text. It takes part to mediate between language, literature and society. The difference of variety in language sometimes appears the untranslatability unexpected in English-Indonesian translation because the translators do not only have to focus in translating between those two languages, but also they have to deal with cultural context. That is way translators have to have enough experience in translating cultural context to make TL appears as natural as SL. An experience translator from English into Indonesian like Donna Widjajanto who has translated many literary works which are published by Gramedia still gets the untranslatability in translating comic dealing with culture context which can be seen in the example below. Figure 1.1 The example of the untranslatability in English - Indonesian translation Translation English Indonesian (…) "Don't make my mouth water, Tintin!" Jangan membuat liurku terbit, Tintin! Table 1.1 English – Indonesian translation inside linguistic images (…) Like an example of the untranslatability above, this study analyzes direct - speech which is expressed directly between each character in Tintin in the Land of Soviets as an object of the study. Comic is taken to know how an experience translator translates the untranslatability in direct-speech dealing with culture context from SL into target language TL. While, the reason why this study chooses Tintin in the Land of Soviets as the source of data is because the comic is popular comic translated which has been translated into many languages unexpected English into Indonesian translation. For those reasons, Tintin in the Land of Soviets is the first comic which content tells about Soviets culture which language used is emphasizing in SL cultural context. Based on the problem above, this study reaches two research questions. They are, 1) about how the untranslatability of direct-speech translation in Tintin in the Land of Soviets appears, 2) about factor affected the untranslatability of direct-speech in Tintin in the Land of Soviets. The project had three related research goals to be addressed following the importance of the research described in above section, namely: 1) To show how untranslatability of direct-speech appears from factor of translation in Tintin in the Land of Soviets, 2) To identify factors of translation affected the untranslatability of direct-speech in Tintin in the Land of Soviets. This study uses some theories dialed with the research questions. Translation in this study refers to Nida's which states that it is a replacement of SL into TL which has to be dialed in a term of meaning and followed by style (2004: 153-167). However in translating two fifferent languages, the translator often gets the untranslatability which language used in SL has no meaning in TL (Nababan, 1999: 93). Each data is observed using some related theories to know about what factor affected the appearance of the untranslatability, namely: orientation of translation (Muchali, 2000: 44), method of translation (Newmark, 1998: 45) and comic (Duncan, 2004: 4). Then, each data is categorized depend on type of the untranslatability in word level (Baker, 1992: 21-26). This study analyzes about the untranslatability which can gives come experiences how to be a good translator. Besides, the reader will learn knowledge about translation to avoid the untranslatability in translating direct - speech. It is expected to be able to provide better understanding about translation. Moreover, this study contributes a good understanding about some factors affected the appearance of the untranslatability, especially in Tintin in the Land of Soviets. RESEARCH METHOD Descriptive qualitative approach is used for this study which reveals analysis of the untranslatability in direct – speech translation. The data found is analyzed and interpreted systematically depends on some related theories used in this study. From analyzing and interpreting, structures, patterns, and how something are become three main factors that have to be done by the researcher when doing this study (Litosseliti, 2010: 33). The researcher is as the basic instrument who can conduct this study. The data which is analyzed in this research is direct – speech which is uttered directly by each character in Tintin in the Land of Soviet English – Indonesian translation. Direct – speech is taken from Tintin in the Land of Soviet English translation published by Pan-American and Universal Copyright Convention and Indonesian translation published by Gramedia Pustaka Utama. In the process of collecting data, the researcher only uses observation to collect the data. It is used in order to answer two research questions: 1) about how the untranslatability of direct-speech translation in Tintin in the Land of Soviets appears, 2) about factor affected the untranslatability of direct-speech in Tintin in the Land of Soviets. The final part of this chapter is data analysis. It presents some steps how to analyse the data. In this case, Miles and Huberman's (1994: 10-12) data analysis model is applied. There are three steps to analyse the data. They are data reduction, data display and conclusion and verification. RESULT AND DISCUSSION Tintin in the Land of Soviets is a comic because it is told using picture. In comic, picture is generally divided into two parts: callout which shows an utterance utters by each character consider to direct – speech and picture which shows character image followed by place surrounding. Both of them cannot be separated. Some data found in Tintin in the Land of Soviets from English into Indonesian translation shows the untranslatability. The untranslatability in direct – speech which is uttered by each character is caused by the translator who does not find an appropriate meaning related to the pictures in Indonesian context. There are three factors influencing the untranslatability in translating Tintin in the Land of Soviets. Method of translation In translating, the translators can choose what method which appropriates to the literary works which are translated. Method is a way that is used by the translator to translate (Machali, 2000, p 49). There are two groups of translation method which are categorized depend on the orientation of translation (Newmark 1998, p. 45). In this case, the translator uses method which is inappropriate to produce target language (TL) as natural as source language (SL). Most of the untranslatability identified only deal with a term of meaning, however not style of target language (TL) which has to be followed. A good translation produced has to deal with the term of meaning then followed by style although it is not identity in detail (Nida, 2004, pp. 153-167). Three types of the untranslatability which appear in translating direct-speech of Tintin in the Land of Soviets belong to cultural – specific concept, systematically complex source language (SL) and differences in expressive meaning (Baker, 1992: 21-26). Most of the appearance of the untranslatability is caused by method used by the translator to translate direct-speech of Tintin in the Land of Soviets. Cultural – specific concept appears when the word of source language (SL) cannot be replaced into target language (TL) because of cultural concept. The intended words belong to customs, religious or meals' name (Nababan 1999, p. 99). Although the word "a kopek" does not refer to cultural specific concept however it cannot be replaced. If it is replaced, the atmosphere of Soviets cannot be gotten by the readers. In cultural – specific concept, each translation is processed using literal method. All words are diverted word by word then reconstructed into Indonesian structure (Nababan, 1999: 32-33). However, the unfamiliar word is left translated such as "a kopek". The translator has changed "a kopek" into sekopek in Indonesian translation. However, most Indonesian never uses the word sekopek to give a beggar a pity. The word sekopek is chosen by the translator to stand in Soviets atmosphere. The translator uses the words naturally which belong to cultural – specific concept followed by notes, including footnote (Nababan 1999: 99). Footnote is put to give additional information dealing with the mentioned words (Nida, 1964: 237-239). Systematically complex source language appears when the meaning of target language (TL) cannot be understood (Beker, 1992: 21-26). It does not consider to the Indonesian cultural contexts (Nababan, 1992: 22). English translation is inappropriate if it is replaced into Indonesian translation without paying attention to Indonesian cultural context. In systematically complex source language, each translation is also processed using literal method which all words are diverted to word by word then reconstructed into Indonesian structure (Nababan, 1999: 32-33). It can be seen in translation (01) in the utterance "one of the best remedies yet discovered for curiosity" replaced into salah satu obat terbaik yang belum ditemukan bagi rasa ingin tahu. Indonesian translation produced by the translator still emphasizes source language (SL) (Newmark, 1998: 45). Indonesian translation produced is difficult to be understood in Indonesian cultural context so that the untranslatability occurs. Systematically complex source language can be understood in Indonesian if it is replaced using modulation procedure in diversion and reconstruction process (Newmark, 1988: 89). There is no equivalent word in Indonesian translation although the meaning can be delivered. Indonesian translation inside linguistic images has to be replaced into another word which is inappropriate to explain what pictorial means. To find an appropriate meaning in Indonesian translation, modulation of translation procedures is needed. The messages both in English and Indonesian translation are similar but the translation produced is far from source language, English translation (Newmark, 1988, p. 89). Indonesian translation inside linguistic images and pictorial means have to be considered using modulation to replace the word Salah satu obat terbaik yang belum ditemukan bagi rasa ingin tahu into Ini dapat menuntaskan rasa penasaranku. Ini, which means "this" in English, belongs to a boom held by a man in pictorial. In this case, Ini dapat menuntaskan rasa penasaranku is more appropriate to show that the man is going to use the boom to get rid his enemy of. Differences in expressive meaning come caused by the translator cannot translate the word as expressive as source language (SL) (Beker, 1992: 21-26). Each word has prepositional meaning both in source language (SL) and target language (TL), however not in expressive meaning. In this case, expressive meaning has to be translated using deeper understanding about what is meant by each character especially in comic. Direct-speech in comic has to be translated with showing expressive meaning to show each character's emotion mentioned in Indonesian translated as natural as English translated although they are not identity in detail (Nida 2004: 153-167). This type of the untranslatability can be seen in translation (06) in the word "great snakes". It is replaced into wah which cannot show expressive meaning to swear a character that does craftiness. In translating this type of the untranslatability, the translator uses literal and semantic method. Literal method means all words are diverted word by word then reconstructed into Indonesian structure (Nababan, 1999: 32-33). Then, semantic method is used more flexible and not depend on source language (SL) at all (see Machali, 2000: 52). However, both of them are still not appropriate used to translate. Indonesian translation produced still appears the untranslatability with context follows. The translator has to process Indonesian translation using componential analysis (Newmark, 1988b: 83). This process is done with making sense both in English and Indonesian then looking for a new word which can represent what is meant in Indonesian. Orientation of translation In translating, the translators can choose what method which is appropriate to the literary works depends on the orientation of translation, emphasizing in source language (SL) or target language (TL). The selected orientation depends on for whom translation is designed (Machali, 2000: 44). Method is a way that is used by the translator to translate. There are two groups of translation method which are categorized based on the orientation of translation, source language (SL) or target language (TL) (Newmark, 1998: 45). In this case, the translator uses literal and semantic method in translating direct-speech of Tintin in the Land of Soviets. Both of them are not appropriate used to produce a good translation because the orientation produced emphasize source language (SL). Translation should be designed for Indonesian however it still refers to English which stands as a source language (SL). The meaning of Indonesian translation cannot be out of English cultural context. That is way it is difficult to be understood by Indonesian. Only analyzing linguistic images Tintin in the Land of Soviets belongs to comic which is a volume of fiction organized into a book using picture, which is divided into two kinds: pictorial and linguistic image (Duncan, 2009: 4). Pictorial is a part by part of picture which consists of each character and place surrounding. Pictorial cannot stand itself. It has to be followed by linguistic image which shows character's utterance. However, the translator only analyzes linguistic images which contain direct-speech uttered by each character. Pictorial has to be considered to translate linguistic images. Not only linguistic images, but pictorial also becomes one of context follows in translating which has to be noted to build a storyline clearly. Indonesian translation produced has to show what pictorial means. In this case, most Indonesian translation produced is inappropriate to tell what pictorial means. QUOTATIONS AND REFERENCES The data which appears the untranslatability found is dialed with some related theories. Each related theory is used to compare the data found. Then, the bibliography dealing with each theory is included in the last part of this article to show that each theory stated is taken from reference not plagiarism. GREATFUL All praises belong to the almighty Allah SWT for His blessing, guidance, live and help, so that this article entitled "ANALYSIS OF THE UNTRANSLATIBILITY IN DIRECT – SPEECH TRANSLATION: TOWARDS TINTIN IN THE LAND OF SOVIETS" can be finished completely. The writer would like to express the deep appreciation, best regard and gratitude to the advisor Mrs. Dian Rivia Himmawati, S.S., M.Hum. for her advice, motivation and patience to guide me in finishing this article. I also would like to give regards and thanks for all people helped and supported in the process of finishing this article because without them this thesis would not be able to be accomplished. They would be: 1. Drs. Slamet Setiawan, M.A., Ph.D. as the head of English Department 2. All lecturers of English Department 3. All friends of English Literature 2010 CONCLUSION There are some direct-speeches which appear the untranslatability produced by an experience translator in translating Tintin in the Land of Soviets. The untranslatability is caused by the translator who only replaces English translation (SL) into Indonesian translation without paying attention in some factors which have to be followed to produce a good Indonesian translation (TL). Before English translation (SL) is translated, it has to be processed using process of translation: analysis, diversion and reconstruction. Analysis is done with paying attention in English translation (SL) meant. Then, the translator translates each direct – speech word by word. In reconstruction process of translation, word by word translation is reconstructed into Indonesian structure however Indonesian cultural context produced is not considered. From process of translation, there are three factors which affect the untranslatability in translating Tintin in the Land of Soviets: 1) Method of translation used which belong to literal and semantic method, 2) Orientation of translation which is influenced by method designed for English translation (SL), 3) Analyzing only in linguistic images without paying attention in pictorial as the factor has to be followed in comic. That is way Indonesian translation (TL) produced is inappropriate used in Indonesian cultural context because it only deal with a term of meaning not style follows. SUGGESTION Based on some factors affected the untranslatability of direct – speech translation in Tintin in the Land of Soviets, there are some suggestions which can be used by other translators who want to translate some literary works dealing with direct – speech translation in comic. The translators should use method of translation which orientation is emphasizing in target language (TL). Dealing with comic, pictorial is considered as the significant factor. Then to find an appropriate meaning of target language (TL) considers to cultural context follows, direct – speech of source language (SL), as the minimal unit of language, has to be processed using process of translation. For the next researchers who want to analyze the untranslatability in translating direct – speech, syntax can be included in analyzing process. Using syntax analysis, the next researchers can give more understanding about word formation which has to be considered by the translator to produce an appropriate target language (TL) dealing with meaning and style which belong to cultural context follows. REFERENCE . Kopek. (2013). Retrieved April, 5th, 2014, from http://en.wikipedia.org/wiki/Kopek (刘珏), J. L. (2013). A Prosperous Year of the Snake Retrieved April, 5th, 2014, from http://www.theworldofchinese.com/2013/02/a-prosperous-year-of-snake/ Alison Wray, K. T., Aileen Bloomer, Shirley Reay, Christ Butler. (1998). Project in Linguistics. China: Edward Arnold. Baker, M. (1992). In The Other Words. New York: Routledge. Belovski, R. Z. (2009). The Philosophy of the Snake Retrieved April 5th, 2014, from http://www.aish.com/tp/i/sms/62574167.html Catford, J. C. (1965). A Linguistic Theory of Translation. Oxford: Oxford University Press. Compass, D. (2008). Lenin's Beard, from http://dodgy-compass.deviantart.com/art/Lenin-s-Beard-80441452 Duncan, R. (2009). The Power of Comics: History, Form and Culture. United States of America: Library of Congress. Hatim, B. (2001). Teaching and Researching Translation. England: Pearson Education Limited. Hornby, A. S. (Ed.) (1948) Advanced Learner's Dictionary (7th ed.). Oxford: Oxford University Press. House, J. (2009). Translation. Oxford: Oxford University Press. Hurford, J. R. (1994). Grammar: A Student's Guide. Cambridge: Cambridge University Press. Jacobson, R. (1959). On Linguistic Aspect of Translation. Cambridge: Oxford University Press. Joshi, M. (2013). Direct and Indirect Speech. Bloomington: Booktango. Litosseliti, L. (2010). Research Method in Linguistic. London: Continuum. Machali, R. (2000). PedomanBagiPenerjemah. Jakarta: Grasindo. McMillan, J. H. (1992). Educational Research. New York: Harper Collins Publisher Inc. Miles, M. H. M. (1994). Qualitative Data Analysis. California: Sage Publication Inc. Nababan, R. (1999). Teori Menerjemah Bahasa Inggris. Yogyakarta: Pustaka Pelajar. Newmark, P. (1988b). Approaches to Translation. Hertfordshire: Prentice Hall. Newmark, P. (1998). A Textbook of Translation. London: Prentice-Hall. Nida, E. A. (1964). Towards a science of translation, with special reference to principles and procedures involved in Bible translating. Leiden: Brill. Nida, E. A. (2001). Contexts in Translating (Vol. 41). Amsterdam: John Benjamins Publishing Company. Nida, E. A. (2004). Principles of Correspondence. London: Routledge. Nugroho, A. S. (2012). Goceng, Goban, Gopek. ApaanTuh???? Retrieved April, 6th, 2014, from http://edukasi.kompasiana.com/2012/05/02/goceng-goban-gopek-apaan-tuh-454374.html Ordudari, M. (2007). Translation Procedures, Strategies and Methods Retrieved February 18th, 2014, from http://translationjournal.net/journal/41culture.htm Serafino, J. (2012). The 20 Best Politican Beards and Mustaches Retrieved April, 5th, 2014, from http://www.complex.com/pop-culture/2012/11/20-best-politician-beards-and-mustaches/vladimir-lenin Sugiyono. (2010). Metode Penelitian Kuantitatif R & D. Bandung: Alfabeta. Zakhir, M. (2003). Translation Procedures Retrieved February 25th, 2014, from http://www.translationdirectory.com/articles/article1704.php Zimboiant, M.-A. (2013). No Grammar Tears (Vol. 3). Ghana: Author House.
Studies of youth subcultures have been carried out for decades from various theoretical perspectives (including functionalism, social ecology, neo‐Marxism, deviance and labeling, cultural studies, sports and leisure studies) as well as from various methodological standpoints (e.g., deductive and inductive approaches, insider and outsider perspectives, ethnographic, historical comparative, and semiotics). The sociological study of youth subcultures thus offers a wide range of opportunities to bring together an interesting topic for young people and theoretical or methodological pedagogies.Suggested booksThe significance of youth‐subcultural studies is evident in the plethora of current books on the topic. Here, I provide a brief summary of some recent books, as well as a few classics that should not be overlooked.Cohen, Stanley 2002 [1972]. Folk Devils and Moral Panics (3rd edn). London, UK: Routledge.This study of the infamous mods and rockers clashes in Britain in the mid‐1960s focuses attention on the media's role in construction youth subcultures as deviant social phenomena. Its significance lies not only in its analysis of how the British media created a moral panic by stereotyping, exaggerating, and mishandling representations of youth, but also in its more general insight into the social construction of social categories such as 'youth', 'subculture', and 'deviance'. Readers of the third edition will benefit from Cohen's introductions to the second and third editions (both printed in the third edition), which give an updated analysis of the two concepts he originally proposed in his title (i.e., folk devil and moral panic).Gelder, Ken (ed.) 2005. The Subcultures Reader (2nd edn). London, UK: Routledge.This book represents the single most comprehensive collection of original research in youth‐subcultural studies. The edited volume has 48 chapters divided into 8 thematic sections, each with its own introductory chapter (in addition to the 48), and covers a broad range of theoretical and empirical research.Greenberg, Arielle (ed.) 2007. Youth Subcultures: Exploring Underground America. New York, NY: Pearson Longman.Unlike some books on youth cultures or subcultures that develop theory at the expense of readability and engagement, Greenberg's edited volume is very friendly to less experienced social science readers. The contributed chapters are written both by professional scholars and undergraduate students. Greenberg has sought to avoid jargon‐ and reference‐laden research and succeeded in developing a book that undergraduates, especially those who are not taking an entire course on youth subcultures, will find most useful.Haenfler, Ross 2006. Straight Edge: Hardcore Punk, Clean‐Living Youth, and Social Change. New Brunswick, NJ: Rutgers University Press.In recent years, there have been several thorough ethnographic studies of youth subcultures. Along with Paul Hodkinson's study of goths and Lauraine Leblanc's study of female punks, Haenfler's book offers keen sociological insight into the contemporary culture of straight edge. His book frames the subculture in terms of its nonmaterial culture, its status as an agent of social change, and its masculine and feminine dimensions. It is well written and serves as a tool for engaging students on notions of gender and social change, especially.Hall, Stuart and Tony Jefferson (eds) 1998 [1975]. Resistance through Rituals: Youth Subcultures in Post‐War Britain. London, UK: Routledge.This is the classic edited text from the Center for Contemporary Cultural Studies (CCCS) at the University of Birmingham, UK, which established youth‐subcultural studies as a subdiscipline of both cultural studies and sociology. The editors offer a significant theoretical expose on the links between critical theory and youth subcultures. The subsequent empirical and theoretical chapters further express their collective stance, which although it has come under serious criticism over the years, is still a must‐read for students of youth subcultures. Most of work relates directly to British youth subcultures of the 1950s to the 1970s and, therefore, may seem quite foreign to younger American readers. Teachers relying on this book may need to do some homework of their own to get up to speed on the substantive issues covered.Hebdige, Dick 1979. Subculture: The Meaning of Style. London, UK: Routledge.This book is considered by many scholars to be the quintessence of British subcultural studies. Hebdige takes a rather nonsociological view of subcultures in the book, emphasizing a humanist semiotic approach instead. Many scholars have criticized the book as unnecessarily dense and devoid of the voices of subcultural participants, yet the author's insights into the cultural significance of style still make it a very significant text.Hodkinson, Paul and Wolfgang Deicke (eds) 2007. Youth Cultures: Scenes, Subcultures, and Tribes. London, UK: Routledge.This edited collection is based on a 2003 conference in which youth culture scholars discussed the relative utility of the subculture concept in the face of pressure from competing concepts such as scenes and neotribes. The book consists of a rather eclectic set of chapters that tackle both theoretical and substantive issues. While its weakness is perhaps its lack of coherence, this is balanced by its wide coverage of contemporary issues, including gender, race/ethnicity, commodification, and new media.Huq, Rupa 2006. Beyond Subculture: Pop, Youth and Identity in a Postcolonial World. London, UK: Routledge.Focusing on music cultures at the turn of the millennium, Hug offers a solid synthetic analysis of subcultural studies in the UK during the latter half of the twentieth century. She then moves through a series of case studies on various music genres – including bhangra, rave/club, hip‐hop/rap, and grunge – as she attempts to articulate how the cultures that consume such music have moved beyond the 'subculture' label.Leblanc, Lauraine 2001. Pretty in Punk: Girls' Gender Resistance in a Boys' Subculture. New Brunswick, NJ: Rutgers University Press.While many books look at core cultural dimensions of particular youth subcultures, Leblanc dedicates her book to young women's participation. Focusing on punk, she investigates the historical structures of the subculture that result in the marginalization of women, how female participants construct the significance of punk in their lives, and how they deal with males both within and outside subcultural contexts.Muggleton, David 2000. Inside Subculture: The Postmodern Meaning of Style. Oxford, UK: Berg.Playing off the name of Dick Hebdige's famous book, this monograph offers a very different reading of youth‐subcultural participation than classic CCCS texts. Muggleton takes an empirical rather than semiotic approach, using interviews and fieldnotes from his study of young people in Britain who dress in alternative fashions. His work offers new insights into the relations between youth culture, fashion, and identity.Muggleton, David and Rupert Weinzierl 2003. The Post‐Subcultures Reader. Oxford, UK: Berg.This edited volume focuses on recent work by scholars working, for the most part, from a postmodern perspective. Rather than seeing subcultures as class‐based, ideologically pinned or static, the authors collectively explore the more fluid and negotiated terrain upon with contemporary Western youths live. The book would be best used for a graduate course, as much of the writing is relatively sophisticated.Thornton, Sarah 1996. Club Cultures: Music, Media and Subcultural Capital. Middletown, CT: Wesleyan.Starting with Pierre Bourdieu's theory of cultural capital, Thornton moves into the world of rave/club culture to study how subcultural participants articulate their own form of status, power, and identity. Another significant dimension of the book is her articulation of the role various media (from mass to micro to niche) play in subcultural worlds.Films and videosAs discussed by Leblanc (1998), films provide opportunities for students to practice casting a sociological eye on the world around them. While Leblanc's focus was on teaching ethnography, her substantive interests in youth and youth subcultures provide a useful discussion for teachers interested in teaching a course on youth subcultures. Over the years, I have used many films and videos, both in whole and part, either to emphasize a particular sociological concept, to provide documentary evidence of particular subcultural styles, practices, and worldviews, or to facilitate relatively safe student engagement with a topic that many of them might shy away from in a face‐to‐face context. In the following list, I will make reference to particular parts of my syllabus (further below) where the film/video might be most useful.Between Resistance and CommunityThis is an independently made documentary film by Joe Caroll and Ben Holtman (2002) about the Long Island, New York DIY (do‐it‐yourself) hardcore scene. The documentary provides an in‐depth look at the scene through the eyes of its members. It is full of raw footage of hardcore music shows and interviews with scene participants and offers a coherent standpoint analysis of the concepts of resistance and community (thus living up to its title). I typically use parts of the film in connection with the concept of resistance, as well as societal responses/reaction and identity/authenticity.Merchants of CoolFrontline's documentary of the relationship between cultural production and consumption emphasizes not only mainstream fashion, but specifically how cultural industries take advantage of young people that live on the cutting edge of style through basic marketing tools. The video is available online (http://www.pbs.org/wgbh/pages/frontline/shows/cool/view/) and is broken down into six parts. I sometime show parts 1–3 and 6 during a single class in order to have time for discussion. The video is relevant to discussions of style, consumption/culture industries, authenticity, and media.Paradise Lost: The Child Murders at Robin Hood HillsThis is a lengthy documentary film about the so‐called West Memphis Three: three young men who were convicted of torturing and murdering three boys in West Memphis, Arkansas, in 1993. The case surrounding the murders and trials remains highly contested, and to this day there are serious doubts by many as to the guilt of the accused. As the documentary shows, the West Memphis Three were heavy metal fans, one of whom dabbled in the Wiccan religion. While the film is too long for most classes, I used two sections of the film to highlight (i) the 'dominant' Christian culture of West Memphis and (ii) the attempts by prosecutors to create a strong tie between the defendants' appearance and style on one hand and Satanism on the other. The film offers students insight into the harsh reality of labeling, moral panic, and societal response (there is also a follow‐up documentary entitled Paradise Lost 2: Revelations).QuadropheniaA film produced during the 1970s by the British rock band The Who, Quadrophenia looks back at the mod and rocker subcultures of the mid‐1960s through the eyes of a mod. The film is best viewed in Section 2 of my course syllabus, while students are reading about the Birmingham tradition (in the USA especially, since many students have never heard of mods and rockers). Mods are cited repeatedly in the CCCS literature; thus, the film gives students something more tangible to engage. The film is particularly good and facilitating student engagement with certain subcultural concepts learned in Sections 1 and 2, including frame of reference, strain, homology, bricolage, and 'magical' solutions.The SourceThis documentary looks at the Beat culture. I use sections of the film to highlight the dominant American culture of the 1950s and how individuals who felt marginalized or otherwise nonnormative moved to big cities in search of other people who were similar. The film works well with a discussion of Albert Cohen's theory of subcultural strain.The WarriorsHaving attended a formal gathering of all the gangs in New York, a local gang called the Warriors are wrongly accused of assassinating a would‐be gang lord and are forced to fight their way back home to Coney Island. The film is full of stereotypical images of subcultural style and deviant behavior. This film fits in well with a review of the Chicago School, in particular a deviance or criminological approach to youth subcultures. The film offers insight into class, gender, strain, and the urban environment.Other film titles and the subcultures to which they relate include:
A Clockwork Orange – abstract representation of subcultural deviance Afro Punk – punk subculture and race American Hardcore – punk and hardcore music subculture Another State of Mind – early hardcore punk scene, highlights music Boyz in the Hood –marginalized black culture that produced hip‐hop and rap music Dogtown and Z‐Boys – skateboarding Dreadheads: Portrait of a Subculture – new age travelers, deadheads Heavy: The Story of Metal – heavy metal Metal: A Headbanger's Journey – extreme metal culture, including death metal and black metal Punk: The Early Years – history of punk Red Light Go – Bike messengers Romper Stomper– racist skinheads Sid and Nancy– punk, focusing on The Sex Pistols SLC Punk– punk Surburbia– interesting mix of disaffected youth, mainly punk with skinheads and goths as well This is England– looks at the intersection of racist and non‐racist skinhead culture in the UK
http://www.youtube.com contains a vast collection of subculture‐related material. I troll the site every few months looking for new resources to use in the classroom.Sample syllabus outlineCourse descriptionYouth as a social phenomenon arose largely as a cultural derivative of the industrial revolution in Europe and the USA and is now global. In the twentieth century particularly, youth became an object of sociological, cultural, and psychological analyses. The concept of 'subculture' has been used with various degrees of success to analyze youths' individual and collective behaviors. This course surveys some of the many strands of youth‐subcultural theory during the twentieth century. It begins with early sociological work from the University of Chicago, followed by an overview of the cultural studies approach from the University of Birmingham, UK. It then moves on to examples of contemporary subcultural theory and research, focusing on a number of discrete sociological concepts and youth‐subcultural groups.Purpose and objectivesThe purpose of the course is to try and arrive at some consensus as to the worth of 'subculture' as an analytic concept as well as the various concepts that drive subcultural studies. The objectives of the course are: to familiarize students with various strands of subcultural theory in sociology and cultural studies; to review a variety of historical and contemporary youth subcultures as well as the concepts and methods used to study them; and to improve students' understanding of how and why youth subcultures emerge, exist, and change.1 Section 1: Introduction to youth‐subculture studiesHoward Becker 1986. Culture: A Sociological ViewSarah Thornton 1997. General Introduction to The Subcultures Reader, 1st edn.Ken Gelder 2005. Introduction: The Field of Subculture Studies* Section 2: American subculture studiesKen Gelder 2005. Introduction to Part One: The Chicago School and Urban Ethnography* Subculture as deviance Paul Cressey 1932. The Life‐Cycle of the Taxi‐Dancer* Subculture as strain Robert Merton 1938. Social Structure and AnomieAlbert Cohen 1955. A General Theory of Subcultures* The ethnographic study of subcultures Howard Becker 1963. The Culture of a Deviant Group*Ned Polsky 1967. Research Method, Morality, and Criminology*Paul Hodkinson 2005. 'Insider Research' in the Study of Youth Cultures Section 3: British subculture studiesKen Gelder, 2005. Introduction to Part Two: The Birmingham Tradition and Cultural Studies* Marxism and class Phil Cohen 1972. Subcultural Conflict and Working‐Class Community*John Clarke et al. 1975. Subcultures, Cultures and Class* The semiotic study of resistance Tony Jefferson 1975. Cultural Responses of the TedsDick Hebdige 1979. Subculture: The Meaning of Style* Section 4: Subsequent theoretical strands Criticisms and Revisions Gary Fine and Sherryl Kleinman 1979. Rethinking Subculture: An Interactionist AnalysisStanley Cohen 1980. Symbols of Trouble* New directions Andy Bennett 1999. Subcultures or Neo‐Tribes?Rupert Weinzierl and David Muggleton 2003. What Is Post‐Subculture Studies?David Hesmondhalgh 2005. Subcultures, Scenes or Tribes? None of the Above Section 5: Analytic topics Style Ken Gelder 2005. Introduction on Part Five: Style, Fashion, Signature*Dick Hebdige 1983. Posing ... Threats, Striking ... Poses*Jeffrey Kidder 2004. Style and Action: A Decoding of Bike Messenger Symbols Resistance Paul Willis 1977. Culture, Institution, Differentiation*Kathleen Lowney 1995. Teenage Satanism as Oppositional Youth SubcultureKristin Schilt 2003. I'll Resist You with Every Inch and Every Breath Space and media Ken Gelder 2005. Introduction to Part Four: Territories, Space, Otherness*Peter Marsh et al. 1978. Life on the Terraces*Iain Borden 2001. Performing the City* Societal responses and reaction Jill Rosenbaum and Lorraine Prinsky 1991. The Presumption of InfluenceClaire Wallace and Raimund Alt 2001. Youth Cultures under Authoritarian Regimes Identity and authenticity Kembrew McLeod 1999. Authenticity Within Hip‐Hop and Other Cultures Threatened with AssimilationJ. Patrick Williams 2006. Authentic Identity, Straightedge Subculture, Music and the InternetMurray Healy 1996. Real Men, Phallicism, and Fascism* Consumption and play Jock Young 1971. The Subterranean World of Play*J. Patrick Williams 2006. Consumption and Authenticity in the Collectible Strategy Games SubcultureSharon Kinsella 2000. Amateur Manga Subculture and the Otaku Incident*Assignments and projects1. Portfolio project: The portfolio project facilitates students' interaction with the theories and concepts being learned in the classroom.Over the course of the semester, you will be responsible for collecting and summarizing information about one subculture of your choice. I will expect you to analyze the information you collect in a sociological manner, but we will practice this throughout the semester so that you should continually improve your analytic skills. During the second week of the semester, I will divide the class into several groups and each group will choose a particular youth subculture to study (e.g. punk, riot grrrl, goth, hardcore, hip‐hop, skateboarding, graffiti, gaming). You will negotiate with other students to decide collectively what subculture you will study. Individually, you will be responsible for collecting and analyzing information about your topic as it pertains to theories and concepts being covered in class. To do this, you will first need to identify subcultural objects for analysis. These may include (i) a definition of the subculture you are studying, (ii) a song and/or music lyrics, (iii) a research article (historical, sociological, cultural, etc.), (iv) an Internet discussion forum, (v) an event at a local hangout, bar, or club, (vi) a zine, blog, or other publication, (vii) cartoon, album cover, or other art, (viii) journalistic account of a subcultural event, (viiii) a pop culture item (e.g. clip from television, magazine article), or (x) a video (e.g. YouTube) or documentary. Second, you will need to follow the course outline and use a specific theory or concept (e.g. hegemony, societal response, style, resistance, homology, identity, media, diffusion, class, gender) to analyze each item. By the end of the semester, your portfolio should consist of a minimum of 10 items that deal with your assigned subculture. Plan on collecting one item per week beginning in week 4. During week 3, I will show you some examples to get you started as well as bring in a completed portfolio from a previous student. You should not use the same type of subcultural object more than twice, nor should you use the same theory or concept more than twice. The purpose, as stated above, is to have you collect and analyze the information over time rather than collect everything in a mad rush during the last week. Every other week you will give a 2‐ to 3‐minute summary of your most recent portfolio entry.2. Group portfolio presentations: The group presentation requires that students combine many different portfolio entries together and develop a coherent, analytically informed presentation of a specific youth subculture.At the end of the semester, your group will give a 15‐ to 20‐minute multimedia presentation of whatever subculture you have been studying by combining the information collected in individual portfolios.3. Film assignment: The film assignment facilitates the development of the sociological imagination when consuming popular cultural treatments of youth subcultures. I reserve the university auditorium to give the students a fuller cinematic experience. Use the list of films and videos above and the course outline to decide what to show and when to show it. We will watch one film outside of class during the semester, entitled (name of film). In case you are unable to attend the film viewing, you may rent or buy the film from a number of different sources. Make plans as soon as possible to be available to watch the film. Watching it at home is your prerogative, but watching it with other students will enable you to participate in discussion afterward. After viewing the film, you will write a (x)‐page paper addressing specific questions that I will provide before the film begins (as one example, I often show Quadrophenia and ask that four specific questions be answered in their papers: (i) What aspects of the actors' lives are informed by CCCS theory? What aspects are informed by Chicago School theories? Link your answers to specific readings or citations when appropriate. (ii) How important is 'conspicuous consumption' for mods in the film? Be sure to give multiple examples of consumption as you answer the question. How does consumption relate to our discussion of style? (iii) In what way is the ending of the film 'magical', in the CCCS sense of the term? (iv) How do the concepts of hegemony, bricolage, or homology play out in the film? Pick one of them to discuss and use a detailed example). Note
1 In the sample outline below, I list only the readings I might assign to an upper‐level undergraduate course during one semester. See my main article in Sociology Compass 1(2) for a much more detailed discussion of articles and chapters that might be used in each section. An asterisk (*) marks readings from Ken Gelder's The Subcultures Reader (2nd edn), listed above.ReferenceLeblanc, Lauraine 1998. Teaching Sociology 26: 62–68.
