Tämän väitöskirjatutkimuksen keskiössä on valtion ja valtiollisen koulutusjärjestelmän puitteissa harjoitetun kansalaiskasvatuksen keskinäinen suhde murroskautena 1980-2000. 1980-luvun puolivälistä alkaen sekä Venäjällä että Suomessa on koettu merkittäviä valtioon ja kansakuntaan vaikuttaneita yhteiskunnallisia mullistuksia. Neuvostoliiton romahdettua Venäjä on pyrkinyt löytämään uusia tapoja kansallisen yhtenäisyyden ylläpitämiseksi, valtiovallan uudelleen rakentamiseksi ja maan kansainvälisen aseman parantamiseksi. Suomessa puolestaan Euroopan yhdentyminen ja lisääntyvä maahanmuutto ovat asettaneet muutospaineita kansalaisuudelle ja kansalliselle identiteetille. Tästä kontekstista käsin väitöskirjassa kysytään miten peruskoulussa harjoitetun kansalaiskasvatuksen tavoitteet ja sisällöt ovat muuttuneet vastaamaan 1990- ja 2000-lukujen sisä- ja ulkopoliittisia muutoksia. Tutkimuksen tutkimusaineiston muodostavat venäläiset ja suomalaiset koulutuspoliittiset asiakirjat sekä kahden kansainvälisen järjestön - Euroopan Neuvoston ja YK:n kasvatus-, tiede- ja kulttuurijärjestön (UNESCO) - viralliset dokumentit. Historiallisista ja yhteiskuntapoliittisista eroistaan huolimatta sekä Suomi että Venäjä antavat edelleen suuren arvon kansalaisuudelle ja kansalliselle identiteetille. Venäjä on 1990-luvun lopulta lähtien lujittanut kansalaisuuden ja kansallisuuden suhdetta. Valtiovalta korostaa kansalaisten uskollisuutta Venäjän valtiota kohtaan ja alleviivaa tätä kautta keskeistä asemaansa kansalaiskasvatuksen koulutuspolitiikan määrittämisessä. Isänmaallisuuskasvatuksen ohjelmat ovat 2000-luvun alusta lähtien korostaneet alistumista aktiivisen osallistumisen sekä konsensusta mielipiteiden monimuotoisuuden sijaan. Yksilöllisen identiteetin asemasta etusija annetaan kollektiiviselle identiteetille. Suomi on sen sijaan alkanut purkaa valtion ja kansakunnan vahvaa historiallista sidettä ja painottaa yhä selkeämmin kansallisen identiteetin kulttuurista ulottuvuutta. Tämä kulttuurinen käännös on tullut väistämättömäksi Suomen pyrkiessä säilyttämään kansallisen identiteettinsä ja legitimiteettinsä globalisoituvassa maailmassa. Kansalaisuuden ja kansallisuuden vahvan yhteyden purkaminen avaa mahdollisuuden yhdistää uudella tavalla käsitykset kansalaisuudesta ja kansallisesta identiteetistä. Toisaalta tässäkin mallissa kansallinen taso nähdään ytimenä ja muiden tasojen lähtökohtana. ; This doctoral dissertation studies citizenship education policies in Finland and Russia in relation to the supranational citizenship education rhetoric shaped by two large intergovernmental organizations, the Council of Europe (COE) and the United Nations Educational, Scientific and Cultural Organisation (UNESCO). The research pursues two broad research aims. First, to understand the supranational agenda of citizenship education, and second, to analyse citizenship education policies in Russia and Finland since the mid 1980s up to 2007, and to compare them to the supranational agenda of citizenship education. The dissertation is concerned with the macro level and thus the research data comprises policy documents issued by the Russian and Finnish state authorities, and the two intergovernmental organisations. The analysis of policy content draws on the rhetorical and policy-as-discourse approaches in order to elucidate the objectives of citizenship education, as well as the arguments employed to justify the proposed objectives throughout the studied period. Individualising comparison enhances the interpretative task of the dissertation, as it increases the visibility of one national context by contrasting it with another, and therefore helps to find adequate explanations to particular policy outcomes. In selecting Russia and Finland as the two national case studies, the dissertation concentrates on countries embedded in different state models and citizenship traditions. The main motivation behind the selection of the COE and UNESCO is to acknowledge and analyse the rising supranational educational governance, which increasingly provides models for and restrictions on actions and policies at national level. The study is particularly interested in the relationship between the state and citizenship education in public schooling at the time of state (re)formation and nation (re)building. Citizenship education is perceived as a means to legitimise and maintain state power unsettled in periods of political changes. Equally, citizenship education offers a prism through which to examine larger processes in a given society, in particular, changes in the relationship between the state, citizenship and nationality, and possible modifications in the meanings of these essential socio-political categories. For the national cases examined in the dissertation the period since the second half of the 1980s has been rich in political changes related to, and leaving their mark on, the state and the nation. Whereas since the collapse of the Soviet regime Russia has striven to find ways to regenerate national cohesion, rebuild statehood and reconsolidate its status in the international arena, Finland has attempted to adjust its national identity and citizenship to European integration and increasing immigration. The analysis of the COE and UNESCO reveals that there is no one modality of citizenship education embraced by the examined supranational actors. On one hand, in clear contrast to the traditional model of citizenship education, they advocate proactive political participation, critical scrutiny of state institutions and action against the state on the basis of universal human rights. They also promote diversity and perceive citizenship as a multilayered concept extending to the local, national, regional and global levels. Instead of linking rights and duties to membership in a territorially demarcated polity of the nation-state, the COE and UNESCO often advocate the notion of human rights and link rights and duties to the global humanity. In this manner, supranational organisations decouple citizenship from nationality and, by doing so, advance the postnationalisation of citizenship. On the other hand, the intergovernmental character of the organisations and their origin embedded in the consolidation of the nation-state system lead to inconsistencies in the agenda and somewhat surprising repetition of the traditional citizenship rhetoric, for instance, in linking society narrowly to the territorially demarcated nation-state. The supranational agenda also continues to emphasise the key role of national governments in implementing citizenship education and therefore still posits the nation-state as a central player in education policy and practice. The Russian case exemplified convergence with the post-national supranational citizenship education rhetoric only during the first half of the 1990s when the new country leaders did not pay serious attention to regenerating national cohesion and building an all-embracing national identity. In this period, preference was given to the de-legitimation of the Soviet type of political education, and slightly later to the development of citizenship education policies stressing citizens´ rights, knowledge of the legislation and lawful conduct for the purpose of building a constitutional state. In terms of national identity, the authorities advocated a vague category of universal human values and encouraged the re-consolidation of sub-state national identities. Toward the end of the 1990s, the contents of citizenship education policies shifted radically. The state has re-emphasised its leading role in defining citizenship education policies with the main objective to craft citizens´ loyalty to the Russian state. The programmes of patriotic education, which appeared in the beginning of the 2000s, prioritise subordination over active participation, consensus over pluralism, duties over rights and collective identity over an individual one. Compared to the mid 1980s, when citizenship education in Finland was premised on the idea that the vitality of the Finnish nation is invariably linked to the sovereignty of the Finnish state, the latest curricula documents stress national culture as the prime source of national integrity. In its return to a predominantly cultural understanding of the nation, Finland exemplifies the debundling of the state and the nation, and nationality and citizenship. The transformation into a Kulturnation is a necessary step to secure Finland´s national being in a globalising world, which transforms and weakens state sovereignty, without putting the legitimacy of the Finnish nation into question. The decoupling of nationality and citizenship opens up the possibility for a multilayered conceptualisation of both citizenship and nationhood. However, the national still constitutes the core, with the sub- and supranational layers as additional ingredients of the emerging citizenship recipe. Despite major differences in their historical and current socio-political contexts, Russia and Finland continue to attach strong value to national identity and national citizenship. However, whereas Russia, since the late 1990s, has moved in the direction of state nationalism and a closer bond between the nation and the state, which preclude any possibility for a multilayered conception of citizenship, Finland has forsaken a previously strong link between the state and the nation and seems to be strengthening its cultural identity in peaceful alliance with Europeanness.
This report presents findings on the effects of STCP farmer field school training conducted in 2003 with the cocoa farmers of Atwima District of the Ashanti region, Ghana. The focus of the study is on the measurement of changes in behavior with respect to crop husbandry and input usage and the impact on production. The study also measures changes in the participation of children in hazardous tasks which may have occurred as a result of FFS sensitization exercises. The intended utility of this study is to contribute to the further refinement and adaptation of the farmer field school extension approach as applied to the cocoa farming systems of West Africa. The International Institute of Tropical Agriculture (IITA) and CABI organized and conducted the first FFS training and curriculum development workshop for master trainers in March 2003. At this workshop, in addition to the training of master trainers and the development of country action plans, the core elements of the farmer field school curriculum were developed. Researchers from the Cocoa Research Institute of Ghana (CRIG) and other national institutes provided the scientific backstopping underlying the curriculum targeting the integrated management of the cocoa cropping system to ensure sustainable and socially responsible production. There is a strong curriculum focus on the control of black pod disease but attention is also given to the problem of capsids, post harvest techniques, and the social issues surrounding child labor (which are addressed with the collaboration and participation of theWest African Cocoa and Commercial Agriculture Project (WACAP ) of the ILO). One of the problems in developing a regional FFS curriculum for adult education lies in the location-specific and region-specific nature of cocoa agronomic constraints. A much lowerincidence of black pod disease faces Ivorian and Ghanaian cocoa farmers as compared to Cameroon and Nigeria, where the more virulent form of the disease exists and the majority of farmers treat with agro-chemicals. As such, the initial Ghanaian training of trainers also included soil fertility management, mistletoe management, cocoa tree thinning, and postharvest issues deemed to be important for Ghanaian cocoa farmers. Following 3 1/2 weeks of training on the curriculum, the facilitators were ready to begin the farmer field school. The program was initiated with 30 schools and 30 facilitators in the Atwima district of Ashanti region in the first year. In 2003 the average number of participants per school was 28. Farmer training occurred on a biweekly basis with the total number of sessions per school ranging from 11 to 15. On average, the session would last four hours. Working in groups, farmers would observe and discuss dynamics of the cocoa's ecosystem and the crop development. Simple experimentation protocols such as the black pod disease zoo helped farmers improve their understanding of ecological functional relationships such as the impact of humidity on disease development. To achieve the study objectives, a survey was conducted in February 2005 with a random sample of 225 of the 829 farmers trained in 2003 and a control group sample of 165 cocoa farmers who had not participated. All 30 farmer field schools were represented in the sample with the number of participants interviewed per school ranging from five to 21. The fieldresearch was conducted in February 2005 and focused mainly on farmer practice during the 2004 growing season. A proportionate number of control farmers were sampled in each of the 30 communities. The differences noted in management practices and production (after controlling for differential resource endowments) between the two groups are attributed to the new knowledge gained through the discovery learning exercises of the farmer field school. 4 Major findings include: Children, education and cocoa farming · Significant reductions were noted in the hazardous employment of children as a result of FFS sensitization methods. Specifically among the 2,800 Atwima cocoa producers sensitized since 2003 it is estimated that there are now 540 fewer childrenemployed in heavy field transport, 440 fewer children employed in clearing fields with machetes, and 170 fewer children employed in pesticide application. Based on the above results, scaling up FFS to 50,000 producers in the Ashanti region would result in the voluntary removal of 10,500 children from all hazardous labor tasks with a predicted 3,000 fewer children employed in pesticide application, 9,700 fewer children in heavy load transport and 7,900 fewer children in clearing fields with machetes. School enrollment rates were in excess of 90 percent for 6 to 14 year old children.· Among FFS-trained farmers the level of education was positively associated withproduction output.Willingness to pay and knowledge diffusion· A large majority of control group farmers were willing to pay to attend FFS training.· The amount of tuition fee that farmers were willing to pay for attending a 15-sessionFFS training was negatively affected by producer age and positively affected byyears of schooling.· Nearly 9 in 10 trained farmers indicated that they shared information with on average2 other persons.· Knowledge on cocoa pruning, shade management and phyto-sanitary harvesting wasthe most commonly shared.Tree stock endowments· The average productivity of FFS farmers' tree stock was more than double that of thecontrol group.· Notable increases as a result of FFS interventions were registered in the number ofproducers planting hand pollinated hybrid cocoa seedlings and the area planted tohybrids.· Farmers acquiring their cocoa farms through share-crop labor exchanges (30% ofsample) had substantially lower production.· Two-thirds of all cocoa farms were established within the last 10 years.· Low average yields of 112 kg ha-1 reflect in part the youthful nature of farmers' treestocks.Crop management and production differences· Increased application of various crop husbandry practices among FFS-trained farmersrelative to control group farmers was noted.· The application of pesticides showed a response 8 times greater than that of thecontrol group.In sum, FFS training and subsequent changes in management practices are estimated to haveresulted in a net production increase of 14% among the 2003 participants. To achieve thisincrease, producers mainly increased their own labor input and indicated hiring more casuallaborers. While the survey was unable to accurately determine the actual change in labor5inputs, the additional labor costs required to achieve this increase are real and should benetted out of the 14% increase in estimated gross revenues.From several different perspectives it is clear that the FFS training received by participantshas had measurable impacts on their productive capacity and on their views towards childlabor. In support of the significant accomplishments already achieved, severalrecommendations can be made to potentially improve the performance and impact of FFStraining.· More attention should be given to address the specific needs of women cocoaproducers and those acquiring their cocoa farms through a share-cropping exchange.A needs assessment with these two groups is recommended as a first step in adaptingthe curriculum.· Given the scarce resources available for training farmers, criteria are needed to selectparticipants so as to maximize expected returns. Age and educational level of theproducer are recommended as discriminating factors.· The positive results seen vis-à-vis child labor participation in hazardous tasks ishighly encouraging and warrants increased efforts at sensitization through the farmerfield school.· Given that the majority of producers were applying insecticides to control capsidsindependent of the government spraying program but with lower use efficiency vis-àvisthe government program, protocols on the safe and rational use of pesticidesrequire more emphasis in the program than they are currently receiving. Additionally,the Ghana program should seek to develop a protocol for the identification and spotspraying of capsid hot spots.· The facilitation provided by the program in the distribution of improved cocoaplanting material substantially increased the area planted to hybrids among participantfarmers. This practice is to be commended and should be augmented with additionalFFS sessions to deal with nursery techniques and planting/replanting options. These sessions should be added on to the school year for those schools where the majority ofproducers are interested. ; Peer Review
This study discusses the construction of a national identity and trans-national imaginary in post-imperial Spain after 1898, which perpetuated in a sublimated manner the country's historical ties with Hispanic America. Based on the development of the Spanish-Americanist movement throughout the Spanish territory and within multiple socio-economic sectors, the study focuses on the evolution and differing uses of the concept of "Raza". This myth was adopted at the time to refer to peoples and civilizations of Hispanic origin, particularly in response to the growing regional influence of Anglo-Saxon countries. As both a historical memory and active identity construction, the projection on to Latin America represented, beyond the dissolution of the Hispanic Empire, a key component of Spanish collective identity. Serving as a structuring element of state ideology domestically, it also supported the diplomatic goals of Spain within Latin America. A central example of the increasing importance of the politics of memory at the turn of the 20th century, the 12 October anniversary was established in 1918 as a Spanish national holiday and officially adopted in the Latin-American republics. One of the main goals of this essay is to analyze the foundation and implementation of this celebration, then known as the Fiesta de la Raza, during the restoration of the Bourbon monarchy and the dictatorship of General Primo de Rivera. This commemoration quickly became the banner of the Spanish-Americanism movement and catalyzed multiple issues for Spanish identity and for Hispanic world unity. The study emphasizes this celebration as well as other commemorations of the colonial past, as pivotal components of Spanish nationalism and as central features of the symbolic politics of Spain towards Latin America from the 1892 quadricentennial and 1898, the precise moment of the collapse of its overseas empire, to 1929 and the celebration of the Iberian-American Exhibition of Seville. ; A l'occasion des festivités du IVe Centenaire de la Découverte de l'Amérique (1892), surgit un courant de pensée visant à reconsidérer les liens qui unissaient l'Espagne et l'Amérique latine et à promouvoir un rapprochement entre la métropole et ses ex-colonies. C'est en effet à partir de la fin de l'Empire colonial d'outre-mer, en 1898, et de la crise morale qui caractérisa cette période que l'hispano-américanisme devint un mouvement d'opinion de large diffusion, dans la droite ligne du "régénérationnisme". Dans ce contexte, il constitua une réponse à la crise identitaire espagnole post-coloniale. Libéral au départ, ce mouvement qui s'affirma sur la scène politique espagnole de 1910 à 1930 fut progressivement récupéré par la droite nationale et instrumentalisé par le Pouvoir sous la dictature de Miguel Primo de Rivera. Il prit à partir des années 1910 la forme d'un véritable idéal national, voire pour certains d'une nouvelle croisade, avec ses mythes, ses légendes et ses symboles, parmi lesquels ceux de la "Raza hispana" et, plus tard, de l'Hispanité. La période de la dictature marqua l'avènement de l'hispano-américanisme à la fois comme un courant majeur d'une idéologie d'Etat à usage interne et comme une nouvelle orientation diplomatique vis-à-vis de l'Amérique dans laquelle on trouve les fondements de la politique ibéro-américaine de l'Espagne qui va jusqu'à nos jours. Dans le même temps et parce qu'il visait aussi à promouvoir sur la scène internationale une sorte de « communauté hispanique » susceptible de contrer le panaméricanisme nord-américain et les appétits des concurrents européens de l'Espagne en Amérique, ce courant entra en résonance avec la quête identitaire de nouvelles élites latino-américaines revendiquant leurs racines hispaniques : cherchant eux-mêmes à ressouder leur nation autour d'un référentiel culturel fondateur, de nombreux intellectuels et dirigeants d'Amérique latine accueillirent avec une certaine bienveillance le mouvement de rapprochement symbolique promu par la Mère Patrie. Dans cette perspective, nous nous sommes intéressé aux problématiques et aux débats qui traversèrent tout le continent ainsi qu'aux enjeux propres aux différentes républiques latino-américaines. La compréhension de ces divers contextes et de l'évolution particulière des principaux pays explique en grande partie l'accueil ambivalent qui fut réservé aux sollicitations venues de l'ancienne métropole.Notre recherche traite d'abord des représentations de l'Amérique hispanique dans la construction d'un imaginaire national espagnol, avec pour corollaire la restauration d'un empire spirituel à prétention panhispanique. Il s'est agi de mettre en valeur la récupération d'un passé national – celui de la colonisation américaine et de la constitution d'un empire hispanique, mais aussi celui de l'époque postérieure aux indépendances américaines – comme élément central d'une politique de renouveau affichant une double ambition : redéfinir un idéal autour d'une épopée susceptible de rassembler la nation et redonner une légitimité à l'Espagne, tant sur un plan intérieur qu'aux yeux du monde. Nous appréhendons ensuite la question des identités en gestation dans le monde hispanique en termes d'altérité : le regard porté sur l'Amérique depuis la Péninsule et, inversement, l'image de l'Espagne produite dans les différentes républiques reposaient sur la fabrication de stéréotypes qui s'exprimèrent dans la mise en place de dispositifs symboliques des deux côtés de l'océan. La double perspective adoptée se situe dans le cadre chronologique des années 1910 à 1930, significativement délimité par la commémoration du Premier Centenaire des Indépendances américaines (célébré de part et d'autre de l'Atlantique à partir de 1910) et par l'organisation de l'Exposition Ibéro-Américaine de Séville (1929-1930). L'objet de l'étude et la méthodologie retenue situent résolument ces recherches dans le cadre des travaux d'histoire culturelle. Notre réflexion autour des fêtes nationales et commémorations liées à l'Amérique latine et au passé colonial s'est appuyée sur des sources variées, issues d'archives nationales et régionales, de la presse et de multiples publications. Les processus de (re)construction identitaire et mémorielle mis en œuvre s'accompagnèrent de la création de toute une série de référents emblématiques. Considérés en eux-mêmes et dans leur interaction avec le corps social ou comme des lieux de production d'un discours, ces rituels font l'objet d'une analyse qui constitue la trame des différents chapitres : le 12 octobre, anniversaire de la Découverte érigé en "Fiesta de la Raza", à la fois fête nationale espagnole et commémoration rassemblant tous les peuples hispaniques ; la célébration de centenaires en souvenir des riches heures de l'aventure impériale ; la reconnaissance officielle de "grands hommes" au destin universel et l'érection de monuments commémoratifs autour de la geste de la Découverte, de la Conquête et de la Colonisation américaines ; les hommages aux morts des guerres d'émancipation coloniale et la participation espagnole aux premiers centenaires de l'indépendance des colonies américaines… Encadrant l'analyse de ces pratiques culturelles et de ces rituels, deux parties plus conceptuelles envisagent la création du mythe de la Raza, vu d'Espagne et depuis plusieurs républiques (Cuba, Mexique, Pérou, Argentine), et le processus de reconstruction théorique de l'histoire commune, depuis la Découverte jusqu'aux mouvements d'émancipation.Souvent éloignées de leur objet initial – l'Amérique –, les politiques de mémoire mises en œuvre depuis la Péninsule (la fête nationale du 12 octobre, la révision historiographique de la "Légende Noire" coloniale ou l'invocation des grands hommes) amènent à s'interroger sur la portée de ce phénomène : derrière la « reconquête spirituelle » qui anima les élites espagnoles dans leur élan vers l'Amérique, s'exprimait une quête identitaire autour des traits de l'"hispanité". Mais cet enjeu n'était-il pas purement espagnoliste ? Dans ce cas, il semble difficile de parler encore d'américanisme : comme en témoignent les nombreux débats et polémiques qui agitèrent les milieux latino-américains sur la question, le mouvement hispano-américaniste fut souvent perçu, outre-Atlantique, au mieux comme un "américanisme" sans continent, voire, pour certains, comme un véritable néocolonialisme avant la lettre.
The purpose of this issues note is to review the experience in and outside the World Bank of using different diagnostic tools in fragile state situations. It will identify trends in the use of such tools, lessons learnt, and arrive at suggestions for the future. Because governance has continued to be a major concern in the international community, over the years this has led to a growing diversity in the application of the concept. With this diversification the types of assessment in use have also increased, a process that reflects two things. First, each agency tends to design an assessment to meet its own program needs. Second, diagnostic tools have often fallen short of expectations leading agencies to develop new ones, including more recently political economy studies that go beyond what was at least until recently mainstream types of assessing governance. Accepting the diversity of definitions and assessments, this note does not intend to review the whole field. A diagnostic tool here refers to the approach and methodology used in assessing governance. Choice of tool has a direct bearing on how an activity is designed and carried out. Making the right choice, therefore, is important. A tool may become 'main stream' and the original rationale for its use disappears. It is applied because everyone else is using it or there is pressure to use the same tool as others. A shift to other tools, however, may become necessary because existing tools do not deliver. Such a shift is occurring in the governance field where a focus on institutions is being increasingly complemented, if not replaced, by a studies of underlying political economy factors. This Note tries to trace this process by highlighting both specific and more general experiences with tools used to assess governance. Fragile states or situations are not typical but they give rise to governance challenges that more than other contexts test the limits of particular tools. This becomes an especially important issue given that what works in countries that are not fragile seems to fall short of the same achievement in fragile situations.
The edtion of the Middle East and North Africa (MENA) economic developments and prospects reportsanalyzes the region's short-term growth prospects given global forecasts and current structural features of the economies, as well as the region's prospects for longer-term growth based upon progress in implementing comprehensive structural reforms. MENA region has experienced exceptional growth over the last two years. Over 2003 and 2004, economic growth in MENA averaged more than 5.6 percent a year, the strongest growth in a decade, and up strongly from the 3.6 percent average yearly growth over the 1990s. On a per capita basis, the MENA region's 3.5 percent average growth over the last two years was the region's strongest growth performance since the mid-1970s. Accompanying this strong growth performance, unemployment has declined with the rise in oil prices over 2000- 2004. Unemployment is estimated to have fallen from about 14.9 percent of the labor force in 2000 to 13.4 percent currently, the result of a 37 percent increase in the rate of employment creation over the 1990s. In many respects, the MENA region is in the midst of an economic boom. However, there are caveats to the region's growth acceleration. For one, it has not been especially broad based. Comparing growth over the 1990s with growth over the last two years, 97 percent of the regional growth upturn was driven by just four countries - Saudi Arabia, the Islamic Republic of Iran, Algeria and the United Arab Emirates. In fact, nearly half of the region actually experienced growth downturns relative to the 1990s. Moreover, MENA's recent positive economic developments have been driven largely by external events - in particular, dramatically rising oil prices. And importantly, on a per capita basis, the MENA region's growth over the last two years continues to lag that of other regions, a reflection of both the firming of GDP growth rates across developing regions and the MENA region's high population growth.
As recent discussions have made clear, the apparent lack of poverty reduction in the face of historically high rates of economic growth-both in the world as a whole and in specific countries (most notably India)-provides fuel for the argument that economic growth does little to reduce poverty. How confident can we be that the data actually support these inferences? At the international level, the regular revision of purchasing power parity exchange rates plays havoc with the poverty estimates, changing them in ways that have little or nothing to do with the actual experience of the poor. At the domestic level, the problems in measuring poverty are important not only for the world count but also for tracking income poverty within individual countries. Yet, in many countries, there are large and growing discrepancies between the survey data-the source of poverty counts-and the national accounts-the source of the measure of economic growth. Thus economic growth, as measured, has at best a weak relationship with poverty, as measured.
2009/2010 ; Lo scopo di questa ricerca di dottorato è l'analisi geopolitica di una regione transfrontaliera dell'Asia centrale: la valle del Fergana. Tre anni di ricerca sul campo: l'analisi delle frontiere di questa regione attualmente divisa politicamente tra Uzbekistan, Tagikistan e Kirghizistan, la cartografia analitica, le osservazioni, le interviste alla popolazione e agli esperti, la ricerca nelle biblioteche della regione, nella capitale dell'Uzbekistan, Tashkent (presso l'Istituto Francese di Studi sull'Asia centrale – IFEAC) e la ricerca svolta in Francia principalmente presso l'Istituto Francese di Geopolitica (IFG) e la Biblioteca Nazionale di Francia (BNF), sono gli strumenti che hanno permesso lo studio di questo territorio. Il principale obiettivo del lavoro è l'analisi delle rivalità di potere della valle del Fergana. Grazie alla sua fertilità e alla sua importante posizione strategica all'interno del contesto geopolitico centrasiatico, il bacino del Fergana è stato e continua tuttora ad essere una posta in gioco ambita da differenti attori territoriali. La rivalità di potere tra i diversi attori si gioca soprattutto sullo scenario transfrontaliero della regione. Il secondo scopo di questa ricerca è la presentazione e la valutazione di un particolare attore territoriale della valle, il Regionalismo culturale. La parte introduttiva della ricerca si concentrerà su una presentazione del contesto centrasiatico e sulle peculiarità derivanti dalle sue frontiere. In seguito verrà introdotta la "posta in gioco" Fergana con le sue risorse fisiche ed economiche al fine di legittimare l'importanza del territorio. Infine l'introduzione si concluderà con la teoria geopolitica: il perché della scelta della scuola di geopolitica del geografo francese Yves Lacoste per questa ricerca e una prima analisi dello spazio Fergana come regione divisa tra confine e frontiera. Il lavoro è strutturato in due grandi parti. La prima, più teorica, è relativa all'analisi dei tre attori territoriali. Le rappresentazioni dei differenti attori che verranno presentate, non seguiranno un ordine cronologico, ma un ordine concettuale: eventi simultanei verranno dunque analizzati non nello stesso momento, perché relativi a rappresentazioni differenti del territorio Fergana. Il primo capitolo è consacrato all'attore Nazione. Con questa espressione si intende non solo l'attore Stato-Nazione in sé, o meglio gli Stati-Nazione (Uzbekistan, Tagikistan e Kirghizistan), ma anche la Nazione come idea, come politica nazionalistica applicata ad un territorio. La valle del Fergana è diventata una regione transfrontaliera da quando, negli anni '20, fu divisa tra i tre Stati, allora all'interno della Unione delle Repubbliche Socialiste Sovietiche (URSS). Negli anni '90, in seguito alla caduta dell'URSS, il Fergana divenne una regione divisa da frontiere non più interne ma internazionali. Questo capitolo ha come scopo l'analisi di tutte le rappresentazioni dell'attore Nazione per quanto riguarda il contesto Fergana, dalla sua nascita (anni '20) fino all'indipendenza delle Repubbliche (anni '90). Sicuramente la rappresentazione più importante da analizzare è quella della creazione delle sue frontiere. L'attore Nazione è senza dubbio l'attore geopolitico più importante anche perché quello più legittimato in questo contesto territoriale. Il capitolo approfondirà anche le relazioni tra i differenti Stati-Nazione che rappresentano allo stesso tempo: un unico attore (contro la Religione e il Regionalismo culturale) e tre attori differenti quando competono tra loro per il territorio Fergana. Il secondo attore è la Religione. La valle del Fergana è una delle aree centrasiatiche più credenti e praticanti e la religione islamica ha sempre avuto un ruolo importante nella gestione della società ferganiana. Verrà proposta un'analisi di tutte le rappresentazioni della religione nel Fergana: il sufismo autoctono con un'analisi sulla geografia sacra dei luoghi ferganiani importanti per questa corrente dell'Islam; l'Islam tradizionale del periodo sovietico, divenuto un'arma legale utilizzata da Mosca per combattere l'ortodossia religiosa sufi del Fergana; il fondamentalismo wahabbita degli ultimi anni importato dall'Afghanistan, dal Pakistan, dall'Arabia Saudita, come conseguenza dell'invasione sovietica dell'Afghanistan del 1979 e dunque in seguito all'incontro tra i musulmani sovietici e i mujaheddin afgani. In seguito verrà analizzato come le differenti varianti dell'attore Religione si sono opposte, negli anni, all'attore Nazione per il controllo del potere e delle risorse del territorio Fergana. Un fenomeno particolarmente analizzato sarà la politicizzazione dell'attore Religione e come questa politicizzazione ha portato l'attore in questione ad essere l'elemento protagonista di numerosi eventi nel Fergana. Il terzo attore è il Regionalismo culturale. Con questa espressione si fa riferimento all'identità geo-culturale di questo insieme regionale che persiste nonostante le pressioni nazionalistiche e religiose. La valle del Fergana è sempre stata un insieme geografico, politico, sociale, malgrado negli ultimi secoli la sua popolazione si è sempre distinta per il suo alto livello di multietnicità e di disomogeneità linguistica. Questo però, non ha impedito un'amalgamazione sociale di tale popolazione che ha sempre considerato la multietnicità come la normalità e ha sempre attribuito ad ogni "etnia" un ruolo sociale integrato all'interno del sistema Fergana. Popolazioni di lingua e cultura persiana e sedentaria e popolazioni di lingua e cultura turca, sedentaria o nomade hanno sempre condiviso, ognuna con il proprio ruolo sociale, una vita comunitaria all'interno della regione e questa è sicuramente la caratteristica principale del Regionalismo culturale del Fergana. Questo equilibrio cambiò con la perdita di sovranità politica della regione, con l'istituzione dei nazionalismi e la conseguente spartizione della regione tra tre dei cinque nuovi Stati nazionali dell'Asia centrale sovietica. In questo capitolo verranno analizzate le principali rappresentazioni nel tempo dell'attore Regionalismo culturale e come esso si sia opposto agli altri attori territoriali, soprattutto all'attore Nazione. La seconda parte di questo lavoro è stata dedicata all'impatto che gli attori territoriali hanno oggi nella valle del Fergana, soprattutto nelle sue aree di frontiera. Questa parte è il risultato delle interviste e delle osservazioni sul campo effettuate in Asia centrale e in particolare nel Fergana nelle spedizioni del 2007, 2009 e del 2010. Nel primo capitolo verrà analizzata la frontiera di questa regione dal punto di vista teorico, in particolar modo con l'analisi del Fergana come" prima o ultima linea di difesa". Nel secondo capitolo, all'interno di un contesto di base: la differenza tra la frontiera all'epoca sovietica e all'epoca dell'indipendenza, ci sarà un approfondimento della definizione di frontiera centrasiatica, l'esame della burocrazia di frontiera, del posto di blocco e dei documenti del soggetto transfrontaliero. Saranno trattate, inoltre, le tematiche relative alle relazioni commerciali transfrontaliere, come i "tre" Fergana riescono ancora ad interagire malgrado la crescente rigidità delle frontiere e verranno studiate le relazioni sociali transfrontaliere sempre all'interno del panorama ferganiano di oggi. In questo contesto, verranno considerate le interviste svolte nel Fergana, le opinioni riguardo le difficoltà di passaggio e di comunicazione nella valle ed analizzeremo la presenza dei tre attori geopolitici che tuttora giocano un ruolo fondamentale nelle relazioni e nei conflitti di frontiera. Il terzo capitolo sarà dedicato ai centri urbani del Fergana; la loro storia, il rapporto dei ferganiani con le città e soprattutto le rappresentazioni interne ed esterne che i centri urbani hanno assunto all'interno di una regione oggi del tutto transfrontaliera. Il quarto capitolo si concentrerà sulle evoluzioni demografiche della popolazione: il Fergana, che durante gli anni zaristi e sovietici era terra di immigrazione, con l'indipendenza e dunque con la concretizzazione delle frontiere, si ritrova terra di emigrazione. Il quinto capitolo sarà dedicato al Fergana delle infrastrutture: come la strada ferrata e la rete stradale influiscono e sono influenzate dalle mutazioni frontaliere di questa regione. Il sesto capitolo riprenderà degli interrogativi teorici posti all'inizio del lavoro, con un analisi conclusiva sull'odierno "Fergana delle frontiere". La conclusione di questa ricerca, in realtà, è una vero e proprio capitolo di analisi, dove si farà il punto della situazione e si constaterà la persistenza dell'attore Regionalismo culturale, la sua evoluzione e il suo rapporto attuale con gli altri attori geopolitici. Un punto di arrivo fondamentale della ricerca è il fatto che la regione Fergana è cambiata, sotto differenti punti di vista e la popolazione ferganiana ha nuovi punti di riferimento culturali, politici e sociali. Differenti forme politiche e nuove strutture culturali hanno portato la popolazione del Fergana, nel tempo, a mutare la propria immagine e la propria identità: "russa, musulmana, ferganiana", in seguito "sovietica, uzbeca (o tagica o kirghiza), atea, ferganiana" e infine "uzbeca (o tagica o kirghiza), laica, ferganiana". Il territorio, le sue frontiere e la società che lo abita sono cambiati, ma vedremo che, nonostante i forti ostacoli posti dall'attore Nazione, il Regionalismo culturale riuscirà a sopravvivere, adattandosi alle nuove tendenze e ai nuovi modi di interpretare il Fergana. Come ultimo studio sul territorio, faremo degli esempi riguardanti gli eventi più recenti concernenti il Fergana (massacro di Andijan nel 2005, scontri ad Osh nel giugno 2010) ed analizzeremo questi fenomeni alla luce delle rivalità di potere geopolitiche che ancora persistono nella regione. ; Cette thèse de Doctorat propose une analyse géopolitique d'une région transfrontalière de l'Asie centrale, la vallée du Ferghana, aujourd'hui divisée entre les Républiques d'Ouzbékistan, du Tadjikistan et du Kirghizistan. Des séjours sur le terrain répartis sur trois ans ont constitué la base de la recherche, au travers de l'analyse des frontières, de la cartographie analytique, d'entretiens qualitatifs avec experts et habitants, et de recherches bibliographiques dans le Ferghana ainsi que dans la capitale ouzbèke Tachkent – notamment près l'Institut Français d'Etudes sur l'Asie Centrale (IFEAC). Ces périodes de terrain ont été complétées par un séjour de recherche en France, articulé principalement autour d'un approfondissement théorique à l'Institut Français de Géopolitique (IFG) de l'Université Paris VIII-Vincennes et de recherches bibliographiques à la Bibliothèque Nationale de France. L'objet de ce travail est donc l'analyse des rivalités de pouvoir entre les acteurs territoriaux sur l'enjeu territorial de la vallée du Ferghana, bassin fertile à la position stratégique dans le contexte géopolitique centrasiatique élargi. Si le Ferghana a toujours constitué un enjeu disputé par différents acteurs territoriaux, les rivalités des acteurs actuels jouent aujourd'hui surtout au niveau frontalier et transfrontalier. Ce faisant, cette thèse introduit un nouvel acteur dans le schéma d'analyse géopolitique classique: le Régionalisme culturel. Le Régionalisme culturel en tant qu'acteur territorial y fait donc l'objet d'une présentation approfondie ainsi que d'une évaluation de son importance passée et actuelle. Concentrée d'abord sur le contexte centrasiatique et les particularités qui découlent de ses frontières, l'introduction présente ensuite « l'enjeu » Ferghana et ses ressources physiques et économiques, qui expliquent l'importance de ce territoire. Elle se poursuit sur un rapide point théorique sur la géopolitique et la justification du choix de l'école de pensée géopolitique de Yves Lacoste comme cadre théorique de cette recherche, avant de s'achever sur une première analyse de l'espace Ferghana à l'aune des catégories de frontières et de confins. La thèse est structurée en deux grandes parties. La première, à dominante théorique, analyse à tour de rôle les trois acteurs territoriaux qui rivalisent pour le pouvoir sur le Ferghana: il s'agit de la Nation, de la Religion, et du Régionalisme culturel. La présentation des acteurs, de leurs différentes incarnations et de leurs représentations respectives du territoire ferghanien sont ainsi abordés selon un ordre conceptuel ; des évènements s'étant produits simultanément ne sont ainsi pas analysés chronologiquement mais séparément, en tant qu'ils se rapportent aux acteurs évoqués. Le premier chapitre est consacré à l'acteur Nation. Par cette expression nous entendons non seulement l'entité effective Etat-Nation et ses trois incarnations (Ouzbékistan, Tadjikistan, Kirghizistan), mais aussi la Nation comme idéologie qui agit sur le territoire au travers de politiques nationalistes. La force de légitimation de l'acteur Nation n'est pas étrangère à l'accroissement de son importance sur ce territoire, qui l'a sans aucun doute mené au sommet de la hiérarchie des acteurs géopolitiques dans cette région. Ce chapitre analyse les représentations du Ferghana définies et mises en oeuvres par l'acteur Nation depuis son apparition dans les années 1920. La vallée du Ferghana est en effet devenue une région transfrontalière à cette époque, avec son intégration à l'Union des Républiques Socialistes Soviétiques (URSS) et sa partition entre trois des cinq Républiques Socialistes Soviétiques nouvellement créées en Asie Centrale. Dans les années 1990, avec la chute de l'URSS et l'indépendance des trois Républiques, les frontières qui divisaient le Ferghana ne sont plus simplement internes, mais deviennent bel et bien internationales. Parmi les représentations majeures qui font l'objet d'une étude dans ce chapitre, une attention particulière est portée aux frontières nationales, leur création et leur évolution. Le chapitre s'intéresse également aux relations entre les différents Etats-Nations, qui constituent un acteur unique lorsqu'ils rivalisent contre les autres acteurs territoriaux – la Religion et le Régionalisme culturel – mais aussi trois acteurs différenciés lorsqu'ils se disputent le territoire Ferghana entre eux. Le deuxième chapitre est consacré au deuxième acteur territorial, la Religion. La vallée du Ferghana est l'une des régions d'Asie centrale les plus croyantes et pratiquantes, et la religion islamique y a toujours eu un rôle important dans la gestion de la société. Ce chapitre propose d'abord une analyse des représentations de la religion dans le Ferghana : le soufisme autochtone et la "géographie sacrée" des hauts lieux de ce courant de l'Islam dans le Ferghana ; l'Islam traditionnel de la période soviétique, devenu une arme légale utilisée par Moscou pour combattre l'orthodoxie soufie du Ferghana ; le fondamentalisme wahabbite récemment apparu, importé d'Afghanistan, du Pakistan et d'Arabie Saoudite à la suite de l'invasion de l'Afghanistan par les Soviétiques en 1979 et de la rencontre qui s'en est ensuivie entre les musulmans soviétiques et les moudjahiddines afghans. Ensuite est examinée la manière dont les différentes variantes de l'acteur Religion se sont opposées, au cours des années, à l'acteur Nation pour le contrôle du pouvoir et des ressources du territoire Ferghana. Nous y voyons comment la rivalité géopolitique entre deux acteurs varie du tout au tout selon que l'on parle de l'acteur Nation au cours de la période Soviétique ou bien au cours de l'ère ayant succédé à l'indépendance. Une attention particulière est portée au phénomène de politisation de l'acteur Religion et à la manière dont cette politisation a amené la Religion à assumer un rôle de protagoniste dans de nombreux évènements du Ferghana. Le troisième acteur est le Régionalisme culturel. Avec cette expression nous faisons référence à l'identité géo-culturelle de cet ensemble régional, qui persiste malgré les pressions nationalistes et religieuses. Car aussi loin que remonte son existence en tant que lieu, la vallée du Ferghana a toujours constitué un ensemble géographique, politique et social à part entière. Bien que sa population se soit distinguée au cours des derniers siècles par une grande multiethnicité et hétérogénéité linguistique, cela n'a pas empêché un amalgame sociétal de cette population qui a toujours considéré la multiethnicité comme normale, et toujours a attribué à chaque « ethnie » un rôle social déterminé au sein du système Ferghana. Qu'elles soient de langue et de culture persane et sédentaire, de langue et de culture turque et sédentaire, ou bien de langue et de culture turque et nomade, ces populations ont toujours partagé, chacune dans son propre rôle social, une vie communautaire au sein de la région, et ce phénomène est la caractéristique principale de ce que nous appelons le Régionalisme culturel du Ferghana. Cependant, cet équilibre change avec la perte de souveraineté politique de la région, l'avènement du nationalisme sous l'action de l'URSS, et la partition de l'espace entre trois Etats nations de l'Asie centrale soviétique. Ce chapitre analyse ainsi les principales représentations de l'acteur Régionalisme culturel au cours du temps, et comment il s'est opposé aux autres acteurs territoriaux, en particulier à l'acteur Nation. La seconde partie de ce travail est dédiée aux manifestations actuelles des acteurs territoriaux dans la vallée du Ferghana, plus spécialement dans ses zones de frontière. Cette partie est le résultat des entretiens et des observations de terrain réalisés en Asie centrale et dans le Ferghana au cours de séjours en 2007, 2009 et 2010. Le premier chapitre analyse la frontière de cette région du point de vue théorique, à la lumière notamment des catégories géostratégiques de "première ligne de défense" ou "dernière ligne de défense". Dans le contexte d'une modification de la frontière entre l'époque soviétique et celle de l'indépendance, le deuxième chapitre approfondit la définition de frontière centrasiatique, au travers principalement de l'analyse de la bureaucratie de frontière, des postes de contrôle et des documents requis pour le passage de la frontière. Les thématiques liées aux relations commerciales transfrontalières y sont examinées : comment les "trois" Ferghana parviennent encore à interagir malgré la rigidité croissante des frontières, quelles relations sociales transfrontalières subsistent au sein du Ferghana d'aujourd'hui. Les entretiens qualitatifs réalisés dans le Ferghana jouent un rôle majeur pour recenser les difficultés de passage et de communication dans la vallée et déceler, dans les descriptions et jugements recueillis, la présence des trois acteurs géopolitiques qui toujours jouent un rôle fondamental dans les relations et conflits de frontière. Le troisième chapitre est dédié aux centres urbains du Ferghana : leur histoire, le rapport que les Ferghaniens entretiennent avec eux, et surtout les représentations internes et externes que les centres urbains assument au sein d'une région désormais tout à fait transfrontalière. Le quatrième chapitre se concentre sur les évolutions démographiques de la population. Jusque là terre d'immigration tout au long des années tsaristes et soviétiques, le Ferghana est devenu une terre d'émigration avec l'indépendance et la concrétisation des frontières. Le cinquième chapitre s'intéresse au Ferghana des infrastructures, notamment les réseaux ferré et routier, et leur rapport d'influence réciproque mutations frontalières de cette région. Le sixième chapitre reprend les interrogations théoriques posées dans l'introduction et développe une analyse conclusive sur le Ferghana des frontières aujourd'hui. La conclusion de cette recherche dresse le bilan actuel du Ferghana et des rapports entre les différents acteurs géopolitiques, et observe la persistance de l'acteur Régionalisme culturel. Force est de constater l'existence de changements dans la région Ferghana à différents points de vue. La population ferghanienne dispose de nouveaux cadres de référence culturels, politiques et sociaux qui ont pris une importance majeure. Des nouvelles formes politiques et de structures culturelles ont eu un impact sur son image d'elle-même, sur son identité: "russe, musulmane,ferghanienne", puis "soviétique, ouzbèke (ou tadjike ou kirghiz), athée, ferghanienne", et enfin "ouzbèke (ou tadjike ou kirghiz), laïque, ferghanienne". Cependant, bien que le territoire, ses frontières et la société qui l'habite aient changé, et malgré les obstacles forts posés par l'acteur Nation, que Régionalisme culturel a réussi à survivre, en s'adaptant aux nouvelles tendances et aux nouveaux modes d'interprétation du Ferghana. La conclusion s'achève sur les évènements les plus récents du Ferghana; massacre d'Andijan en 2005 et affrontements à Osh en juin 2010, qui sont analysés à la lumière des rivalités de pouvoir géopolitique qui persistent encore dans la région. ; This PhD dissertation proposes a geopolitical analysis of a centrasiatic transborder region, the Ferghana Valley, which is today divided between the Republics of Uzbekistan, Tajikistan and Kyrgyzstan. A basis of the research, field trips spread over the past three years enabled the development of instruments such as border analysis, analytical cartography, qualitative interviews with experts and inhabitants, and bibliographical research in the Ferghana as well as the Uzbek capital city Tashkent – noticeably at the French Institute for Central Asian Studies (IFEAC). As a complement to the field trips in Central Asia, a research period in France permitted both a consolidation in geopolitical theory at the French Institute of Geopolitics (IFG) of the University of Paris 8-Vincennes, and additional bibliographical research at the French National Library (BNF). The topic of the research is hence the analysis of power rivalries between "territorial actors" over the "territorial stake" of the Fergana Valley, a fertile basin of strategical location within the larger geopolitical context of Central Asia. Always a stake disputed by various territorial actors over time, the Fergana Valley now experiences power rivalries from contemporaneous territorial actors first and foremost on the border and transborder levels. By doing so, the dissertation introduces a new actor in the classical geopolitical pattern of analysis: the cultural regionalism. The dissertation hence offers a detailed presentation of the cultural regionalism as well as an evaluation of its past and current importance. First focusing on the centrasiatic context and the peculiarities which stem from its borders, the introduction presents the "stake" Fergana and its economic and physical resources which explain its importance as a territory. A rapid summary of the theory of geopolitics follows, with the justification of the choice of the French Lacostian school as the theoretical frame of this work. The introduction closes on a first analysis of the Fergana as a space of border or frontier. The thesis is structured in two main parts. The first, more theoretical, analyses each of the three territorial actors which aim for power over the Fergana: the Nation, the Religion, and the Cultural Regionalism. The presentation of the actors, of their respective embodiments and of their manifestations within the ferganian territory is organised according to a conceptual rationale; events that occurred simultaneously are thus not considered following a chronological order, but separately, according to their respective relations with the actors evoked. The first chapter focuses on the actor Nation. By this word we understand not only the effective entity of the Nation-State, and its three embodiments (Uzbekistan, Tajikistan, Kyrgyzstan), but also the Nation as an ideology which acts upon the territory through nationalistic policies. The force of legitimation of the actor Nation did certainly not have a neutral role in the rise of this actor in the Ferganian landscape, a process which led the Nation to the top of the geopolitical actors' hierarchy in the region. This chapter also analyses the representations of the Fergana which are defined and implemented by the actor Nation since its birth in the 1920s. In fact, the Fergana valley first became a transborder region only in these years, through its integration to the Union of the Socialist Soviet Republics (USSR) and its partition between three of the five newly created Socialist Soviet Republics in Central Asia. In the 1990s, following the fall of the USSR and the independence of the three Republics, the borders which divided the Ferghana stopped being only internal, but became real and proper international borders. Among the main representations that this study looks at, a particular attention is devoted to the study of the national borders , their creation and their evolution. The chapter also looks at the relations between the different Nation-States, which form a unique actor when they rival against the other territorial actors – the Religion and the Cultural Regionalism –, but three well different ones when they rival among themselves. The second chapter concentrates upon the second territorial actor, the Religion. The Fergana valley is one of the most pious and practicing region of Central Asia, and the Islamic religion always played a major role in the society's administration and organization. The chapter proposes first an analysis of the religion's representations in the Fergana: the autochthonous sufism and its sacred geography within the Fergana valley ; the traditional Islam of the soviet times, which became a legal weapon used by Moscow to fight the sufi orthodoxy in the Fergana ; the recently appeared wahabbite fundamentalism, imported from Afghanistan, Pakistan and Saudi Arabia following the Soviet invasion of Afghanistan in 1979 and the encounter it induced between the soviet muslims and the afghan mujaheddins. It is then examined how the different variations of the actor opposed themselves to the actor Nation, over the years, for the control over the power and the resources of the Fergana. We look at how the geopolitical rivalries vary dramatically from the soviet era to that of the independence. A special attention is devoted to the phenomenon of politization of the actor Religion and the way this led the Religion to endorse a role of protagonist in many of the Fergana's events. The third actor is the Cultural Regionalism. It is hereby referred to the geo-cultural identity of this regional entity, which persists in spite of nationalistic and religious pressures. In fact, as long as the Fergana has existed as a place, it has always constituted a geographical, political and social whole. Although its population has been characterized during the past centuries by high levels of multiethnicity and linguistic heterogeneity, this did not prevent the societal amalgamation of populations which always held multiethnicity as normality, and always attributed to each "group" a specific social role within the system Fergana. Be they of language and culture persian and sedentary, turk and sedentary or turk and nomadic, these populations always shared, each in its own social role, a common life within the region. This very phenomenon is the main characteristic of what we call the Cultural Regionalism of the Fergana. However, this equilibrium changes with the loss of political sovereignty of the region and the rise of nationalism under the soviet sovereignty. This chapter analyzes the main representation of the actor Cultural Regionalism over time, and how it took stand against the other territorial actors, especially the Nation. The second part of the dissertation as dedicated to the current manifestations of the territorial actors in the Fergana valley, particularly in its border zones. This part results from the interviews and field observation undertaken in Central Asia and the Fergana in 2007, 2009 and 2010. The first chapter analyzes the border of this region from a theoretical point of view, especially in the light of the geostrategical categories of "first line of defence" or "last line of defence". In the context of a transformation of the border from the soviet era to that of the independence, the second chapter explores the definition of the centrasiatic border, mainly through the analysis of border bureaucracy, control posts and documents required to cross the border. The chapter looks at themes connected to the commercial transborder relations : how the "three" Fergana still manage to interact despite growing border rigidity, which social relationships subsist today. The qualitative interviews led in the Fergana are a major source in this process of reviewing the difficulties of passage and communication within the valley, and of tracking the actual presence of the three geopolitical actors which play a major role in the border relations and conflicts. The third chapter focuses on the Ferganian urban centres: their history, the relations that the Ferganians have with them, et above all the internal and external representations of these centres in a now fully transborder region. The fourth chapter concentrates on the demographical evolutions of the Ferganian population. Up until then a land of immigration, the Fergana became a land of emigration following the independence and the materialization of the borders. The fifth chapter deals with the Ferganian infrastructures, especially the rail and road networks, and their relationship of reciprocal influence with the mutation of the borders in the region. The sixth chapter builds on the theoretical interrogations evoked in the introduction of the dissertation and develops a conclusive analysis of the Fergana of the borders nowadays. The conclusion of this research depicts the current Fergana, the relations between the different geopolitical actors and underscores the persistence of the actor Cultural Regionalism. It establishes the existence of tremendous changes in the region Fergana from various viewpoints: the Ferganian population has new frames of cultural, political and social reference whose importance increased dramatically ; new political forms and cultural structures influenced its self-image, its very identity: "russian, muslim, ferganian", then "soviet, uzbek (or tajik or kyrgyz), atheist, ferganian", finally "uzbek (or tajik or kyrgyz), secular, ferganian". However, although the territory, its borders and inhabitants changed, and despite the strong obstacles set by the actor Nation, the cultural regionalism succeeded in maintaining itself, by adapting to the new tendencies and ways of interpretation of the Fergana. The conclusion ends with the most recent events of the Fergana, the Andjian massacre in 2005 and the Osh clash in 2010, which are both analysed in the light of the geopolitical power rivalries which persist in the region. ; XXIII Ciclo
The formation of politology as an important academic discipline at the Law Faculty of the Ivan Franko National University of Lviv is analyzed. Emphasis is placed on the importance of studying politology by law students. Politology is considered as an important social and humanitarian science of politics, its role and functions in the life of society and the state. It is noted that this task can be accomplished by law students to a large extent by mastering the most general laws and features of politics formation, its theory; characteristics of the functions of the political system and state power; functions and nature of the state; essence, forms and methods of activity of subjects of politics and laws of development of political process; analysis of global politics issues, in particular, international relations. It is shown that the formation, development and institutionalization of political science or politology was a long, complex and multifaceted process. The formation and development of politology took place almost simultaneously on different continents. This indicates that the study and dissemination of political science was an urgent social necessity, without which it is impossible to achieve a high level of development of society and the state.In Ukraine, the emergence of political science, in particular about political and state power, the essence, patterns, trends in the functioning and development of politics, its place and role in society first took place at the Lviv University, including the Faculty of Law, established January 20, 1661. The study of political geography, which provided knowledge about the formation and development of the political sphere of society, geographical conditions and features of the political system, domestic and foreign policy of different states, international relations and conflicts, characterized a multifaceted comparison of natural history and human history. The study of political geography was based on the works of the French lawyer and philosopher Jean Bodin. At that time, the graduates of the Faculty of Law («both rights») of the Lviv University realized themselves not only in church and educational activities, but also built political careers as senators and ambassadors to the Grand Sejm, county and zemstvo sejms, held positions of judges of city and zemstvo courts and government officials of the then Commonwealth of Poland.Certain changes in the development of politology took place after the accession of Galicia to the Austrian monarchy. An important role in the training of civil servants (judges, prosecutors, lawyers, notaries) was assigned to the Law Faculty of the Lviv University. During the Austrian period, four departments were established within the Law Faculty of the Lviv University, including the Department of Politology and Austrian Legislation. The curriculum of the Law Faculty of the Lviv University provided for the study of political science in the fourth year, when the study at the faculty was to be completed. The last fourth year of study at the Faculty of Law was final, so the study of politology formed in future lawyers a deep understanding of the essence of political and state activities, the importance of responsible decision-making in the field of relations between different social groups, states and peoples as well as struggle for the acquisition or retention of state power. It was the deep mastery of political knowledge at the Law Faculty of the Lviv University that enabled many law graduates to become deputies («ambassadors») of the Austrian Parliament and the Galician Regional Sejm and worthily represent the interests of the native people in Austria and later Austria-Hungary.The annexation of the western Ukrainian lands to the Ukrainian SSR in 1939 opened a new page in the history of the Lviv University and its Faculty of Law. In 1944, the Department of Theory and History of State and Law was established at the Faculty of Law, which was one of the first to acquaint students with political knowledge at the Faculty of Law during the Soviet period. After 1956, the faculties of law introduced a new scientific and educational discipline – History of Political and Legal Doctrines, which researched and continues to study the history of the emergence and development of theoretical knowledge about politics, state, law, studies the process of human knowledge of politics, state and law at different stages of history in different nations, from early statehood and modernity. This discipline has become a separate subject in university didactics, which was taught at the Faculty of Law at the Department of Theory and History of State and Law, and since 2008 at the Department of History of State, Law and Political and Legal Teachings of the Ivan Franko National University of Lviv.In the early 1990s, there were significant changes in public relations. The economic and political situation in the Soviet Union continued to worsen, the national liberation struggle unfolded in the national regions of the Union. It was at that time that the Department of Politology at the Ivan Franko National University of Lviv was established. This formation took place in a difficult period of our history, due to the totalitarian regime in the former USSR. At that time, political science was ambiguously perceived. However, as early as 1989, some young university professors gave lectures on political science at some faculties. In 1990, the Department of Political Science was established at the University of Lviv as a general university department, since 1996 it has been part of the Faculty of Philosophy of the Ivan Franko National University of Lviv. In 1997, the specialty "politology" was opened at the Faculty of Philosophy and the department became a graduate. The expansion of the department led to its division in 2007 into the Department of Politology and the Department of Theory and History of Political Science. The Department of Political Science taught a course in political science at the Ivan Franko National University of Lviv until 2019.In 2019, by the decision of the Academic Council of the Law Faculty of the Ivan Franko National University of, the course of politology was transferred to the Department of History of State, Law and Political and Legal Teachings of the Law Faculty , which plays an important role in training highly qualified lawyers. This course is taught in the fourth year of full-time and part-time study. The study of politics in politology is interdisciplinary in nature and is reflected in its integration with other disciplines, especially law. In addition to traditional topics for politology, while teaching politology, teachers thoroughly cover the methodology of the history of doctrines about the state and law, political and legal doctrine and thought; regularities of origin and tendencies of development of world theoretical thought about the state and law, the basic political and legal doctrines of the Ancient world, the Middle Ages, New and Modern times; main directions of modern political and legal ideology, basic schools of jurisprudence and political science at the present stage, history of political and legal thought of Ukraine. The study of politology will enrich law students with knowledge about the ways and forms of people's participation in the political life of the state, give an understanding of the types of dynamics of political processes, reveal the content and ways of forming political culture, diversity of modern concepts of social development. ; Проаналізовано становлення політології як важливої навчальної дисципліни на юридичному факультеті Львівського національного університету імені Івана Франка. Акцентовано увагу на важливості вивчення політології студентами-правниками. Розглянуто політологію як важливу соціально-гуманітарну науку про політику, її роль і функції в житті суспільства і держави. Зазначено, що це завдання може бути виконано значною мірою шляхом засвоєння студентами-юристами найбільш загальних закономірностей та особливостей формування політики, її теорії; характеристики функцій політичної системи та державної влади; функцій і характеру держави; сутність, форм та методів діяльності суб'єктів політики та закономірностей розвитку політичного процесу; аналізу проблем глобальної політики, зокрема, міжнародних відносин. Показано, що становлення, розвиток та інституалізація політичної науки чи політології ‒ це тривалий, складний і багатогранний процес. Становлення і розвиток політології відбувався майже одночасно на різних континентах. Це свідчить про те, що вивчення і поширення політологічних знань було нагальною суспільною необхідністю, без цього неможливо досягнути високого рівня розвитку суспільства і держави.На українських землях зародження політологічних знань, зокрема про політичну та державну владу, про сутність, закономірності, тенденції функціонування і розвитку політики, її місця і ролі в житті суспільства вперше відбулося у Львівському університеті, зокрема на юридичному факультеті, створеному 20 січня 1661 року. Серед навчальних дисциплін було передбачено вивчення політичної географії, яка давала знання про формування і розвиток політичної сфери життя суспільства, географічні умови та особливості політичного устрою, внутрішньої і зовнішньої політики різних держав, міжнародні відносини і конфлікти, характеризувала багатостороннє зіставлення історії природи та історії людства. Вивчення політичної географії ґрунтувалося на працях французького юриста та філософа Жана Бодена.У складі юридичного факультету Львівського університету в австрійський період було створено чотири кафедри, зокрема кафедру політичних учень й австрійського законодавства. Навчальна програма юридичного факультету Львівського університету передбачала вивчення політичних наук на четвертому курсі, коли завершувалося навчання на факультеті. Останній четвертий курс навчання на юридичному факультеті був підсумковим, тому вивчення політичних наук формувало у майбутніх правників глибоке розуміння сутності політичної та державної діяльності, важливості прийняття відповідальних рішень у галузі взаємовідносин між різними суспільними групами, державами й народами, а також рішень, пов'язаних із боротьбою за здобуття або утримання державної влади. Саме глибоке оволодіння політичними знаннями на юридичному факультеті Львівського університету дало можливість багатьом випускникам правникам стати депутатами («послами») австрійського парламенту і Галицького крайового сейму та гідно представляти інтереси рідного народу в Австрії, а згодом Австро-Угорщині.Приєднання у 1939 році західноукраїнських земель до складу Української РСР відкрило нову сторінку в історії Львівського університету і його юридичного факультету. У 1944 році на юридичному факультеті було створено кафедру теорії та історії держави і права, яка одна з перших на юридичному факультеті в радянський період ознайомлювала студентів з політичними знаннями. Після 1956 року на юридичних факультетах ввели нову наукову і навчальну дисципліну ‒ «Історію політичних і правових учень», яка досліджувала і до сьогодні продовжує вивчати історію виникнення та розвитку теоретичних знань про політику, державу, право, тобто вивчає процес пізнання людьми явищ політики, держави і права на різних етапах історії у різних народів, починаючи з ранньої державності і сучасності. Ця навчальна дисципліна стала окремим предметом в університетській дидактиці, яку викладали на юридичному факультеті на кафедрі теорії та історії держави і права, а з 2008 року на кафедрі історії держави, права та політико-правових учень юридичного факультету Львівського національного університету імені Івана Франка.Упродовж 1990‒2019 років викладання курсу політології на юридичному факультеті Львівського університету забезпечувала кафедра політології.У 2019 році рішенням Вченої ради юридичного факультету Львівського національного університету імені Івана Франка курс політології передано на кафедру історії держави, права та політико-правових учень юридичного факультету, який відіграє важливу роль у підготовці юристів високої кваліфікації. Цей курс читають на четвертому курсі денної і заочної форми навчання. Вивчення політології збагатить студентів юридичного факультету знаннями про способи і форми участі народу в політичному житті держави, дасть розуміння типів динаміки політичних процесів, розкриє зміст і шляхи формування політичної культури, різноманітність сучасних концепцій суспільного розвитку тощо.
Dottorato di ricerca in Ecologia forestale ; Climate change is perhaps the greatest environmental challenge emerged in the twenty-first century. It can be considered a source of the major global threats, such as hunger, poverty, armed conflict, displacement, air pollution, soil degradation, desertification and deforestation. These global issues are intricately intertwined and all contribute to climate change, necessitating a comprehensive approach to a solution (Stone and Chacón León, 2010). The role of the African continent in the global carbon cycle, and therefore in climate change, is increasingly recognized (Houghton and Hackler, 2006; Williams et al., 2007). Of all the region in the world, Africa has contributed less than any other region to the greenhouse gas emissions, which are widely held responsible for global warming and consequently for climate change. But the continent is also the most vulnerable to the consequences and sub-Saharan Africa (SSA) is the least well equipped to face the issues related to climate change (Justice et al., 2005). In Sub-Saharan Africa the role of land use change in controlling CO2 emissions and annual C budgets at regional and global scale may be more critical than in any other regions (Houghton and Hackler, 2006). According to the IPCC in its Fourth Assessment Report, reducing and/or preventing deforestation is the mitigation option with the largest and most immediate carbon stock impact in the short term (UNFCCC, 2010). International community decided to face climate change problems related to deforestation, through specific policies to Reducing Emissions from Deforestation and forest Degradation and the role of conservation, sustainable management of forests and enhancement of forest carbon stocks (referred as REDD+). Deforestation and other land-cover changes typically release carbon from the terrestrial biosphere to the atmosphere as CO2 (carbon dioxide), while recovering vegetation in abandoned agricultural or logged land removes CO2 from the atmosphere and sequesters it in vegetation biomass and soil carbon. Emissions from land-use and land-cover change are perhaps the most uncertain component of the global carbon cycle, with enormous implications for balancing the present-day carbon budget and predicting the future evolution of climate change (Ramankutty et al., 2007). A common paradigm about the reduction of emissions from deforestations estimated for the purpose of promoting it as a mitigation option in the context of the United Nations Framework Convention on Climate Change (UNFCCC) is the high uncertainties in input data - i.e., area change and C stock change/area - that may seriously undermine the credibility of the estimates and therefore of reduced deforestation as a mitigation option. It is likely that the most typical and important example of incomplete estimates will arise from the lack of reliable data for a carbon pool (Grassi et al., 2008). Uncertain rates of tropical deforestation, account for more than half of the range in estimates of the global carbon flux. Three other factors account for much of the rest of the uncertainty: (1) the initial stocks of carbon in ecosystems affected by land-use change, (2) per hectare changes in carbon stocks in response to different types of land-use change, and (3) legacy effects; that is, the time it takes for carbon stocks to equilibrate following a change in land use (Houghton and Goodale, 2004). Considering the source of uncertainty and the lack of field data for sub-Saharan Africa, it has been decided to place the study in the Ghana (Jomoro district, Western Region) where for more than 20 million Ghanaians, particularly people living in the rural areas, the forest is the only source of wood that is used locally as fuel wood, and for construction and furniture (Blay et al., 2007) and where deforestation annual rate reaches 2.19% for the period 2005-2010 (FAO, 2010). The study will analyze the above mentioned gaps related to deforestation and land use change, by assessing: 1) initial carbon stocks (tropical rain forest), 2) per hectare changes in carbon stocks as consequence of deforestation followed by six different main land uses [tree plantations (rubber, coconut, cocoa, oil palm, mixed) and secondary forest], 3) dynamics of soil carbon stocks through the time considering chronosequences. Moreover some specific carbon pool issue has been taken into consideration. When accounting changes in carbon stocks in the UNFCCC framework, it is required to consider 5 carbon pools that are: aboveground biomass, belowground biomass, litter, dead wood and soil. Within REDD+ mechanism there are not official methodologies but some guidelines developed for the voluntary standards (e.g. BioCarbon Fund- Methodology for Estimating Reduction of GHG Emission from Mosaic Deforestation, Voluntary Carbon Standard (VCS) - Tool for AFOLU Methodological Issues, etc.) and it is clear that only aboveground pool has to be always considered, belowground biomass is recommended and the others are facultative. Evidence from official reports (e.g., UNFCCC 2005a, UNFCCC 2005b, FAO 2006) suggests that only a very small fraction of developing countries currently reports data on soil carbon, even though emissions from soils following deforestation are likely to be significant in many cases (Grassi et al., 2008). Despite the common understanding about the effects of deforestation on different compartment in terms of carbon variation - an increase or disappearance of biomass relatively visible, variations in soil carbon much less perceptible, even after a radical change in land use (Calmel et al., 2010) - this study brings in the spotlight the soil reaction to radical land use change in the long run demonstrating that it is not so trifle as commonly believed. Importance of considering soil carbon stock for accounting the land use change dynamics is not properly recognize in the international deforestation policies and its influence and role in mitigating climate change is nowadays neglected but it is really not negligible. ; I cambiamenti climatici sono forse la più grande sfida che il genere umano si trova a dover affrontare nel ventunesimo secolo e la risoluzione delle complesse conseguenze che questi cambiamenti hanno sulla vita di tutti noi, necessita un approccio globale e uno sforzo unanime (Stone and Chacón León, 2010). Di tutte le regioni del mondo, il continente africano è quello che contribuisce meno alle emissioni di gas serra ma allo stesso tempo è il più vulnerabile alle loro conseguenze. E' infatti ormani ampiamente riconosciuto il ruolo delle emissioni di gas serra nel riscaldamento globale e quinid dei cambiamenti climatici (Houghton and Hackler, 2006; Williams et al., 2007). In particolare l'Africa Sub-Sahariana è la regione meno preparata ad affrontare le problematiche legate ai cambiamenti climatici (Justice et al., 2005) e soprattutto è la regione in cui i cambiamenti di uso del suolo possono avere implicazioni particolarmente negative nel controllo delle emissioni di CO2 e sul bilancio annuale di carbonio (Houghton and Hackler, 2006). In base a quanto riportato ne Fourth Assessment Report dell'IPCC, ridurre e prevenire la deforestazione è l'opzione migliore per la mitigazione dei cambiamenti climatici dato il suo immediato impatto sugli stock di carbonio nel breve periodo (UNFCCC, 2010). La comunità internazionale ha deciso quindi di affrontare il problema della deforestazione attraverso specifiche politiche per ridurre le emissioni dovute alla deforestazione e alla degradazione delle foreste valorizzando il ruolo dellla conservazione, della gestione sostenibile e aumentando gli stock di carbonio delle foreste, tale meccanismo è conosciuto come REDD+ dal suo acronimo inglese (Reducing Emissions from Deforestation and forest Degradation and the role of conservation, sustainable management of forests and enhancement of forest carbon stocks). Le emissioni legate ai cambiamenti di uso e copertura del suolo sono forse la componente più incerta all'interno del ciclo globale del carbonio, con enormi implicazioni per il bilancio attuale e per le previsioni di evoluzioni future dei cambiamenti climatici (Ramankutty et al., 2007). Questo condiziona perciò la credibilità delle stime che attestano la valità della riduzione della deforestazione come miglior opzione per la mitigazione dei cambiamenti climatici. La mancanza di dati affidabili sulle stime dei pool di carbonio ne è l'esempio più tipico (Grassi et al., 2008). I tassi incerti della deforestazione tropicale rappresentano più della metà delle stime globali del flusso di carbonio. Tre altri fattori rappresentano più della restante parte di incertezza e questi sono: 1) gli stock iniziali di carbonio nell'ecosistema soggetto al cambiamento di uso del suolo, 2) cambiamenti ad ettaro degli stock di carbonio come risposta a differenti tipi di cambiamento di uso del suolo e 3) gli effetti a lungo termine considerati come il tempo necessario agli stock di carbonio per tornare ad una situazione di equilibrio dopo il cambiamento di uso del suolo (Houghton and Goodale, 2004). Considerando le fonti di incertezza e la mancanza di dati per l'Africa sub-Sahariana, il presente studio è stato ha avuto come oggetto la realtà del Ghana (Jomoro district, Western Region) dove una popolazione di più di 20 milioni di persone e in particolar modo nelle aree rurali, dipende dalla foresta come unica fonte di legno usato come legna da ardere, per costruzioni e mobili (Blay et al., 2007) e dove il tasso annuo di deforestazione ha raggiunto il 2.19% nel periodo 2005-2010 (FAO, 2010). Il presente studio analizzerà quindi gli aspetti legati alla deforestazione e al cambiamento di uso del suolo stimando: 1) lo stock iniziale di carbonio della foresta pluviale, 2) i cambiamenti ad ettaro degli stock di carbonio come conseguenza della deforestazione seguita da sei diversi usi del suolo in particolare piantagioni di gomme, cocco, palma da olio, piantagioni miste e infine la foresta secondaria generata dall'abbandono di terre prima destinate all'agricoltura, 3) la dinamica degli stock di carbonio nel tempo tramite l'analisi di cronosequenze. Alcuni specifici pool di carbonio sono stati presi in esame. Stimado i cambiamenti di stock di carbonio nel contesto dell'UNFCCC vengono richiesti 5 pools che sono: la biomassa epigea, la biomassa ipogea, la lettiera, la necromassa e il suolo. All'interno del meccanismo REDD+ non sono ancora state previste metodologie specifiche per la stima di questi pools ma sono state sviluppate alcune linee guida di carattere insicativo a cui poter far riferimento (es. BioCarbon Fund- Methodology for Estimating Reduction of GHG Emission from Mosaic Deforestation, Voluntary Carbon Standard (VCS)- Tool for AFOLU Methodological Issues, etc.) ed è chiaro che il pool che deve sempre incluso nelle stime rimanga la biomassa epigea mentre quella ipogea è raccomandata e gli altri pool sono facoltativi e discrezionali. Da report ufficiali (es., UNFCCC 2005a, UNFCCC 2005b, FAO 2006) emerge che solo una piccola parte dei paesi in via di sviluppo ad oggi include il pool del suolo nelle stime anche se le emissioni dal suolo a seguito di un processo di deforestazione risultano essere in molti casi significative (Grassi et al., 2008). A dispetto di quanto comunemente si crede riguardo gli effetti della deforestaizone sui differenti comparti in termini di variazione di carbonio, (un aumento o scomparsa della biomassa risultano relativamente visibili, mentre variazioni del suolo molto meno percettibili anche dopo cambi radicali nell'uso del suolo (Calmel et al., 2010), questo studio porta alla luce la reazione del comparto suolo a cambi radicali legati a processo di deforestazione nel lungo periodo dimostrando che il cambiamento non è così irrilevante come comunemente creduto. L'importanza del considerare il suolo nelle dinamiche post deforestazione, non è adeguatamente riconosciuta nelle politiche internazionali e questo influenza il ruolo che il comparto suolo può avere nella mitigazione dei cambiamenti climatici oggi forse trascurato ma non certo trascurabile.
Aus der Einleitung: Diese Arbeit beschäftigt sich mit dem Thema 'Liquidität der Kapitalmärkte'. Diese ist seit Jahrzehnten ein zentraler Forschungsgegenstand der BWL. In dieser Arbeit wird nicht die Liquidität im Sinne der Zahlungsfähigkeit von Unternehmen untersucht, sondern im Sinne der Handelbarkeit – der Wertpaperliquidität. Allgemein wird hierunter die Möglichkeit verstanden, eine Transaktion unabhängig von der Größe der Order und dem Zeitpunkt der Durchführung zu einem günstigen Preis abschließen zu können. Um für alle Marktteilnehmer einen optimalen Preis garantieren zu können, kann dies nur durch eine ausreichende Liquidität der Wertpapiere gewährleistet werden. Folglich ist die Liquidität eine der wichtigsten Eigenschaften des Wertpapiermarktes, denn bei einem illiquiden Wertpapier können sich die Marktteilnehmer nicht sicher sein, ob der Kurs dem inneren Wert entspricht. Auch die Transaktionskosten fallen bei illiquiden Wertpapieren deutlich höher aus als bei liquiden, da die Händler für die Kursunsicherheit entschädigt werden wollen. Der Liquiditätsbegriff wird auch in der Literatur mehrdeutig verwendet, was auf die Mehrdimensionalität des Begriffs zurückzuführen ist, da die Liquidität mehrere Eigenschaften des Wertpapiermarktes umfasst. Es gibt zwar eine recht genaue Vorstellung über die Liquidität eines Kapitalmarktes, ausgedrückt durch die Dimensionen Markttiefe, Marktbreite, Marktenge, Erneuerungskraft und der Zeitdimension, doch ein für die Praxis geeignetes Messkonzept gibt es nicht wirklich. Die verschiedenen Dimensionen sind auch der Grund dafür, dass kein eindeutiges Messkonzept existiert, welches eine ausreichende Abdeckung sicherstellt. Bortenlänger weist sogar darauf hin, dass die Liquidität für die Überlebensfähigkeit des Marktes wichtig ist. Er begründet seine Aussage damit, dass mangelnde Liquidität die Abwanderung von Marktteilnehmern provoziert und dadurch weitere Liquidität ablöst. Die zentrale Frage dieser Arbeit lautet vor diesem Hintergrund: Wie liquide sind die Kapitalmärkte? Hierbei liegt der Fokus auf den deutschen Wertpapiermarkt. Allerdings kann zu der Fragestellung erst im empirischen Teil eine Antwort gegeben werden. Neben den genannten Dimensionen bestehen noch bestimmte Eigenschaften, die die Liquidität zwar nicht beschreiben, aber beeinflussen. So können Market-Maker einen erheblichen Einfluss auf die Liquidität ausüben, da sie die Geld- und Briefkurse stellen. Die Market Maker werden auch als Liquiditätsanbieter bezeichnet, weil sie durch ihre jederzeitige Handelsbereitschaft einen stabilen und kontinuierlichen Handel gewährleisten. Ein weiterer Anbieter kann auch der Auktionator sein. In einem Auktionssystem findet der Handel zwischen den Investoren statt und der Auktionator tritt lediglich als Vermittler auf. Die Vermittlung muss hierbei einen zügigen und kostengünstigen Abschluss gewährleisten, um dadurch einen liquiden Markt zu schaffen. Sowohl beim Market-Maker-System als auch beim Aktionssystem spielen die Transaktionskosten eine große Rolle, denn je niedriger diese, desto Höher die Attraktivität und damit auch die Liquidität eines Marktes. Allerdings besteht auch hier keine genaue Einigkeit über die exakte Zusammensetzung der Transaktionskosten. Diese werden in verschiedenen Studien differenziert weit gefasst. Für die weitere Ausarbeitung ist die Zusammensetzung der Transaktionskosten nicht von Bedeutung. Hierbei wird vielmehr die Eignung der verschiedenen Messkonzepte untersucht. Ein weiteres bedeutendes Definitionselement stellt die Ordergröße dar. Hierbei geht es um die Fähigkeit des Marktes Aufträge ohne adverse Preisänderungen aufnehmen zu können. Ein liquider Markt zeichnet sich auch dadurch aus, dass er in der Lage ist große Orders zu absorbieren. Hinsichtlich der Liquiditätsmessung müssen diese so gestaltet sein, dass sie die verschiedenen Dimensionen und Definitionselemente widerspiegeln. Hierzu wurden zahlreiche verschiedene Messkonzepte entwickelt, die den Versuch starten die Liquidität verschiedener Kapitalmärkte zu messen. Die Messkonzepte unterscheiden sich erheblich von ihrer Vorgehensweise. Eine vollständige Erfassung der Marktliquidität anhand eines Messkonzeptes, in der alle Dimensionen beachtet werden, ist bis heute nicht gelungen. Allgemein lassen sich hierzu zwei Problemkreise festlegen: (1) Wodurch wird die Liquidität eines Wertpapiers beeinflusst? (2) Was determiniert die Liquidität eines Wertpapiers? Mit dieser Problematik beschäftigt sich die vorliegende Ausarbeitung, um eine Antwort auf die zuvor gestellte zentrale Frage zu gewinnen. Voraussetzung der Beantwortung der aufgeworfenen Fragen ist zunächst die Quantifizierung der Liquidität. Um die wichtigsten Vorgehensweisen zu nennen, anhand der versucht wird die Kapitalmarktliquidität zu messen, so wären dies die Messkonzepte unter Verwendung von Orderbuchinformationen und solche unter der Verwendung von Transaktionsdaten. Bezüglich der Verwendung von Orderbuchdaten sind hierbei der Bid-Ask-Spread und andere Spannenmaße zu nennen. Unter der Verwendung der Transaktionsdaten fallen zum Beispiel das Handels- sowie das Transaktionsvolumen und verschiedene Varianzquotienten. Bezüglich der Zuordnung verschiedener Konzepte existieren ebenfalls unterschiedliche Vorgehensweisen. In einigen Studien erfolgt die Zuordnung durch Differenzierung zwischen ein- und mehrdimensionalen Liquiditätsmaßen. Andere unterteilen die Maße in einer Preis- sowie Zeitdimension. Ein weiteres Beispiel legen Sarr und Lybek vor. Die Einordnung der Liquiditätsmaße erfolgt hierbei in vier Unterteilungen: (1) transaction cost measures, (2) volume based measures, (3) price based measures und (4) market-impact measures. Hierzu könnte noch eine Vielzahl von weiteren Beispielen erfolgen, um aber nur einen ersten Überblick der Möglichkeiten aufzuzählen bleibt es zunächst bei diesen vier Beispielen. In dieser Arbeit erfolgt keine direkte Einordnung der Messkonzepte, da dies keine Auswirkung auf die Beantwortung der gestellten Fragen hat. Im Fokus steht allein die Eignung der Messkonzepte. Die Struktur der Aufzählung gibt aber einen Hinweis auf eine mögliche Unterteilung der verschiedenen Maße. Bezüglich des Kapitalmarktes erfolgte eine Einengung des Begriffs, wonach dieser mit dem organisierten Wertpapiermarkt gleichgesetzt wird. Generell verbriefen die wichtigsten Wertpapiere entweder Kreditverträge (Fremdkapital) oder Beteiligungen (Eigenkapital). Demnach sind in diesem Kontext Kapitalmärkte vor allem Märkte für Anleihen und Aktien. Für die weitere Ausarbeitung werden ausschließlich Aktien betrachtet. Wie bereits erwähnt erfolgt die Liquiditätsmessung für den deutschen Kapitalmarkt. Für die Analyse werden der DAX und der CDAX betrachtet. Der DAX misst die Performance der 30 umsatzstärksten Aktien Deutschlands und ist der meistbeachtete Indikator für die Kursentwicklung am deutschen Aktienmarkt. Die meisten dieser 30 so genannten Blue Chip Unternehmen agieren weltweit und erzielen meist deutlich mehr Umsätze im Ausland als durch ihr Inlandsgeschäft. Anhand dieses Index konnte sowohl der deutsche Kapitalmarkt repräsentativ abgebildet werden, aber vor allem auch ein Bild über den weltweiten Kapitalmarkt geschaffen werden. Trotz ihrer verstärkten Auslandspräsenz erreichten die DAX-Unternehmen 2003 fast 87% des Gesamtumsatzes aller inländischen Aktien. Ergänzend wurde zudem noch der CDAX (Composite-DAX) untersucht, da dieser den breiten deutschen Aktienmarkt darstellt. Dieser Index wird aus den Kursen aller zum amtlichen Handel zugelassenen inländischen Aktien der Frankfurter Wertpapierbörse berechnet und umfasst alle deutschen Unternehmen des Prime und Generale Standard (DAX, TecDAX, MDAX, SDAX und weiteren gelisteten Unternehmen). Durch die Analyse des CDAX kann demnach ein vollständiges Bild des deutschen Kapitalmarktes geschaffen werden, während durch den DAX zwar die bedeutendsten Unternehmen abgelichtet werden, jedoch vor allem auch der globale Faktor mit einbezogen wird. Gang der Untersuchung: Im Folgenden wird der strukturelle Aufbau dieser Ausarbeitung erläutert. Hierbei werden die Inhalte der einzelnen Kapitel vorgestellt. Eine Darlegung der einzelnen Abschnitte erfolgt hierbei nicht. Beginnend werden im zweiten Kapitel dieser Arbeit grundlegende Begriffe definiert, die zum Verständnis der Arbeit von Bedeutung sind. Hierbei werden zunächst die Begriffe 'Kapitalmarkt' und 'Liquidität' definiert. Bezüglich des Kapitalmarktes erfolgt eine genaue Abgrenzung und eine länderspezifische Festlegung. Vor allem für die empirische Analyse ist dies von Bedeutung, da zum Kapitalmarkt verschiedene Indizes existieren und innerhalb dieser verschiedene Anlageformen gehandelt werden. Dadurch wird normiert welcher Untersuchungsgegenstand in der Analyse Anwendung findet. Bezüglich der Liquidität wird diese anhand verschiedener Einflussfaktoren definiert. Eine exakte begriffliche Bestimmung der Liquidität ist aber nicht möglich, da in der Literatur diese in verschiedenen Zusammenhängen eine andere Bedeutung findet. Hinsichtlich dieser Arbeit wird versucht durch die Einflussfaktoren eine Bestimmung der Liquidität zu finden, da diese Faktoren einen erheblichen Einfluss auf die Liquidität ausüben und dementsprechend diese auch definieren können. Weiterhin erfolgt im dritten Kapitel eine Beschreibung der Liquiditätscharakteristika. Diese legen fest, welche Dimensionen ein Kapitalmarkt ausweisen muss, um als liquide definiert zu werden. Demnach müssen Messkonzepte diese Dimensionen abbilden, um eine geeignete Liquiditätsuntersuchung durchführen zu können. Im vierten Teil werden verschiedene Liquiditätskonzepte hinsichtlich ihres theoretischen Hintergrunds und ihrer Eignung kritisch diskutiert. In diesem Kontext werden die Liquiditätsmaße vorgestellt, die in der Literatur am häufigsten verwendet werden. Zudem werden Erweiterungen und Abänderungen einzelner Maße ebenfalls vorgestellt und kritisch überprüft. Anschließend wird, aufgrund der aktuellen Ereignisse, der Einfluss von Kapitalmarktkrisen bezüglich der Liquidität untersucht. Hierzu werden zunächst bedeutende Krisen geschildert und anschließend die Gegenmaßnahmen zur Besänftigung dieser Krisen dargestellt. Das sechste Kapitel dieser Arbeit befasst sich mit den Ergebnissen bisheriger Studien. Einige der bedeutendsten Liquiditätsanalysen werden hinsichtlich ihrer Vorgehensweise und Aussagekraft vorgestellt. Der Fokus liegt hierbei vor allem in der Eignung der jeweilig verwendeten Messinstrumente der Studien. Im siebten Kapitel folgt der empirische Teil dieser Ausarbeitung. Zunächst wird der Gang der Analyse erläutert und anschließend die Ergebnisse dargestellt. Hierzu erfolgt eine exakte Bestimmung der Daten die für die Analyse verwendet werden. Die Liquidität wird anhand des Bid-Ask-Spreads, des Handelsvolumen und der Marktkapitalisierung gemessen und die jeweiligen Ergebnisse werden graphisch dargestellt und diskutiert. Bezüglich dieser Analyse erfolgt zudem noch eine statistische Auswertung der Ergebnisse. Hierzu erfolgt eine Korrelations- und Regressionsanalyse. Folgend wird das Verhältnis der Liquiditätsmaße untereinander und das Verhältnis der Maße zu den Indizien untersucht. Es wird diskutiert ob ein Zusammenhang zwischen der Performance der Indizes, der Kapitalmarktkrise und der Liquidität besteht. Im letzten und demnach achten Teil dieser Ausarbeitung erfolgt eine Zusammenfassung der bisherigen Ergebnisse. Hierbei werden die aufgeworfenen Fragestellungen beantwortet und ein Lösungsansatz der festgestellten Problemkreise abgegeben. Zudem erfolgt eine kritische Würdigung dieser Arbeit.Inhaltsverzeichnis:Inhaltsverzeichnis: InhaltsverzeichnisI AbbildungsverzeichnisIV TabellenverzeichnisVI AbkürzungsverzeichnisVII 1.Einführung2 1.1Problemaufriss2 1.2Aufbau der Arbeit6 2.Grundlegende Definitionen und Abgrenzungen8 2.1Begriffsbestimmung - Kapitalmarkt9 2.1.2DAX10 2.1.3CDAX12 2.2Begriffsbestimmung - Liquidität14 2.2.1Transaktionskosten15 2.2.2Market Maker und Auktionator17 2.2.3Ordergröße19 3.Charakteristikum der Liquidität21 3.1Tiefe21 3.2Breite22 3.3Enge22 3.4Unmittelbarkeit23 3.5Erneuerungskraft23 3.6Dimensionen gemäß Harris, Schmidt und Iversen24 4.Messkonzepte der Marktliquidität26 4.1Der Bid-Ask-Spread28 4.1.1Der explizite Bid-Ask-Spread29 4.1.1.1Der absolute Bid-Ask-Spread29 4.1.1.2Der relative Bid-Ask-Spread30 4.1.1.3Der logarithmierte Bid-Ask-Spread31 4.1.1.4Der durchschnittliche Bid-Ask-Spread32 4.1.1.5Kritik32 4.1.2Implizite Bid-Ask-Spreads34 4.1.2.1Das Roll-Maß34 4.1.2.2Erweiterung des Roll-Maß nach Choi,Salandro und Shastri36 4.1.2.3Das Thompson-Waller-Maß37 4.1.2.5Das Bhattacharya-Maß38 4.1.2.4Kritik40 4.2Das Handelsvolumen41 4.2.1Das Relative Handelsvolumen43 4.2.2Das Potenzielle Handelsvolumen43 4.2.3Die Transaktionsfrequenz43 4.2.4Das Transaktionsvolumen44 4.2.4.1Das Stückvolumen45 4.2.3.2Das Wertvolumen46 4.2.3.3Das relative Transaktionsvolumen46 4.2.4Die Marktkapitalisierung47 4.2.5Kritik48 4.3Transaktionskurse49 4.3.1Amivest Liquidity Ratio50 4.3.2Die Liquiditätsrate von Marsh und Rock51 4.3.3Die Liquiditätsrate von Martin52 4.3.4Liquiditätsrate von Hui und Heubel53 4.4Turnover ratio54 4.5Illiquidity Ratio54 4.6Kurskonstanz-Kurssprung-Indikator55 4.7Varianz der Kursänderungen56 4.8Markteffizienzkoeffizient57 4.9Sonstige Liquiditätsmaße59 5.Auswirkungen von Kapitalmarktkrisen auf die Liquidität61 5.1Kapitalmarktkrise 2007/200861 5.2Vergangene bedeutende Kapitalmarktkrisen63 6.Übersicht empirischer Studien65 6.1Studien zum Bid-Ask-Spread65 6.1.1Amihud,Y. und Mendelson, H. (1991): Liquidity, maturity and the yields on U.S. Treasury securities66 6.1.2Chordia, T., Sarkar, A. und Subrahmanyam, A. (2003): An Empirical Analysis of Stock and Bond Market Liquidity67 6.1.3Dimson, E. und Hanke, B. (2004): Expected illiquiditypremium69 6.2Studien zur Emissionsgröße70 6.2.1Warga, A. (1992): Bond returns, liquidity, and missing data71 6.2.2Crabbe, L. und Turner, C. (1995): Does the Liquidity of a Debt Issue Increase with Its Size? Evidence from the Corporate Bond and the Medium-Term Note Markets72 6.2.3Kempf, A. und Uhrig-Homburg, M. (2000): Liquidity and its impact on bond prices74 6.2.4Jankowitsch, R., Mösenbacher, H. und Pichler, S. (2006): Measuring the Liquidity Impact on EMU Government Bond Prices76 6.3Studien der Handelshäufigkeit und des Handelsvolumen78 6.3.1Balduzzi, P., Elton, E. J. und Green, T. C. (2001): Economic News and Bond Prices: Evidence from the U.S. Treasury Market79 6.4Markteffizienzkoeffizient81 6.4.1Sarr, A. und Lybek, T. (2002): Measuring Liquidity in Financial Markets81 6.5ILLIQ-Ratio86 6.5.1Amihud, Y. (2002): Illiquidity and stock returns: cross-section and time-series effects87 6.6Fazit88 7.Empirische Analyse90 7.1Zahlenbereinigung91 7.1.2Free Float93 7.2Ergebnisse der Analyse94 7.2.1CDAX - Branche Financial94 7.2.2CDAX - Branche Industrial97 7.2.3CDAX - Branche Technology99 7.2.4CDAX - Branche Communications101 7.2.5CDAX - Branche Consumer (cyclical)103 7.2.6CDAX - Branche Consumer (non cyclical)106 7.2.7CDAX - Branche Basic Materials108 7.2.8CDAX - Branche Energy109 7.2.9CDAX - Branche Utilities111 7.2.10DAX113 8.Korrelation und Regression103 9.Fazit123 I.Quellen- und Literaturverzeichnis125 III.Anhang 1135Textprobe:Textprobe: Kapitel 5.1 Kapitalmarktkrise 2007/2008: Seit Mitte 2000 haben die Immobilienmärkte in den USA einen regelrechten Boom erfahren. Zahlungsschwache Amerikaner erwarben Anwesen, die sie mit zinsgünstigen Darlehen finanzierten. Darüber hinaus wurden auch Konsumwünsche per Kredit getätigt. US-Hypothekenfinanzierer konnten im Laufe der Jahre hohe Zinsgewinne verbuchen. Zahlreiche Banken wollten sich ebenfalls an diesen Zinsgewinnen beteiligen. Dabei wurden forderungsbesicherte Wertpapiere in sogenannten Asset-Backed Secutities (ABS) gebildet. Im Februar 2007 kam es dann zu mehrfachen Zahlungsausfällen bei Hypothekenkrediten. Einkommensschwache Schuldner waren, aufgrund von steigenden Kreditzinsen, nicht mehr in der Lage ihre Darlehen zu begleichen. Aus diesem Grund haben hypothekenbesicherte Papiere massiv an Wert verloren und zu einstürzenden Kursen an der Börse geführt. Bei zahlreichen Banken hatte dies Verluste in Milliardenhöhe zur Folge. Da nicht nur amerikanische Banken in diesen Sektor investiert hatten, sondern Banken aus aller Welt, unter anderem auch zahlreiche aus Deutschland und der Schweiz, ist aus der US-Hypothekenkrise eine weltweite Finanzkrise entstanden. Dabei verzeichneten die amerikanische Großbank Citigroup mit mehr als 27 Milliarden Euro und die größte schweizerische Bank UBS mit bisher 24 Milliarden Euro die höchsten Abschreibungen (Stand: 01.07.2008). Die Lage der Banken führt zu einer erschwerten Geldauszahlung. Durch die eingeschränkte Kreditvergabe an Unternehmen und Konsumenten, wird die inländische Nachfrage verringert. Die Menschen konsumieren weniger und dies schadet wiederum den Unternehmen, die ihre Produktion verringern und gegebenenfalls Arbeiter entlassen müssen. In Folge der hohen Abschreibungen und der mangelnden Liquidität entstand unter den Banken ein Vertrauensverlust. In der Regel erhalten Banken ihr Geld von anderen Geldinstituten oder von der Zentralbank, auf dem sogenannten Interbankenmarkt. Auf diesem Interbankenmarkt können Banken ihr Geld an andere Banken zu einem bestimmten Interbankenzinssatz, dem EURIBOR, verleihen, welcher sich am Leitzins der Europäischen Zentralbank (EZB) orientiert. Bei dem Leitzins handelt es sich um einen Mindestbietungssatz zu dem Banken Kredite von der Europäischen Zentralbank aufnehmen können. Aufgrund der Finanzlage wurden Banken immer vorsichtiger und behielten ihre Finanzmittel, anstatt sie untereinander zu verleihen. Das Misstrauen war zu groß, dass gerade die Banken, denen sie Geld leihen, im Zuge der Immobilienkrise in Liquiditätsschwierigkeiten geraten könnten. Wenn es doch zu Leihgeschäften kam, dann wurden immer mehr Zinsen verlangt. Somit wurde die umlaufende Geldmenge auf dem Interbankenmarkt immer geringer und der EURIBOR stieg über den Leitzins der Europäischen Zentralbank an. Daher war die EZB gezwungen zu intervenieren und den Markt mit Liquidität zu versorgen. Sie pumpte mehrere Milliarden Euro, zu einem niedrigeren Leitzins, in den Markt, damit der EURIBOR im Vergleich dazu uninteressant wird und auf ein angemessenes Niveau fällt. Durch die Senkung des Leitzinses wurde die Geldnachfrage der Banken erhöht und dementsprechend die Geldmenge auf dem Markt. Allerdings hat dies nur einen kurzfristigen Effekt und bekämpft nicht die Ursache. Seit dem 09.08.2007 hat die EZB aufgrund der Finanzkrise bereits drei Mal den Leitzins gesenkt, um den Markt mit Liquidität zu versorgen. Vergangene bedeutende Kapitalmarktkrisen: Einige der bedeutendsten und weltweit bekanntesten Finanzmarktkrisen, waren die Asien- und Russlandkrisen. Die Asienkrise (1997/1998) wird als die Finanz-, Währungs- und Wirtschaftskrise Ostasiens bezeichnet. Sie gehört zu den schwersten Krisen der Emerging Markets. Zeitgleich ereignete sich die Wirtschaftskrise Japans, die durch die Asienkrise verstärkt wurde. Ausgelöst wurde diese Krise durch maßlose Investitionen, Handelsbilanzdefiziten, übermäßiger Kreditaufnahmen, auch in Fremdwährungen, und schwachen regionalen Finanzmarktstrukturen. Zu diesem Zeitpunkt investierten viele europäische Unternehmen in Asien, um von dem Boom der sogenannten Tigerstaaten zu profitieren. Insgesamt übte die Krise einen erheblichen Einfluss auf die Weltproduktion aus, da viele Produkte billig in diesen Staaten produziert wurden. Der Einfluss wurde aber letztendlich dadurch besänftigt, weil der Exportanteil der ausländischen Unternehmen viel geringer war als der Importanteil aus Asien. Dadurch verstärkte sich weiter die Krise aus, da die Tigerstaaten einen Verlust erlitten durch die ausbleibenden Exporteinnahmen. Des Weiteren konnte der Dow Jones Index durch seine Überschreitung der 10.000er Marke die europäischen Aktienmärkte in den Höhenflug mit ziehen. Eine Beendigung der Krise konnte vor allem durch den Internationalen Währungsfond (IWF) erreicht werden. Dieser stellte fast 40 Milliarden US-Dollar Anpassungs- und Reformprogramme zur Verfügung. Im Jahr 1998 und 1999 ereignete sich die Russlandkrise (auch Rubelkrise genannt) die durch einen massiven Kapitalabfluss und der folgenden Wirtschaftskrise in Russland ausgelöst wurde. Verstärkt wurde diese Krise auch durch die vorherige Asienkrise und der Entwicklung auf den internationalen Rohstoffmärkten. Mitte 1998 wurde die Liquidität am Interbankenmarkt knapp und Banken dürften nach Anweisung der Notenbanken keine unbegrenzten Fremdwährungshöhen mehr kaufen. Der Rubel sank indes um 60% und es ereignete sich eine gravierende Inflation. Auch die Finanzmittel der IWF konnten diese Krise nicht eindämmen. Erst durch ein rigides Sparprogramm konnte die Inflation 1999 mäßigen und das Vertrauen der Anleger wieder zurück gewonnen werden. Der Rückgang des DAX- und CDAX im Jahr 2003 ist durch keine allgemeine 'Krise' ausgelöst worden. Jedoch spielten hierbei verschiedene Ereignisse eine bedeutete Rolle für den drastischen Kursverlust. So ereignete sich in diesem Jahr der Irak-Krieg (auch Irakkrise genannt) wodurch die Ölpreise anstiegen und das Konsumentenvertrauen sowie die Produktion zurückging und die USA dadurch kurz vor einer Rezession stand. Auch andere Indizes, wie der Dow Jones Eurostoxx, erreichten ihre Tiefpunkte nach langer Zeit. Insgesamt wirkte sich die weltweit politische Anspannung auf die Kapitalmärkte aus. Allerdings kann dadurch nicht die drastischen Kursverluste der deutschen Kapitalmarktes erklärt werden. Zu diesem Jahr war das Wirtschaftswachstum so schwach wie im Rezessionsjahr 1993. Zudem verzeichneten die 30 DAX-Unternehmen erhebliche Umsatzrückgänge, wodurch insgesamt der deutsche Kapitalmarkt negativ beeinflusst wurde. Auch der Export ging zurück, ausgelöst durch den gestiegen Wechselkurs des Euros. Somit zeigt sich, dass auch politische und konjunkturelle Ereignisse einen erheblichen Einfluss auf den Kapitalmarkt haben. Im Weiteren Verlauf wird untersucht, ob die vorgestellten Krisen einen Einfluss auf die Liquidität ausüben und welchen Einfluss die Finanzkrise auf die Liquidität der deutschen Indizes hat und wie stark die Auswirkungen sind.
This report presents an account and evaluation of the Hidden Drop-Out project being implemented in Albania by the 'Development of Education' Association with the support of UNICEF and the backing of the Ministry of Education and Science. The initiative, which was launched in 2001 and piloted in five regions, set out to address the widespread but largely hidden phenomenon, whereby teachers engage in whole-class teaching, and consequently focusing solely on achieving students and ignoring the rest of the class. Such practices lead to a process of disengagement on the part of thousands of pupils in the first cycle at the basic school level, a process that leads to lack of achievement in learning core competencies, and eventually to the abandonment of the school. The report describes the initiative, its design and piloting, the difficulties encountered in implementing it and how such problems were tackled or overcome, particularly with a view to ensuring its sustainability. The report also considers the extent to which the initiative proved to be relevant, effective and efficient, given the specificity of the overall sociocultural and educational environment in which it was introduced, and the broader reform effort in the country. The research methodology used in this review was largely qualitative, with the international consultant spending a two-week period in Tirana, Korçë and Gjirokastër interviewing students, parents, teachers, Principals, deputy Principals, inspectors and Regional Education Directors, and observing classes which were being taught by teachers involved in the project, in schools that were piloting the approach. Interviews were also carried out with key staff from the DoE Association, UNICEF, the Ministry of Education and Science, and several NGO's working in the field of education. Fieldwork was supplemented by desk research, as well as by preliminary data provided by a local consultant on the review team. The report describes the key strategies used by the project in order to address the hidden dropout phenomenon. Focusing on the first cycle of the basic school sector, i.e. Grades 1 to 4, and on two key curricular areas, i.e. Albanian language and Math, the initiative: 1. Trained teachers to design 'Minimum Necessary Learning Objectives' (MNLO's) relating to the learning units for the Grade that they taught. 2. Helped teachers and Principals develop continuous assessment techniques, through the use of 'mini-testing', in order to constantly gauge the extent to which different pupils were mastering the MNLO's, and to keep track of progress or lack of it. 3. Provided teachers with support in the goal of supporting at-risk pupils by initiating peerlearning programmes, and by engaging adult volunteers from the community. 4. Trained Principals in a new approach to annual school planning, ensuring that the process was more open to partnership with teachers and the community, and more focused on learning achievement and learning outcomes. The findings suggest that after four years of piloting, the project has had a positive impact on the pupils, schools and communities were it was implemented. It has also had a broader 'multiplier effect' on several other aspects of educational policy and practice in the country. The achievements and impact of the HDO initiative are detailed in Chapter Four of the report: 1. All qualitative and quantitative evidence suggests that there were significant gains in learning achievement for pupils involved in the MNLO approach, and that consequently there were less 'hidden drop-outs' in the pilot schools. 2. The focus on learning outcomes led to a valuing of accountability and transparency, with schools and teachers being more open about the learning objectives that had to be reached, and more willing to facing up to their responsibilities when such objectives had not been attained. 3. Teachers became much more aware of the variegated needs of different learners in their classrooms, and organised their teaching, assessment and homework-setting practices in ways that took account of such difference. 4. Teacher evaluation practices on the part of Principals and inspectors became more supportive and formative in scope, leading teachers to becoming less insular and defensive, and more open to considering alternative ways that could enhance effectiveness. 5. Teachers also found it easier to work together in the planning of MNLO's for their classes, and were prepared to move away from their classroom isolation in order to be pro-active members of a community of reflective practitioners. 6. Teachers and schools developed a heightened awareness of the fact that improved learning achievement for all required the support of other partners, including members of the student body (through peer learning programmes), and members of the wider community. Despite such achievements, the evaluation report also highlights challenges that the project has to face up to in order to reach its goals more effectively. Two types of challenges are considered, those that are internal to the initiative itself, and those that related to the environment and context in which the initiative is embedded. Endogenous challenges include: 1. The difficulties that teachers are finding to cater for the learning needs that are present in a heterogeneous classroom setting. Included in this challenge is the difficulty that teachers tend to face in designing MNLO's and minitests that, while respecting the principle that there are minimum competences that all students must master, nevertheless are articulated in such a way as to take into account of the different abilities in the classroom. 2. The propensity for competency approaches to present knowledge in fragmented ways rather than holistically, leading students to see lessons as a series of isolated, discrete sequences rather than as a part of a network of connected knowledge structured around powerful ideas. 3. The need to develop a more integrated, whole-school approach to educational change, given that piloting in only the first four Grades and in only two curricular areas creates discontinuities of practice that are confusing for teachers and pupils alike. 4. The unintended consequences of the public display of the results of learning outcomes per Grade, and the comparison of these results within and across schools. Such practices tend to perpetrate the belief that achievement is unrelated to school intake, and that schools and teachers, on their own, can completely address injustices that have their origins elsewhere, i.e. in the way resources, power and life-chances are allocated and distributed in Albanian society. 5. The persistence of whole-class, traditional teaching styles among teachers who are involved with the HDO project, to the extent that few seem to be implementing childcentred, joyful forms of learning that are normally associated with primary schooling. 6. The negative impact that the term 'hidden drop-out' can have on pupils thus labelled, given that it reinforces a perception of oneself as a weak student, thus proving damaging to the process of the construction of their selfidentity. Other challenges—that are not the responsibility of those leading the initiative, but which nevertheless need to be addressed if the project is to be successful and replicated on a nationwide basis—include the following: 1. A more unequivocal and enthusiastic support of the project and MNLO approach on the part of the MoES, given that both the DoE Association and its partner UNICEF have completed the phases for which they had responsibility for. While UNICEF will certainly support the MoES in attaining EFA and quality education—through, for instance, promoting whole-school, holistic interventions that build on the experience gained in implementing the HDO project—it now behoves the Ministry to mobilise its resources to take the pilot project to scale. 2. A greater connectivity between the different educational reforms, so that each initiative complements and sustains the other. This is, in large part, the responsibility of the Ministry, given that they have the overall responsibility for the system, and the duty to ensure that the different parts of the mosaic come together in meaningful ways. This is especially important in the case of the HDO project, where the assumption is that teachers are being trained in interactive, learner-centred pedagogies through their involvement in other projects. 3. A more principled appointment of leading staff in directorates and schools, given that political appointees take the place of persons who have received training to implement the HDO project strategies, and that their unwarranted replacement jeopardises the stability and continuity of the initiative, leading to demotivation and disengagement on the part of many. 4. A more clear articulation of the roles and obligations that are proper to the teaching profession, in such a way that inhibits the present practice of expecting extra remuneration for work which, in most countries, would be considered part and parcel of teachers' regular duties. Such expectations can seriously threaten the sustainability of the project, which has hitherto proven itself as low cost, high impact initiative. Recommendations for the future and for the way forward flow naturally from a consideration of the above-mentioned endogenous and exogenous factors. The report concludes that the HDO project is now at a critical stage, when a firm decision has to be made about going beyond the piloting phase to one that is more national in scope. Despite the challenges that the project has to overcome, there is little doubt that the initiative has grown strong roots in educational communities in the country, and that it has developed the breadth of vision, the effective tools, and the legitimacy and credibility that any project aspiring to go to scale must have. As importantly, the HDO initiative has shown that it is sufficiently well-conceived as to promote 'multiplier effects'—in other words, it has the ability to vehicle with it the paradigm shift that is much talked about in Albania, and to help bring about a radical change in outlook that will have an impact on the way educational communities go about their work. UNICEF has gained much experience in supporting the piloting of the initiative, and has much to offer in ensuring that this knowledge is applied in deepening the impact of the project in the pilot schools, and taking it to other regions across the country, and beyond. No project, however, can go to scale without the State's backing and the State's resources. It is the State that, with the strategic help of its international partners, has the capacity to sustain a fledgling initiative that has proven itself, but which now requires major investment so that training programmes can be implemented, and practices that have been piloted in a few schools replicated across all the regions—particularly the poorer and more remote ones. This is particularly important given the fact that Albania is one of 25 countries selected in the framework of the EFA-Fast Track initiative. Vigorous State support in improving, deepening and extending the principles underlying the HDO initiative would certainly assist the government face the major challenges of MDG 2 and EFA-FTI implementation, which are crucial and critical issues for Albanian education in the next decade. ; peer-reviewed
It gives me great pleasure to accept the invitation to address this conference on "Meeting the Challenges of Cultural Diversity in the Irish Healthcare Sector" which is being organised by the Irish Health Services Management Institute in partnership with the National Consultative Committee on Racism and Interculturalism. The conference provides an important opportunity to develop our knowledge and understanding of the issues surrounding cultural diversity in the health sector from the twin perspectives of patients and staff. Cultural diversity has over recent years become an increasingly visible aspect of Irish society bringing with it both opportunities and challenges. It holds out great possibilities for the enrichment of all who live in Ireland but it also challenges us to adapt creatively to the changes required to realise this potential and to ensure that the experience is a positive one for all concerned but particularly for those in the minority ethnic groups. In the last number of years in particular, the focus has tended to be on people coming to this country either as refugees, asylum seekers or economic migrants. Government figures estimate that as many as 340,000 immigrants are expected in the next six years. However ethnic and cultural diversity are not new phenomena in Ireland. Travellers have a long history as an indigenous minority group in Ireland with a strong culture and identity of their own. The changing experience and dynamics of their relationship with the wider society and its institutions over time can, I think, provide some valuable lessons for us as we seek to address the more numerous and complex issues of cultural diversity which have arisen for us in the last decade. Turning more specifically to the health sector which is the focus of this conference, culture and identity have particular relevance to health service policy and provision in that The first requirement is that we in the health service acknowledge cultural diversity and the differences in behaviours and in the less obvious areas of values and beliefs that this often implies. Only by acknowledging these differences in a respectful way and informing ourselves of them can we address them. Our equality legislation – The Employment Equality Act, 1998 and the Equal Status Act, 2000 – prohibits discrimination on nine grounds including race and membership of the Traveller community. The Equal Status Act prohibits discrimination on an individual basis in relation to the nine grounds while for groups it provides for the promotion of equality of opportunity. The Act applies to the provision of services including health services. I will speak first about cultural diversity in relation to the patient. In this respect it is worth mentioning that the recognition of cultural diversity and appropriate responses to it were issues which were strongly emphasised in the public consultation process which we held earlier this year in the context of developing National Anti-Poverty targets for the health sector and also our new national health strategy. Awareness and sensitivity training for staff is a key requirement for adapting to a culturally diverse patient population. The focus of this training should be the development of the knowledge and skills to provide services sensitive to cultural diversity. Such training can often be most effectively delivered in partnership with members of the minority groups themselves. I am aware that the Traveller community, for example, is involved in in-service training for health care workers. I am also aware that the National Consultative Committee on Racism and Interculturalism has been involved in training with the Eastern Regional Health Authority. We need to have more such initiatives. A step beyond the sensitivity training for existing staff is the training of members of the minority communities themselves as workers in our health services. Again the Traveller community has set an example in this area with its Primary Health Care Project for Travellers. The Primary Health Care for Travellers Project was established in 1994 as a joint partnership initiative with the Eastern Health Board and Pavee Point, with ongoing technical assistance being provided from the Department of Community Health and General Practice, Trinity College, Dublin. This project was the first of its kind in the country and has facilitated The project included a training course which concentrated on skills development, capacity building and the empowerment of Travellers. This confidence and skill allowed the Community Health Workers to go out and conduct a baseline survey to identify and articulate Travellers' health needs. This was the first time that Travellers were involved in this process; in the past their needs were assumed. The results of the survey were fed back to the community and they prioritised their needs and suggested changes to the health services which would facilitate their access and utilisation. Ongoing monitoring and data collection demonstrates a big improvement in levels of satisfaction and uptake and ulitisation of health services by Travellers in the pilot area. This Primary Health Care for Travellers initiative is being replicated in three other areas around the country and funding has been approved for a further 9 new projects. This pilot project was the recipient of a WHO 50th anniversary commemorative award in 1998. The project is developing as a model of good practice which could inspire further initiatives of this type for other minority groups. Access to information has been identified in numerous consultative processes as a key factor in enabling people to take a proactive approach to managing their own health and that of their families and in facilitating their access to health services. Honouring our commitment to equity in these areas requires that information is provided in culturally appropriate formats. The National Health Promotion Strategy 2000-2005, for example, recognises that there exists within our society many groups with different requirements which need to be identified and accommodated when planning and implementing health promotion interventions. These groups include Travellers, refugees and asylum seekers, people with intellectual, physical or sensory disability and the gay and lesbian community. The Strategy acknowledges the challenge involved in being sensitive to the potential differences in patterns of poor health among these different groups. The Strategic aim is to promote the physical, mental and social well-being of individuals from these groups. The objective of the Strategy on these issues are: While our long term aim may be to mainstream responses so that our health services is truly multicultural, we must recognise the need at this point in time for very specific focused responses particularly for groups with poor health status such as Travellers and also for refugees and asylum seekers. In the case of refugees and asylum seekers examples of targeted services are screening for communicable diseases – offered on a voluntary basis – and psychological support services for those who have suffered trauma before coming here. The two approaches of targeting and mainstreaming are not mutually exclusive. A combination of both is required at this point in time but the balance between them must be kept under constant review in the light of changing needs. A major requirement if we are to meet the challenge of cultural diversity is an appropriate data and research base. I think it is important that we build up our information and research data base in partnership with the minority groups themselves. We must establish what the health needs of diverse groups are; we must monitor uptake of services and how well we are responding to needs and we must monitor outcomes and health status. We must also examine the impact of the policies in other sectors on the health of minority groups. The National Health Information Strategy, currently being developed, and the recently published National Strategy for Health Research – Making Knowledge Work for Health provide important frameworks within which we can improve our data and research base. A culturally diverse health sector workforce – challenges and opportunities The Irish health service can benefit greatly from successful international recruitment. There has been a strong non-national representation amongst the medical profession for more than 30 years. More recently there have been significant increases in other categories of health service workers from overseas. The Department recognises the enormous value that overseas recruitment brings over a wide range of services and supports the development of effective and appropriate recruitment strategies in partnership with health service employers. These changes have made cultural diversity an important issue for all health service organisations. Diversity in the workplace is primarily about creating a culture that seeks, respects, values and harnesses difference. This includes all the differences that when added together make each person unique. So instead of the focus being on particular groups, diversity is about all of us. Change is not about helping "them" to join "us" but about critically looking at "us" and rooting out all aspects of our culture that inappropriately exclude people and prevent us from being inclusive in the way we relate to employees, potential employees and clients of the health service. International recruitment benefits consumers, Irish employees and the overseas personnel alike. Regardless of whether they are employed by the health service, members of minority groups will be clients of our service and consequently we need to be flexible in order to accommodate different cultural needs. For staff, we recognise that coming from other cultures can be a difficult transition. Consequently health service employers have made strong efforts to assist them during this period. Many organisations provide induction courses, religious facilities (such as prayer rooms) and help in finding suitable accommodation. The Health Service Employers Agency (HSEA) is developing an equal opportunities/diversity strategy and action plans as well as training programmes to support their implementation, to ensure that all health service employment policies and practices promote the equality/diversity agenda to continue the development of a culturally diverse health service. The management of this new environment is extremely important for the health service as it offers an opportunity to go beyond set legal requirements and to strive for an acceptance and nurturing of cultural differences. Workforce cultural diversity affords us the opportunity to learn from the working practices and perspectives of others by allowing personnel to present their ideas and experience through teamwork, partnership structures and other appropriate fora, leading to further improvement in the services we provide. It is important to ensure that both personnel units and line managers communicate directly with their staff and demonstrate by their actions that they intend to create an inclusive work place which doesnÃ'´t demand that minority staff fit. Contented, valued employees who feel that there is a place for them in the organisation will deliver a high quality health service. Your conference here today has two laudable aims – to heighten awareness and assist health care staff to work effectively with their colleagues from different cultural backgrounds and to gain a greater understanding of the diverse needs of patients from minority ethnic backgrounds. There is a synergy in these aims and in the tasks to which they give rise in the management of our health service. The creative adaptations required for one have the potential to feed into the other. I would like to commend both organisations which are hosting this conference for their initiative in making this event happen, particularly at this time – Racism in the Workplace Week. I look forward very much to hearing the outcome of your deliberations. Thank you.
Tajikistan is one of the world's most remittance-dependent economies, receiving net remittance inflows equivalent to approximately 40 percent of Gross Domestic Product (GDP). Falling remittance inflows was one of the main transmission channels through which the 2008-09 global economic crisis adversely impacted the economy. Conversely, the pickup in growth since 2009 can also be traced to the rebound in remittance inflows (primarily from Russia, where more than 90 percent of Tajik migrants work), which reached 42 percent of GDP in 2010 and an estimated 40 percent of GDP in 2011. As the World Bank's 2011 country economic memorandum has argued, future growth in Tajikistan will depend crucially on increasing efficiency and raising private investment rates. Remittances are likely to grow more slowly than the earlier trend over the last 5-6 years, but could nonetheless be a major contributor to future growth if more go into private investment than in the past.
Once concentrated among a few large economies, global flows of goods, services, and capital now reach an ever larger number of economies worldwide. Global trade in goods and services increased 10 times between 1980 and 2011, while FDI flows increased almost 30-fold. The sales from foreign-owned firms amount to $26 trillion. As many as 3,000 bilateral investment treaties have been signed to create the framework of deep agreements needed not only to facilitate the global movement of final goods and services but also to internationalize entire processes of production. All these flows have grown over time, creating increasingly dense and complex networks. This note is intended provide an overview of SACU countries' participation and performance in GVCs, drawing on several data sources and indicators, and most importantly the recently released 189-country Eora multi-region-input-output (MRIO) database (Lenzen et al. 2012, 2013). Following this introduction, the note is structured in five additional sections. Section two discusses in greater detail the scope of the report, including the data sources and methodological approaches, as well as their respective limitations. Section three looks at structural integration in trade, including the degree to which SACU countries import and export intermediates. Section four analyzes trends in value-added exports as a first step in exploring GVC participation. Section five hones in on the core measures of GVC participation and a brief analysis of SACU countries' position in GVCs. Finally, section six concludes by bringing together the main findings from the analysis.
Publisher's version (útgefin grein) ; Background In an era of shifting global agendas and expanded emphasis on non-communicable diseases and injuries along with communicable diseases, sound evidence on trends by cause at the national level is essential. The Global Burden of Diseases, Injuries, and Risk Factors Study (GBD) provides a systematic scientific assessment of published, publicly available, and contributed data on incidence, prevalence, and mortality for a mutually exclusive and collectively exhaustive list of diseases and injuries. Methods GBD estimates incidence, prevalence, mortality, years of life lost (YLLs), years lived with disability (YLDs), and disability-adjusted life-years (DALYs) due to 369 diseases and injuries, for two sexes, and for 204 countries and territories. Input data were extracted from censuses, household surveys, civil registration and vital statistics, disease registries, health service use, air pollution monitors, satellite imaging, disease notifications, and other sources. Cause-specific death rates and cause fractions were calculated using the Cause of Death Ensemble model and spatiotemporal Gaussian process regression. Cause-specific deaths were adjusted to match the total all-cause deaths calculated as part of the GBD population, fertility, and mortality estimates. Deaths were multiplied by standard life expectancy at each age to calculate YLLs. A Bayesian meta-regression modelling tool, DisMod-MR 2.1, was used to ensure consistency between incidence, prevalence, remission, excess mortality, and cause-specific mortality for most causes. Prevalence estimates were multiplied by disability weights for mutually exclusive sequelae of diseases and injuries to calculate YLDs. We considered results in the context of the Socio-demographic Index (SDI), a composite indicator of income per capita, years of schooling, and fertility rate in females younger than 25 years. Uncertainty intervals (UIs) were generated for every metric using the 25th and 975th ordered 1000 draw values of the posterior distribution. Findings Global health has steadily improved over the past 30 years as measured by age-standardised DALY rates. After taking into account population growth and ageing, the absolute number of DALYs has remained stable. Since 2010, the pace of decline in global age-standardised DALY rates has accelerated in age groups younger than 50 years compared with the 1990-2010 time period, with the greatest annualised rate of decline occurring in the 0-9-year age group. Six infectious diseases were among the top ten causes of DALYs in children younger than 10 years in 2019: lower respiratory infections (ranked second), diarrhoeal diseases (third), malaria (fifth), meningitis (sixth), whooping cough (ninth), and sexually transmitted infections (which, in this age group, is fully accounted for by congenital syphilis; ranked tenth). In adolescents aged 10-24 years, three injury causes were among the top causes of DALYs: road injuries (ranked first), self-harm (third), and interpersonal violence (fifth). Five of the causes that were in the top ten for ages 10-24 years were also in the top ten in the 25-49-year age group: road injuries (ranked first), HIV/AIDS (second), low back pain (fourth), headache disorders (fifth), and depressive disorders (sixth). In 2019, ischaemic heart disease and stroke were the top-ranked causes of DALYs in both the 50-74-year and 75-years-and-older age groups. Since 1990, there has been a marked shift towards a greater proportion of burden due to YLDs from non-communicable diseases and injuries. In 2019, there were 11 countries where non-communicable disease and injury YLDs constituted more than half of all disease burden. Decreases in age-standardised DALY rates have accelerated over the past decade in countries at the lower end of the SDI range, while improvements have started to stagnate or even reverse in countries with higher SDI. Interpretation As disability becomes an increasingly large component of disease burden and a larger component of health expenditure, greater research and development investment is needed to identify new, more effective intervention strategies. With a rapidly ageing global population, the demands on health services to deal with disabling outcomes, which increase with age, will require policy makers to anticipate these changes. The mix of universal and more geographically specific influences on health reinforces the need for regular reporting on population health in detail and by underlying cause to help decision makers to identify success stories of disease control to emulate, as well as opportunities to improve. Copyright (C) 2020 The Author(s). Published by Elsevier Ltd. ; Research reported in this publication was supported by the Bill & Melinda Gates Foundation; the University of Melbourne; Queensland Department of Health, Australia; the National Health and Medical Research Council, Australia; Public Health England; the Norwegian Institute of Public Health; St Jude Children's Research Hospital; the Cardiovascular Medical Research and Education Fund; the National Institute on Ageing of the National Institutes of Health (award P30AG047845); and the National Institute of Mental Health of the National Institutes of Health (award R01MH110163). The content is solely the responsibility of the authors and does not necessarily represent the official views of the funders. The authors alone are responsible for the views expressed in this Article and they do not necessarily represent the views, decisions, or policies of the institutions with which they are affiliated, the National Health Service (NHS), the National Institute for Health Research (NIHR), the UK Department of Health and Social Care, or Public Health England; the United States Agency for International Development (USAID), the US Government, or MEASURE Evaluation; or the European Centre for Disease Prevention and Control (ECDC). This research used data from the Chile National Health Survey 2003, 2009-10, and 2016-17. The authors are grateful to the Ministry of Health, the survey copyright owner, for allowing them to have the database. All results of the study are those of the authors and in no way committed to the Ministry. The Costa Rican Longevity and Healthy Aging Study project is a longitudinal study by the University of Costa Rica's Centro Centroamericano de Poblacion and Instituto de Investigaciones en Salud, in collaboration with the University of California at Berkeley. The original pre-1945 cohort was funded by the Wellcome Trust (grant 072406), and the 1945-55 Retirement Cohort was funded by the US National Institute on Aging (grant R01AG031716). The principal investigators are Luis Rosero-Bixby and William H Dow and co-principal investigators are Xinia Fernandez and Gilbert Brenes. The accuracy of the authors' statistical analysis and the findings they report are not the responsibility of ECDC. ECDC is not responsible for conclusions or opinions drawn from the data provided. ECDC is not responsible for the correctness of the data and for data management, data merging and data collation after provision of the data. ECDC shall not be held liable for improper or incorrect use of the data. The Health Behaviour in School-Aged Children (HBSC) study is an international study carried out in collaboration with WHO/EURO. The international coordinator of the 1997-98, 2001-02, 2005-06, and 2009-10 surveys was Candace Currie and the databank manager for the 1997-98 survey was Bente Wold, whereas for the following surveys Oddrun Samdal was the databank manager. A list of principal investigators in each country can be found on the HBSC website. Data used in this paper come from the 2009-10 Ghana Socioeconomic Panel Study Survey, which is a nationally representative survey of more than 5000 households in Ghana. The survey is a joint effort undertaken by the Institute of Statistical, Social and Economic Research (ISSER) at the University of Ghana and the Economic Growth Centre (EGC) at Yale University. It was funded by EGC. ISSER and the EGC are not responsible for the estimations reported by the analysts. The Palestinian Central Bureau of Statistics granted the researchers access to relevant data in accordance with license number SLN2014-3-170, after subjecting data to processing aiming to preserve the confidentiality of individual data in accordance with the General Statistics Law, 2000. The researchers are solely responsible for the conclusions and inferences drawn upon available data. Data for this research was provided by MEASURE Evaluation, funded by USAID. The authors thank the Russia Longitudinal Monitoring Survey, conducted by the National Research University Higher School of Economics and ZAO Demoscope together with Carolina Population Center, University of North Carolina at Chapel Hill and the Institute of Sociology, Russia Academy of Sciences for making data available. This paper uses data from the Bhutan 2014 STEPS survey, implemented by the Ministry of Health with the support of WHO; the Kuwait 2006 and 2014 STEPS surveys, implemented by the Ministry of Health with the support of WHO; the Libya 2009 STEPS survey, implemented by the Secretariat of Health and Environment with the support of WHO; the Malawi 2009 STEPS survey, implemented by Ministry of Health with the support of WHO; and the Moldova 2013 STEPS survey, implemented by the Ministry of Health, the National Bureau of Statistics, and the National Center of Public Health with the support of WHO. This paper uses data from Survey of Health, Ageing and Retirement in Europe (SHARE) Waves 1 (DOI:10.6103/SHARE. w1.700), 2 (10.6103/SHARE.w2.700), 3 (10.6103/SHARE.w3.700), 4 (10.6103/SHARE.w4.700), 5 (10.6103/SHARE.w5.700), 6 (10.6103/SHARE.w6.700), and 7 (10.6103/SHARE.w7.700); see Borsch-Supan and colleagues (2013) for methodological details. The SHARE data collection has been funded by the European Commission through FP5 (QLK6-CT-2001-00360), FP6 (SHARE-I3: RII-CT-2006-062193, COMPARE: CIT5-CT-2005-028857, SHARELIFE: CIT4-CT-2006-028812), FP7 (SHARE-PREP: GA N degrees 211909, SHARE-LEAP: GA N degrees 227822, SHARE M4: GA N degrees 261982) and Horizon 2020 (SHARE-DEV3: GA N degrees 676536, SERISS: GA N degrees 654221) and by DG Employment, Social Affairs & Inclusion. Additional funding from the German Ministry of Education and Research, the Max Planck Society for the Advancement of Science, the US National Institute on Aging (U01_AG09740-13S2, P01_AG005842, P01_AG08291, P30_AG12815, R21_AG025169, Y1-AG-4553-01, IAG_BSR06-11, OGHA_04-064, HHSN271201300071C), and from various national funding sources is gratefully acknowledged. This study has been realised using the data collected by the Swiss Household Panel, which is based at the Swiss Centre of Expertise in the Social Sciences. The project is financed by the Swiss National Science Foundation. The United States Aging, Demographics, and Memory Study is a supplement to the Health and Retirement Study (HRS), which is sponsored by the National Institute of Aging (grant number NIA U01AG009740). It was conducted jointly by Duke University and the University of Michigan. The HRS is sponsored by the National Institute on Aging (grant number NIA U01AG009740) and is conducted by the University of Michigan. This paper uses data from Add Health, a program project designed by J Richard Udry, Peter S Bearman, and Kathleen Mullan Harris, and funded by a grant P01-HD31921 from the Eunice Kennedy Shriver National Institute of Child Health and Human Development, with cooperative funding from 17 other agencies. Special acknowledgment is due to Ronald R Rindfuss and Barbara Entwisle for assistance in the original design. Information on how to obtain the Add Health data files is available on the Add Health website. No direct support was received from grant P01-HD31921 for this analysis. The data reported here have been supplied by the United States Renal Data System. The interpretation and reporting of these data are the responsibility of the authors and in no way should be seen as an official policy or interpretation of the US Government. Collection of data for the Mozambique National Survey on the Causes of Death 2007-08 was made possible by USAID under the terms of cooperative agreement GPO-A-00-08-000_D3-00. This manuscript is based on data collected and shared by the International Vaccine Institute (IVI) from an original study IVI conducted. L G Abreu acknowledges support from Coordenacao de Aperfeicoamento de Pessoal de Nivel Superior (Brazil; finance code 001) and Conselho Nacional de Desenvolvimento Cientifico e Tecnologico (CNPq, a Brazilian funding agency). I N Ackerman was supported by a Victorian Health and Medical Research Fellowship awarded by the Victorian Government. O O Adetokunboh acknowledges the South African Department of Science and Innovation and the National Research Foundation. A Agrawal acknowledges the Wellcome Trust DBT India Alliance Senior Fellowship. S M Aljunid acknowledges the Department of Health Policy and Management, Faculty of Public Health, Kuwait University and International Centre for Casemix and Clinical Coding, Faculty of Medicine, National University of Malaysia for the approval and support to participate in this research project. M Ausloos, C Herteliu, and A Pana acknowledge partial support by a grant of the Romanian National Authority for Scientific Research and Innovation, CNDS-UEFISCDI, project number PN-III-P4-ID-PCCF-2016-0084. A Badawi is supported by the Public Health Agency of Canada. D A Bennett was supported by the NIHR Oxford Biomedical Research Centre. R Bourne acknowledges the Brien Holden Vision Institute, University of Heidelberg, Sightsavers, Fred Hollows Foundation, and Thea Foundation. G B Britton and I Moreno Velasquez were supported by the Sistema Nacional de Investigacion, SNI-SENACYT, Panama. R Buchbinder was supported by an Australian National Health and Medical Research Council (NHMRC) Senior Principal Research Fellowship. J J Carrero was supported by the Swedish Research Council (2019-01059). F Carvalho acknowledges UID/MULTI/04378/2019 and UID/QUI/50006/2019 support with funding from FCT/MCTES through national funds. A R Chang was supported by National Institutes of Health/National Institute of Diabetes and Digestive and Kidney Diseases grant K23 DK106515. V M Costa acknowledges the grant SFRH/BHD/110001/2015, received by Portuguese national funds through Fundacao para a Ciencia e Tecnologia, IP, under the Norma Transitaria DL57/2016/CP1334/CT0006. A Douiri acknowledges support and funding from the National Institute for Health Research Collaboration for Leadership in Applied Health Research and Care South London at King's College Hospital NHS Foundation Trust and the Royal College of Physicians, and support from the NIHR Biomedical Research Centre based at Guy's and St Thomas' NHS Foundation Trust and King's College London. B B Duncan acknowledges grants from the Foundation for the Support of Research of the State of Rio Grande do Sul (IATS and PrInt) and the Brazilian Ministry of Health. H E Erskine is the recipient of an Australian NHMRC Early Career Fellowship grant (APP1137969). A J Ferrari was supported by a NHMRC Early Career Fellowship grant (APP1121516). H E Erskine and A J Ferrari are employed by and A M Mantilla-Herrera and D F Santomauro affiliated with the Queensland Centre for Mental Health Research, which receives core funding from the Queensland Department of Health. M L Ferreira holds an NHMRC Research Fellowship. C Flohr was supported by the NIHR Biomedical Research Centre based at Guy's and St Thomas' NHS Foundation Trust. M Freitas acknowledges financial support from the EU (European Regional Development Fund [FEDER] funds through COMPETE POCI-01-0145-FEDER-029248) and National Funds (Fundacao para a Ciencia e Tecnologia) through project PTDC/NAN-MAT/29248/2017. A L S Guimaraes acknowledges support from CNPq. C Herteliu was partially supported by a grant co-funded by FEDER through Operational Competitiveness Program (project ID P_40_382). P Hoogar acknowledges Centre for Bio Cultural Studies, Directorate of Research, Manipal Academy of Higher Education and Centre for Holistic Development and Research, Kalaghatagi. F N Hugo acknowledges the Visiting Professorship, PRINT Program, CAPES Foundation, Brazil. B-F Hwang was supported by China Medical University (CMU107-Z-04), Taichung, Taiwan. S M S Islam was funded by a National Heart Foundation Senior Research Fellowship and supported by Deakin University. R Q Ivers was supported by a research fellowship from the National Health and Medical Research Council of Australia. M Jakovljevic acknowledges the Serbian part of this GBD-related contribution was co-funded through Grant OI175014 of the Ministry of Education Science and Technological Development of the Republic of Serbia. P Jeemon was supported by a Clinical and Public Health intermediate fellowship (grant number IA/CPHI/14/1/501497) from the Wellcome Trust-Department of Biotechnology, India Alliance (2015-20). O John is a recipient of UIPA scholarship from University of New South Wales, Sydney. S V Katikireddi acknowledges funding from a NRS Senior Clinical Fellowship (SCAF/15/02), the Medical Research Council (MC_UU_12017/13, MC_UU_12017/15), and the Scottish Government Chief Scientist Office (SPHSU13, SPHSU15). C Kieling is a CNPq researcher and a UK Academy of Medical Sciences Newton Advanced Fellow. Y J Kim was supported by Research Management Office, Xiamen University Malaysia (XMUMRF/2018-C2/ITCM/00010). K Krishan is supported by UGC Centre of Advanced Study awarded to the Department of Anthropology, Panjab University, Chandigarh, India. M Kumar was supported by K43 TW 010716 FIC/NIMH. B Lacey acknowledges support from the NIHR Oxford Biomedical Research Centre and the BHF Centre of Research Excellence, Oxford. J V Lazarus was supported by a Spanish Ministry of Science, Innovation and Universities Miguel Servet grant (Instituto de Salud Carlos III [ISCIII]/ESF, the EU [CP18/00074]). K J Looker thanks the NIHR Health Protection Research Unit in Evaluation of Interventions at the University of Bristol, in partnership with Public Health England, for research support. S Lorkowski was funded by the German Federal Ministry of Education and Research (nutriCARD, grant agreement number 01EA1808A). R A Lyons is supported by Health Data Research UK (HDR-9006), which is funded by the UK Medical Research Council, Engineering and Physical Sciences Research Council, Economic and Social Research Council, NIHR (England), Chief Scientist Office of the Scottish Government Health and Social Care Directorates, Health and Social Care Research and Development Division (Welsh Government), Public Health Agency (Northern Ireland), British Heart Foundation, and Wellcome Trust. J J McGrath is supported by the Danish National Research Foundation (Niels Bohr Professorship), and the Queensland Health Department (via West Moreton HHS). P T N Memiah acknowledges support from CODESRIA. U O Mueller gratefully acknowledges funding by the German National Cohort Study BMBF grant number 01ER1801D. S Nomura acknowledges the Ministry of Education, Culture, Sports, Science, and Technology of Japan (18K10082). A Ortiz was supported by ISCIII PI19/00815, DTS18/00032, ISCIII-RETIC REDinREN RD016/0009 Fondos FEDER, FRIAT, Comunidad de Madrid B2017/BMD-3686 CIFRA2-CM. These funding sources had no role in the writing of the manuscript or the decision to submit it for publication. S B Patten was supported by the Cuthbertson & Fischer Chair in Pediatric Mental Health at the University of Calgary. G C Patton was supported by an aNHMRC Senior Principal Research Fellowship. M R Phillips was supported in part by the National Natural Science Foundation of China (NSFC, number 81371502 and 81761128031). A Raggi, D Sattin, and S Schiavolin were supported by grants from the Italian Ministry of Health (Ricerca Corrente, Fondazione Istituto Neurologico C Besta, Linea 4-Outcome Research: dagli Indicatori alle Raccomandazioni Cliniche). P Rathi and B Unnikrishnan acknowledge Kasturba Medical College, Mangalore, Manipal Academy of Higher Education, Manipal. A L P Ribeiro was supported by Brazilian National Research Council, CNPq, and the Minas Gerais State Research Agency, FAPEMIG. D C Ribeiro was supported by The Sir Charles Hercus Health Research Fellowship (#18/111) Health Research Council of New Zealand. D Ribeiro acknowledges financial support from the EU (FEDER funds through the Operational Competitiveness Program; POCI-01-0145-FEDER-029253). P S Sachdev acknowledges funding from the NHMRC of Australia Program Grant. A M Samy was supported by a fellowship from the Egyptian Fulbright Mission Program. M M Santric-Milicevic acknowledges the Ministry of Education, Science and Technological Development of the Republic of Serbia (contract number 175087). R Sarmiento-Suarez received institutional support from Applied and Environmental Sciences University (Bogota, Colombia) and ISCIII (Madrid, Spain). A E Schutte received support from the South African National Research Foundation SARChI Initiative (GUN 86895) and Medical Research Council. S T S Skou is currently funded by a grant from Region Zealand (Exercise First) and a grant from the European Research Council under the EU's Horizon 2020 research and innovation program (grant agreement number 801790). J B Soriano is funded by Centro de Investigacion en Red de Enfermedades Respiratorias, ISCIII. R Tabares-Seisdedos was supported in part by the national grant PI17/00719 from ISCIII-FEDER. N Taveira was partially supported by the European & Developing Countries Clinical Trials Partnership, the EU (LIFE project, reference RIA2016MC-1615). S Tyrovolas was supported by the Foundation for Education and European Culture, the Sara Borrell postdoctoral programme (reference number CD15/00019 from ISCIII-FEDER). S B Zaman received a scholarship from the Australian Government research training programme in support of his academic career. ; "Peer Reviewed"