TRANSFORMACJE (TRANSFORMATIONS)

Transformacje (Transformations) is an interdisciplinary refereed, reviewed journal, published since 1992.

The journal is devoted to i.a.: civilizational and cultural transformations, (knowledge) , global problematique, , political and values, future studies.

The journal's quasi- is TRANSFORMATION - as a present stage and form of development of , , , , values, etc. Impacts and potentialities of change and transition need new methodological tools, new visions and for theoretical and practical capacity-building. The journal aims to promote inter-, multi- and transdisci- plinary approach, future orientation and strategic and global thinking.

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I TRANSFORMACJE(TRANSFORMATIONS) 3-4 (78-79) 2013

ISSN 1230-0292 Reviewed journal Published twice a year (double issues) in Polish and English (separate papers)

Editorial Staff:

Prof. Lech W. ZACHER, Center of Impact Assessment Studies and Forecasting, Kozminski University, Warsaw, Poland ([email protected]) – Editor-in-Chief

Prof. Dora MARINOVA, Institute, Curtin University, Perth, Australia ([email protected]) – Deputy Editor-in-Chief

Prof. Tadeusz MICZKA, Institute of Cultural and Interdisciplinary Studies, University of Silesia, Katowice, Poland ([email protected]) – Deputy Editor-in-Chief

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Dr Alina BETLEJ, Institute of , John Paul II Catholic University of Lublin, Poland

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Prof. Gavin RAE, Department of Social Sciences, Kozminski University, Warsaw, Poland (also English language editor)

Dr Magdalena RZADKOWOLSKA, Chair of Library and Information , Uni- versity of Lodz, Łódź, Poland

Prof. Sangeeta SHARMA, Dept. of , University of Rajasthan, Jaipur, India

Prof. Ryszard ZIĘBA, The Institute of , University of Warsaw, Poland

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III

INTERNATIONAL SCIENTIFIC COUNCIL

Dr Clement Bezold Prof. Witold T. Bielecki Prof. Czesław Cempel Institute for Alternative Futures, Kozminski University Poznan University of Technology Alexandria, VA, USA Warsaw, Poland Poznan, Poland

Dr Vary T. Coates Prof. Andrzej Chodubski Joseph F. Coates The Kanawha Institute University of Gdańsk, Futurist in Residence for the Study of the Future, Gdańsk, Poland Washington, D.C.,USA Washington, D.C., USA

Prof. Meinolf Dierkes Prof. Nikolai Genov Prof. Günter Getzinger Science Center (WZB), Freie Universität, Alpen-Adria Universität Berlin, Germany Berlin, Germany Klagenfurt, Austria

Prof. Larisa A. Gromova Prof. Tomasz Goban-Klas Prof. Janusz Golinowski Herzen State Jagiellonian University Kazimierz Wielki University, Pedagogical University Cracow, Poland Bydgoszcz, Poland St. Petersburg, Russia

Prof. Armin Grunwald Prof. Andrzej Herman Prof. Jerzy Kisielnicki Karlsruhe Institute of Technology Warsaw School of , University of Warsaw Karlsruhe, Germany Warsaw, Poland Warsaw, Poland

Prof. Witold Kieżun Prof. Andrzej K. Koźmiński Prof. Wojciech Lamentowicz Kozminski University Kozminski University University of Business and Admini- Warsaw, Poland Warsaw, Poland stration, Gdynia, Poland

Prince Prof. Rudolf zur Lippe Prof. Andrzej Lubbe Dr Michael Maccoby Oldenburg Universität Kozminski University The Maccoby Group PC, Oldenburg, Germany Warsaw, Poland Washington, D.C., USA

Prof. Prof. Ali A. Mazrui Prof. Witold Morawski Jerzy Mikułowski - Pomorski State University of New York, Kozminski University Cracow University of Economics, Binghampton, N.Y., USA Warsaw, Poland Cracow, Poland

Prof. Andrzej Papuziński Prof. Sławomir Partycki Prof. Karol L. Pelc Kazimierz Wielki University, John Paul II Michigan Technological University Bydgoszcz, Poland Catholic University of Lublin, Poland Houghton, Ml, USA

Prof. Marek Pietraś Prof. Alan R. Porter Prof. Bazyli Poskrobko Maria Curie-Skłodowska Georgia Institute of Technology, University of Białystok, University, Lublin, Poland Atlanta, GA, USA Białystok, Poland

Prof. Harry Rothman Col. Prof. Piotr Sienkiewicz Prof. Marek S. Szczepański University of Manchester National Defence University, University of Silesia Manchester, UK Warsaw, Poland Katowice, Poland

Prof. Agnieszka Szewczyk Prof. Czesław Szmidt Prof. Andrew S. Targowski University of Szczecin, Kozminski University Western Michigan University Szczecin, Poland Warsaw Kalamazoo, Ml, USA

Prof. Albert H. Teich Prof. Andrzej A. Wierzbicki Prof. Katarzyna Żukrowska American Association for the National Institute of Telcommunica- Warsaw School of Economics Advancement of Science, tions, Warsaw, Poland Warsaw, Poland Washington, D.C., USA

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TRANSFORMACJE (TRANSFORMATIONS) 3-4 (78-79) 2013

Contents

I. Information – – Media

Radosław SAJNA: Digital Divide, Global Communication Order and Media Development: Newspapers Online from Different Continents ...... 2

Iryna KOLOSOVSKA, Peter BOŁTUĆ: Informational Influence on Public Opinion ...... 23

Agnieszka SZEWCZYK: Shop or E-Commerce? ...... 34

Aleksandra KUPIS-FIJAŁKOWSKA: Surveys in the Context of Virtual Soci- ety – A Statistical ...... 55

Urszula ZIMOCH: A Comparative Analysis of the Information Culture as the Information Society Indicator in Poland and Finland ...... 70

Davide LAMPUGNANI: From Nowhere to Everywhere: Addressing the Shift- ing Relationship between Digital and the ...... 93

Kateryna NOVIKOVA: Networks and Social Movements Mobilization – Theoretical Framework for the -based Protest and Activism Research ...... 109

Simone TOSONI: The Four Phases of Internet Research: A Proposal for a Critical Periodization ...... 127

II. Global Problems – Future – – Values

Wojtek LAMENTOWICZ: The Gordian and Alexandrian Solutions: New Approach to Forecasting and Strategy Making ...... 142

Lech W. ZACHER: Reconfigurations in the World – Between the Old Driving Forces and New Networks ...... 182

J. Andrew ROSS: Globorg: The Emerging Global ...... 199

Filip PIERZCHALSKI: Dialectical Leader – Political Leadership in Morpho- genetic Approach ...... 217

V Kathleen O’HARE, Dora MARINOVA: Sharing Common Ground: Human Rights Discourse and the Practice of Yoga ...... 232

III. Sustainability – Knowledge – Wisdom

Joanna KIELIN-MAZIARZ: Environmental and Sustainable Development ...... 250

Jin HONG, Xiumei GUO, Wentao YU, Dora MARINOVA: Non- Organisations (NGOs) and the Dissemination of Environmental Knowledge in China ...... 260

Lesław MICHNOWSKI: Towards Eco-Humanism ...... 272

Amzad HOSSAIN, Dora MARINOVA: Wisdom for Living with Certainty amidst Uncertainty ...... 291

IV. Transformational Case Studies Worldwide

Katarzyna KOPECKA-PIECH: Creative and Cultural Industries Policy in Poland of 2012. Status, Strategies and Inaugurating ...... 306

Matteo TARANTINO: Framing School Space: Notes for a Taxonomy of the Representation of Educational Spaces ...... 329

Qian GONG: Moral Leaders or Moral Degenerates: Media, Teachers, and the Politics of Representation ...... 343

Yuan GAO, Jeffrey KENWORTHY, Peter NEWMAN, Philip WEB- STER: Analysis of the Competitive Capacity of Six Provinces in Central China: Towards „Central Rise” ...... 366

Emma GARAVAGLIA, Rosangela LODIGIANI: Active Welfare State and Active Ageing. Inertia, and Paradoxes of the Italian Case ...... 385

V. Varia: Management and Logistics

Eugeniusz NOWAK: Logistics and Logistic Management in Crisis Situations ...... 410

Marek KUBIŃSKI: The Confronting Aspects of Conducting Military Activi- ties in Built-up Area Conditions ...... 422

Instructions to Authors ...... 437

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VII

INFORMATION – I. COMMUNICATION – MEDIA

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Radosław SAJNA

DIGITAL DIVIDE, GLOBAL COMMUNICATION ORDER, AND MEDIA DEVELOPMENT: NEWSPAPERS ONLINE FROM DIFFERENT CONTINENTS

INTRODUCTION

There is a strong connection between the of digital divide, global communication order and media development when the online editions of newspapers from different countries are analyzed in a comparative study. The expansion of the internet provokes many changes in the media landscapes around the world, and the development of newspaper websites should be un- derstood as a natural effect of the contemporary trends in the development of media technology, but the problem is related also to the media business. Since more and more money is spent for Internet commercial campaigns, because more and more internet users search for news in the so-called , the online editions of newspapers are becoming a more and more important busi- ness. These business realities provoke inequalities: the global media business is dominated by several centers, as well as disparities in the economical and technological development around the world. The differences are obvious (sometimes enormous) and clearly visible, particularly when the access to information is considered at a global scale. Lech W. Zacher (2010: 238) states: „ can be more beneficial for more countries if access to informa- tion and possibilities of communication are more equitable”.

Are important differences evident also when the online editions of newspapers from different countries (from different continents) are compared? This is the main question of this study, together with the next, also important question: do these differences (if they exist) correlate with inequalities in the internet ac- cess penetration and human development?

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Digital divide and technology

The problem of digital divide has been analyzed in many studies by different scholars (Lazarus and Mora, 2000; Aichholzer and Schmutzer, 2001; Norris, 2001; Rajora, 2002; Warschauer, 2004; van Dijk, 2005; Ragnedda and Mus- chert, 2013). One of the most important aspects of the digital divide is, un- doubtedly, technology and the problem of unequal access to different commu- nication devices and content, software and hardware etc. In addition to the access being considered most commonly by models based on devices and conduits, Mark Warschauer (2004: 31-48) suggests a third model that focuses on literacy. Literacy and access to ICTs (information and communication ) are both, according to Warschauer, „closely connected to ad- vances in human communication and the means of knowledge production” (2004: 38). Indeed, today literacy means access to ICT and vice-versa, and taking into consideration the role of the media in the societies of the centuries after Gutenberg, a person able to read the press in the 17th or 18th century was privileged in the same way as today a person who has access to the newest ICTs. History, however, has lead to a situation of obvious (and sometimes enormous) inequality among people around the world. The data on access to the Internet (see table 2) and to other ICTs show this clearly. Probably this is the most evident manifestation of the digital divide, though, of course, it is only a starting point to social and economic consequences. Kieron O’Hara and David Stevens write:

How do we explain the existence of a global digital divide? The most obvious reason might be to do with economic development. The diffusion of the new technologies might vary directly with the level of a country’s economic development. (2006: 142)

Indeed, the unequal economic development is responsible for other different kinds of inequality, with access to technologies being a natural consequence. In the case of the information and communication technologies the problem is even deeper, because the gaps lead to bigger gaps. Eli Noam (2010: 48-55) named three kinds of gaps at the time of the beginning of the internet revolu- tion: the first gap is that of telecommunications connectivity, the second one is related to internet access, and the third and critical gap is that of e-commerce.

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According to Robert McChesney (2008: 436), „the internet in many ways is coming to play the same role in the twenty-first-century economy and that cars have over the past seventy-five years or so”. Hence e- commerce should be a key component of economic development, and, as a consequence, the main factor responsible for the next gaps and inequalities. Indeed, the digital divide stems from an unequal access to technologies that itself stems from unequal economic development, and leads to more unequal economic development that leads to more unequal access to technologies. And so on.

Global communication order and media development

The economy has been a key factor in shaping the global communication or- der, generally and media development in particular. Dwayne R. Winseck and Robert M. Pike analyze the problem with a starting point in 1860 that „reflects a number of factors, including the extra-European focus of capital flows that emerged in the last few decades of the nineteenth century, the parallel rise of multinational corporate and financial institutions, the of new tech- nologies and business that became the basis of what we call the global media system (…)” (2007: 1). Although primitive forms of communication appeared in different parts of the world and printing was nothing new in some Asiatic regions when in the 15th century Johannes Gutenberg began a second „media metamorphosis” in Europe (after the first that was writing) (Goban Klas, 2005; Bajka, 2008), the center of contemporary media development lays be- came the United States. The Industrial and the global domination of the British in the 19th century finally led to a world dominated by global liberal economy with the USA and Great Britain as leaders of the proc- ess and the global . Jane Chapman explains:

The late nineteenth century was a period of industrial expansion for America and much of continental Europe. Britain had already experienced the phenomenon much earlier, and Japan was to con- tinue the process at a faster rate in the twentieth century. In the , the twentieth century’s age of consumption had clearly arrived in the form of popular fashions promoted by de-

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partment stores and a wealth of other new consumer goods, from the bicycle through to the typewriter and gramophone records that were already capable of hitting a million in sales. (…)

A late nineteenth-century of industrialization produced tech- nical changes which enabled news stories to be produced more quickly with easier production in bigger volume (…). (2005: 72- 74)

It is obvious that the most industrialized countries were leaders in the mass production of technology, and it is not a surprise that British and American companies (as well as German, French or others Western at a smaller degree) were leaders in the telegraph industry, laying cables around the world and creating „global media cartels” (Winseck & Pike, 2007, 2008). It was the first big step to create a global communication order dominated by big multi-media corporations that rule the different media markets, above all in the film and music records industry, TV production, and lastly in the internet business (Bagdikian, 2004; Thussu 2006; Schiller, 2010). Among the biggest are mainly North American companies, such as Disney Corp., TimeWarner, Via- com, News Corp. and others (McPhail, 2006: 59-94), including Google Corp. and Comcast which in 2013 became the top largest world media holdings (ac- cording to the Berlin Institut für Medien- und Kommunikationpolitik: IfM, 2013), and several from the Western Europe (Bertelsmann from Germany and Vivendi from France, above all) and Sony from Japan. Although some strong media corporations are growing in less developed regions, such as Globo Communicação e Participações S.A. (Brazil), Grupo Televisa (Mexico) and others in Latin America (Lozano, 2007) or The Naspers Group in the South Africa, and the pan-Arab TV Al-Jazeera (Zayani, 2005) as well as the Latin American TeleSUR (Sajna, 2013) and are becoming important rivals –at least in their respective regions– to the global TV news leaders, like CNN or BBC World, still the North American (together with Western European and Japa- nese) companies are shaping the media development on the global scale. Such domination is often described as media in the broader context of cultural imperialism (Tomlinson, 1991, Boyd-Barrett, 2010). Despite the fact that in China and India (sometimes referred to as ‘Chindia”), the most popu- lous countries in the world with today’s biggest newspapers markets (Kohli-

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Khandekar, 2006; Moro and Aikat, 2010; Xin, 2010; Shuli, 2011), the media business is also growing (though in China under the state’s control) and South Korea having become a strong producer of many communication devices, the cultural power continues to strengthen globally. In recent years many scholars from around the world present a new vision of „global media (s) and con- tra-flow(s)” (Thussu, 2006, 2007; Kavoori, 2007; Rantanen, 2007) or „asym- metrical interdependence” (Straubhaar, 2010). The centers of the media tech- nology as well as journalism and the news standards, however, are still firmly based in the United States, Western Europe and Japan. In poorer regions of the world (in the „global South”), many people work for big media companies (from the „global North”). In the internet business the dominant role of the United States is even more evident, despite the global Web being a strong power to decentralize and even make them „more local” (Postill, 2008). It is still an important tool of democratization and construction of new public spheres in different parts of the world (Eickelman and Ander- son, 2003; George, 2006; Groshek, 2009; Gang and Bandurski, 2011), creat- ing the new realities of the communication power (Castells, 2009).

Newspapers online and traditional press

When the internet began to expand in the second half of the last decade of the 20th century, the prestigious newspapers in different countries (firstly the most developed) created their online editions, although initially not many people had access to the World Wide Web. In the new millennium, however, when the internet became popular in many parts of the world (though still not eve- rywhere), it is the norm for every prestige newspaper to be present in the „cy- ber-space”, and new forms of online journalism have emerged. Academics began to think about the relations between the old and , paving the way for new . Niels Ole Finnemann (2006: 43-54) distinguishes five groups of them: a) cyberspace theories, b) theories of complete replacement, c) theories of a new hegemonic superstructure, d) theories of convergence, e) theories of and co-evolution. According to Finnemann, „[t]he notion of convergent media is well established and probably the most widespread and dominant idea of the relation between old and new media. Unfortunately, it is very unclear” (2006: 46).

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In general, all the history of media development could be treated as a history of convergences or a process of „technologizing the word” (Balnaves et al., 2009). Despite practical problems in many media companies and limited ef- fects in many cases, the convergence is a dynamic process and one of the most important phenomena in contemporary media (Kreft, 2011). The word „con- vergence” is used nowadays in different contexts because there are differrent kinds of convergence – technological (convergence of devices, solutions, net- works), economic (convergence of markets, and corporations) or convergence of contents (Kopecka-Piech, 2011). Peter Jenkins (2006) wrote about a „convergence culture”, and Asa Briggs and Peter Burke note that since the 1980s onwards this fashionable word „was applied most commonly to the development of digital technology, the integration of text, numbers, images and sound, different elements in the media which have largely been consid- ered separately in the previous periods of history (…)” (205: 217).

In the case of the newspapers online, indeed, such an aspect of the of convergence seems to be most relevant, though there are also „prophets” that prefer to predict the total disappearance of the traditional, printed press, con- sidering this process in a context of the end of mass communication (Fogel and Patiño, 2007). There are some strong arguments about superiority of the online editions of newspapers, including wider reach (not limited to printed copies), elimination of printing and traditional distribution costs, new forms of interactivity with the audience, new possibilities of multi-media com- munication as well as some ecological considerations (Sajna, 2009: 205-214). Nevertheless, not these arguments but the owners of the newspapers will de- cide whether or when the printed editions will disappear. Taking into consid- eration the uneven development of the media, the trends that appear now in the global media centers might suggest the way the newspapers in different countries will evolve. In the USA, the global internet center, some newspapers already exist only on the internet without printed editions, despite many years of . Also, new online media, without any „print tradition”, have emerged in the USA, e.g. „The Huffington Post” or „The Daily”, and the changes in the press system and news consumption in that country seem irre- versible (Jaskiernia, 2011). Similar changes are evident in different parts of the world, but this is outside the scope of this analysis.

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The main goal of this study is not to consider the possible end of the printed press, but to analyze differences in the development of the online editions of prestige newspapers from different countries (and different continents), repre- senting different levels of economic development, human development or internet users’ penetration.

HYPOTHESES AND METHODS

In line with the main research question of this study, the hypotheses are:

H1: The online editions of newspapers are most developed in the most developed countries. H2: The online editions of newspapers are least developed in the least developed countries. H3: The online editions of newspapers from the global communication centers (firstly from the USA, then from Western Europe and Japan, and owned by the biggest media corporations) are most developed. H4: The development of the online editions of newspapers correlates posi- tively with internet penetration (that means the percentage of internet users among a ) in a given country. H5: The development of the online editions of newspapers correlates posi- tively with the position of a given country in the Human Development Index.

To confirm or reject these hypotheses it was necessary to analyze the online editions of newspapers from different countries (from different continents). Sixty daily newspapers (considered as prestigious in the respective countries) have been chosen: 20 from Europe, 20 from North and South America, and 20 from Africa, Asia and Australia (only one per country; for the complete list of newspapers see table 1). The selection of newspapers was not intended to confirm or reject the hypotheses, but was based on assumptions related to the main question of the study. I chose newspapers that were important and inter- esting to analyze, such as „The Australian” from Australia, „The Times” from the United Kingdom, and „Globo” from Brasil, because they are owned by big corporations; „The New York Times” from the USA or „Neue Zürcher Zei-

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tung” from Switzerland, because they are the most prestigious newspapers in their respective countries; „Milenio” from Mexico or „Siglo XXI” from Gua- temala, because their names suggest to be modern; „El Mundo” from Spain, because its website is the most popular among Spanish online newspapers readers, and so on.

The development, or rather present quality, of the online editions of these newspapers has been evaluated (by me, individually, with intention to be ob- jective, in accordance with the ethical rules of scientific research) by taking into consideration five main criteria (further details of these criteria are ex- plained when presenting the results of the study): 1) richness and diversity of content; 2) multimedia; 3) interactivity and hyperlinks; 4) languages/global approach; 5) graphics and layout.

Finally, a ranking of the analyzed online editions of the newspapers (and their respective countries) has been created, and has been compared with two rank- ings of countries (including only the 60 countries from which newspapers were analyzed): one of internet users’ penetration statistics, and another one of the Human Development Index (of the United Nations’ Development Pro- gramme). In the table 2 the countries are placed in accordance to the obtained data and in parenthesis the differences with the position of given country in the ranking of the newspapers online are presented (regardless as to whether- the position is higher or lower in the two rankings). Finally, the total differ- ences in both rankings are calculated for comparison and to answer the ques- tion as to which ranking correlates better with the ranking of the newspapers online.

RESULTS

The comparative analysis of the online editions of newspapers shows many differences in each criterion, although they are not as obvious as it could be expected.

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First criterion: richness and diversity of content

The most important element according to this criterion is how much of diver- sified content an internet user could find on the website (online edition) of the newspaper: not only current articles from the print edition, but also special texts for the online edition, archives, articles from other media on different subjects, possibly articles from different regions or etc. In many cases the content is rich and diversified, good examples are the online editions of „Corriere della Sera” (Italia, Corriere.it), „El Mundo” (Spain, ElMundo.es) or „The Australian” (Australia, TheAustralian.com.au) as well as the online edi- tion of the Chilean „El Mercurio”, that is Emol.com, where there are a lot of articles on very different subjects, not related to the print edition, in contrast to the website of the newspaper from neighboring Bolivia „El Diario”, that is El- Diario.net, which is strictly connected to the print edition and contains little more. Some dailies are parts of bigger media groups and therefore offer addi- tionnal content (by links to other media or by publishing articles from other media), such as TheAustralian.com.au or the online edition of „The Monitor” (Uganda, Monitor.co.ug). In several cases the archives are organized very well, the best probably being ElTiempo.com (the online edition of „El Tiempo” from Colombia). In some newspaper websites the content is not rich and not diversified: among the poorest cases are „La Presse” (Tunisia, La- Presse.tn), „Madagascar Tribune” (Madagascar, Madagascar-Tribune.com), „Sud Quotidien” (Senegal, Sudonline.sn) or „The Island” (Sri Lanka, Is- land.lk). These newspapers are generally from the poorer countries on the list.

Second criterion: multimedia

An internet user is looking not only for articles and photos, but also multime- dia: audio, video, maybe live TV that sometimes appears on newspaper web- sites. In the time of multimedia the newspapers online should be multimedia too. In many cases they are. Good examples are: „Le Figaro” (France, LeFi- garo.fr), Corriere.it, TheAustralian.com.au, but also „The Times of India” (India, TimesofIndia.com) and the modern newspaper „Milenio” from Mexico (Milenio.com). On the contrary, some online editions of newspapers have no multi-media (or may have, but they are hard to find). The worst examples are again: Madagascar-Tribune.com, LaPresse.tn and Sudonline.sn from Africa,

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Island.lk from Asia or ElDiario.net and LaPrensa.com.ni (website of „La Prensa” from Nicaragua) from Latin America.

Third criterion: interactivity and hyperlinks

When an internet user reads an article online, watching in addition a short vi- deo film (if possible), sometimes he/she has the opportunity to interact: put a comment, evaluate or share an article, connect to some social media or click on a hyperlink to read other articles, related to the one he/she has been read- ing. Some newspapers online give such possibilities, others do not or do very little. Among the best representatives of the interactive newspapers are again LeFigaro.fr and TimesofIndia.com (that has even its own social media India- Times Network), but also some Latin American cases – ElTiempo.com, LaNacion. com.ar („La Nación”, Argentina), ElComercioPeru.com.pe („El Comercio”, Peru) or NYT.com, that is the website of „The New York Times” from the USA. The worst case is Granma.cubaweb.cu, the online edition of „Granma”, the main newspaper of the Cuban communist regime that is geer- ally not interested, because of political reasons, in any form of „interactivity” with internet users. Not a good example is also one of the „leaders” in the previous criteria TheAustralian.com.au, but in this case it is not a question of national politics, but rather the business policy of the conservative media mo- gul Rupert Murdoch who is the owner of this (and many others) newspaper.

Fourth criterion: languages/global approach

This is perhaps the most controversial criterion, which is not less important than the others. The online editions of the newspapers have potentially a global reach, thanks to the global internet . People throughout the world speak different languages (some of them being very popular and others not on the global scale). Although the newspapers address first of all national audiences, the owners (or editors) of some of them think more glob- ally and invest in editions in other languages, generally the most popular in the world or region. In this way they have more international (or even global) reach. The most „global” in this sense is PeopleDaily.com.cn, the main news- paper of the China ruling party („People’s Daily” in English), that offer edi- tions in English, French, Spanish, Russian and several Asian languages, be- side Chinese. The Cuban Granma.cubaweb.cu offers an English version, and

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in addition an internet user has the option to read „Granma Internacional” in five languages, beside Spanish. In Latin America another newspaper, from Venezuela (although liberal, not socialist or supporting the Cuban or Boli- varian Revolution), „El Universal” (El-Universal.com) has not only Spanish- language, but also an English-language edition online, but it is Asia, above all, where English is treated by the newspapers as an additional, important inter- national language. „Asahi Shimbun” (Japan, Asahi.com), „Chosun Ilbo” (South Korea, Chosun.com) or „Ha’aretz” (Israel, Ha-aretz.com) are good examples, as well as „Hürriyet” (Hurriyet.com.tr) edited in Istanbul, on the Euro-Asiatic frontier. LaPresse.tn from Tunisia is edited in French, but it of- fers also an Arabic version, though poorer in content. On the TimesofIn- dia.com an internet user can find links to other media from the group, some of them in the different languages of the multi-linguistic India. Europe in this criterion is the poorest region in the world, despite the linguistic pluralism of the European Union.

Fifth criterion: graphics and layout

This criterion is the most subjective to evaluate, because the graphics and lay- out are a kind of art, and of art are generally subjective. Neverthe- less, taking into consideration contemporary trends, one can notice more or less investments in graphics. The layout, undoubtedly, should be clear, nice, and easy to „move” across the website’s „labyrinths”. It is better to be wisely original. After observing all the online editions of the analyzed newspapers, the best impression is made by the websites from the German-speaking coun- tries: DiePresse.at („Die Presse”, Austria), Welt.de („Die Welt”, Germany) and NZZ.ch („Neue Zürcher Zeitung”, Switzerland), where modernity corre- lates with the tradition of this old Swiss newspaper. Original graphics and layout appear in some Latin American newspapers online, like ElComer- cioPeru.com.pe or on the website of the Guatemalan newspaper „Siglo XXI” (SigloXXI.com), but in this case the name („21st Century” in English) obliges it to be modern, like in the case of the online edition of „Milenio” (Milenio.com) from Mexico that is relatively modern in graphics and layout.

The comparison results (according to each criterion, see table 1) show that the best of the analyzed newspapers online are: Corriere.it (Italy), LeFigaro.fr

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(France), Chosun.com (South Korea), El-Universal.com (Venezu-ela), Hurri- yet.com.tr (Turkey), TimesofIndia.com (India), Asahi.com (Japan), ElComer- cioPeru.com.pe (Peru), Emol.com (Chile), ElMundo.es (Spain) and LaLi- bre.be (Belgium). At the bottom of the ranking are: Aujourdui.ma (Morocco), ElUniverso.com (Ecuador), LaPresse.tn (Tunisia), LOrient-LeJour.com.bl (Lebanon), MG.co.za (South Africa), NgrGuardiannews.com (Nigeria), Moni- tor.co.ug (Uganda), ElDiario.net (Bolivia), Granma.cubaweb.cu (Cuba), Sud- Online.sn (Senegal), Madagascar-Tribune.com (Madagascar) and Island.lk (Sri Lanka). The best are mainly newspapers from Western Europe, Japan and South Korea, that is from rich countries, but newspapers from India, Turkey, Venezuela, Chile and Peru also appear among the best. Among the worst cases, however, are mainly African newspapers and several from Latin Amer- ica and Asia.

The comparison with the data of the Internet World Stats (IWS, penetration of internet users in population of a given country) and the Human Development Index of the United Nations Development Programme shows some parallels, but also some strong differences (see table 2). The most evident case is India which appears in a very low position in both rankings, but TimesofIn-dia.com is one of the best cases among the analyzed online newspapers editions. An- other case of difference is Norway, a country-leader in the rankings of IWS and HDI, but Aftenposten.no is on a low position (41) in the ranking of the online newspapers. The Latin American cases show some diversity: while some newspapers are among the best, others appear among the worst, and in the IWS and HDI rankings the differences between the countries of this region are not so evident (although between Argentina and Nicaragua, for example, the differences are quite big).

When the total differences between the rankings are analyzed, in both cases the results are similar: -846 and -856 in total, that means the internet penetra- tion and the human development correlate with the quality of the newspapers online in a similar way. This correlation, however, is evident only in some cases (Uruguay, Portugal, Russia, Brazil, South Africa, Madagascar), and in many other cases is not (India, Venezuela, Paraguay, Peru, Turkey, China, Great Britain, Norway; see table 2).

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Table 1. Ranking of the online editions of newspapers (by author) Legend: A - richness and diversity of content B - multimedia C - interactivity and hyperlinks D - languages/global approach E - graphics and layout

Points: 1-5 (1-poor, 2-mediocre, 3-medium, 4-good, 5-very good)

Newspaper / website (country) A B C D E Total 1. Corriere della Sera / Corriere.it (Italy) 5 5 4 1 4 19 Le Figaro / LeFigaro.fr (France) 4 5 5 1 4 19 3. Chosun Ilbo / Chosun.com (South Korea) 4 3 3 3 4 18 El Universal / El-Universal.com 4 4 4 3 3 18 (Venezuela) Hurriyet / Hurriyet.com.tr (Turkey) 4 4 4 3 3 18 The Times of India / TimesofIndia.com 4 4 5 2 3 18 (India) 7. Asahi Shimbun / Asahi.com (Japan) 4 3 4 3 3 17 El Comercio / ElComercioPeru.com.pe 3 3 5 1 5 17 (Peru) El Mercurio / Emol.com (Chile) 5 4 4 1 3 17 El Mundo / ElMundo.es (Spain) 5 3 3 1 5 17 La Libre Belgique / LaLibre.be (Belgium) 4 4 4 1 4 17 12. ABC Color / ABC.com.py (Paraguay) 3 4 4 1 4 16 Berlingske / Berlingske.dk (Denmark) 4 4 4 1 3 16 Die Welt / Welt.de (Germany) 4 3 3 1 5 16 El Tiempo / ElTiempo.com (Colombia) 4 3 5 1 3 16 Helsingin Sanomat / HelsinginSanomat.fi 4 4 4 1 3 16 (Finland) People's Daily / PeopleDaily.com.cn 4 2 2 5 3 16 (China) The Australian / TheAustralian.com.au 5 5 2 1 3 16 (Australia) The Gleaner / Jamaica-Gleaner.com 4 4 4 1 3 16 (Jamaica) 20. Dagens Nyheter / DN.se (Sweden) 4 4 3 1 3 15 Die Presse / DiePresse.at (Austria) 3 2 4 1 5 15 Ha'aretz / Haaretz.com (Israel) 4 2 3 3 3 15 Irish Independent / Independent.ie 4 3 3 1 4 15 (Ireland) La Nación / LaNacion.com.ar (Argentina) 4 2 5 1 3 15 20 Milenio / Milenio.com (Mexico) 3 4 3 1 4 15 Neue Zürcher Zeitung / NZZ.ch 4 2 3 1 5 15 (Switzerland) The New York Times / NYT.com (USA) 3 3 5 1 3 15 28. De Telegraaf / Telegraaf.nl (Netherlands) 4 4 2 1 3 14 El Pais / DiarioElPais.com (Uruguay) 3 3 4 1 3 14

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La Nación / Nacion.co.cr (Costa Rica) 3 3 4 1 3 14 Publico / Publico.pt (Portugal) 3 2 4 1 4 14 The Globe and Mail / GlobeandMail.ca 3 3 4 1 3 14 (Canada) The New Zealand Herald / NZHerald.co.nz 4 3 2 1 4 14 (New Zealand) 34. Daily Nation / Nation.co.ke (Kenya) 4 3 3 1 2 13 Niezawisimaja Gazjeta / NG.ru (Russia) 3 2 3 1 4 13 O Globo / OGlobo.com.br (Brazil) 3 2 4 1 3 13 Siglo XXI /SigloXXI.com (Guatemala) 3 2 2 1 5 13 Sme / Sme.sk (Slovakia) 4 2 4 1 2 13 Ta Nea / TaNea.gr (Greece) 3 3 3 1 3 13 The Daily Star / TheDailyStar.net 3 2 4 1 3 13 (Bangladesh) 41. Aftenposten / Aftenposten.no (Norway) 4 3 2 1 2 12 El Watan / ElWatan.com (Algeria) 4 2 3 1 2 12 La Prensa / LaPrensahn.com (Honduras) 3 2 3 1 3 12 La Prensa / LaPrensa.com.ni (Nicaragua) 3 1 4 1 3 12 Lidove Noviny / LidoveNoviny.cz 3 2 4 1 2 12 (Czech ) Listin Diario / Listin.com.do 3 2 3 1 3 12 (Dominican Republic) Polska / PolskaTimes.pl (Poland) 4 2 2 1 3 12 The Times / TheTimes.co.uk 3 2 2 1 4 12 (Great Britain) 49. Aujourd'hui le Maroc / Aujourdui.ma 3 2 2 1 3 11 (Morocco) El Universo / ElUniverso.com (Ecuador) 3 2 2 1 3 11 La Presse / LaPresse.tn (Tunisia) 2 1 2 3 3 11 L'Orient-Le Jour / LOrient-LeJour.com.bl 3 2 3 1 2 11 (Lebanon) Mail & Guardian / MG.co.za 3 2 3 1 2 11 (South Africa) The Guardian / NgrGuardiannews.com 3 2 2 1 3 11 (Nigeria) Monitor / Monitor.co.ug (Uganda) 3 1 3 1 3 11 56. El Diario / ElDiario.net (Bolivia) 2 1 2 1 4 10 Granma / Granma.cubaweb.cu (Cuba) 2 1 1 5 1 10 58. Sud Quotidien / SudOnline.sn (Senegal) 2 1 3 1 2 9 59. Madagascar Tribune / 2 1 3 1 1 8 Madagascar-Tribune.com (Mad.) The Island / Island.lk (Sri Lanka) 2 1 2 1 2 8

Table 2. Rankings of the Internet World Statisticss and the Human Development Index (by author, data based on: Internet World Stats: www.internetworld-

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stats.com, updated for June 30, 2012; Human Development Index 2013: United Nations Development Programme, http://hdr.undp.org/hdr4press/ press/report/summaries/HDR2013_EN_Summary.pdf).

Internet penetration – % population / HDI – position in index 2013 (In parentheses: differences in comparison with the ranking of the newspapers online)

1 Norway 96,9 (-40) Norway 1 (-40) 2 Netherlands 92,9 (-26) Australia 2 (-10) 3 Sweden 92,7 (-17) United States 3 (-17) 4 Denmark 90,0 (-8) Netherlands 4 (-24) 5 Finland 89,4 (-7) Germany 5 (-7) 6 Australia 88,8 (-6) New Zealand 6 (-22) 7 New Zealand 88,0 (-21) Ireland 7 (-13) 8 United Kingdom 83,6 (-33) Sweden 8 (-12) 9 Canada 83,0 (-19) Switzerland 9 (-11) 10 Germany 83,0 (-2) Japan 10 (-3) 11 South Korea 82,5 (-8) Canada 11 (-17) 12 Switzerland 82,1 (-8) South Korea 12 (-9) 13 Belgium 81,3 (-6) Denmark 15 (-1) 14 Austria 79,8 (-6) Israel 16 (-6) 15 France 79,6 (-14) Belgium 17 (-8) 16 Japan 79,5 (-9) Austria 18 (-4) 17 Slovakia 79,1 (-17) France 20 (-16) 18 United States 78,1 (-2) Finland 21 (-6) 19 Ireland 76,8 (-1) Spain 23 (-16) 20 Czech Republic 73,0 (-21) Italy 25 (-19) 21 Israel 70,0 (-1) United Kingdom 26 (-20) 22 Spain 67,2 (-15) Czech Republic 28 (-19) 23 Argentina 66,4 (-3) Greece 29 (-11) 24 Poland 64,9 (-17) Slovakia 35 (-10) 25 Colombia 59,5 (-13) Poland 39 (-16) 26 Chile 58,6 (-19) Chile 40 (-19) 27 Italy 58,4 (-26) Portugal 43 (-1) 28 Uruguay 55,9 (0) Argentina 45 (-8) 29 Portugal 55,2 (-1) Uruguay 51 (-1) 30 Jamaica 54,7 (-18) Russia 55 (-4) 31 Greece 53,0 (-3) Cuba 59 (-25) 32 Lebanon 52,0 (-17) Mexico 61 (-12) 33 Morocco 51,0 (-16) Costa Rica 62 (-5) 34 Russia 47,7 (0) Venezuela 71 (-31) 35 Turkey 45,7 (-32) Lebanon 72 (-14) 36 Brazil 45,6 (-2) Peru 77 (-29) 37 Dominican Republic 45,6 (-4) Brazil 85 (-3) 38 Ecuador 43,8 (-11) Jamaica 85 (-26) 39 Costa Rica 43,1 (-11) Ecuador 89 (-10) 40 Venezuela 41,0 (-37) Turkey 90 (-37) 41 China 40,1 (-29) Colombia 91 (-29)

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42 Tunisia 39,1 (-7) Sri Lanka 92 (-17) 43 Mexico 36,5 (-23) Algeria 93 (-2) 44 Peru 36,5 (-37) Tunisia 94 (-5) 45 Bolivia 30,0 (-11) Dominican Rep. 96 (-4) 46 Nigeria 28,4 (-3) China 101 (-34) 47 Kenya 28,0 (-13) Bolivia 108 (-9) 48 Paraguay 23,9 (-36) Paraguay 111 (-36) 49 Cuba 23,2 (-7) Honduras 120 (-8) 50 Senegal 17,5 (-8) South Africa 121 (-1) 51 South Africa 17,4 (-2) Nicaragua 129 (-10) 52 Guatemala 16,2 (-18) Morocco 130 (-3) 53 Honduras 15,9 (-12) Guatemala 133 (-19) 54 Sri Lanka 15,0 (-5) India 136 (-51) 55 Algeria 14,0 (-14) Kenya 145 (-21) 56 Nicaragua 13,7 (-15) Bangladesh 146 (-22) 57 Uganda 13,0 (-8) Madagascar 151 (-2) 58 India 11,4 (-55) Nigeria 153 (-9) 59 Bangladesh 5,0 (-25) Senegal 154 (-1) 60 Madagascar 1,9 (-1) Uganda 161 (-11) (-846 total) (-856 total)

CONCLUSION

After analysing the online editions of newspapers from sixty countries from six continents, it is clear that the hypotheses 1 and 2 can be confirmed only partially. In general, the quality of the newspapers online is higher in most developed countries in comparison with the least developed ones. Neverthe- less, some exceptions are crucial in rethinking the hypotheses. The case of India (TimesofIndia.com), a country of an extremely uneven development, is the best example to consider for the different factors influencing its media development. In a poor but big country with a rich elite and open markets, the media industry can develop well, similarly to the film and TV business in this country whose population exceeds one billion people.

Although India, as well as Venezuela, Peru, Chile and Turkey, are not global media centers, in these countries the online editions of newspapers are of the highest quality, although on the top are two Europeans cases: Corriere.it and LeFigaro.fr. Both, however, are not part of the biggest media holdings. The representatives of the biggest one (among owners of the analyzed websites), the Rupert Murdoch’s News Corporation, which are TheAustralian. com.au

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from Australia and TheTimes.co.uk from the United Kingdom, are on respec- tively 12the and 41st position in the ranking produced in this study. The web- site of the main newspaper of the largest Latin American media corporation, Brazilian Globo Communicação e Participações S.A., that is OG-lobo.com.br, performed poorer than nine newspapers online from other Latin American countries. The newspaper representing the internet global center, that is the USA, appears on the 20th position. Therefore, hypothesis 3 cannot be con- firmed without deeper analyses, taking into consideration different online editions of the newspapers from the USA and other countries, such as India, for example which this study could not achieve as it analyzed only one news- paper online per country.

The comparison of the rankings of the analyzed online editions of the news- papers with rankings of the Internet World Stats and the Human Development Index does not allow for hypotheses 4 and 5 to be confirmed. The juxtaposed rankings hardly reflect a supposed general trend: the exceptions are numerous enough to reconsider the problem of the relation between internet penetration and the human development of a country and its media development, repre- sented through the online editions of newspapers, as in this study. Although the above-mentioned relations may apppear obvious, in reality they are not.

REFERENCES

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Dr Radosław Sajna – Kazimierz Wielki University in Bydgoszcz, Poland e-mail: [email protected]

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Iryna KOLOSOVSKA Peter BOLTUC

INFORMATIONAL INFLUENCE ON PUBLIC OPINION

The image of public institutions influences the formation of socio-political views, which consequently influence social attitudes and electoral behavior. Creating and maintening a positive image about the power structures require a complex, psychologically competent, systematic approach. Such efforts can result in coordinated activities aimed at creating or revising social views and activities to one’s advantage.

After a methodological overview, in this article we present common tech- niques of informational influence, such as manipulation, positioning, neuro- linguistic programming, mythologization and emotionalization. We then con- clude with a broader philosophical, even moral, reflection pertaining to social manipulation techniques.

HISTORICAL AND METHODOLOGICAL OVERVIEW

There are different approaches to the issue of ‘image’ in public relations, in- cluding imageology and other areas. It is worth mentioning the works of Ber- nays E., Brown L., Brооstin D., Королько B. (Korolko V.), Палеха Ю. (Paleha J.), Почепцов Г. (Pochepcov G.), Sampson E., Shoenfeld К. The general theme among those approaches is that ‘image’ is a stereotype, and if applied to broader social institutions, is a social stereotype. The social stereotypes theory was developed by M. Lippman. It refers to pre-conceived social stereotypes of various national, ethnic, socio-political and profes- sional groups. According to Lippman social stereotypes constitute basic background material based on which social consciousness is formed. The author traced back thinking from simple reactions to the external stimuli shaped largely by the stereotypes: stable emotionally colored, simplified models of reality, which entice emotional response (sympathy, antipathy)

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associated with past [Липпман]. This seemingly overly behav- ioristic model gets reinforced by modern cognitive , for instance Baars’ global workspace theory, which focuses on the role of sub-conscious thinking in human decision making and attitude creation.

In general, stereotypes play a double role in the of socio- psychological processes. First, they help simplify cognitive and decision making process. Second, however, this helpful cognitive simplification is prone to over-simplifications in the creation of social consciousness through stereotypes based on pre-conceptions that tend to lead towards prejudiced automatism of reactions. That leads to limitations in critical thinking and autonomous decision-making abilities.

Let us relate to two Ukrainian authors working on image and public rela- tions, В. Королько and Г. Почепцов. Королько in his work on the character and structure of image claims that the basis of image formation is social stereotype, which includes the aspects of knowledge and relation. For the so- cial stereotype relation to play a dominant role; it is defined as emotionally laden evaluative representation (party dependent on a person’s reflection and will) [Королько, 2001:296].

Почепцов claims that image is not only a way to get attention but primarily a way to react to the needs of the audience. The main image creation tech- niques include: 1. Appreciation of the expectations of the audience 2. Realization of those characteristics that together make up the structure of an image 3. of those chosen characteristics into various formats (visual, verbal, contextual etc.)

A rightly selected image can be the most effective means of working with social consciousness [Почепцов,1998:89]. In practical terms, in creating an image of an , it is important to focus on those results that relate directly to the interests of citizenry.

We may single out the following features of image as a stereotype of social consciousness. It is simplified in relation to the object it represents (which

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facilitates its acquiring and memorizing). It can be construed for the creation of -up goals (syntheticized). It should be clear and concrete in order to con- vey distinctive meanings, mostly through a small number of typical features. It operates through a symbol or a small set thereof. It should be flexible to fit the changing circumstances. Finally, it should fit the reality well enough so as for the image to influence [Колосовська,2010].

The process of image formation is closely linked with public relations (PR) which is one of the major ways to guide social consciousness1. The point is to present a factor, event or person in the right perspective, time and place [Науменко, 2003:66 ]. PR formulate in a goal-oriented manner correct im- ages using modification of the attitudes, reactions and action of a social subject. Aside from PR, image shaping is used by advertising, political propaganda, promotions of all kinds, publicity and so on.

TECHNOLOGY OF INFORMATIONAL INFLUENCE

Attitude formation depends on how an object or event is apprehended and how it satisfies the needs and expectations of given individuals or groups. The effective influencing of the audience, even at the subconscious psychological level, requires proper technologies.

INFORMATIONAL MANIPULATION

A powerful instrument of informational influence on mass consciousness is manipulation. A simple instance of informational manipulation is the ‘switch- over’ of the center of focus of or social consciousness from one object to another (red herring). For instance, you focus social attention on a given general, even international, issue beyond your control so as to divert social attention from concrete local problems. The goal of manipulational switch-overs is to manage the reception of various social events and narra- tives.

1 One of the fathers of PR E. Bernays views PR as the area pertaining to the relationship between a person, group, ideas and potentially other unifying social factors .

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Manipulation may use several different category factors of psychological in- fluence: Activity stimulators (needs, interests, tendencies, ideals) Activity regulators (sensual, emotional and intellectual settings; group norms, self-esteem, beliefs and world-views) Informational structures (received knowledge) Operational activity (thinking modes and , models of conduct, habits) Psychological state (apathy, overexcitability and so on).

Psychological manipulation may be visible or stealthish. Visible manipulation works as a myth, legend or narrative that masks the true intentions of a ma- nipulator. Such narratives may bring about a consistent sense that one’s , and events around us, lead towards the realization of some rational goals, which satisfies a psychological need of teleological directedness [Keen 1973].

The stelthish level hides away the attempts at manipulation. One way of con- ducting steltish manipulation is to give a number of pieces of information, only some of which involve the switch-over. The other way is positioning of information in accordance with psychological features of human perceptions, for instance the priority of top-left, center, bottom-right parts of the page over top-tight bottom left; different reaction to different colors, voices; subliminal imagining etc.

Political manipulation most often functions as a steltish guiding of political views, in order to cause a desired action (or inaction). In particular, let us name the following sorts of political manipulation: Feeding desired information as an ‘objective account’ Pushing the red buttons of social conscience that produce negative emo- tional responses (fear, anxiety, hatred) Realization of visible and hidden ends, which provides the context and supports the special meaning of the manipulator’s position

Manipulation involves psychological structures and this requires a certain level of mastery. Humans whose conscience or consciousness gets manipu- lated ought to be viewed not as persons but objects, or mechanisms of some

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sort. Hence, manipulation is not merely an invisible influence in accordance with the goals of manipulators; it also needs to accord with the goals and de- sires of those manipulated [Столин].

Political and psychological manipulation of mass-information may be used for image formation of individuals and institutions. Furthermore, it may be used not only as a part of political campaining or during social instability periods, but also for the day-to-day governance of a stable society.

POSITIONING

The instrument of positioning plays a special role in the formation of social views. The gist of this method is to make the audience focus on a given part or aspect of a message. Positioning can be viewed as introduction of an object into a privileged informational . One way to do so is to turn an unknown into one known to the audience. The main kinds of positioning are transformation and scorn or neglect.

Transformation can be attained by surrounding a piece of information solely by objects or images interesting to the audience; one must focus here on the viewpoint of the audience. Scorn or neglect is attained through leaving out, or putting in an odd , the pieces of information that are not helpful in the apprehension and acceptance of the piece of information at hand.

MYTHOLOGIZATION

Mythologization is an attempt to double the message by influencing the audi- ence at the sub-conscious level. Communication gets more efficient when instead of creating new ideas it rides on the already existing ones. Myth and archetype already exist at some deep level in our consciousness and the goal is to activate such symbolism. Mythologization functions as a specific super- structure over already existing myths.

A higher level or professionalism is to link with an existing myth the kind of information best conveyed through its content. In many cases mass-conscio-

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usness relies on already existing symbolizations. According to W. Key science and technology in the 20th century were based on creating symbols. Not only did they fail in liberating people from symbolic thinking but they also made them dependent on symbols and their interpretations instead of the exact meanings [Key,1973:55]. Social consciousness transforms the view of the world in accordance with its own dynamics.

EMOTIONALIZATION

Emotionalization consists in translating a given text from rational to emo- tional. There are a few ways of introducing emotions into the account: 1. con- cretization; 2. emotional mirroring (sympathy); 3. borrowing of another per- son’s emotions. The psychological rule is that the less rational argumentation, the higher level of emotional content needs to carry it through.

Concretization, instead of providing the general theoretical account, gives a story of concrete persons and events with the use of emotionally colored ex- pressions. Case studies may in some contexts play this role. Emotional mirror- ing subsumes the subject into the emotions of another person or group. The borrowing of another person’s emotions often involves the narrator telling of these persons’ achievements, which leads to the sharing of pride, or other emotions, and identification with the other person or event.

The technology of emotionalization is particularly important for public fig- ures. In order to control the emotions of an audience, it helps to divide the text of one’s message into ‘emotional blocs’ presented against appropriate emo- tional background. [Гук,2011:85].

FORMATTING

This instrument functions through creating the context, or background, helpful to the communicator. It uses a certain role-playing aspect, which should re- main invisible to the audience. The goal is to fit with the model of one’s per- sona and to develop it in the direction helpful to the communicator while building the appropriate context. This sometimes is so simple as to show the

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communicator in the right physical or social surroundings.

VERBALIZATION

This method is to use verbal means for image-creation or transformation. Ver- bal messages need to respond to two needs: 1. They ought to fit with the sym- bolism of described structures; 2. They have to represent the problems rele- vant to the population at a given time and place. Verbal keys, if picked up correctly, can enhance the receival of information.

The main two manners of verbalization are: First, stepping back from the real situation; this takes place when the object of imagization is presented in dif- ferent, useful words; and second, attachment to the views of the audience; this is often accomplished by an experienced political commentator creating the image close to the audience. One of the main psychological specificities of audiences consists in the need to feel connected. An orator needs to find the so-called centers of gravity. She or he needs to use verbal, and other, means so as to overcome the lack of understanding of some, lack of interest of others, and to meet the expectations of those awaiting answers to their actual prob- lems so as to create a good link with the audience [Гук,2011:85].

NEURO-LINGUISTIC PROGRAMMING

This method consists in changing the internal setting and direction of the information recipient through language. This is an effective instrument of changing human views for the interests of manipulator. In particular neuro- linguisitc programming involves: 1. Mirroring which presents in the desired way the characteristics of a leader (group or idea) using verbal, visual, and para-linguistic characteristics. 2. Emotional stir-up which forces the recipient to create a given image of a person (organization, idea) through emotional influence. The stir-up may use negative means: one specific way is to anger the recipient; another to affect his or her feelings of self-respect. 3. Weaving-in of sub-modality which consists of the inclusion into one’s own

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language of elements of those broadly linguistic means that fit with the audience and its favorite mode of communication. 4. Fixing on the apex which focuses on the moments in which the recipients are at the top of their emotional (or artistic, existential, reli- gious) experiences. During such positive emotional and spiritual experi- ence the crtitcal attitude of the audience weakens, and it is in that moment when one can feed in problematic information. This is most often used by religious and strongly ideological movements. 5. Metaphorization which is the use of metaphors as channels of information delivery. Sometimes it invovles new expressions that mark given facts or persons.

The following are instruments used in information-based influence. Accenting of information is needed to emphasize or de-emphasize a given fact or person. Exchange of goals involves the fact that you filter out predominantly positive or negative information about a given person or event. Sensationalization is used to create in people the feeling of inability to independently grasp infor- mation on fast-moving sensational events. It leads to passivity and inertia which open the room for impressing on them promoted images or even values. Distancing is a way to step away from responsibility, and if used competently, it allows switching the blame to other subjects. It helps in political distancing. Visualization presents the object in a helpful light, often by a of infor- mational methods. The introduction of behavioral models leads to the modes of behavior that result in semi-automatic evaluative patterns, for instance mak- ing things cool or uncool.

In order to help the formulation of social consciousness and action one would use informational and psychological techniques at the appropriate skill level, including the means of influence mentioned above.

ETHICAL

Informational influence uses various features of the human psychology in service of pragmatic goals. In particular, it provides cognitive and pragmatic reasons for change in view or action [Harman, 1988]. While Socrates, in his

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disputes with the sophists, argued in favor of objective inquiry that aims to acquire the single epistemic and moral truth [], his own view of philoso- phers as those who know that they do not know puts this quest into question. If you know nothing what chance do you have to gain an objective truth? Today we know from psychology, that the human quest for moral truth (for the an- swer to the question what is right) relates to about five different, separate and evolutionarily distinct, mechanisms. Those mechanisms address such questions as: what is just, what is good, what is loyal, what is respectful and what is clean. There is no evolutionary mechanism that guarantees the mutual consistency of these claims [Haidt, 2002]. To go even further, logical considerations based on advanced analysis of the implications of the liar’s paradox may lead to the so-called inconsistency theory of the truth [Barker,1999].

In this context informational manipulation may be viewed as a natural process since social, cultural and environmental aspects, as well as the peculiarities of one’s cognitive abilities, influence one’s access to information, information acquisition and processing. Tools such as those explained in this article make the process, rather than the content, a bit more cognitive, and they make the social structure a bit more governable. In a Western context, especially in the area of marketing, informational manipulation is called by more benign terms, however I find East European terminological clarity refreshingly helpful. Call- ing this sort of psychological tools by their name avoids the effect of Orwellian doublespeak and also diminishes the effects of the so-called Egiptization of culture where those in the know understand science or social life very much better than the rest and therefore can manipulate the crowds the way the ancient Agyptian monks used to. Paradoxically, the understanding of manipulation techniques limits the potential scope for their use. Having said this, it is worth mentioning, that a well-ordered society requires various levels of social organization; not all of them necessarily reduce well to the standard governing mechanisms in a .

CONCLUDING REMARKS

We presented a number of informational and communication techniques of

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image creation. A psychological analysis of the deeply rooted expectations of the audience and analysis of its values may be the most important means of spreading out the image able to create a useful influence on the audience.

REFERENCES:

1. Barker, John (1999) The Inconsistency Theory of Truth. Princeton University, Ph.D. https://edocs.uis.edu/jbark3/www/webpage/barker_dissertation.pdf 2. Bernays E. (1977) Down with Image, Up with Reality / Public relation Quar- terly. – Spring. – Vol.22, № 1. – P.56. 3. Гук О., Колодій A. (2011) Культура та етика демократичного врядування. – Львів: ЛРІДУ НАДУ. – С.85. 4. Haidt, J; Greene, J (2002) How (and where) does moral judgment work? TRENDS in Cognitive Sciences Vol.6 No.12 5. Harman Gilbert (1988); Change in View MIT Press 6. Keen S. Valey-Fox A. (1973) Your Mythic Journey: Finding Meaning in Your Life Through Writing and Storytelling, Penguin New Yourk . 7. Key W.B. (1973) Subliminal seduction. Ad media's manipulation of not so inno- cent America. - N.Y. 8. Колосовська І. (2010) Імідж місцевих державних адміністрацій в Україні: теоретико-прикладні засади формування: монографія. – Львів: ЛРІДУ НАДУ. – С.16-17. 9. Королько В. (2001) Паблік рілейшнз. Наукові основи, методика, практика .– К.: Скарби. – С.296. 10. Липпман У. Общественное мнение http://socioline.ru/book/uolter-lippman- obschestvennoe-mnenie. 11. Науменко Т. (2003) Психологические методы воздействия на массовую аудиторию / Вопросы психологии. -№6. - С. 66. 12. Plato Eutyphro (any edition) 13. Почепцов Г. (1998) Профессия: имиджмейкер. – К.: ИМСО МО Украины, НВФ «Студцентр».– С.89. 14. Столин В. (2004) JL Манипуляция - что это? http://www.rokf.ru/carera/ 2004/08/03 /221551. html.

Dr Iryna Kolosovska - Docent, Department of Political Sciences and Philosophy, Lviv Regional Institute of State Administration, The Na- tional Academy of State Administration of the President

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of Ukraine e-mail: [email protected]

Dr Peter Boltuc - Professor, Department of Philosophy, University of Illinois at Springfield and Professor, Warsaw School of Economics e-mail: [email protected]

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Agnieszka SZEWCZYK

SHOP OR E-COMMERCE? ANALYSIS OF THE PROBLEM

INTRODUCTION

The recently observed dynamic development of information technologies has exerted an effect on a number of enterprises, offices, institutions, households, etc. If corporate management is not open to these trends, it may soon experi- ence economic and financial discomfort. The article aims at providingg a two- fold analysis of the problem of traditional and Internet sales in a particular firm.

In fact, this area of activity conducted by any enterprise is particularly impor- tant to its functioning. It is the computerization of the company that is fre- quently the most controversial decision problem. A number of questions arise, namely: Is ”Internet sale” an advantageous solution? Will it bring the expected results? Should it be developed hand in hand with traditional sales or it ought to be transformed into e-commerce?

The analysis below discusses and clarifies these problems.

COMPARATIVE ANALYSIS OF TRADITIONAL AND INTERNET SALE

Internet shop is an application that allows the servicing of commercial transac- tions via the Internet. It is developed on one of (called server) that has access to the Internet and its own Internet address. A large number of new e-shops have been set up and have entered the Internet market. This is particu- larly due to two factors. On the one hand, the Polish law is reasonably favour- able to people interested in selling goods via the Internet. On the other hand, it is possible to easily create a website with an e-shop. Hence, it might seem that the Internet shops do not have to fear competition from traditional ones [Pod-

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stawy e-biznesu... 2006].

The advantages of e-shopping which are greater certainty and sense of secu- rity relative to buying in traditional stores pose a dilemma for consumers, namely whether to choose e-shops or traditional shops. Nowadays, both types of stores complement one another with respect to functionality and accessibil- ity. If the advantages of e-shops and traditional stores are combined, an ideal shop would have to be set up. So far clients, regardless of their character and expectations, may satisfy their needs and buy a given product in a way they consider the most appropriate for themselves. Clients very often find a product in the Internet shop, and then go to a traditional store in order to see it and finally come back home and order it via the Internet. Such a situation is often the case with household appliances and audio/video devices.

Nowadays, the average consumer places a limited confidence in buying prod- ucts on-line [Strategie sukcesu... 2001]. This causes the opposite situation, namely when clients look for a given good on the Internet and once they have found it, they go to a conventional store to buy it. As a result, many producers and sellers run both traditional and Internet shops, thanks to which clients do not have the problem with choosing a given form of shopping. Such a combi- nation enables one to purchase a given product via the Internet and then col- lect it from the traditional seller. The advantages of traditional shops are, e.g. the possibility of seeing and examining a product thoroughly, approaching and talking to a shop assistant, certainty that the product is totally new and „un- touched”, and many more. The number of clients who prefer to do e-shopping is growing extremely dynamically. It is estimated that in the coming years the share of e-sale will equal traditional sales [Niedźwiedziński 2004].

Before selecting the distribution channel, it is worth taking a look at their fea- tures. Table 1.1 presents such a comparison. With reference to traditional sales, relations among contractors are defined in advance, i.e. before the trans- action is completed (including multiple links). As for virtual sellers, relations among contractors may be defined during a given transaction and only for this particular transaction. Their are developed on the basis of common user networks, whereas „traditionalists” may build systems on the basis of closed, private and reserved networks. With regard to conventional commerce,

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the type of transaction, document formats and type of payment are defined in a contract concluded among interested parties. Virtual sellers as well as Inter- net providers determine themselves the type of transaction they are going to enter into [Chmielarz 2001].

Table 1. Comparison between traditional commerce and e-commerce

Criteria Commerce traditional e-commerce Market Producers, middlemen, Internet users Producers, middlemen, consumers players (consumers) Limited access – proper software, hard- Access to Free access – no technological ware and knowledge of their use are infrastructure barriers required Form of Physical, visual, verbal Interactive, multimedia, via the Internet contact Relations Interpersonal Virtual among players Business to business (B2B) involves sale closed between enterprises, refers to business processes taking place be- tween enterprises Business to consumer (B2C) involves sale closed between enterprise and Wholesale (sale of goods addressed client, it is equated with retail sale Sectors by the to retail establishments, industrial Consumer to consumer (C2C) involves kind of com- companies, service companies, sale closed between clients. Neither of merce and institutions) them conducts economic activity. ultimate con- Retail sale (sale of goods addressed Goods possessed by either side are sumers to individual consumers, other con- subject to exchange sumers) Business to employee (B2E) involves sale of entitlements, goods and servi-ces of various sorts to employees in or-der to provide services or resell goods Business to government (B2G) – in- volves sale of goods and services ad- dressed to state-run institutions Middlemen, i.e. wholesale stores Possibility of eliminating intermediate Links in the and retail stores occupy the main links – sale from producers to ultimate value chain role in the value chain consumers Competition based on the portfolio Competition based on the functionality Competitive of products, service, location and of storefront, number of available situation type of trading company products and services provided Global standard as well as nu- merous and effective legal regula- Lack of global standards. New legal Legal tions in the scope of organizing and framework for e-commerce is being framework functioning of trading compa-ny as established well as consumer protection Commercial stations; in the case of Point of sale wholesale – warehouses, in the case Internet websites of retail – shops Shop floor It is the main factor on the basis of Lack of shop floor. Internet website

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Criteria Commerce traditional e-commerce which a particular commercial sta- performs all its functions tion is assessed. It has a major effect on organizing and functioning of shop, presentation of go-ods, form of sale, number of shop assistants Decisions about location are often determined by the necessity to take account of legal provisions that regulate the land-use and premises management, as well as demo- Lack of physical location of shop. It is Specific graphic, economic, socio- placed on ’s server. Access is location psychological, geographical and granted once the address of a given infrastructural factors that determine website is entered competition. It has a qualitative character, and decisions about loca- tion are considered an instrument of sales policy Possibility of entering a given outlet. Market space Primacy of local and regional outlets Trade is not divided into domestic and foreign Includes computer hardware, i.e. com- puters, se-rvers and infrastructure relat- It is strictly connected with the type ing to access to the Internet. Technical Technical of shop. Equipment is divided into equipment also includes spe-cialist equipment basic and auxiliary software used for creating Internet websites, authorisation and settlement of payment Procedures relating to the system of Procedures relating to the prepara- effective navigation between websites, Procedures tion of goods for sale, development creation of Internet website that will relating to the of logistic system funct-ionning provide useful information about the functioning of within the shop, offering and pre- shop and its offer, providing services, shop senting goods, exposition and pro- and mainly the authorisation and settle- viding services ment of payment Methods depend on the extent to The extent to which sellers are involved Methods which sellers are involved in the sale in the sale process is limited. Contacts for providing process. Three methods can be with clients are maintained via elec- services mentioned, namely traditional, pre- tronic mail selection and self-service It not plausible to provide every type of Assortment depends on the type of assortment as some goods cannot be Assortment shop sold via the Internet for practical rea- sons Some tasks relating to distribution are Nowadays, traditional commerce is accomplished by specialised delivery based on the delivery of goods companies, mainly courier companies, Logistic directly from producer to shop because there are no model solutions system (warehouse) due to which interme- adjusted to mass and at the same time diary links are omitted. This is individual character of the delivery of connected with just-in-time system. goods ordered on-line.

Source: M. Olejnik, B. Sojkin, Handel tradycyjny a handel elektroniczny, „Marketing i Rynek” 2001, nr9.

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The clients of Internet shops may be divided into two categories, namely con- sumers and prosumers. Prosumer is an active consumer, i.e. Internet user who meets at least two out of three conditions, namely seeks and takes into account opinions expressed by other Internet users when he/she intends to buy a prod- uct; describes products and brands on the Internet or ask questions concerning them; and finally participates in promotions as part of which he/she contrib- utes to the creation of products, slogans or advertising campaigns. Nearly 59% of men are prosumers. Furthermore, young people aged 19-34 represent the largest group. People from this age group more often become involved in mat- ters relating to shopping and consumption [Pelc 2009].

Nowadays, nearly 2% of all consumer spending flows are through Internet shops. In 2008, Polish people spent over 12.5 billion on e-shopping, and Pol- ish e-commerce is still developing. As many as 55% of Internet users declared they performed at least one Internet transaction. Virtually everything can be bought on-line. Some branches enable consumers to choose from several or even a few dozen e-shops, and growing competition makes the owners pay much attention to assortment and clients. It is a global trend for e-commerce to consolidate. Experts dealing with economic issues state that it will consti- tute about 19% of total sale value in Europe during the period 2012 - 2015 [Dziuba 2001].

The functioning of X firm

Firm X has given priority to sustainable development, growth of competitive- ness and strong orientation toward customers since the beginning of its func- tioning. Thanks to the adopted strategy, it is currently one of leaders among dynamically developing firms holding retail sale of computer hardware and multimedia equipment in Poland.1

Firm X sells its products via a number of channels that are closely integrated within its activity model at the level of management and marketing. The firm carries both wholesale and retail merchandise. As far as B2C (Business-to- Customer) distribution channel is concerned, one can mention computer

1 At the request of the Management – the firm under analysis remained anonymous.

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shops, partner shops, Internet shops and Internet auctions. Computer shops are the main distribution channel. The Issuer currently runs 29 own stores with an average floor area of 101 square metres. Firm X keeps them in big cities, near the main promenades, and ultimately also in shopping arcades. What they have in common is a coherent and uniform policy on corporate identity and design, which makes the brand more recognizable. On 18 March 2011 the traditional distribution channel included 52 partner shops. In this model, the Company provides its partners with marketing support in the form of present- ing their contact details on a given website and in auction website Allegro.pl. Furthermore, the Company provides traditional form of advertising, i.e. the visualisation of partners’ stores.

Internet shops and auctions are currently the most important distribution channel. E-shopping is neither difficult nor time-consuming. If there is a con- ventional shop in the client’s place, the product ordered in such a way may be collected in person in this shop and the client can pay for it then. Such a method reduces the posed by e-transactions.

As far as distribution channel B2B (Business-to-Business) is concerned, one can distinguish business customer service department and wholesale service department. With reference to the former, the Company provides services to small and medium-sized firms, large firms and corporations as well as gov- ernment administrative institutions. Computer hardware and software are dis- tributed mainly via dedicated business customer service department to which inquiries from the area and other branches of the Company are addressed. The department dealing with wholesale service and IT equipment distributors’ service represents significant distribution channels of B2B segment. This group of customers is provided with equipment at wholesale prices and for resale, yet without the possibility of returning the purchased goods. The per- forming a transaction with a wholesale buyer or distributor of IT equipment is preceded with price negotiations and defining the conditions of sale. Only then is the contract signed. Large batches of products are distributed under contracts with wholesale buyers and IT equipment distributors. Furthermore, company X sells its products via auction systems.

The structure of product offer prepared by the Company is subject to continu-

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ous change due to variable demand for particular goods and market trends. It is worth emphasizing that flexibility in adjusting the assortment to consumer needs is one of key factors determining the success of the company on the IT market.

Statistical analysis of traditional and Internet sales carried out by Firm X in the period 2008–2010

Statistical analysis of firm X’s traditional and Internet sales is performed on the basis of data on the from goods and services2. Products are being sold through traditional channel in the company’s own shops, franchise shops and partner shops. On the other hand, e-sale is carried out via the Internet shop or auction website. Table 2 presents the profit generated from both types of sale.

Table 2. Profit from traditional and Internet sale generated by firm X

Profit from traditional sale Profit from Internet sale Month 2010 2009 2008 2010 2009 2008 Jan 6 305 224,96 5 194 002,60 4 022 135,88 488 261,00 372 614,72 352 622,34 Feb 8 728 240,37 9 164 878,31 7 156 759,87 675 893,31 657 483,03 627 436,14 March 8 610 373,61 9 530 717,36 7 228 561,28 666 766,00 683 728,11 633 731,00 April 7 898 109,09 8 743 466,05 6 584 194,80 611 610,00 627 251,16 577 239,12 May 7 237 724,58 7 715 800,05 6 539 568,46 560 471,46 553 527,00 573 326,71 June 5 544 816,98 6 066 332,93 5 158 931,06 429 376,89 435 195,19 452 285,65 July 8 645 944,09 8 690 148,64 6 653 663,04 669 520,49 623 426,20 583 329,43 August 7 573 293,43 7 720 218,82 6 417 508,70 586 457,08 553 844,00 562 625,68 Sept. 7 962 374,05 8 698 074,97 6 860 592,24 616 586,52 623 994,83 601 471,00 Oct. 5 130 552,44 5 575 383,31 4 172 364,77 397 297,27 399 974,75 365 792,97 Nov. 6 311 499,83 6 593 272,12 5 488 091,91 488 746,91 472 997,50 481 143,32 Dec. 5 869 829,58 6 200 199,65 4 984 151,92 454 545,06 444 798,71 436 962,69

Source: own calculations.

Profit from traditional sale totalled 71.266.523,95 Zlotys in 2008, 89.892.494,80 Zlotys in 2009, and 85.817.983,01 Zlotys in 2010. In 2009 firm

2 Data for the analysis was collected by Anna Borowczyk, a student.

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X reported a 26.14% increase compared to the year 2008. This probably stemmed from the development of distribution through traditional channels as well as the extended range of products. On the contrary, there was a 4.53% decrease in 2010 (compared to the year 2009). This could have resulted from the stabilization of firm X’s enriched offer presented in 2009. The average monthly profit from traditional sales totalled 6.860.472,27 Zlotys in the period 2008-2010. The highest profit from this kind of sales was generated in March 2009 and amounted to 9.530.717,35 Zlotys. By contrast, the lowest was regis- tered in January 2008 and totalled 4.022.135,88 Zlotys.

As for the period 2008-2010, profit from Internet sales increased by 6.36%, i.e. from 6.247.966,05 Zlotys in 2008 and 6.448.835,20 Zlotys in 2009 to 6.645.531,99 Zlotys in 2010. The data suggest that these sales have just started to develop and traditional channels still play a dominant role. Such a considerable difference between profits from Internet and traditional sales may arise from the fact that not all products offered by firm X’s retail outlets are available on the Internet. Another reason behind this state of affairs is the sale of services that are offered via the traditional channel. The average monthly profit from Internet sales totalled 537.287,03 Zlotys in the period 2008-2010. It March 2009 firm X reported its highest profit from this type of sale, namely 683.728,11 Zlotys. By contrast, the lowest profit (i.e. 352.622,34 Zlotys) was generated in January 2008.

In comparison with 2008, the total number of products sold via traditional channels was subject to a dynamic increase in 2009. Despite this, it declined slightly in 2010.

In 2009 firm X sold 111 299 products, hence 12925 items more than in 2008 and 1735 items more than in 2010. Such a sharp increase was probably linked to the extended range of products marketed by firm X. It offers computer games and computer gaming equipment as well as a range of household appli- ances due which attract more clients and thus contributed to the sale of more products. In 2008 the average price of a product sold by the firm amounted to 724,96 Zlotys. In 2009 it reached 808,17 Zlotys, whereas in 2010 it totalled 783,77 Zlotys. As far as the sale through traditional channels is concerned, expensive products are the most popular, namely audio/video devices, laptops,

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personal computers and monitors.

Analysing the data on the number of products sold each month in the period 2008-2010, it can be noticed that the largest number of goods were marketed during the first six months of every year. Firm X sold the highest number of products (i.e. 11963 items) in March 2009. On the contrary, the lowest num- ber was reported in October 2008 and amounted to 6747 items. The total number of products sold through Internet channels was subject to an increase each year.

The number of products sold in 2010 increased by 177 items in comparison with 2008, and by 133 items compared to 2009. This is directly linked to the continually growing IT among customers. E-shopping is becoming more and more popular among Polish people. They place confidence in this form of shopping. Furthermore, the average price of products increased every year. In 2008 the average price of product sold by firm X amounted to 366,28 Zlotys, in 2009 it totalled 376,64 Zlotys, and in 2010 it reached 385,58 Zlotys. The above data suggest that customers who purchase goods in Internet shops and on auction websites usually buy computer software as well as computer and telephone accessories. Polish people still have a reserved approach to buying on-line products the price of which exceeds 1.000 Zlotys. They prefer to buy such goods in the traditional way.

Analysing data on the number of products sold each month in the period 2008 – 2010, it can be noticed that consumers were particularly active from Febru- ary to May and in September each year. It was in November and December that sales figures were the most balanced. This was probably due to Christmas shopping. Still, the greatest number of products were sold in March 2008, namely 1846 items.

During 2008-2010, the distribution of notebooks was subject to the most dy- namic increase (139.67%), whereas the sale of digital cameras and cameras declined to the greatest extent (-78.15%). Consumers bought personal com- puters less often during the same period. It can be concluded that laptops had already started to replace personal computers not only at home, but also in small and medium-sized enterprises. The profit from the sale of household appliances was subject to a rapid growth in 2009. This was probably due to

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the wider range of products in this department. In 2009 the profit from the sale of services increased considerably and this tendency was also observed in 2010. Such a situation stemmed from, among other things, the fact that the firm extended the range of services, e.g. in loan brokerage, and made its cli- ents interested in IT outsourcing services.

In 2008 firm X generated the largest profit from the sale of notebooks (i.e. a share of 61.16%). Furthermore, the sale of personal computers (14.18%) as well as digital cameras and cameras (6.02%) also had a considerable share in profits. The sale of household appliances earned the lowest profit (i.e. a share of 0.23%).

Both in 2008 and 2009 the sale of notebooks earned the largest profit (a share of 67.65%). Personal computers and services also had a considerable share in the firm’s revenue (namely, 7.69% and 7.44% respectively). The sale of au- dio/video devices generated definitely the lowest profit (a share of 1.01%).

In 2010 no major changes were observed in the profit shares of particular sales departments. The sale of notebooks (68.95%) and services (7.97%) still con- stituted the largest shares. In comparison with previous years, the sale of per- sonal computers generated lower profit. Both in 2008 and 2010 digital cam- eras and cameras had the smallest share in profits, namely 1.06%. These ten- dencies enable one to that firm X will develop dynamically in the fu- ture.

Analysing the profit from Internet sales, one should also mention costs related to e-commerce. It is expensive to put a given item for auction on a popular website.

The costs of Internet sales were the highest in March 2008 and 2010 and amounted to 61.933,30 Zlotys and 59.808,26 Zlotys respectively. This was due to the number of items sold in this period. It was then that firm X sold the greatest number of products via the Internet (taken the entire period into ac- count). On the contrary, the lowest costs were incurred in January 2008, 2009 and 2010 and totalled 24078,67 Zlotys, 22.733,98 Zlotys and 24478,27 Zlotys respectively. Therefore, they were subject to gradual increase. In 2010 the costs related to Internet sales increased by 9512,30 Zlotys compared to 2008, which constituted 1.87% of the total costs of e-sale. This resulted from a con-

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tinually growing interest in e-shopping.

Economic analysis of traditional and Internet sales carried out by firm X during 2008-2010

The economic analysis of traditional and Internet sales carried out by firm X is performed on the basis of data derived from balance sheets as well as profit and loss accounts for the period 2008-2010. For the purpose of analysis, data collected from financial reports (prepared each year) was presented in thou- sand Zlotys. The summaries do not take account of inflation as it was compa- rable during the entire period under consideration.

To start, the economic analysis involves the examination of elements consti- tuting firm X’s equity, and more precisely its „traditional” branch. Table 3 presents the assets, their structure and change in their value on the basis of the balance sheets drawn up for 2010, 2009 and 2008.

Table 3. Summary of the structure of assets owned by traditional shops run by firm X

31 December 31 December 31 December Item 2010 2009 2008 num Specification amount amount amount in in in % % % ber thousand thousand thousand Zlotys Zlotys Zlotys A Total fixed assets 4 670 21.0 1 367 9.0 719 8.9 1 Intangible assets 2 786 12.5 48 0.3 0 0.0 2 Tangible assets 1 884 8.5 1 302 8.5 679 8.4 3 Long-term investments 0 0.0 0 0.0 13 0.2 4 Long-term prepayments 0 0.0 17 0.1 28 0.3 B Total operating assets 17 602 79.0 13 897 91.0 7 352 91.1 1 Stock 5 904 26.5 7 931 52.0 4 814 59.6 2 Short-term receivables 9 861 44.3 4 556 29.8 2 146 26.6 3 Short-term investments 81 0.4 228 1.5 338 4.2 4 Short-term prepayments 1 757 7.9 1 181 7.7 54 0.7 Total assets (A+B) 22 272 100.0 15 264 100.0 8 071 100.0

Source: own calculations.

As the balance indicates, operating assets are the main asset owned by tradi-

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tional shops. In 2008 and 2009 stock was such an asset and constituted 59.6% and 52% of total assets respectively. In 2010 the financial standing was sub- ject to change. It was then that short-term receivables represented the largest share, i.e. 44.3% of total assets. Intensified actions taken by firm X in order to dynamically develop resulted in the appreciation of assets, namely by 7193 thousand Zlotys in the period 2008-2009, and by 7008 thousand Zlotys in the period 2009-2010. In 2010 the intangible assets represented such a large share for the first time. Furthermore, the summary shows that stock declined mark- edly, i.e. by 2027 thousand Zlotys.

Table 4 presents liabilities, their structure and change in their value on the basis of balance sheets prepared each year during the period under considera- tion.

Table 4. Summary of the structure of liabilities of the traditional shops run by firm X

31 December 31 December 31 December Item 2010 2009 2008 num- Specification amount amount amount in in in % % % ber thousand thousand thousand Zlotys Zlotys Zlotys A Total ownership capital 7 879 35.4 535 3.5 762 9.4 1 Core capital 1 323 5.9 -741 -4.9 61 0.8 2 Profit(loss) net=gross 1 288 5.8 1 276 8.4 701 8.7 B Liabilities and accruals 14 394 64.6 14 729 96.5 7 309 90.6 1 Long-term liabilities 700 3.1 1 138 7.5 709 8.8 2 Short-term liabilities 13 558 60.9 13 529 88.6 6 543 81.1 3 Accrued expenses 136 0.6 62 0.4 57 0.7 Total liabilities (A+B) 22 273 100.0 15 264 100.0 8 071 100.0

Source: own calculations.

Analysing particular items presented in Table 4, it can be noticed that owner- ship capital represented an increasingly substantial share each year. In 2010 it amounted to 7879 thousand Zlotys. Hence, the increase was profound in co- mparison with previous years when it did not exceed 800 thousand Zlotys. It can also be noted that the net profit generated in 2009 and 2010 was compara- ble. During the period under consideration, short-term liabilities constituted the largest share in the structure of liabilities, mainly due to suppliers of

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goods, and represented 81.1%, 88.6% and 60.9% of total liabilities respec- tively.

Table 5 presents a summary of the structure of assets owned by the Internet shops. The summary of assets, their structure and change in value was pre- pared on the basis of balance sheets drawn up each year during the period under consideration. The structure is similar for Internet and traditional shops due to identical kind of activity conducted by the firm operating in two areas and thus adopting analogous strategies.

Operating assets determined the value of assets to a considerable extent. Stock represented the main item, namely 81.3% and 68.8% of total assets in 2008 and 2009 respectively. It was in 2010 that the financial standing was subject to change with short-term receivables constituting the largest share, i.e. 45.3% of total assets. Despite this, short-term investments decreased from 124 thousand Zlotys in 2009 to 18 thousand Zlotys in 2010.

Table 5. Summary of the structure of assets owned by Internet shops run by firm X

31 December 31 December 31 December Item 2010 2009 2008 num- Specification amount amount amount in in in % % % ber thousand thousand thousand Zlotys Zlotys Zlotys A Total fixed assets 1 476 10.7 203 2.2 173 2.6 1 Intangible assets 1 318 9.5 11 0.1 0 0.0 2 Tangible assets 158 1.1 189 2.0 168 2.5 3 Long-term investments 0 0.0 0 0.0 2 0.0 4 Long-term prepayments 0 0.0 3 0.0 2 0.0 B Total operating assets 12 327 89.3 9 034 97.8 6 503 97.4 1 Stock 5 915 42.9 6 356 68.8 5 425 81.3 2 Short-term receivables 6 247 45.3 2 470 26.7 949 14.2 3 Short-term investments 18 0.1 124 1.3 118 1.8 4 Short-term prepayments 147 1.1 85 0.9 11 0.2 Total assets (A+B) 13 802 100 9 237 100 6 676 100

Source: own calculations.

Table 6 present liabilities, their structure and change in their value with refer-

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ence to Internet shops. The summary was prepared on the basis of balance sheets drawn up each year of the period under investigation.

Table 6. Summary of the structure of liabilities of Internet shops run by firm X

31 December 31 December 31 December Item 2010 2009 2008 num- Specification amount amount amount in in in % % % ber thousand thousand thousand Zlotys Zlotys Zlotys A Total ownership capital 704 5.1 34 0.4 98 1.5 1 Core capital 596 4.3 -57 -0.6 37 0.6 2 Profit(loss) net=gross 108 0.8 91 1.0 61 0.9 B Liabilities and accruals 13 098 94.9 9 203 99.6 6 578 98.5 1 Long-term liabilities 558 4.0 907 9.8 884 13.2 2 Short-term liabilities 12 514 90.7 8 284 89.7 5 675 85.0 3 Accrued expenses 26 0.2 12 0.1 19 0.3 Total liabilities (A+B) 13 802 100.0 9 237 100.0 6 676 100.0

Source: own calculations.

The value of liabilities was determined by liabilities and accruals to the great- est extent. Short-term liabilities constituted the largest share in the period un- der consideration. They represented 85% of total liabilities in 2008, 89.7% in 2009 and 90.7% in 2010 respectively. During the period, the value of core capital was subject to substantial increase, namely from 37 thousand Zlotys in 2008 to 596 thousand Zlotys in 2010.

The economic analysis of traditional and Internet shops run by firm X covers the following four areas: liquidity, turnover, debt and profitability. At first, financial liquidity is subject to examination. In order to assess it accurately, it is necessary to determine long-term and short-term financial liquidity. Long- term liquidity of a traditional shop was determined by dividing ownership capital by fixed assets. Both in 2008 and 2010 long-term liquidity was main- tained as fixed assets were financed completely from ownership capital. In 2009 the firm was placed in a more difficult situation since only 40% of its assets were financed from ownership capital, and 60% – from outside capital. If the so-called balance sheet rule is not followed, the continuation of activity may be put at risk, which is also unfavourable to maintaining financial equi-

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librium. The opposite situation was observed in the case of the Internet shop, namely long-term liquidity was not sustained during the entire period under consideration: 48% of fixed assets were financed from ownership capital in 2010.

The short-term liquidity is analysed in three degrees. Table 7 presents the short-term liquidity ratios.

Table 7. Collation of short-term liquidity ratios for firm X

Traditional shop Internet shop Short-term liquidity 2010 2009 2008 2010 2009 2008 1st degree 0.60% 1.69% 5.17% 0.14% 1.49% 2.07% 2nd degree (quick ratio) 73.33% 35.36% 37.96% 50.06% 31.31% 18.81% 3rd degree (current ratio) 129.83% 102.72% 112.36% 98.50% 109.05% 114.60%

Source: own calculations.

The financial liquidity ratio of the first degree indicates that in 2010 both tra- ditional and Internet shops could discharge about 0.5% of current liabilities arising from short-term investments. In the period 2008-2010, the ratio was subject to gradual decrease. With regard to traditional shops, the financial liquidity ratio of second degree amounted to 38% in 2008, 35% in 2009 and reached 73% in 2010. The Internet shop achieved slighter financial liquidity than the traditional one in the period under analysis. Since both shops were managed by the same firm, they supported and were complementary to one another. The liquidity ratio of the third degree for the traditional shop reached 112% in 2008, 103% in 2009 and 130% in 2010. Satisfactory liquidity was achieved only in 2010. The disproportionately high level of stock had an ad- verse effect on liquidity in previous years. As for the Internet shop, the ratio did not exceed 115% and was not lower than 98% in the period under exami- nation. The low liquidity ratio resulted from a too high level of stock and short-term receivables. The above calculations indicated that firm X took out mainly credits and short-term loans to finance its liabilities. The liquidity ra- tios were considerably lower than the optimum ratio. The firm probably had problems with timely settlement of liabilities during the period under consid- eration.

For the economic analysis, it is important to examine the firm’s turnover. Ta-

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ble 8 presents a group of ratios characterizing the turnover and obtained re- sults. The ratios for the year 2008 are determined on the basis of data for 2007. Due to the lack of financial data for the latter twelve months, it was not possible to calculate the aforementioned ratios.

Table 8. Collation of turnover ratios for firm X

Traditional shop Internet shop Turnover ratios 2010 2009 2010 2009 Assets 4.57 Zlotys 7.71 Zlotys 0.58 Zlotys 0.81 Zlotys Stock (in days) 29 25 327 307 Liabilities (in days) 26 14 235 90 Short-term liabilities (in days) 57 40 563 390 Cash conversion cycle -2 -1 -1 7

Source: own calculations.

The asset turnover ratio informs about the profit generated to the firm by every Zloty. In 2010 the situation faced by both the traditional and Internet shops was worse than in 2009. Stock management was not effective neither in 2009 nor in 2010. The traditional shop, where stock was subject to turnover more often than every 30 days, was in a better situation. By comparison, the Internet shop holds a larger stock and is not able to liquidate it relatively quickly. This may result from the fact that Internet sale has just started to de- velop, and people interested in buying a given good preferred traditional shops. The liability turnover ratio indicates for how long the firm has frozen its cash. With reference to the conventional store, this ratio was optimal in the period under examination. Again, the firm achieved better results in 2009. The Internet shop did not obtain satisfactory results in liability management. In 2010 cash had been frozen for, on average, 239 days in comparison with the year 2009 when such a situation lasted for 97 days. Hence, liability manage- ment should become more effective as soon as possible. In 2010 the short- term liability turnover ratio was more favourable for the traditional shop as the firm raised cash from external sources and had it for a longer period of time. This ratio was too high in the case of the Internet shop. If the firm has such financial resources at its disposal for a too long period of time, it may encoun- ter problems with the settlement of liabilities in the future and hence deal with

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financial difficulties.

The cash conversion cycle is the last but not least in the group of turnover ratios. It shows the number of days during which the firm has ”ready money” at its disposal and may, e.g. invest it (if the ratio is negative). Only in 2009 was the cash conversion cycle positive in the case of the Internet shop, which indicated that firm X had not had capital only for 7 days. If the firm does not find commitment appreciations, it will take out a loan. If firm X does not im- prove its turnover ratios or they are subject to adverse change, it may face financial difficulties.

Another group of interest are debt ratios. Table 9 presents their collation both for the traditional and Internet shops run by firm X.

Table 9. Comparison of debt ratios for firm X

Traditional shop Internet shop Debt ratios 2010 2009 2010 2009 Total debt 64.63% 96.50% 94.90% 99.63% Long-term debt 0.09 2.13 0.79 26.33 Capital multiplier 1.85 6.55 3.55 17.71 Debt service coverage ratio 11.13 4.30 11.10 4.30

Source: own calculations.

Comparing the debt ratios for firm X, it can be noticed that the lowest value was about 65%, which indicated heavy indebtness. However, both in the case of the traditional and Internet shops this ratio was lower in 2010 than in 2009. This is a good signal for the firm, namely that it copes with total debt more effectively. Analysing the long-term debt, it might be concluded that in 2009 firm X encountered an extremely difficult situation. This refers both to the traditional and Internet shop. The above data allows to state that in 2009 the firm raised a large loan and had problems with the timely settlement of liabili- ties. It was in 2010 that a more favourable situation was observed due to the fact that the firm began to cover its liabilities to a greater extent.

The capital multiplier determines how many times total capital exceeds own- ership capital. The ratio should not exceed 3. One of the positive aspects is

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that this ratio was subject to substantial reduction in 2010 compared to 2009. Although it was higher than 3 in the case of the Internet shop in 2010, the situation seems promising.

The debt service coverage ratio confirmes that firm X achieved improvement in 2010. The higher the ratio, the easier it is for the firm to service and repay debts. In 2009 firm X faced serious problems with the settlement of its liabili- ties. As a result, it had to use credits and loans. The higher profits generated in 2010 enabled it to repay the outstanding debt and cover current liabilities.

The last group of ratios determines corporate profitability. One may differen- tiate between return on capital and return on sales. Tables 10 and 11 present a collation of profitability indices, namely return on capital and return on sales both for the traditional and Internet shops.

Table 10. Capital profitability ratios for firm X

Traditional shop Internet shop Capital profitability 2010 2009 2010 2009

Return On Assets (ROA) 7% 11% 2% 1%

Return On Equity (ROE) 31% 197% 29% 138%

Return On Capital (ROC) 18% 38% 9% 10%

Financial leverage effect 0.70 4.16 2.26 12.95

Source: own calculations.

The return on assets determines the profit that every Zloty of assets generated to the firm. In the case of the conventional shop, it reached 11% in 2009, i.e. every Zloty of assets earned 0.11 Zloty of profit, and 0.07 Zloty in 2010. For the Internet shop, it amounted to 1% in 2009 and 2% in 2010.

Analysing return on equity, it can be noticed that in 2010 every Zloty gener- ated 0.31 Zloty for the conventional shop, and 0.29 Zloty for the e-shop. On the contrary, in 2009 equity capital was considerably lower, hence ROE was extremely high. The ROE determines the profit generated by the total capital employed by the firm. The return on capital followed a downward trend,

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which may be considered a negative phenomenon. The higher the ROC, the greater the corporate effectiveness and potential for development. Return on equity was higher than return on capital in each case, which proves that the effect of financial leverage is observed. A positive value of financial leverage indicates that firm X generates profit from raising credits and taking on liabili- ties. If the value is negative, the firm incurs losses from the aforementioned actions. Table 11. Comparison of sales profitability ratios for firm X

Traditional shop Internet shop Sales profitability 2010 2009 2010 2009

Return on sales 1.5% 1.4% 1.6% 1.4%

Effectiveness of core business 2.5% 0.5% 2.7% 0.6%

Cost ratio 98% 99% 96% 98%

Profitability of operating activities 2.4% 2.0% 2.6% 2.1%

Source: own calculations.

Return on sales (understood as the ratio of net profit to total profit) determines the profit generated by every single Zloty earned by the firm. In 2010 every Zloty generated 0.02 Zloty of profit, whereas in 2009 the profit amounted to 0.01 Zloty in the case of both the conventional and Internet shops. The effec- tiveness of the core business indicates the percentage share of the profit mar- gin in sales. The cost ratio determines the share of costs in profits. It reached nearly 100% in 2010 and 2009, which placed firm X in the category of hardly profitable enterprises. The profitability of operating activity is interpreted just as return on sales. In the case of the conventional shop, every Zloty of the profit from operating activity generated 0.02 Zlotys in 2009 and 2010. With regard to the e-shop the situation was slightly different as in 2009 every Zloty generated 0.02 Zloty of profit and 0.03 Zloty in 2010.

Firm X is still developing and the fulfilment of its particular objectives re- quires high financial outlays. Furthermore, in 2010 the firm became a public company, due to which it had to cover greater costs. Undoubtedly, this af- fected its net profit. Furthermore, the changeable situation on the foreign ex- change market in the fourth quarter of 2010 was also of profound importance.

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It was the main reason behind the growing prices of offered by distributors and determined the margin of profit from the products sold. The Internet shop was an additional element to the functioning of firm X. Even though it did not generate the expected profit at that time, it was still a signifi- cant part of the company.

CONCLUSION

The economic analysis revealed the problems encountered by the Internet shop (contrary to the traditional one) in achieving financial liquidity. Despite low ratios, the on-line functioning of firm X is not at risk of collapse. The traditional shop, which is placed in a favourable financial and economic situa- tion, may provide the e-shop with support whenever necessary. The turnover ratios for the traditional shop are satisfactory. The opposite situation is ob- served in the case of the Internet shop for which the value of this ratio was negatively affected by, among other things, the too high stock level which was not proportional to net profit. On the contrary, the traditional shop maintained appropriate balance between assets and net profit. Firm X intends to reduce the stock level in the case of the Internet shop and transfer part of it to the traditional shop.

Data derived from the Central Statistical Office indicates that the Polish soci- ety, despite the development of computerization, is still not very willing to use services provided by Internet shops offering computer hardware and software. This situation is reflected in the analysis of the sales carried out by firm X via the Internet. It is expected that the number of people buying goods on-line will be subject to increase each year, and particularly the number of consumers purchasing IT products, which will contribute to the further development of the entire IT sector and especially e-shops.

The traditional store run by firm X offers a wider range of products than the Internet one and hence may be more attractive to clients. This is the main rea- son behind differences in the profit generated by the two shops. Comparing the number of products sold with profit, it may be concluded that the clients of the e-shop prefer to buy small and less expensive goods in contrast with the

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customers of the conventional shop. Polish people are still mistrustful of e- shopping, particularly when it comes to purchasing costly products. They still prefer to examine the product themselves and only then buy it.

Firm X seeks new solutions that will increase the profit generated by both the traditional and Internet shops. It implements a number of projects aimed at extending the range of products in both types of stores, market development and geographic expansion. Furthermore, the firm intends to enter foreign mar- kets.

The profitability of the Internet shops functioning in the IT branch has not reached the optimum level yet. Traditional trade is still prevailing on the Pol- ish market. People need more time to place confidence in e-shopping. Some Poles consider e-commerce a hardly comprehensible notion and exploiting its potential – a formidable barrier. However, the development of this area is extremely dynamic and may pose a serious threat to traditional trade in the future.

LITERATURE:

1. Chmielarz W., Handel elektroniczny i nie tylko w gospodarce wirtualnej, Uni- wersytet Warszawski, Warszawa 2001, s. 31. 2. Dziuba D., Ewolucja rynków w przestrzeni elektronicznej, Wyd. Uniwersytetu Warszawskiego, Warszawa 2001, s. 15-20. 3. E-biznes. Strategie sukcesu w gospodarce internetowej, praca zbiorowa, Wyd. Liber, Warszawa 2001, s 20-30. 4. Niedźwiedziński M., Globalny handel elektroniczny, PWN, Warszawa 2004, s. 20-24. 5. Olejnik M., Sojkin B., Handel tradycyjny a handel elektroniczny, „Marketing i Rynek” 2001, nr 9. 6. Pelc, M., Polski Internet 2008/2009, Gemius, Warszawa 2009, s. 72. 7. Podstawy e-biznesu, red. A. Szewczyk. Wyd. Naukowe US, Szczecin 2006, s. 20- 25.

Prof. Agnieszka Szewczyk – Faculty of Economics and Management, Szczecin Uni- versity, Poland e-mail: [email protected]

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Aleksandra KUPIS-FIJAŁKOWSKA

SURVEYS IN THE CONTEXT OF VIRTUAL SOCIETY – A STATISTICAL PERSPECTIVE

STATISTICAL SURVEYS - A SHORT INTRODUCTION

Since the very beginning of the human beings, philosophers, scientists, society leaders and people in general have been interested in others’ characteristics, views, opinions, preferences and how other members of society perceive the surrounding world. The first data collection activities started in the Babylo- nian times (agriculture censuses), ancient China (investigation/determination of society revenues and military potential), ancient Egyptian and Roman civi- lizations (censuses of people and ). The main purposes of first ac- tions of this type were to determine political and military potentials, as well as aimed to calculate tax obligations. However over the time the information needs of and societies were growing. The data were becoming more and more desirable goods. It was recognized that information provides a broader context and thus reduces uncertainty and risk when a decision must be taken.

The research experience was increasing year by year, but at the same time different population numbers had been rapidly growing and going through modifications in structure and form. These processes were interesting for many bodies. This proves that information has always been one of the core political, economic and societal needs. As societies were changing, the meth- ods and modes of data collection had to evolve. Hence, although for ages it was based on a complete enumeration of , a fundamental change was inevitable [Bethlehem, 2009b]. Some new ideas were introduced to take into consideration only a part of population when doing research – i.e. in 1662 by John Graunt and in 1812 by Pierre Simon Laplace – but none of them brought any major changes into the survey methodology at that time, due to

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the lack of the proper scientific foundations. As industrialization the process progressed, more and more information was required. In 1895 a new chapter in survey theory and practice begun – the time of the representative method arrived. The idea of sample survey was intro- duced by Anders Kiaer. He proposed to investigate only a part of a population to get information on it and postulated that the selection method of the sample elements should guarantee a „miniature” of this population. Kiaer’s idea seemed to be justified by intuition, however he didn’t have supportive theo- retical background to motivate it. Today, without a doubt it can be stated that it was extremely needed at that time to do a step forward in survey methodol- ogy. A lot of criticism occurred and many discussions were needed on the sample selection method, which would result in representativity of the popula- tion, postulated by Kiaer as crucial. His proposal was based on a purposive selection method that satisfied the „population miniature” requirement, but he had no how to the accuracy of the obtained results.

This idea, although it lacked a formal theory of inference, started a process which resulted in the development of the representative method theory. Sir Arthur Lyon Bowley’s papers from 1906 and 1926 constituted the next step in this process. He actually proved that for randomly selected elements, esti- mates had an approximately normal distribution. Hence, a new selection method appeared – simple random sampling, for which the accuracy of the estimates could be calculated [Bethlehem, 2009b]. Kiaer’s and Bowley’s ap- proaches functioned simultaneously until Jerzy Spława-Neyman in 1934 pub- lished his paper On the two different aspects of the representative method: The method of stratified sampling and the method of purposive selection in which the idea of confidence intervals was introduced. This article was an invaluable asset for statistics theory as well as for science in general, as inter alia, the following conclusions were presented: the purposive selection approach does not provide satisfactory estimates of population characteristics; by using a random sample approach (instead of a purposive one), no prior assumptions about the population are required; with a random sample approach a confidence interval can be proposed as an indicator of the estimates precision.

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With this work, Spława-Neyman established the superiority of random (prob- ability) sampling over the purposive selection and at the same time the core of the modern survey sampling theory. After this publication, many scientific positions treating the representative method area and its problems were pub- lished, the following ones are considered to be the most important: Yates, F. (1949), Sampling Methods for Censuses and Surveys; Deming, W. E. (1950), Some Theory of Sampling; Horvitz, D.G., Thompson D.J. (1952), A generalization of sampling with- out replacement from a finite ; Cochran, W.G. (1953), Sampling Techniques; Hansen, M.H., Hurvitz, W.N. and Madow, W.G. (1953), Survey Sampling Methods and Theory.

Of special attention is the third of the positions listed above, as the authors presented and motivated the basis for the theory of unbiased estimates.

Generally, in the early fifties of the twentieth century, the classic theory of survey sampling was completed [Bethlehem, 2009b] and it became a common practice for the official statistics systems, for the social and other sciences as well as for public opinion and market research.

Nowadays, taking into account costs, time consumption and space restrictions, it is nearly impossible to imagine a study of the entire population, unless it is a population or enterprises registry required by legislation. Even so, public reg- istries collect only very basic information and don’t provide many specific details that meet the needs of social, economic, market etc. studies. From a statistical point of view, the ability to define a proper sampling frame1, appli- cation of sampling and adequate sample size are undoubtedly the foundations of a reliable survey results. If the sampling procedure is applied, a precision of the estimates can be measured and assessed properly only if the target population elements/entities can be listed properly and survey execution

1 Sampling frame is a comprehensive list of all population units, where for each of them a specific identifying symbol is assigned [Szreder, 2004]. The following properties of the sampling frame are usually listed in the literature as crucial: completeness, accuracy, the list should be up-to-date, all elements must be fully identifiable and population assignment rule should be transparent and known.

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proceeded correctly (minimization of non-sampling errors effect).

Scientists and practitioners have been developing this theory for nearly 120 years now and it is surely a successful methodology. Without a doubt prob- ability sampling is the core to obtaining the most possible reliable information and research design; selection of data collecting methods and high quality survey execution process are also crucial. It allows the researches to know all details of the conducted survey, including awareness of all existing complica- tions and most of the possible errors sources. The results always should be presented officially to the society and/or business with the transparent specifi- cations, and all problems should be described and discussed, including the methodological ones and their consequences should also be mentioned.

A lot of surveys suffer from lack of representativity, which causes the reliabil- ity of the collected data to be lower than it could be. However, statistics offers a lot of different methods to reduce the bias of the estimates in such cases and still develops tools which aim to increase the informativity of the surveys re- sults.

INTERNET POPULARITY AND ITS INFLUENCE ON SURVEYS

As in each discipline and each area, surveys always were used for many spe- cific problems. However, new methods and tools were developed to help make them more effective and efficient. With the introduction and develop- ment of modern technologies, the era of computers and digitalization arrived. In the seventies of the last century, researches fully benefited from the techno- logical revolution and computer assisted interviews quickly became a stan- dard. The end of the twentieth century brought to surveys an unprecedented perspective and challenge at the same time – the Internet.

With constantly growing Internet coverage and its widening penetration, a hitherto unknown social and economic with new electronic tech- nologies appeared. With the development of the information society, data demand rapidly expanded. All of the mentioned phenomena, influenced largely surveys by providing broader possibilities in the data collection proc- ess. The World Wide Web, became not only a new communication tool, a new

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medium or an immediately and easily accessible place to get the required in- formation. The role of Internet and technology in nowadays societies, private and professional is extremely high and important [Dinu, Nitoiu and Po- mazan, 2013]. Also, government, public institutions, non-government organi- zations, corporations and enterprises can’t imagine functioning without the web. A new dimension of human and business life was created. Moreover, the boundary between reality and virtuality was blurred The term of virtual soci- ety was introduced to the world of science and to everyday life. From a scien- tific point of view, especially taking into account sociology, psychology and economy, a new collectivity came into life – the population of Internet users. The web became a specific social space, where people „meet” and form inter- esting creations – a kind of community [Olcoń-Kubicka, 2010].

The Internet is no longer just a communication medium and knowledge re- pository [Szpunar, 2009]. The web came into the research area as a new tool for data collection and at the same time the virtual society became a new sub- ject of research interest. Although, telephone connections and computer as- sisted techniques also had a great impact on the survey methodology, the in- fluence of the Internet and new technologies on surveys is greater than ever and is progressing rapidly.

The information demand is high as never before and expectations are trans- parent: data should be delivered as fast as possible at the lowest possible cost. Web surveys seem to be the best answer for these needs. Not only secondary data and digital traces can be investigated easily, but also primary data includ- ing respondents’ opinions and declarations in general and the online society characteristics in particular. It is obvious that the data potential of the Internet sources is invaluable. The popularity of web surveys, considered as both: a virtual population survey made on the Internet and on-line survey modes, in the last years is consequently growing.

The scale of growth depends primarily on the Internet coverage in specific countries. Let’s consider the case of Poland. In 2012 Computed Assisted Web Interview (CAWI) was the second most popular way of contacting respon- dents - 24,6%2. Hence, almost every fourth respondent was reached by the

2 Data source: The Polish Society of Market and Opinion Researchers Yearbook, the 18th

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Internet. At the same time, Computer Assisted Telephone Interview (CATI) was the most popular method - 32,5%3 among all respondents in market re- search. Also, researchers often used Computer Assisted Paper Interview (CAPI) - for 14,8 %4 of respondents. What’s interesting, with the ongoing development of smartphone and tablet markets, accompanied by mobile Inter- net evolution, respondents often use these tools to answer on-line question- naire questions.

The ratio of research based on web surveys is constantly increasing (see Tab. 1) as both, the coverage and penetration5 of the Internet is progressing (see Tab. 2-3).

Tab. 1The CAWI survey mode in Poland from 2008 to 2012 [% in total]

Year CAWI 2008 2,9 2009 7,1 2010 18,3 2011 21,3 2012 24,6

Data source: The Polish Society of Market and Opinion Researchers Yearbooks for 2011/2012 and 2013/2014

In Poland around 2010 the decreasing landline coverage in households equal- ized with growing Internet access. In 2013 the difference was equal to nearly 20% , as Internet coverage was estimated to be 66,9 % and respectively land- line to 47,2 % [The Social Diagnosis 2013]. Internet became very popular in the Polish households, regardless of their type, place of residence, urbaniza- tion level and region (see Tab. 2) and in all age groups (see Tab. 3).

In the National Census 2011 in Poland, the Central Statistical Office used a mixed mode for the data collection process and Poles had choice of on-line self interviewing (CAII) - all together around 12% respondents preferred this

edition for 2013/2014, p.35; no official statistics surveys included. 3 Data source: The Polish Society of Market and Opinion Researchers Yearbook, the 18th edition for 2013/2014, p.35; no official statistics surveys included. 4 Data source: The Polish Society of Market and Opinion Researchers Yearbook, the 18th edition for 2013/2014, p.35; no official statistics surveys included. 5 Penetration is considered here as an intensify of one’s activities in the Internet and ability to use its potential and resources freely.

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way of contact. This proves that also official statistics see a great opportunity to conduct research on the Internet.

Tab. 2 Polish households Internet coverage from 2007 to 2011 [%]

Pos. / Year 2007 2008 2009 2010 2011 Total 41,0 47,6 58,6 63,4 66,6 Household type with children 53,2 61,4 75,3 82,9 88,3 without children 35,4 40,9 50,1 53,7 56,0 Place of residence city - above 100 000 residents 49,9 56,0 65,1 68,8 71,6 city - below 100 000 residents 43,7 50,3 59,8 65,1 67,0 rural areas 28,9 36,1 50,5 52 61,2 level low 34,2 40,7 52,2 58,8 61,6 average 35,6 44,5 58,3 61,9 68,0 high 48,7 54,8 64,5 68,1 71 Region East Poland 37,3 44,4 55,4 58,7 63,2 Central Poland 42 48 58,6 64,1 67,0 West Poland 41,8 49,4 61,3 65,9 68,7

Data source: Społeczeństwo informacyjne w Polsce, Central Statistical Office 2013

The content of Table 2 clearly confirms that over the years the household Internet coverage is spreading. Also, the population of Internet users in Poland is growing in all age groups.

Tab. 3 Internet users in Poland by age 2003-2013

Age group 2003 2005 2007 2009 2011 2013 16-24 56,1 72,7 76,5 86,8 93,1 96,6 25-34 34,7 49,2 59,4 73,7 85,9 88,4 35-44 23,4 35,2 45,9 62,1 75,7 82,3 45-59 12,4 21,6 31,7 39,5 49,9 55,2 60-64 2,8 7,6 13,7 20,6 29,2 35,5 65 + 0,9 2,8 3,6 5,8 10,6 14,1

Data source: The Social Diagnosis Survey 2013

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The Social Diagnosis Survey results, published in October 2013 showed that in 2013 in all Polish voivodships Internet access exceeds 55%, in 12 of them 65% and in pomorskie, wielkopolskie and małopolskie Internet coverage ex- ceeds 70%. However, for example, in 2009 the level of at least 60% coverage was hit in North America and in Australia and Oceania. At that time in Europe 52% of the population had access to the web (see Tab. 4).

Tab. 4 World total and Internet population in 2009

World region Total population Internet population Africa 991 002 342 67 371 700 (6,80%) Asia 3 808 070 503 738 257 230 (19,39%) Europe 803 850 858 418 029 796 (52,00%) The Middle East 202 687 005 57 425 046 (28,33%) North America 340 831 831 252 908 000 (74,20%) Latin America 586 662 468 179 031 479 (30,52%) Australia and Oceania 34 700 201 20 970 490 (60,43%) TOTAL 6 767 805 208 1 733 993 741(25,62%)

Data source: The World Internet Foundation

In 2012 the number of the worldwide Internet population reached 2.27 billion, almost exactly twice what it was in 2007 (see Tab. 5) and it is still growing.

Tab. 5 Internet population number change by world region in 2007 and 2012

World region 2007 2012 Increase (%) Africa 34 million 140 million 317 Asia 418 million over 1 billion 143 Europe 322 million 501 million 56 The Middle East 20 million 77 million 294 North America 233 million 273 million 17 Latin America 110 million 236 million 114 Australia and Oceania 19 million 24 million 27

Source: Internet World Stats

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Tables 1 to 5 show some descriptive statistics for Poland and different world regions regarding Internet access and are a good proof of the growing power of the Internet. There are no doubts that the era of has come and it is a natural consequence that surveys have to reach into online sources in or- der to obtain primary data.

PRIMARY DATA RESEARCH BASED ON INTERNET SOURCES – PERSPECTIVES AND PROBLEMS

The Internet seems to be the fastest and easiest solution to apply, when there is need to collect detailed and up-to-date characteristics, preferences and opi- nions in modern society. No matter whether this is in regard to political be- liefs, social problems or market behaviors. As already mentioned, to get the most possible reliable information it is crucial to have a solid research design as well as to choose and apply data collecting methods properly. It allows re- searchers to know all details of the conducted survey and be aware of all exist- ing complications and possible error sources. If web surveys, in their current form, are taken into consideration, fundamental principles of probability sam- pling and survey theory are not applied [Bethlehem, 2009a] and this implies that the results are not representative to the whole population, which basically comes down to low quality data. Web surveys’ popularity grows, society day by day becomes more familiar with them, but usually problems and their con- sequences are not revealed.

In the context of probability sampling approach attributes, there is a lot of methodological issues to be solved in web surveys in the nearest and further future. There are three main problems from a statistical point of view: Internet undercoverage, determination of the sampling frame and respondents self- selection. All of these result in lack of representtativity and thereby the col- lected data don’t reflect the exact of the phenomena studied. At the same time some statistical tools exist and their implementation can tone down discrepancies, low precision and poor accuracy effects.

Being a successful tool for surveys, the Internet gives many technical oppor- tunities to researches. It offers a broad spectrum on new tools, for example by

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using digital traces the number of questions can be reduced, reaction time can be measured precisely or new multimedia tools are available, such as anima- tions, movies, sound, high contrast interface, online eye tracking.

The popularity of Internetsurveys is caused by the growing Internet coverage and the phenomenon that a large part of human life now moves to the web – relations building, shopping, paying bills, ordering flowers, checking GP’s recommendations, online pharmacy, watching forest life via cameras, etc. Also, modern business increasingly depends on the web and a lot of en- terprises cooperate more online than offline.

Some advantages and disadvantages of web surveys were already mentioned, but below is a list of the most important ones.

Web surveys have several advantages, including6: are faster (quicker data collection) and cheaper (on all stages of the data collection process); are simpler in comparison to other modes and attractive multimedia forms; allow for quick respondent selection on the basis of required features; no interviewer effect; are less intrusive and suffer less from social desirability effects; allow quick follow-ups and reminders; immediately sent and answered questionnaires/forms; questionnaires can be filled with already available information (for exam- ple digital traces can be used); dynamic sequences of questions adapted to the specific respondent, which results in lower respondent burden and higher individualization; reduction of missing answers number; reduction of data entry mistakes; respondents can choose freely the time to answer the questionnaire; respondents can naturally adjust the speed of answering; the response burden can be easily monitored as server-side and client-side information is available;

6 Own elaboration based on: Bethlehem and Biffignandi, 2012; Fricker and Schonlau, 2005; Krzysztofek, 2012; Tourangeau, Conrad, Couper, 2013.

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geographical and disability boundaries are not a problem; there is the ability to make some small amendments quickly if a mistake occurred; a new understanding of individual anonymity and intimacy is presented in the web (it allows to reach niche population opinions easier and investi- gate rare features more effectively on the Internet rather than in the real world); experiments are available; are more ecological.

Respectively the list of the most important disadvantages looks as follows: inability of constructing a comprehensive sampling frame (can’t identify all members of the Internet population and hence unable to apply the as- signment rule7) and its consequences in sample selection limitation and lack of representativity and biased estimations; self-selection; coverage problems (no Internet access or connection, as well as conscious refusal to use it); more probable discontinuation of answering at any time/any stage of com- pleting the questionnaire; technological exclusion and problem with respondent’s computer skills; many technical problems can occur; problem with bias measurement and assessment; low response rates; IP and e-mail address changes; inability to confirm the respondent’s identity; „professional” respondents; multiple participation; respondents have bigger imagination and lie tendency; technical problems; unusual real-time situations can create problems resulting in discontinua- tion of answering.

7 It is possible only for specific web sites and if the page administrator keeps a registry of users.

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Probably, many more pros and cons could be added to the lists, however the two presented above seem to be transparent and emphasized in the literature. It is a tough decision to state if there are more benefits or disadvantages, espe- cially that the web surveys web is still not very well known. However, from a statistical point of view the current situation is alarming: no sampling frame, so selection methods are extremely reduced and in the majority of cases the target population differs from the survey population (undercoverage). The main pillars do not exist.

WEB SURVEYS - EXAMPLES OF STATISTICAL PROBLEMS CONSEQUENCES

The first three of the disadvantages listed above are the main methodological problems in web surveys from a statistical perspective. They all result in bias. It means that estimations based on the collected material differ significantly from the population parameters and no valuable inferences can be done about the researched phenomenon. Hence, the main objective of the conducted sur- vey - obtaining reliable information is not achieved. The bias in general can be caused by many errors that can occur in the survey execution process (Fig. 1).

Fig. 1 Taxonomy of survey errors

TOTAL SURVEY ERROR

SAMPLING NON-SAMPLING ERROR ERROR

Observation Non-observation Estimation Selection error error error error

Overcoverage Measurment Under - Non- error error coverage response error error

Processing error

Source: Jelke Bethlehem , Selection Bias in Web Surveys, p.164

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Let’s consider the main web survey problems of statistical nature in the con- text of the presented above breakdown of errors: selection and undercoverage errors occur here. The first one is the consequence of the inability to build the sampling frame and at the same time no proper selection method can be ap- plied. Basically no proper random sample is selected and a self-selection situa- tion occurs. It means that te respondent has to be aware of the existence of the questionnaire and has to decide to fill it. The second error source is obvious: not all elements of the target population have Internet access. Hence, there is no chance those units can be contacted and interviewed [Bethlehem, 2010].

A short statistical investigation is introduced now in order to present how the bias caused by undercoverage error can be measured [Bethlehem, 2010]. Let’s consider the target population of N fully identifiable elements (each element k is labeled; k=1,2,3,…,N) and the target variable Y, and where for each element k, a value Yk exists. Let’s assume that the web survey aims to estimate the value of the population simple mean for the target variable Y given as 1 N . YYk (1) N k 1

The population U is divide into two subpopulations: UI - all elements with the

Internet access and UNI – all elements without the Internet access. Let each element k be characterized by Ik indicator, which 1 for kU I (2) Ik 0 for kUNI

Hence, the number of UI (Internet population) is equal to N (3) NIIk, k 1

Respectively NNI denotes the UNI (non-Internet population) number, where

NNNNI I . (4)

The mean of the target variable for UI population is equal to N 1 (5) YIYI k k NI k 1 and the mean of the target variable for UNI population is equal to 1 N YIYNI(1 k ) k . (6) N NI k 1

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Let’s assume now that the sampling frame can be constructed for the Internet population and random sample (without replacement sampling scheme) is selected and is represented by the following series s1,,,...,, s 2 s 3 sNN 1 s (7)

th of N indicators, where the k indicator sk assumes 1 if element k is selected and 0 if isn’t, for k=1,2,3,…, N-1, N. Hence the sample size is equal to N nI s1 s 2 s 3... s N 1 s N s k (8) k 1 The first-order inclusion probability of the kth element is defined by the fol- lowing expected value kkEs() (9)

The Horvitz-Thompson estimator for the mean of the UI population is defined by N 1 Yk yHT s k I k . (10) NIkk 1 For every single element outside the Internet population we obtain: Y k 0 . (11) k When we deal with simple random sample from the Internet population, all inclusion are equal to n k , (12) NI hence expression 10 reduces to 1 N yI s k I k Y k . (13) n k 1

Expression 13 represents an unbiased estimator of the mean YI given by ex- pression 5, but not necessarily of the mean Y given by expression (1).

Let’s denote By()HT as the estimator bias, in the discussed situation it is equal

N NI to B()()() yHT E y HT Y Y I Y Y I Y NI (14) N Expression 14 shows that the magnitude of this bias is determined by the fol-

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lowing two factors:

N NI the relative size of of the UNI population and the larger this propor- N tion is, the higher bias occurs;

the difference ()YYI NI and the larger this difference is, the higher bias occurs.

As not everyone has web access, two sub-populations exist: Internet and non- Internet population (Tab. 2-3). Usually their structures differ a lot. For exam- ple, structures of Polish UI and UNI populations considered through the prism of age (see Tab. 3) are much different.

Hence, generally a random sample from UI leads to biased estimates for the target population parameters [Bethlehem, 2010]. However, the statistical methodology offers a lot of bias reduction methods [Bethlehem, 2007]. Those techniques can work not only for the bias caused by undercoverage error, but also for many others. The most popular ones are weighting adjustment meth- ods, including post-stratification weighting, weighting adjustment with a ref- erence sample, propensity score adjustment and rim weighting. However, it should be emphasized that only from a theoretical point these methods should be sufficient to deal with the bias. In practice, the application of those tech- niques does not result in the bias elimination but only allows some reduction of it [Bethlehem and Biffignandi, 2012].

Also, instead of using only web mode and try to improve the obtained results by statistical methods, surveys can be conducted by using some compilation of two or more ways of data collection. This is namely, the mixed-mode ap- proach and it involves either concurrent or sequential using of specific modes [De Leeuw, 2005]. The example of Central Statistical Office of Poland can be recalled here again, as for the 2011 National Census different modes were successfully implemented.

Aleksandra Kupis-Fijałkowska – M.A., Instutite of Statistics and , University of Łodz, Poland e-mail: [email protected]

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Urszula ZIMOCH

A COMPARATIVE ANALYSIS OF THE INFORMATION CULTURE AS THE INFORMATION SOCIETY INDICATOR IN POLAND AND FINLAND

INTRODUCTION

Information Society (IS) plays a crucial role in today’s world, mostly due to its indispensable impact on the level of life and sustainable development. Each country, whether because of its history, mentality, or the level of technological development, differs in terms of IS development. The purpose of this study is to compare the differences between the information culture, which is an indis- pensable part of the IS, in Poland and Finland. The analysis of the information culture combines such fields as , sociology, psychology, , and culture. Therefore it is an extremely complex subject with a quali- tative nature and many transformation processes. Although the information culture is building the information society, in this paper it is shown that IS strongly influences information culture. Therefore, this article is largely de- voted directly to the information society in both study countries.

THE ROLE OF INFORMATION CULTURE IN THE INFORMATION SOCIETY

To fully understand the nature and the basis of the information society, a basic definition should be mentioned: „information society is characterized by the preparation and the ability to use information systems and telecommunications services for communication and processing information.”1 In the information society, the most important factor is information and the speed with which it spreads. Hanna Batorowska and Barbara Czubała in their publication titled Problems of information science and attribute ambi-

1 Bangemann M., 1994, in: Społeczeństwo Informacyjne w Polsce. Wyniki badań z lat 2004- 2008, GUS, Warszawa 2010.

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guity to the term „information”. Information, in terms of information technol- ogy, is by the authors attributed to the content and the message, which is a reflection of the reality.2 Instruments, such as access to information and its processing, are measurements of IS development, which is inextricably con- nected with technological development and innovation. Thus, the develop- ment of IS affects the welfare of the society, but also functioning of the state.

The increasing role of information was presented as one of the three material bases of the information civilization by Józef Wierzbołowski. Information has been attributed to accept the role of a critical factor of production (in excess of the traditional factors as natural resources; labour and capital) and to respond to the increasing volatility of the environment, where one of the challenges was to ensure the skills and the ability to obtain information in the vastness of the messages3.

The role of culture in a society is unquestionable. The term culture has many meanings; it applies to material, immaterial, spiritual and symbolic products. Generally speaking, culture is the heritage of humanity. There is many popular wording connected to culture: national culture, and physical culture etc. Explaining the meanings of those terms can be said to be rather easy. However, explaining what the information culture is seems to be a bit more complicated.

The information society is the result of merging of many fields of science and human behaviour. As Batorowska shows, information culture is purely posi- tive and brings a value added. The signs of information cultural therefore will be named: skills, ethics, accuracy and versatility, while the lack of information culture will keep deviating from accepted standards or will be seemed as un- ethical behaviour. The basis for interpretation of the information culture is the behaviour of users, their intentions, motivations, and way of collecting, proc- essing and transmitting information4. Rationality of using the information, as a manifestation of the information culture, is also mentioned in the Ba-

2 Batorowska H., Czubała B., Wybrane zagadnienia nauki o informacji i technologii Informa- cyjnej,WSP, Kraków 1996, p.9. 3 Wierzbołowski J., Obserwacja i oceny rozwoju w Polsce społeczeństwa informa-cyjnego w kontekście procesów integracyjnych w ramach Unii Europejskiej, Warszawa, 2005, p.13. 4 See. Batorowska H., Od alfabetyzacji informacyjnej do kultury informacyjnej, Akademia Pedagogiczna, Kraków 2005.

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torowska’s publication from 2009. Reaching own purposes, but also the public good is also called a manifestation of the information culture. Therefore, the senders of information at the time of its creation should be guided by the par- ticular values of reliability, usefulness, truthfulness, responsibility, fairness, objectivity, criticism, etc. The correct attitude of the information’s author re- duces the risk of distortion, and facilitates the movement and the usefulness of the information5.

Analyzing the information culture, the relation with the English term informa- tion literacy, which literally means information skills, has to be mentioned. The literature is often presenting information literacy and information culture as the same phenomena. Batorowska shows the IL as a term closely associated with the culture of information, and even presents the idea that information culture includes information literacy6. The basic definition of IL is following: „ability to reach, evaluate and use information from various sources.” 7 More- over Batorowska emphasizes that people who use information efficiently and who have IL are people who are familiar with self-education, who are able to find the information and express their willingness. Self-education and exten- sive use of the available information is one of the foundations of the informa- tion society. Therefore a strong relationship between the information society and information culture can be observed.

FINLAND AS THE PRECURSOR OF THE INFORMATION SOCIETY

The above thesis, presented in the literature by Józef Wierzbołowski, became the basis for the analysis of the information society in Finland. It created in- terest and encouraged the study of the history of Finland as well as the as- sumptions of system and institutional arrangements.

A breakthrough in the computerization of each country shall be the first use of the Internet. In Finland, the Internet was first used in 1984 to link Finnish

5 Batorowska H., Kultura informacyjna w perspektywie zmian w edukacji, Stow.Bibliot. Polskich, Warszawa 2009. 6 Batorowska H., Od alfabetyzacji informacyjnej do kultury informacyjnej, Akademia Peda- gogiczna, Kraków 2005, p. 2. 7 See. Basili C., Theorems of Information Literacy, 2008.

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universities. While the domain .fi was registered in 1986, the commercializa- tion and sale of IP addresses began in 19938. A question that is left unan- swered is: what is the Finnish way from connection of the universities net- work to become the first country in the world where the Internet access is a legal right of every citizen? To answer this question, it is required to go back to 1967, when to honour the 50th anniversary of the independence, the Na- tional Bank with the support of the Finnish government has constituted a SI- TRA fund, Finnish Innovation Fund. The fund has been operating since then and now it is one of the key bodies to promote the development of technologi- cal innovation. 9 SITRA in 1998 published a report on the information society in Finland. It stressed that in the international prism, Finland is undeniably one of the world’s leading information society developers. SITRA evaluated relatively negatively the involvement of the government of Finland from 1995 to the development of IS. Thus there was a general willingness to support the government program to not miss the huge potential for the country. It was the reason of creating the publication Quality of life, knowledge and competitive- ness, premises and objectives for strategic development of the Finnish infor- mation society.

However, to look even further into the communication history of Finland, the date of 1886 should be mentioned, when the Senate established the Communi- cations Decree, which distributed a number of private communications li- censes in order to circumvent Russian telegraph regulations. This gave a green light to a strong growth of private telecommunications operators, which in the thirties amounted to more than 800. Conversely, applications of radio technol- ogy were developed in three Finnish companies around 1920.10 The strong telecommunications development of Finland already occurred in the 80’s when, together with the other Scandinavian countries, Finland had the world’s largest mobile communications market in terms of number of subscribers. Without a doubt, the government led by Matti Vanhanen, created in 2003, played a significant role in the development of information society in Finland. Number 1 of four government programs was the program called Building the

8 See. http://www.isoc.fi/internet/internethistory_finland.html. 9 See. http://www.sitra.fi/en/About+Sitra/history/history.htm. 10 Global Information Technology Report Towards an Equitable Information Society 2003- 2004, Oxford University Press, 2004, p. 91.

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Information Society, which was coordinated by the Prime Minister himself. It is worth noting that the expansion of IS was on the list of programs for gov- ernment action alongside lowering unemployment, stimulation of entrepre- neurship and increasing the share of population in the institutions of democ- racy. The supporting board for the programme included: Prime Minister (as coordinator), Minister of National Defence, Minister of Transport and Com- munications, Minister of Education, Minister of the State Treasury. The very foundation of the program shows the importance attached to IS in Finland: not only was the growth of computerization of country assumed, but the IS com- bined with an increase of competitiveness and productivity, improving the wellbeing of the citizens and the elimination of social and inter-regional ine- quality. The programme was based on a close between public and private sectors. The mission of the programme was expressed in the three perspectives presented in Table 1.

Table 1 Perspectives of the Information Society Programme

The willingness to use services offered by Citizens’ Perspective the Information Society Reform of the State management and im- Public administration’s provement its efficiency through the use of Perspective information and communication technology Rising competitiveness by using informa- Entrepreneurs’ Perspective tion and communication technologies

Source: Szewczyk G., Społeczeństwo Informatyczne w Finlandii, in „Społeczeństwo Informa- cyjne. Doświadczenia i przyszłość”, Polskie Towarzystwo Informatyczne, Katowice, 2006, no. 11, page. 159.

The Finnish government in 2003 supported the development of IS by i.a.: Ensuring access to broadband Internet connections, Developing IT skills of citizens, Extensions of the central government electronic services, Reform of administrative structures and procedures and promoting devel- opment in local government administration and economic sector in the di- rection of IS, Increase investment in research and development, Development of supportive legislation.

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In addition, in 2004 a list of priorities of the IS was introduced, which de- scribed the key steps and projects for years 2005-2007. The list included, among others: improving the information infrastructure, education and raising the skills of citizens, and accelerate the legislative process. Moreover, in 2006 the Finnish government created the National Knowledge Society Strategy for 2007-2015, one of which tasks was to activities to support the IS pro- gramme for the future government. In addition, the state agency involved in the information society has also established the council for the IS. Its compo- sition is remarkable as once again it was lead by the Prime Minister, followed by the Minister of Transport and Communications and several experts and academics on the information society were appointed for the council. The Council, therefore, was another strong state public that custody of the IS development in Finland.

The concept of IS is very broad. Vanhanen’s government remembered that while formulating targets for the implementing the concept of IS. The concept of the implementation of IS concerned on 7 main areas: telecommunications infrastructure and digital television, preparing citizens to live safely in the IS, education, professional life, R&D, information and communication technol- ogy in public administration, commerce and digitization of content, lawmak- ing, international cooperation.

The first objective was therefore broad coverage of IS regardless of social status or place of residence. Together with the development of the Internet bandwidth was broadcast television, since 2007 the television signal is trans- mitted only by the digital transmission. The second point concerns an ex- tremely important aspect, the safety aspect. The government has committed itself to ensure the security of computer networks and Internet transactions. Implemented are two independent forms of authentication service recipient to service provider: electronic signature and electronic banking codes. The fact is that Finland already in 2003 was not only an excellent example of the infor- mation society, but an example different than others. The researchers found in Finland a special developed model of the IS, which combines the knowledge economy with the value system of the welfare state11. The elements of the

11 Wierzbołowski J., Fińska droga do społeczeństwa informacyjnego i gospodarki opartej na wiedzy, Instytut Łączności, Warszawa 2003, p.12.

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welfare state to support the development of are following: free education, low health care costs, an extensive system of insurance and social benefits.

It is worth mentioning that free education is not limited to lack of payment for education. It also includes free textbooks and meals up to the high school, scholarships awarded to every student, regardless of their academic perform- ance, financial residential support for students, 50% student discounts on rail and bus transport. List of government support awarded to students is very long: each student can apply for a place in student housing, where the rent is much lower, but there is no standard’s difference, student loans reaching tens of thousands of Euro are also available for young people under the process of education. In Global Information Technology Report 2003-3004 the situation in Finland was analyzed under the title: Little Finland’s Transformation to a Wireless Giant. Therefore, it was an unusual phenomenon in the international scale that a country with a population of just over 5 million and which has suffered such heavy losses during the , becomes a key player in the global economy. The main factors in the report, which overlaps with the already mentioned features of the Finnish state, are such elements of the welfare state, high expenditures on research and development (in 2001, Finland was the second country in the world in terms of % of GDP spent on R&D12). In addi- tion, in 2010 the Finnish government established that every citizen should have access to 1Mb/s Internet connection at home, and by 2015 the connection is expected to 100Mb/s. „A broad-band Internet access is something without you cannot live in the modern world. Just as banking, water or , so you need the Internet”13 said one of the deputies. In a time of crisis in the 90’s in the Western Europe, the Finnish government actually took the view that the competitiveness of the economy will depend on highly skilled workers, hence the increased spending on higher education and research sector and develop- ment.

Describing the achievements of Finland in the field of communication and technology some names simply cannot be omitted: Nokia, Linux, IRC. While Linux is one of the biggest competitors of the MS Windows ,

12 Global Information Technology Report Towards an Equitable Information Society 2003- 2004, Oxford University Press, 2004, p. 90. 13 See http://www.ictregulationtoolkit.org/en/PracticeNote.3270.html.

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and IRC (Internet Relay Chat) founded in 1988 by Jarkko Oikarinen became a real hit of the communication world, few people know that Nokia not so long ago was associated with the production of cables, tires and rubber footwear. Nokia Corporation, whose name comes from the name of a small town in west-central Finland, was established as a conglomeration of three other com- panies in 1967 beginning with the work the department of technology at the very start. Nokia’s history is very interesting, because it contains excellent examples of the fast development as well as the very drastic downs. Just in 2012 the company’s board made the decision that the last manufacture factory operating in Finland will be closed what caused a wave of negative comments towards the Nokia Corporation.

It is true that the Finnish industry was far behind the rest of Europe after the Second World War. Aware modernization of the industry and raising skills, in half of a century, led Finland to become one of the Europe’s business leaders. Finnish response to a crisis has always been, inter alia: opening of the econ- omy, modernization of social structures, strengthening of public funds and policy away from direct involvement in business to build the conditions for private enterprises. The Finnish government clearly demonstrated in its ac- tions that it recognizes IS and the development of information and communi- cation technologies as a matter of a great importance. It is the development of IS where Finland had propel its economy, improve living standards and pro- mote Finland in the international arena. All this was possible only by authori- ties being completely convinced of the need for IS development and by a dis- tinctive attribute of the Finnish nation, known in their native language as sisu, which leads Finns by all kinds of difficulties in pursuit of excellence.

SYSTEM DETERMINANTS OF THE INFORMATION SOCIETY IN POLAND

It is essential, while describing the state information infrastructure, to review the existing legal describing the information standard. In Poland sev- eral acts can be distinguished, which include basic regulations for the sector and the information infrastructure of the state. To start with the most impor- tant act, the Polish Constitution from 1997, provides citizens, next to the per- sonal and economic liberty also with the freedom of information (Article 54).

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Another important document is the Act on computerization of entities imple- menting public tasks from 17th of February 2005. This Act defined the mini- mum requirements, inter alia, for the systems used to perform the public tasks and for public records and information in electronic form to public entities. While creating a list of government documents affecting the development of information society in Poland until 2006, following titles should be men- tioned: Aims and directions of development of information society in Poland, the Committee for Scientific Research, National Institute of Telecommunica- tions, Warsaw 2000, ePoland, ¬ Action Plan for Information Society Development in Poland in 2001-2006 Ministry of Economy, adopted by the Council of Ministers on 11 September 2001, National Strategy for the Development of Broadband Internet 2004-2006, Ministry of Infrastructure, Ministry of Science and Information, adopted by the Council of Ministers on 23 December 2003, The National Reform Programme for 2005-2008 to implement the Lisbon Strategy (adopted by the Council of Ministers on 27 December 2005, An action plan for the development of electronic government - e- Government for 2005-2006, Ministry of Science and Information Tech- nology, Warsaw, 2004.

The latest legislation is The strategy of Information Society development in Poland until 2013, the Council of Ministers adopted the resolution of 23 De- cember 2008. As it is stressed at the outset by the Prime Minister Donald Tusk, „The strategy is a response to the challenges of early twenty-first cen- tury civilization. With information and communication technology vision of the „global village” becomes a reality. (...) We want the infrastructure to be fully utilized by the citizens. (...) But we remember that technology is not everything: the information society is profound social change. Therefore, citi- zens have much to learn and the state must resolve a number of legal and eco- nomic issues, all these things we discussed in the strategy.”14 While analyzing

14 Strategia rozwoju społeczeństwa informacyjnego w Polsce do roku 2013, Warszawa, 2008, str. 3-4.

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the Polish government’s commitment to the development of IS, a careful re- view of the progress of e-government services should be done. The study of the development of e-Government in Poland from 2005 showed that the ma- jority of public administration in Poland reached a positive development level. The low level of development remained the transaction services and electronic services for citizens. The selected exact percentages are listed below: • In 99,4% of the offices the Internet was widely used tool of communica- tion, • offices had a website, • 14% of all office staff was trained in ICT, • Less than 20% of offices consisted of orders via Internet, • 10% of the Polish authorities used the electronic document, • 75% of the local government and county offices of cities with county rights and municipal authorities declared a lack of public Internet access points. • Accurate assessment and analysis of information society in Poland can be found in the publication of the Central Statistical Office (GUS) Informa- tion Society in Poland. Statistical results from the years 2006-2010.

Summing up, the Polish development of the information society began rela- tively late, especially the one based on the government actions. The current strategy of the information society development in Poland is a full and com- prehensive document, but to realize all or even part within it postulates a need for paying attention not only by the authorities at every level, but also by rais- ing awareness of the whole society. Currently, Poland has a very well pre- pared legislative basis to support the development of IS. The question could be the degree of government involvement in efforts to promote IS and ICT.

THE STUDY OF DIFFERENCES IN THE INFORMATION CULTURE IN POLAND AND FINLAND

The comparison of the information culture was based on conducted survey that aimed in examining the level of information culture in both analysed countries. As it was shown in the beginning of the article, the information

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culture is a very complex subject, therefore the survey, on which the study is based, included both the questions about the technological equipment, fre- quency of use of information services as well as an own observations and opinions.

The original survey was conducted via the Internet, using to the Google documents application, in two languages: Polish and Finnish. Choosing an online survey guaranteed, in most cases, filling it by those who use computers and the Internet. Thus, 100% of the respondents have a computer and the Internet (at least one). The random sample of Polish and Finnish citizens made a total of 150 respondents. Using the percentage methods allowed to present Poland and Finland as two equal and comparable countries.

The information culture study has begun by testing a primary source of infor- mation. Although the information culture does not impose direct source of information, it requires the search for information from many sources, Figure 1 shows the main sources of information. The thesis placed while creating the study assumed that in Finland the use of the Internet will be more popular.

Figure 1 confirms the above thesis, but the difference between the popularity of the Internet as a primary source of information is low, only 4%. But what is clearly visible; the Internet dominated the sources of information, becoming the main source for the most of the respondents in both countries. What is alerting for Polish printing companies: only 3% of Poles considered newspa- pers as the primary source information, while Finns in 10% base their infor- mation on newspapers. The inverse difference occurred when examining the television as the primary source of information.

Figure 1 Information source (%)

Poland Finland

78 74

14 10 6 6 6 3 3 0

TV Radio Newspaper Internet Other

Source: own work based on the survey.

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An interesting fact is that Finns to gain information often use a very simple combination of newspapers and television: TV newspaper application. Despite its simple appearance, the TV newspaper is used in Finland to check sports scores and information from the country and the world. The rare use of it in Poland is mainly limited to a television program. Figure 1 showed relatively small differences in Polish and Finnish main sources of information.

A very important determinant of the information culture is the frequency of use of information services. Frequent acquisition of information and state of awareness of information is one of the main determinants of the knowledge society. Figure 2 shows a clear difference between the Polish and Finnish society. The Finnish 94% of the result of obtaining the information several times a day is really impressive. Analyzing the less often use of information services, the preponderance of the Polish people is significant. 3% of the Poles say that they do not use the information services at all. This statement should be openly criticized, but the overall result obtained by Poland is assessed posi- tively.

As was mentioned above, the information culture manifests itself through the use of multiple sources of information. The results of a study on the average number of sources of information are contained in Figure 3. The differences between Poland and Finland are very clear again. Nearly a quarter of Finns admitted using an average of 10 or more sources of information, while the same reply gave only 7% of Poles.

Figure 2 Frequency of use of information services (%)

Poland Finland

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62

17 16 4 2 1 0 1 0 3 0

several times once per day several times once per week less do not use per day per week

Source: own work based on the survey.

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Figure 3 Number of information sources

Poland Finland

69

44

32 24 18

7 6 0 0 0

>10 9--5 4--2 1 do not use

Source: own work based on the survey.

From the structural study (Figure 4), the information culture, media are ex- tremely important and, in particular, their ownership by citizens of the infor- mation society. Survey results show slight differences between the studied countries. All the respondents have at least one mobile phone and Internet access. Figure 4 Communication device possession (%)

Poland

Yes No More than 1 85 88 71 74 59 63 39 37 15 12 11 18 10 16 0 2 0

Mobile phone Landline phone PC or laptop Permanent TV Radio access to the Internet

Finland

Yes No More than 1

82 82 78 76 74 70

24 18 24 18 18 12 10 12 0 0 2 0

Mobile phone Landline phone PC or laptop Permanent TV Radio access to the Internet Source: own work based on the survey.

Figure 5 clearly shows the differences on the key features of the infor- mation. Respondents were asked to select up to five features of the informa- tion from a list of ten examples. The results allow analyzing the information

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culture, in its approach to information, which is an important activity through- out the study.

Veracity of the information in both countries received the most votes, 96% of respondents in both countries agreed that this is an important feature of infor- mation. When analyzing the similarities; almost as many people in both coun- tries said that the objectivity and clarity are very important. Compliance with ethical standards and confidentiality has gained similar results, but much lower, especially confidentiality. Thus, 5 out of 10 features of the information are perceived similar in Finland and Poland. Analyzing differences: a trusted source is important for the vast majority of Finns, while in Poland it counts for little more than half of Poles. Very interesting are the results for the criticism and brevity. The first is much more valued in Finland, while the latter domi- nates in Poland; both the differences reach 50%.

Figure 5 Most important features of the information (%)

Finlandia Poland

0 Other 1 78 Objectivity 77 Compliance with 16 ethical standards 21 92 Trusted source 61 62 Clarity 65 60 Criticism 9 6 Brevity 56 8 Confidentiality 8 96 Veracity 96 82 Speed 68

Source: own work based on the survey.

One of the reasons why criticism is of high importance in Finland, is a popular tabloid, also available in on-line, for example, Iltalehti, Ilta-Sanomat, which in its own way shows readers the importance of criticism by its absence. Oppos- ing the results of the speed and compactness, for as much as 82% of Finns believe speed is an important feature, while clearly omit brevity. This involves comparing the brevity of the hash information, which in Finland is neither

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preferred nor popular. In order to clearly specify the main features of the in- formation bellow are sorted features which exceeded 50%.

The next study was the examination of the characteristics of the process of transferring information from the sender’s point of view. There were greater differences than the examination of the characteristics of the information. Only similar and equally good result was given the speed of the transmission. Moreover, a key observation is that the highest result obtained in Poland is only 77% and in Finland 84%. This means that there are no dominant charac- teristics of the transmission of information. In Poland, brevity obtained sig- nificantly higher results. Among the senders, the most important features of the process of transferring the information are:

Poland: Finland: 1. Veracity, speed 1. Veracity, clarity 2. Clarity, 2. Correctness, diligence 3. Correctness, 3. Speed, 4. Brevity, 4. Objectivity 5. Diligence

The results of the study on characteristics of the transmission of information from recipients’ point of view are shown below. Therefore not only compari- son of the results obtained by the examined countries in this case, but also analyses of the differences between the approach of the sender and recipient could be examined. Starting from the analysis of the differences between Po- land and Finland, the biggest difference is on the accuracy and diligence. Al- most twice the numbers of Finns believe these characteristics are very impor- tant to provide the information. Again, the Polish receivers’ of information far more than the Finns appreciate brevity. Among the recipients of information in Poland and Finland are valued most:

Poland: Finland: 1. Veracity, 1. Veracity, 2. Clarity, 2. Clarity, 3. Speed, 3. Speed, 4. Objectivity, 4. Correctness 5. Brevity. 5. Objectivity

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An interesting observation is that the recipient of the information, express a greater need for accuracy of the transmission of information than the sender. This can be seen for both the studied countries. While the sender cares more for accuracy and correctness of the process.

The next step in the information culture study was the study of its absence. Further manifestations of this study concerned the lack of information culture among respondents. Again, as above, the test results will be interpreted by extending them to the whole society.

Table 2 Signs of lack of information culture in Poland and Finland, in %

Signs of lack of really very never sometimes often information culture seldom often Country PL FI PL FI PL FI PL FI PL FI sending false 24 4 46 66 25 28 5 2 0 0 information (lie) receiving false 1 0 12 16 57 64 25 20 5 0 information ignoring the speaker/ 10 2 40 36 33 54 12 8 5 0 listener providing too many 15 2 28 8 31 70 20 18 6 1 information at once deliberate distortion of 35 24 35 56 22 16 8 4 0 0 information omission of critical 23 10 49 68 20 22 8 0 0 0 information disclosure of confidential information 46 42 45 48 8 8 1 2 0 0 (secret, password, etc.) falsification of informa- 61 60 28 34 10 6 1 0 0 0 tion sources (plagiarism)

Source: own work based on the survey.

The first of the examples of lack of information culture, lying, receive unex- pected high percentage of answers „never” from Poles. Most Finns admitted to a very rare misreporting of information. A similar percentage of Poles and Finns admitted to lie sometimes. Responses „often” were claimed by 5% of Poles and 2% of Finns, while „very often” did not occur at all. The results in general are positive, as that intentional sending false information is a categori- cal denial of the attitude of the information culture. To sum up the above

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study, Finns more often admitted to lie, while in another question Poles admit that they are often being deceived. Another study involved ignoring the speaker / audience. Most Finns admitted to it from time to time, while Poles rather do it very rarely. Poles, however, prevail in extremes, either „never” or „very often”. This indicates a very large diversity of the society. Finns, how- ever, in most of the examples are much more united with their answers. The vast majority of Poles and Finns denied or admitted to a very rarely deliberate distortion of information, or colloquially speaking; telling not whole truth, or aliasing information. Respondents were also asked to assess the level of the information culture in several cases. This question forced the respondents to make their own analysis of the information culture in the surrounding envi- ronment.

Table 3 Self-assessment of the information culture in Poland and Finland in %

Self-assessment of very the information very bad bad neutral good good culture Country PL FI PL FI PL FI PL FI PL FI personal informa- 0 0 3 0 15 24 61 42 21 34 tion culture information cul- ture of and 0 0 1 0 23 34 67 58 9 8 friends information cul- ture in the work 1 0 11 2 37 6 42 56 9 36 place/school information cul- 5 0 43 8 38 46 13 38 1 8 ture in the country information cul- 10 0 34 7 38 40 17 46 1 0 ture in media

Source: own work based on the survey.

The worst result in the above study was assessed for the level of information culture in Polish media: up 10% of respondents expressed a very negative opinion about it. Negatively was assessed the level of the information culture in Polish school / work place, and again in the media, as much as 43% of Poles said that the national cultural level is unsatisfactory. However, the Poles have identified their own information culture in 61% as good and 21% as very

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good (Finland: 42% good and 34% very good). Culture among the closest people in both countries was estimated to be good, but also a large percentage of neutral. Big differences between the assessed level of cultural information between Poland and Finland are at work/school. Finns positively evaluated the information culture in their workplace or school. The biggest difference con- cerned the information culture evaluated for the whole country. The level of information culture in Poland is generally (43%) rated as poor, and in Finland as a neutral / good. It is noticeable that respondents better evaluated the cul- ture of individual citizens rather than institutions, or specific sectors of the state as a whole. Finns, however, make a more critical assessment of the level of culture among people in close environment, and attest a high level of in- formation culture in life, the media and even across the country.

POSITION OF POLISH AND FINNISH INFORMATION SOCIETY IN THE WORLD

According to the Network Readiness Index (NRI) Finland is placed on the 6th place in the world yielding Sweden, Singapore, Denmark, Switzerland and the United States. Poland in the same statement took 65th place, which closed the first half. It should of course be pointed out that Finland is one of the devel- oped countries with the high income, which began ranking is identical to the aforementioned, and Poland is among countries with medium-high income, where in terms of NRI Poland is located at 15th place.

Table 5 Main NRI indicators for Poland and Finland

Main indicators Finland Poland Population in millions, 2008 5,3 38,1 GDP per capita in $, 2008 36320 17537 Number of mobile subscriptions per 100 inhabitants, 2008 128,8 115,3 Number of Internet users per 100 inhabitants, 2008 82,6 49 Internet connections (Mb / s) per 100 inhabitants, 2007 172,6 27,5 Number of patents per million inhabitants, 2008 155,5 1,4

Source: The Global Information Technology Report 2009–2010 ICT for Sustainability, Geneva 2010, page 219-276.

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SUMMARY

Information culture is an important but often neglected aspect in the literature component of the information society, but there also occurs a of the IS on information culture: information culture gives the correct and ethical forms of acquisition, processing and transmission of information and IS shapes the culture in the society.

Development of the information society, and information culture should be a continuous process.

A high degree of development of the information infrastructures is shown in indicators such as the Networked Readiness Index, which is important infor- mation for potential foreign investors. Therefore it is in the interest of the state and governing bodies that the country is located on the top in world ranking.

Reforms and laws that favour the development of information society in Po- land, compared to Finland are delayed for about 15 years. However, upon joining the European Union, Poland has to obey the same directives, such as eEurope etc., as Finland.

Finns more often than Poles use information services, more often search for information, and use more sources. Lack of interest in news in Finland is rep- rehensible, and usually not accepted by the environment. It is therefore neces- sary to sensitize the Polish society that information passivity is an act detri- mental to the public good of the country.

The Internet is undeniably the most popular source of information; both in Poland and in Finland, but access to it and speed in these countries differ greatly with the disadvantage for Poland.

The Finnish society has a more consolidated views on the nature of the infor- mation culture than the Polish society, in which opinions are often extreme in nature, as well as Poles often do not have any opinion about the information culture. This is mainly caused by the fact that information society is still quite a new terminology in Poland.

There is a vast difference in approach by the Finnish and the Polish govern- ment to the topic of information society. The Finnish government for years

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has been assigning high priority to information and communication technolo- gies and has a pretty clear plan for using information and communication technologies to improve the overall competitiveness of the country, while the Polish government in this regard is clearly not unanimous. However, over the past 5 years, the effectiveness of the Finnish Government in the promotion of ICT is reduced, in contrast to the Polish Government, where it is slightly im- proved.

Focusing primarily on information society and making comparisons on the basis of historical knowledge, the first argument that comes to the mind is the loss of development opportunities for Poland due to the communist times. It was after World War II that the Finnish economy opened and revolutionized. Poland received a similar chance with a long delay. However, even commu- nism cannot explain such a late interest of the Polish government in the devel- opment of information society. Only the latest strategies promise a fast and reliable growth of computerization for the citizens and the country, which without a doubt located Poland among the second half of European countries. However, despite the promising words of the Polish Prime Minister, the Polish government is still missing the visible importance given to the development of IS, an attitude that the Finnish government has had for many years. It is the difference in the approaches of government towards the development of in- formation society; understood as the development of skills and competences and the competitiveness and sustainable economic growth, the first conclusion of the paper. The low priority given to IS by the Polish government translates into a worse state information infrastructure. In fact, household equipment for 5 million people is easier to provide than for 38 million, but geographically, Finland is in a much worse infrastructure situation. The area of Finland is a bit larger than Poland, but both the elongated shape of the country and its vast natural areas hinder the development of information infrastructure. Comput- erization of „shaped” and fully inhabited Poland for Finns might be seen as almost a trivial task.

Comparing the information culture in Poland and Finland, differences in the mentality of the citizens should also be taken into account. Based on the sur- vey, the first general conclusion is Finns present better harmonized views of information culture and a more homogeneous behaviour. Differences in the

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Polish results are dictated by various levels of IS knowledge. The main differ- ence between the countries in this study is the number of information sources and the frequency of their use. Without a doubt, Finns presented well the country’s „desire” for information, where the passive attitude towards the surrounding world is extremely reprehensible. In Poland, the lack of interest in news from the country and the world is still tolerated and sometimes ex- plained by personal interest.

While the development of information infrastructure may be strictly controlled by the state and government, and the computerization with the high level of expenditures may take place in a really short period of time, the development of information culture is a very time-consuming and complex process. One simple, yet complex solution, could be a firm implementation of IS issues in the education system. However, waiting for the results of this process will take generations. Information culture directly concerns the and to some extent a sense of patriotism. While Poles have always been regarded as a patriotic nation, saying „a Pole to a Pole like a wolf” has its base. Finns, though considered as a „cold” nation, are not only taught that patriotism is „to die for the motherland” but above all to work together for the sake of the whole country and its citizens. Campaigns like „Now Poland” (Teraz Polska) can consider Finland to be a utopia. Finns do not appreciate anything as much as domestic products whose quality can never be doubted. This particular ex- pression of patriotism, which could be seen as deviation from the topic, links with the Finnish approach to knowledge-based society. Finland is a open to the world in every possible aspect, however, with complete respect for the homeland and citizens. One of the manifestations of the lack of the informa- tion culture is cheating during exams. In Finland that phenomenon almost does not exist. The penalty for cheating is an immediate expulsion from the university, the penalty for plagiarism is criminal proceedings, but beyond the statutory penalties, there is also the social exclusion of the cheater. The men- tality of Finns in this respect is very strong and one-sided, of course, ex- tremely worthy of dissemination.

When asked whether Poland will catch up Finland in the development of in- formation culture, the answer is not obvious. Cultural, political and even reli- gious differences between countries are really visible. Many of the actions

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manifested in Finland, could never meet with the approval of the Polish soci- ety (for example, identical validity of oral contracts and written agreements in Finland). Poland remains a country with a high degree of in com- parison with Finland, which is undoubtedly an obstacle to the development of information society. Moreover, as long as the Polish labour market is not very attractive to the young and educated people with high technological and in- formation skills and also with the high information culture, they will emigrate, and thus Poland would lose the best basis for the development of the informa- tion society. in conclusion, it should be noted that one strategy for developing the informa- tion society will never be fully effective in two different countries. However the way of Finland towards the information society is full of good and bad examples, which still could be analyzed by Poland. The essence of good prac- tice is the adaptation of a proven solution in other regions, in order to avoid „breaking on open doors”. Therefore, in terms of information culture and information society, Finland should be seen by Poland as good practice from the North.

LITERATURE:

1. Bangemann M., 1994, in: Społeczeństwo informacyjne w Polsce. Wyniki badań z lat 2004-2008, GUS, Warszawa 2010. 2. Batorowska H., Kultura informacyjna w perspektywie zmian w edukacji, SBP, Warszawa 2009. 3. Batorowska H., Czubała B., Wybrane zagadnienia nauki o informacji i technolo- gii Informacyjnej,WSP, Kraków 1996, 4. Batorowska H., Od alfabetyzacji informacyjnej do kultury informacyjnej, A. Pe- dagogiczna, Kraków 2005. 5. Cieślak T., Historia Finlandii, Ossolineum, Wrocław 1938. 6. Global Information Technology Report Towards an Equitable Information Soci- ety 2003-2004, Oxford University Press, 2004 7. GUS, Społeczeństwo informacyjne w Polsce. Wyniki badań z roku 2004-2008., Warszawa 2010. 8. GUS, Społeczeństwo informacyjne w Polsce. Wyniki badań z roku 2006-2010., Warszawa 2010. 9. Polańska K., Kultura informatyczna studentów studium podyplomowego SGH na

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podstawie badań, w: Kultura informatyczna w społeczeństwie globalnej informa- cji, pod red. Szewczyk A., Wyd. Instytutu Informatyki w Zarządzaniu, Szczecin 1998. 10. Quality of life, knowledge and competitiveness, Premises and objectives for stra- tegic development of the Finnish information socjety, SITRA, Helsinki 1998. 11. Ryznar Z., Nieodzowny wstęp do informacji, Magazyn CEO, 2001. 12. SIBIS, eEurope Benchmarking: Key Figures for NAS 10 Countries, 2003. 13. Stefanowicz B., Kultura informacyjna, w: Kultura informatyczna w społeczeń- stwie globalnej informacji, pod red. Szewczyk A., Wyd. Instytutu Informatyki w Zarządzaniu, Szczecin 1998. 14. Strategia rozwoju społeczeństwa informacyjnego w Polsce do roku 2013, War- szawa, 2008 15. Strategia rozwoju społeczeństwa informacyjnego w Polsce do roku 2013, War- szawa, 2008. 16. Strategia rozwoju społeczeństwa informacyjnego w Polsce na lata 2007-2013, MSWiA, Warszawa, 2007. 17. Szewczyk A., Informatyka- Aspekty humanistyczne, Uniwersytet Szczeciński, Szczecin 1996. 18. Szewczyk G., Społeczeństwo Informatyczne w Finlandii, w „Społeczeństwo In- formacyjne. Doświadczenia i przyszłość”, Polskie Towarzystwo Informatyczne, nr 11, Katowice 2006. 19. The Global Information Technology Report 2009–2010 ICT for Sustainability, Geneva 2010 20. United Nations, Economic and social commission for Western Asia, Information Society Indicators , 2005. 21. Ustawa o informatyzacji działalności podmiotów realizujących zadania publicz- ne, Warszawa, 2005. 22. Ustawa o świadczeniu usług drogą elektroniczną, Warszawa 2002. 23. Wierzbołowski J., Fińska droga do społeczeństwa informacyjnego i gospodarki opartej na wiedzy, Instytut Łączności, Warszawa 2003. 24. Wierzbołowski J., Obserwacja i oceny rozwoju w Polsce społeczeństwa informa- cyjnego w kontekście procesów integracyjnych w ramach Unii Europejskiej, Warszawa, 2005.

Urszula Zimoch – Ruralia Institute, University of Helsinki, Finland e-mail: [email protected]

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Davide LAMPUGNANI

FROM NOWHERE TO EVERYWHERE: ADDRESSING THE SHIFTING RELATIONSHIP BETWEEN DIGITAL INFRA- STRUCTURES AND THE CITY

INTRODUCTION

The relationship between infrastructures and the city constitutes one of the most important issues in modern history. On the one hand the city is like a „theater” in which the processes of modern life are most excellently and pow- erfully displayed (Simmel, 1996; Weber, 2003). On the other hand, infrastruc- tures give shape to the ever-changing seamless web of networks and flows that occur in the modern city (Tarr & Dupuy, 1988).

For Edwards, infrastructures are both „the connective tissues and the circula- tory systems of modernity” (2003, p. 185). At the same time they shape and are shaped by the forces of modernity „by linking macro, meso, and micro scales of time, space and social organization” (ibid., p. 186). More precisely, two aspects of the relationship between modernity, infrastructures and cities are of utmost importance. First, infrastructures shape an „invisible back- ground” (ibid., p. 191) that both broaden the space of flows (Castells, 1996) and related opportunities and constraints for action. Second, infrastructures are part of the modern culture that molds our representations and imaginaries. As Edwards argues: „Control, regularity, order, system, technoculture as our na- ture: not only are all of these fundamental to modernism as Weltanschauung, , aesthetic, and design practice, but they are also (I want to argue) basic to modernity as lived reality” (2003, p. 191).

Similarly, Graham focuses on those „infrastructural landscapes” (2000, p. 114) that characterize urban modernity: „When our analytical focus centres on how the wires, ducts, tunnels, conduits, streets, highways and technical net- works that interlace and infuse cities are constructed and used, modern urban-

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ism emerges as an extraordinarily complex and dynamic sociotechnical proc- ess” (ibid.). He specifically identifies three aspects of the relationship between modernity, infrastructures and cities. First, the relationship is marked by the tension between the mobility of goods, information and people and the immo- bility of infrastructures in space and time (Harvey, 1985, p. 149). Only by redefining continually this relationship is it possible to increasingly liberate circulation within and between cities. Second, urban infrastructures contribute both to define modern urban representations and the ideology of progress and the technological sublime (Nye, 1994) supported by several discourses of modernization. Finally, Graham emphasizes the „sociotechnical geometries of power” (2000, p. 115) in which modernity, infrastructures and cities are caught. Far from being value-free, urban infrastructures are strictly tangled with wider social, political, economic and cultural processes, which shape different configurations of spaces and times.

In the following pages the relationship between infrastructures and the city will be examined addressing both the structural and the cultural dimension of the relationship. On the one hand, infrastructures and cities are caught up in processes that define and continually redefine the expansion and the control of the flows of goods, information and people in space and time. On the other hand, these processes are also in a two-way relationship with cultural repre- sentations and imaginaries, which provide the frameworks within which infra- structures and cities are shaped. In particular, the following two paragraphs will briefly outline two historical configurations characterized by the changing relationship between digital infrastructures and the city. The first configura- tion grew along with the rise of the „information society” and „cyberspace” and culminated in the last decade of the twentieth century. The second con- figuration is only now being defined in the new millennium and can be framed as the emergence of what is called „ubiquitous ”.

END OF THE CITY AND SPLINTERING URBANISM

The progressive diffusion of digital infrastructures within advanced countries beginning in the end of the 80s constituted an important factor of the trans- formation of the global urban scene. In 1978, Nora and Minc (1978) coined

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the term „télematique” in order to try to label the convergence of information technologies and telecommunications through digital language. Twenty years later, Castells (1996) utilized the concept of the „” to describe this new parallel transformation of digital infrastructures and advanced socie- ties. A number of processes were in motion: on the one hand the old infra- structures of the industrial society were increasingly being filled with new networks made of copper cables, satellites and terminals; on the other hand the modern industrial city was gradually changing as a result of a process of ur- ban fragmentation and global dislocation.

These parallel transformations of infrastructures and the urban fabric were framed, starting from the late 80s and the early 90s, by a series of cultural representations and imaginaries that attempted both to explain and to drive the transformation that was in progress. Powerful metaphors were created in order to „make tangible the enormously complex and arcane technological systems which underpin the Internet, and other networks, and the growing range of transactions, social and cultural interactions, and exchanges of labour power, data, services, money and finance that flow over them” (Graham, 1998, p. 166). Specifically, a series of „labels” were coined to try to capture the trans- formation taking place: from the „third wave” of Toffler (1980) to the „infor- mation society” of Lyon (1989), from the „post-industrial society” of Bell (1973) to the „wired society” of Martin (1978). In all of these cases the rela- tionship between digital infrastructures and the city was conceived as a linear and unidirectional „impact” of the technological innovations that caused mul- tiple in the economy, the social and cultural life, in the and in the governance of advanced industrial cities (Graham & Marvin, 1996).

However, the most important metaphor, because of its leading role in explain- ing and driving the transformation in progress, was that of „cyberspace”. A term coined by William Gibson in 1984, it spread rapidly as a special meta- phor that indicated that space „entirely separated from the material, corporeal world of the body and the city” (Graham, 2004a, p. 17). Regarding the rela- tionship between digital infrastructures and the city, the metaphor of cyber- space provided a dual reading (Graham, 1998, 2004a, 2004b): on the one hand the substitution of physical flows by digital flows and, on the other hand, the

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transcendence of space, time and body.

With regard to the first representation, utopians and futurists predicted a „de- materialization” (Negroponte, 1994) of the urban fabric. The industrial city – dirty, chaotic, polluted and unsafe – should have been replaced by a „wired city” (Dutton et al., 1987) in which „all information will be available at all times and places to all people” (Graham e Marvin, 1996, p. 88). Toffler (1980), for example, predicted a „third wave”, after agricultural and industrial, in which „electronic cottages” should have replaced the need for urban social relations by bringing together within the home all the services and information people need to work, interact and relax. The basic idea was that the great so- cial, environmental, economic and political problems would have been solved by the transmission of bits through digital infrastructures.

The second representation concerned what Bolter and Grusin called the „the- ology of cyberspace” (2002) which transformed „information from something separate and contained within our computers to a space we can inhabit” (p. 181). Within this logic, cyberspace was represented as a virtual space that was separated from and opposed to real space. In this „other space” spatial, tempo- ral and corporeal constraints could have been transcended by accessing a vir- tual reality that would be able to give life to new utopian virtual communities (Rheingold, 1994).

According to Graham (2004a, 2004b) these powerful representations, which drove the mutual transformations of digital infrastructures and the city, gave birth to a „dazzling light” that enveloped them in an utopian imaginary. At the same time they were based on a reductive and, above all, deterministic con- ception of the relationship between digital infrastructures and the city. They were also founded „on a general and uncritical use of the metaphor that cities would simply be ‘impacted’ by new communications technologies in the same way as planets are impacted by asteroids” (Graham, 2004b, p. 10). These rep- resentations created the belief that substitution and transcendence of the cities would have been inevitable after the introduction of digital infrastructures.

On the contrary, only by adopting a perspective more attentive to the com- plexity and ambivalence of ongoing transformations can one account for the changes introduced by the parallel processes of urbanization and digitaliza-

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tion. This broad perspective allows one to integrate the cultural dimension and the structural dimension of the transformations, focusing also on the ways in which infrastructures and cities are situated in a wider social, economic and political context. To capture this dynamic mutual reconfiguration Graham proposes adopting the concept of „remediation” that was introduced by Bolter and Grusin (2000). As Graham clarifies : „They [Bolter and Grusin] have shown that the whole raft of current new media innovations are not being used in ways that are divorced from the use of existing media, means of communi- cation and material practices in places. Rather, new media are allowing for the subtle ‘remediation’ of TV, newspapers, magazines, radio, telephones, pub- lishing, books, art, video, photography, face-to-face communication, and the social and anthropological experience and construction of place. This is hap- pening as established practices subtly combine with, rather than disappear through, socially-constructed technological potentials” (Graham, 2004a, p. 18). This understanding does not entail analyzing the transformations in the relationship between digital infrastructures and cities in a unidirectional and deterministic way, but, rather, it frames their mutual interconnections as well as the wider processes and tensions in which they are placed.

A relevant case that well exemplifies this way of approaching the complex parallel transformations of digital infrastructures and cities is focused on a number of processes that, starting with the late 1960s, are connected with the spread of digital networks and give life to an unprecedented urban infrastruc- tural configuration that Graham and Marvin call „splintering urbanism” (2001). Far from causing a revolutionary substitution and transcendence of space, time and the flows of urban life – as was predicted by theorists of cy- berspace – digital infrastructures, on the one hand, weave together with pre- existing social practices and physical infrastructures and, on the other hand, are subsumed within a wide range of economic, political and social trends that exploit them.

First, according to Graham (2004a, p. 11), the metaphor of „cyberspace” and the representations of substitutions and transcendence of the city has six fun- damental weaknesses that have to do with the complex and ambivalent rela- tionship between digital infrastructures and the city and their remediation. On one hand, predictions of a post-urban era made of „electronic cottages” placed

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in the countryside are contradicted by the trends of increasing urbanization of the planet and the increasing concentrations of digital infrastructures and ser- vices in global cities (Sassen, 1991; Townsend, 2000). On the other hand, the hypotheses of de-materialization and virtualization are confronted with „the fact that it is real wires, real fibres, real ducts, real leeways, real satellite sta- tions, real mobile towers, real web servers, and – not to be ignored – real elec- tricity systems that make all this possible” (Graham, 2004a, p. 13). These hy- potheses simply overlook the material geometry of digital infrastructures. They provide faulty generalizations focused on the concept of „impact” and are counterbalanced by contingent reconfigurations and recombinations of the relationship between digital infrastructures and cities, as a „transmission- oriented” approach in which „more information or more bandwidth is always equated with more knowledge, more mutual understanding and more wisdom” (ibid., p. 18) is counterbalanced by a more practice-oriented approach. Finally, representations of an ineluctable „information age” that is inherently con- nected to opportunities of social, economic and cultural development are called into question by the tight relationship between digital infrastructures and neoliberalization processes which conceals „the roles ICTs have played, materially and discursively, in facilitating the intensifying corporate control of cities, economies, infrastructures and, indeed, the international economic sys- tem” (ibid., p. 20).

This last point brings us to the other side of the question, that is how the paral- lel transformations of digital infrastructures and cities mutually connect with wider scale processes. Graham and Marvin (2001), in particular, identify five changes that accompany the shift from the „integrated ideal” of the industrial modern city to the „splintering urbanism” of the 80s and 90s. If, indeed, start- ing from the middle of the 19th century, a series of forces (ibid., p. 40) had pushed towards the integration, standardization and centralization of urban infrastructures, and urban management of flows, starting from the end of the 60s, this ideal slowly faded away following the quick deteriora- tion of infrastructures and services, the changing neoliberal political econo- mies, the collapse of the comprehensive urban planning, the emergence of new decentralized and polynucleated urban landscapes and the challenge of new social and cultural movements (ibid., p. 90). The argument held by the

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two authors is that „a parallel set of processes are under way within which infrastructure networks are being ‘unbundled’ in ways that help sustain the fragmentation of the social and material fabric of cities” (ibid., p. 33).

Far from being considered as a monolithic and inevitable destiny, „splintering urbanism” represents a macro-trend characterizing the parallel transformations of networked infrastructures and the urban fabric of many cities around the world in the last decades of the 20th century. Digital infrastructures innova- tions are embedded precisely within this broad historical configuration. Ac- cording to Graham and Marvin, unlike what was predicted by utopian repre- sentations of urban substitution and transcendence, practices of digital reme- diation match with practices of infrastructural and services unbundling in or- der to mutually consolidate. As they explain: „It is important to stress that liberalization, combined with new technology, creates great flexibility in the styles of unbundling that can be applied to the integrated modern infrastruc- tures created through the modern ideal” (ibid., p. 139). The new possibilities offered by the superimposition of „old” infrastructures – networks of , water supply, sewerage, transportation and communication – with new digital infrastructures enable a set of segmentation processes that transform inte- grated infrastructures „into different network elements and service packages” (ibid., p. 141). These digital remediations are composed of multiple processes of marketability and a wide range of institutional policies ranging from public ownership and management to the full privatization and deregulation of urban infrastructures and services.

Graham and Marvin argue that, in most cases, these changes are accompanied by processes of social, spatial and temporal reconfiguration within and be- tween cities. The most important consequence of these processes is the local, glocal and virtual bypass (ibid., p. 167) of urban infrastructures and services which „involves intensifying the connections between most valued users and places while simultaneously weakening the connections with least valued users and places” (ibid., p. 176). These bypass processes are thus co- responsible for the parallel emergence of, on one hand, the „spaces of seduc- tion” connected by „premium networked infrastructure (toll highways, broad- band telecommunications, enclosed ‘quasi-private’ streets, malls and sky- walks, and customized energy and water services)” (ibid., p. 220) and, on the

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other, the „network ghettoes” on the edge of urban infrastructures and ser- vices.

As has been strongly emphasized by Graham and Marvin, these configurations are neither unidirectional nor inevitable, rather they represent macro-trends that entail different „institutional styles” both within the same city and the same infrastructure or service. However, by studying the urban remediation practices enabled by digital infrastructures in relationship with a wider context of economic, political, social and cultural processes, it is possible to see a clear example of how it is possible to integrate the analysis of cultural repre- sentations and imaginaries with a focus on the structural and practice side.

UBIQUITOUS COMPUTING AND THE REMEDIATION OF THE CITY

„The most profound technologies are those that disappear. They weave them- selves into the fabric of everyday life until they are indistinguishable from it” (1991, p. 78), Mark Weiser, head of the Computer Science Laboratory at the Xerox Palo Alto Research Center, uses these words to begin his 1991 article entitled „The computer for the 21st century”. Weiser foresees a future that is not saturated by personal computers and laptops, a future that is able to achieve „the real potential of information technology” (ibid.), a future that involves „a new way of thinking about computers, one that takes into account the human world and allows the computers themselves to vanish into the background” (ibid.). According to Weiser it is only when technology disap- pears that one can use it without thinking, thus allowing the user to focus on new goals and activities. Weiser calls this technology „ubiquitous computing” because it is based on the idea „of integrating computers seamlessly into the world” (ibid.).

To understand what is meant by „ubiquitous computing” it is first essential to compare it to one of the most important components of the utopian representa- tion of cyberspace, namely „virtual reality”. As Manovich maintains (2006): „The 1990s were about the virtual. We were fascinated by the new virtual spaces made possible by computer technologies. Images of an escape into a virtual space that leaves physical space useless, and of cyberspace – a virtual

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world that exists in parallel to our world – dominated the decade. This phe- nomenon started with the media obsession with Virtual Reality (VR)” (p. 220). According to Weiser the concept of „ubiquitous computing” is opposed to that of „virtual reality”, so much so that one could almost call it „embodied virtuality” (1991, p. 80) since „the ‘virtuality’ of computer-readable data – all the different ways in which they can be altered, processed and analyzed – is brought into the physical world” (ibid.). Weiser’s manifesto is explicitly op- posed to the leading trends of the 90s that were focused on the substitution and transcendence of space, time and body. In his representation, as Galloway (2004) summarizes, „ubicomp did not seek to transcend the flesh and privilege the technological. Instead, ubiquitous computing was meant to go beyond the machine – render it invisible – and privilege the social and material worlds. In this sense, ubiquitous computing was positioned to bring computers to ‘our world’ (domesticating them), rather than us having to adapt to the ‘computer world’ (domesticating us)” (2004, p. 387).

Towards the end of the 90s, utopian representations about cyberspace and virtual reality gradually started to vanish. The „dazzling light” (Graham, 2004a, 2004b) that surrounded the simultaneous transformations of digital infrastructures and cities disappeared and left place for the domestication and the routinization of the ongoing processes of remediation. At the beginning of the 21st century Weiser’s ideas started to grow in popularity: „The previous icon of the computer era – a VR user travelling in virtual space – has been replaced by a new image : a person checking his or her email or making a phone call using a PDA/ phone combo while at the airport, on the street, in car, or any other actually existing space” (Manovich, 2006, p. 221). Manovich refers to the reconfiguration of the relationship between digital infrastructures and the city with the term „augmented space” (ibid., p. 220), in which physical space is „overlaid with dynamically changing information” (ibid.). Aug- mented space is part of a wider trend witnessed in advanced societies pushed by the increasing use of applications „that dynamically deliver dynamic data to, or extract data from, physical space [...]” (ibid., p. 221). Manovich pro- vides a wide range of examples of these applications, including video surveil- lance, mobile technologies and publicly located computer/video displays. These turn the physical space into a „data space” (ibid., p. 222), a space that

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can be both seized and augmented with data. Among the main technologies included in this paradigm Manovich mentions ubiquitous computing, aug- mented reality, tangible interfaces, wearable computers, intelligent buildings, intelligent spaces, context-aware computing, ambient intelligence, smart ob- jects, wireless location services, sensor networks and e-papers. In all these cases we are faced with „overlaying the physical space with dynamic data” (ibid., p. 223) embedding information flows into the urban environment.

In the same way, Galloway (2004) considers Weiser’s manifesto to be a start- ing point „for a new paradigm in computing that is arguably set to dominate the coming decades” (p. 385). At the core of this paradigm is a shift of digital infrastructures from the periphery to the center of the everyday environment. These increasingly shape „ environments”, which are „spaces that combine elements of the physical and virtual worlds” (ibid., p. 390). Leaning on Milgram’s works (Milgram and Kishino, 1994; Milgram et al., 1994), Galloway calls for a research approach that would address ubiquitous computing within the real/virtual continuum. Mixed reality environments are situated precisely within this continuum, oscillating between augmented real- ity and augmented virtuality. Finally, Galloway pushes for a wider perspective in the study of the relationship between ubiquitous computing and the city that does not simply focus on „new tools, neutral in and of themselves, and inde- pendent of broader networks of relation” (ibid., p. 402). Rather, this relation- ship should be studied within „a long and complex history of relations be- tween materials and ideas, industry and business, government and law, indi- viduals and groups [...]” (ibid., p. 401). These are processes that shape ubiqui- tous computing and mixed reality environments by actualizing virtualities in creative ways.

Graham, on one side, and Dodge and Kitchin, on the other, have further en- riched this line of research which attempts to conceptualize the relationship between ubiquitous computing and the city. The first scholar conceives ubiq- uitous computing both as new way to increase the embedding of software in the urban environment and to remediate social, spatial and temporal inequali- ties. In a 2005 article, he speaks about „software-sorted ” by refer- encing „the crucial and often ignored role of code in directly, automatically and continuously allocating social or geographical access to all sort of critical

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goods, services, life chances or mobility opportunities to certain social groups or geographical areas, often at the direct expense of others” (2005, p. 564). Software plays an ever increasingly essential role in the „automatic production of space” (2002), as Thrift and French call it, that is in the performative shap- ing of everyday social and spatial practices. The key point is that this process is largely invisible and taken for granted because it composes a „calculative background” (Thrift, 2004, p. 584) that enables the most efficient mobility and management of goods, people and information flows.

According to Graham these ubiquitous computing configurations challenge traditional research paradigms in the humanities and in the social sciences because they involve excavating „the worlds of code as critical political, social and geographical sites requiring urgent understanding, and inter- vention” (2005, p. 563). This challenge is even more important because of the intertwined relationship between ubiquitous computing, social worlds and political and economic processes. Software-sorting enmeshed with these proc- esses enables a more subtle control of services, spaces and infrastructures. Referring to his previous work (Graham & Marvin, 2001) Graham shows, for example, the interconnected relationship between software-sorting and neolib- eral political and economic policies: „While acknowledging the inevitable flexibility associated with software-sorting techniques, it is therefore apparent that their widening application needs to be seen as a crucial, facilitating di- mension in the broad shift from Keynesian welfare states and public domains to ‘splintered’, post-Keynesian regimes of infrastructure, service and space production and consumption” (2005, p. 565). In both in aerial, road and in- formative mobility flows and in urban and neighborhood surveillance, soft- ware is used to mediate and remediate multiple of contemporary social life. According to Graham, the challenge is thus to critically and em- pirically address the „spatial politics of code” (ibid., p. 575) in order to ana- lyze the relationship between software, social and spatial practices and politi- cal and economic processes without falling into utopian or deterministic rep- resentations.

A similar point of view characterizes Dodge and Kitchin’s work. In particular, their focus is represented by the conceptualization of the relationship between software and social and spatial practices through the term „code/space”

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(2011). This is a „dyadic relationship […] so all embracing that if half of the dyad is put out of action, the intended code/space is not produced: the check- in area at the airport does not facilitate travel; the store does not operate as a store” (ibid., p. 18). Within such a close relationship software makes a differ- ence by modulating the shaping of social, spatial and temporal practices. Dodge and Kitchin introduce two central concepts to account for this software enabled difference: „transduction” and „automated management”. Both con- cepts are situated within a framework depicted by Greenfield (2006) as „everyware”, which is „the notion that computational power will soon be dis- tributed and available at any point on the planet – calculative capacity will be literally available everywhere, with multiple computers operating for every person” (Kitchin and Dodge, 2011, p. 216). Echoing Weiser’s ubiquitous computing manifesto, „everyware” attempts to encompass „a range of related forms of computing and social software that are often used synonymously, including: pervasive, ubiquitous, sentient, tangible, and wearable computing and ambient intelligence” (ibid., p. 217). All these configurations of the rela- tionship between digital infrastructures and social and spatial practices require the deep embeddedness of digital code into the environment, the increasing ability to connect and share information, and the massive use of software to manage and control multiple urban flows.

On the one hand, Kitchin and Dodge speak about „transduction” as „a process of ontogenesis, the making anew of a domain in reiterative and transformative individuations – it is the process by which things transfer from one state to another” (ibid., p. 72). Introduced by Simondon (1992) and later reused by Mackenzie (2002), the concept is used to capture the always incomplete and temporary software-mediated solution to relational, social, spatial and tempo- ral problems. On the other hand, with the concept of „automated manage- ment”, the two geographers want to focus on the tight relationship between ubiquitous computing and the needs of control and governmentality that are typical of modern societies (Foucault, 1977). While speaking about „auto- mated management” the authors mean „the regulation of people and objects through processes that are automated (technologically enacted), automatic (the technology performs the regulation without prompting or direction), and autonomous (regulation, discipline, and outcomes are enacted without human

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oversight) in nature” (Kitchin and Dodge, 2011, p. 85). Even in this case soft- ware plays a crucial role by allowing for the efficient management of the col- lection, storage and processing of data which both come from and return to the urban environment. According to Kitchin and Dodge thus „the grammars of action of code increases the power of traditional surveillance and also actively reshapes behavior, creating automated capture systems in which software al- gorithms work automatically and autonomously” (ibid., p. 109).

CONCLUSION

As has been briefly shown by the presentation of a selected sample of the leading research, starting from the end of the 90s, a new configuration increas- ingly takes shape regarding the relationship between digital infrastructures and urban spaces, times and flows. Substitution and transcendence representations related to cyberspace are progressively brought into question both by new detailed empirical research and by a range of domestication and routinization processes of digital infrastructures within different everyday life environ- ments. At the same time, a set of technological innovations and their related representations drive the spread of urban infrastructural configurations cen- tered on the ideas of „ubiquitous computing” (Weiser, 1991), „everyware” (Greenfield, 2006) and „augmented space” (Manovich, 2006). Although it is possible to conceive ubiquitous computing as an emerging field characterized by multiple representations and processes (Dourish & Bell, 2011), a common point of reference is represented by both the increased embedding of digital language and the growing software enabled ability to process and manage information in everyday spaces and times.

As shown in detail by Kinsley (2012), ubiquitous computing leans on a form of anticipatory knowledge of the future. Works like Weiser’s (1991) do not only focus on technological innovations but also predict how these innova- tions will be socially used and appropriated. The recurring risk is that of tak- ing this anticipatory knowledge as „normatively trustworthy and likely to be actually made” (Kinsley, 2012, p. 1565). In the same way as, at the end of the 80s, transformations of the relationship between digital infrastructures and cities were framed by utopian and deterministic representations related to cy-

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berspace, so too, at the beginning of this millennium, a new urban infrastruc- tural configuration runs the risk of becoming wrapped up in a „dazzling light” thus preventing the comprehension of complex and ambivalent ongoing trans- formations. In the same way as, at the end of the 90s a number of research articles brought into question the representations of urban substitutions and transcendence and focused on the relationship between remediation processes and wider economic, political, cultural and social trends, so, presently, it is necessary to critically and empirically take into account implicitly and explic- itly representations related to ubiquitous computing configurations and their remediations. Graham’s, Dodge’s and Kitchin’s research has tried to move in this direction. In all their works the relationship between digital infrastructures and urban spaces, times and flows is critically and empirically addressed with the goal of opening one of the many „black boxes” of the social life.

REFERENCES

1. Bell, D. (1973), The coming of post-industrial society: A venture in social fore- casting. New York: Basic Books. 2. Bolter, J. & Grusin, R. (2000), Remediation: Understanding new media. Cam- bridge, MA: MIT Press. 3. Castells, M. (1996), The rise of the network society, The information age: Econ- omy, society and culture, vol. 1. Cambridge, Oxford: Blackwell. 4. Dourish, P. & Bell, G. (2011), Diving in a digital future: Mess and mythology in ubiquitous computing. Cambridge, London: MIT Press. 5. Dutton, W. H., Blumler, J. G. & Kraemer, K. L. (Eds.) (1987), Wired cities: Shaping the future of communications. Washington, DC: Communications Li- brary. 6. Edwards, P. N. (2003), Infrastructure and Modernity: Force, time and social or- ganization in the history of sociotechnical systems. In Modernity and Technol- ogy, Misa, T. J., Brey, P. & Feenberg, A. (Eds.), pp. 185-225. 7. Foucault, M. (1977), Discipline and punish. London: Allen Lane. 8. Galloway, A. (2004), Intimations of everyday life: ubiquitous and the city. Cul- tural Studies, 18 (2/3), pp. 384-408. 9. Graham, S. (1998), The end of or the explosion of place? Conceptual- izing space, place and information technology. Progress in , 22 (2), pp. 165-185. 10. Graham, S. (2000), Introduction: Cities and infrastructure networks. International

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Journal of Urban and Regional Research, 24 (1), pp. 114-119. 11. Graham, S. (2004a), Beyond the ‘dazzling light’: from dreams of transcendence to the ‘remediation’ of urban life. New Media & Society, 16 (1), pp. 16-25. 12. Graham, S. (2004b), Introduction: From dreams of transcendence to the remedia- tion of urban life. In The cybercities reader, Graham, S. (Ed.), pp. 1-30. 13. Graham, S. (2005), Software-sorted geographies. Progress in Human Geography, 29 (5), pp. 562-580. 14. Graham, S. & Marvin, S. (1996), Telecommunications and the city: Electronic spaces, urban places. London: Routledge. 15. Graham, S. & Marvin, S. (2001), Splintering Urbanism: networked infrastruc- tures, technological mobilities and the urban condition. London: Routledge. 16. Greenfield, A. (2006), Everyware: The dawning age of ubiquitous computing. Boston: New Riders. 17. Harvey, D. (1985), The urbanization of capital. Oxford: Blackwell. 18. Kinsley, S. (2012), Futures in the making: practices to anticipate ‘ubiquitous computing’. Environment and Planning A, 44, pp. 1554-1569. 19. Kitchin, R. & Dodge, M. (2011), Code/Space: Software and everyday life. Cam- bridge, London: MIT Press. 20. Lyon, D. (1989), The information society: Issues and illusions. Cambridge: Polity Press. 21. Mackenzie, A. (2002), Transductions: Bodies and machines at speed. London: Continuum Press. 22. Manovich, L. (2006), The poetics of augmented space. Visual Communication, 5 (2), pp. 219-240. 23. Martin, J. (1978), The wired society. London: Prentice Hall. 24. Milgram, P. & Kishino, F. (1994), A taxonomy of mixed reality visual displays. IEICE Transactions on Information and Systems, E77-D (12), pp. 1321-1329. 25. Milgram, P., Takemura, H., Utsumi, A. & Kishino, F. (1994), Augmented reality: a class of displays on the reality-virtuality continuum. Proceedings of Telema- nipulator and Telepresence Technologies, 2351, pp. 282-292. 26. Negroponte, N. (1995), Being digital. New York: Alfred A. Knopf. 27. Nora, S. & Minc, A. (1978), L’informatisation de la société. Paris: La Documen- tation Française. 28. Nye, D. E. (1994), American technological sublime. Cambridge: MIT Press. 29. Rheingold, H. (1994), The virtual community: Homesteading on the electronic frontier. London: Harper Collins. 30. Sassen, S. (1991), The Global City: New York, London, Tokyo. Princeton: Princeton University Press.

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31. Simmel, G. (1996), La metropoli e la vita dello spirito. Roma: Armando. 32. Simondon, G. (1992), The genesis of the individual. In Incorporations 6, Crary, J. & Kwinter, S. (Eds.), pp. 296-319. New York: Zone Books. 33. Tarr, J. & Dupuy, G. (1988), Technology and the rise of the networked city in Europe and America. Philadelphia: Temple Press. 34. Thrift, N. (2004), Remembering the technological unconscious by foregrounding knowledges of position. Environment and Planning D: Society and Space, 22 (1), pp. 175-190. 35. Thrift, N. & French, S. (2002), The automatic production of space. Transactions of the Institute of British Geographers, 27 (3), pp. 309-335. 36. Toffler, A. (1980), The third wave. New York: Morrow. 37. Townsend, A. M. (2001), The Internet and the rise of the network cities, 1969- 1999. Environment and Planning B: Planning and Design, 28, pp. 39-58. 38. Weber, M. (2003), Economia e società: La città. Roma: Donzelli. 39. Weiser, M. D. (1991), The Computer for the 21st Century. Scientific American Special Issue on Communications, Computers and Networks, 265 (3), pp. 94-104, (online) Available at http://www.ubiq.com/hypertext/weiser/SciAmDraft3.html

Davide Lampugnani – Ph.D. Candidate, Catholic University of Sacred Heart, Milan, Italy e-mail: [email protected]

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Kateryna NOVIKOVA

NETWORKS AND MOBILISATION. THEORETICAL FRAMEWORK FOR THE INTERNET- BASED PROTEST AND ACTIVISM RESEARCH

Immanent change or development – to take a more optimistic view – is cur- rently epitomized in the unique phenomenon of the global interconnected web of actors, actions and processes. It is not a first time in history that social and political scientists need to take the challenge of the impact of technological developments. However, nowadays most researchers consider this change most overwhelming and fundamental. The global society has been changing into the densely interconnected networks, the so-called ‘network society’. Without going into the debatable matters of the current stage of societal de- velopment one should acknowledge the importance of the electronic network potentials for political and social life on every level, either global, glocal or local. The magnitude of these potentials has been explored in many ways, with numerous methods and approaches. Nonetheless the research on net- working potentials can also benefit from taking a particular, arbitrarily chosen point of view on the existing state of matter. This point of view rests upon specific research areas’ perspectives and a particular attempt to apply or con- front these perspectives. Among the main themes one should point out first of all the social networks phenomenon that is expanding on enormous and unique scale in social media, sites or social networking ser- vices on the Internet thanks to the unprecedented development of communica- tion and information technologies and their relatively free usage. Another perspective refers to the ambiguous issues of (new) social movements and protest activities as well as their possible virtual reflections, representations or support. Currently the social and political mobilization, protest and making- global-difference activities are tightly interconnected in the Internet or cyber- space on a group and personal level especially in the conditions of the pro- claimed ‘cyberdemocracy’ in the making. One of the prominent and most

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effective episodes in Poland was undoubtedly anti-ACTA protests in the year 2012.

These issues are particularly interesting in the context of contemporary social changes influenced by technological changes. The sociological discourse is thus concerned about how to name this new type of society we live in. Among numerous alternatives there is one that is specifically interesting. The network society conception emphasizes a network as a basic organizational principle and communication in contemporary society which is properly illustra- ted by „world wide web” and enacted in political protest activities in the cy- berspace [9; 7; 6]. This conception also underscores the importance of action along with network as a structural factor. in Castells’ terms is set in motion by the ‘power of identity’, which is expressed also in numer- ous social movements and protests during the last two decades of 20th c. [8; 11: p.10-11].

SOCIAL MOVEMENTS AND PROTEST VS NETWORKING

Current protest issues, respective social movements or „new social move- ments” and networks have been recently studied rather closely with each other. The new social movement model represented a specific response to new conflicts concerning social values and cultural patterns of the modern, late modern, postmodern or post-industrial eras of the second half of the 20th c. According to Alain Touraine, while heralding the new post-industrial society new social movements resist „the psycho-cultural effects of modern produc- tion te-chnique and the psychological, social and environmental demands which ema-nate from them” [26: p. 80-82]. Later analyses, however, made those effects and demands more specific. A set of capitalist or industrialist values, economic growth and political power was rejected for the benefit of alternative lifestyles, quality of life and free non-subordinated to the state and to technocracy [ibid]. According to the general definition social movement is „an action carried out by particular social groups in order to take control of social change”, though certainly not any social contesting of order (or protest) could be called social movement [26: p.80; 27: p. 311]. Contem- porary social movements promote cultural values and identities that are con-

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fronted in several theories with the rationality or instrumentality of economy [27: p. 312-313]. They bring over a „neoromantic” protest and are „radically modern insofar as they are guided by the values of autonomy, emancipation and identity” [21, 1996: p. 19]. Social movement or protest can however emerge from any social contesting if historical circumstances are favourable, if there are some ideas and values that require defending or defeating as well as if there are some tools to use to realize these emancipating and fight for identity.

There is another crucial view on new social movements that was as a term widely used by Alberto Melucci, later it was stressed that these movements are not as new as claimed. All emancipation claims are similar to the old ones of „working class fighting capitalist alienation” [19: p.5-6]. Moreover, this paradigm was highly criticized for the lack of comprehensiveness and omis- sion of the conservative movements that also reacted intensely to the „alienat- ing effects of postindustrial society” [23: p. 413]. Yet even a more important point is the one alleging that social movements are no longer consolidated social entities fighting against the political and governmental systems. Instead they are gradually changing into „reticular and diffuse forms of social action” [19: p.4]. Hence social movements during the late 20th c. transformed into solidarity networks „entrusted with potent cultural meanings” where ideologi- cally outlined unity of goals is not as significant as the unity of values and symbols. Somewhere else, one can find such a specific characterization of new social movements that appear to be „loosely bound, sympathetic friend- ship networks, involving consciousness raising and opportunity to reconstruct life-stories”, where again the „formation of identities” plays more important role than any other specific aim or objective [24: p.61].

Another important dimension that plays even a more significant role is the collective identity that emerges according to Melucci out of exchanges, nego- tiations, decisions and conflicts among actors. Therefore to understand collec- tive actor – movement – and its actions (protest activities) one must take into consideration processes of mobilization, organizational forms, models of lead- ership and forms of communication [ibid]. There is hardly any other theoreti- cal concept except network and networking processes that currently allows nowadays proper analysis. The ICT and Internet were an excellent opportunity

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to strengthen that segmented and multi-faceted movement pattern consisting of diversified and autonomous units or „separate, quasiautonomous cells”. Such networks maintains a movement’s internal solidarity of cultural and symbolic character while, as Melucci put it, „information, people and patterns of behaviour” pass through from one unit to another maintaining at the same time some homogeneity. The conclusion from the mid-1990s considers social movements as „hidden networks of groups, meeting points, and circuits of so- lidarity, which differ profoundly from the image of politically organized ac- tor” [19: p.114-115]. The mentioned homogeneity and solidarity as well as segmentation and multifacetedness are somewhat contradictory to each other as well as to the current state of new social movements and institutionalisation [30: p. 8].

Apart from the stated contradictions there are some other noteworthy points. Group solidarity and collective action have become inseparable from individ- ual identity as well as the personal quest and „from the everyday affective and communicative needs of the participants in the networks” [19: p. 115]. These broad quotations are used to illustrate the latest situation of the World Wide Web and Internet especially with regard to social networking services and social media. However, the paper is focused not so much on the network char- acter or organizational nature of social movements which have been particu- larly helpful and effective in achieving the aims of protestors [11: p.156–161; 8; 7; 12]. It’s rather the opportunities that the electronic networks and particu- larly computer-based social networking services could provide for the social movement actors and possible protest activities that are central in this case. It attempts to outline also the protest potentials that social networks possess being maintained through the Internet social network services or social media as well as any other advanced technical facilities [e.g. 1; 5]. The network or- ganizational model stresses however on the key feature that virtual networks offer, loose networks significantly increase the resources available for protest or cause promotion in the Internet (Granovetter’s weak ties are relevant here [15]), maximize adaptability, revolutionize hierarchical leadership but at the same time shorten and destabilize the life of any protest action, cause or movement.

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SOCIAL ELECTRONIC NETWORKING

Social networking online or social network sites [4] represent a remarkable space for mobilization, protest activities and societal though most probably not sufficient for more considerable social movement organization and institutionalisation. Therefore protest potentials appear as possibilities for common cause promotion and various online activities as well as for activist recruitment and further deep engagement. This also affects the distinction between permanent forms of networks and cyclic mobilization activities. Also there is a powerful trend that includes the very sense of virtual world and elec- tronic network existence as well as their perceived freedom and communal character into grievances and demands of Internet activists [16]. However, this „hactivism” phenomenon seems to be rather part of a general protesting pic- ture, which is drawn with so many different colours and shades that it would be more meaningful to look at its universal characteristics and mechanisms.

Social networking services, social networking online, social networking plat- forms or sites represent a specific phenomenon that has been already to a greater extent assimilated into the everyday life of millions of Internet users – netizens – all over the world. Considering the Digital Divide factors and Inter- net marketisation as well as the convergence of web 2.0 and mass media, the virtual networking is not just another buzz word in social research and mass media discourse. There are numerous social networking sites focusing on dif- ferent interests, practices, identities and values, sharing content or providing specific services like connecting – actual or potential – friends, colleagues, acquaintances or family members etc. or offering instant communication, blogging and mobile connectivity [4].

The definition of social networking services or sites includes three main char- acteristics. Such sites provide web-based services that allow people, first of all, to create public or private profile, situated in a system with certain prede- fined boundaries [ibid.]. Second, social platforms allow people to develop their own register of connections with other people, either visible or hidden for strangers and friends. This refers to another characteristic, which allows site users to view or navigate without any restraint the lists of connections as well as these of other users [4].

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Social networking sites are defined as such also due to another specific fea- ture, which emphasizes not only mere networking activities implying „initia- tion of relationship between strangers”, which is certainly possible but does not represent the sense or aim of their activities as well as differentiating char- acteristics among other types of social media [ibid]. With regards to social media, they stand for an umbrella term that embraces social software and so- cial networking [2: p.21]. Social software in this definition indicates a type of application or various types of applications that enable users to communicate with one another, and what is most functional „to track discussions across the Web as they happen” and as a result „to build social networks to increase so- cial capital” [2: p.21-22]. Communication technologies and media though have always been a fruitful environment for interpersonal communication and networking as well as various other socializing practices including organiza- tion of people around a political and social cause. Simply putting it the phe- nomenon of social media is influencing „how people meet and make contact with each other” not merely pursuing personal goals.

Among numerous functions of the computer-mediated communication via social networking sites as well as the one concerning social movements, causes and protesting issues is especially noteworthy. The political dimension of the „world wide web”, so called cyberpolitics and virtual democracy alleg- edly in progress goes along with „information dissemination, communication exchange, and the formation of electronic political coalitions across the Inter- net” [ibid] that basically take place on the networking platforms.

Social networking sites are specific also because they assists users in „articu- lating and making visible their social networks” [4]. These networks are based mainly on the offline connections or existing extended social networks despite many analysts predicted an extreme growth of the virtual worlds and exclu- sively online communications and ties. However virtual networking activities still can result in connections that would not otherwise be made in certain circumstances, for instance, lacking proper access to the advanced networking technologies [ibid, also e.g. 7]. Depending on the nature of the social network- ing platform virtually anyone can join it being later asked to answer a typical series of questions. These answers are usually visible to „the friends on the list” and represent that exceptional value of networking since one is easily

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situated or located in the semantically abundant web spaces. Adding various demographic, social, cultural and even political references as well as multime- dia, pictures and applications make individual profile a virtual representative of personal identity. The life on the screen, however, is often attached rather firmly to real life reflecting real individual characteristics of a person as well as his or her views, opinions and political orientation.

Personal profiles are quite important in networking activities, especially when the goal is to connect with a stranger. Nonetheless such opportunities are not endless and depend on potential visibility of profiles on the social networking platforms of different orientation, function or scale. There are two extreme points of such structural variations defined as „little worlds” and „structural gaps” and applied to the social media research cases of global LinkedIn and regional Grono.net [17]. The former refers to the professional networking portal, which is open to everybody to join and create a profile but closed in terms of browsing millions of other profiles limited to one’s own network till the second degree. These features allow the including of all important identity information – in this case mainly professional, education and job information – with no concern about its probable theft. However, the possibilities for a jobseeker or expert to be found by a potential employer are to a great extent limited by those two or three „degrees of separation” also for the reason that due to homophily users on these two or three levels will be connected to per- sons of similar profiles where no structural gap or weak ties exist.

The Grono.net portal is a regional one, which was founded for the sake of constructing a small world, where everybody knows everybody and any pos- sible deviation – also e. g. identity theft – is excluded. To join this networking platform one should be invited, and since nobody invites mistrustful people, the network was intended to be a rather safe place. However, the first and foremost condition has been the full openness of any profile to anybody. The utopian plans did not in effect succeed and resulted in a loose network of „small worlds” [17]. People create profiles where there is hardly any useful information for others to browse except for the close contacts who possess specific „cultural code” and are most probably rooted in the real life practices such as close friends and family circles or „strong ties” in Granovetter’s terms [ibid]. Three degrees, invite-only basis and „helpful” perspectives function,

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however, in the case of AsmallWorld „unique” social networking service of „authentic connections”, which is described as „private international commu- nity of culturally influential people”, offering „a platform to share informa- tion, be a part of a dialogue, seek social and business opportunity and much more”. Though internal functioning and effects are basically un- specified due to the closed character of this platform, but its private – based on large investments – and highly regulated character for the sake of safety seem to produce the ideal networking platform.

There are several other social networking services or sites, less effective in terms of resources and organization, but more extensive in terms of quantity and scope. Among the most populous networks there is the music and creativ- ity-based MySpace, the predominantly teenage Bebo as well as most universal and globally oriented . Among the main functions that such network- ing platforms or sites offer along with profile creating and browsing as well as development and navigation of lists of friends there are comments posting and private messaging, photo and video sharing capabilities or instant messaging and blogging tools [4]. Facebook networking site offers lots of fun and serious applications, fan pages, groups, forums and cause promotion capabilities that appear to be an excellent repertoire to use by various social issues advocates, civil activists, political campaigners and protesters or just people who express their opinion on any matter that is significant for them as well as their com- munity or network.

Social networking platforms or services have been designed to „stay in con- tact” or „maintain every connection you’d like”, thus one can claim their pre- dominantly leisure light character. The fundamental leisure feature enables users to exist visually through the multimedia material made by them or of them. Pictures and videos, both shared and open content like YouTube etc., could however produce much more powerful appeal - „mobilization of shame” - than any most persuasive petition or compelling address on any topic of so- cial good, economic or political problems. Political or social „visuality” em- braces presently not only the protest banners, booklets and non-interactive mass messages on TV. Everyone can take a shot, record a movie with a mo- bile phone as well as paint or draw his or her own artistic vision of a protest issue. Billions of pictures in the cyberspace include millions of protesting or

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socially conscious visual appeals uploaded onto social networking platforms and shared on private profiles or public cause pages.

INTERNET-BASED MOBILISATION AND RECRUITMENT POTENTIALS

Revising the characteristics and capabilities of the social networking sites or services with regard to the structural and agency levels of political activities and participation in social movements one can gain fruitful insights into the possible protest strategies, mobilization and further actions based on these networks. Structural level refers to the broadly understood social network phenomenon not restricted to its electronic reflections or embodiements. In contrast, individual or agency level refers to the perceptions of an individual acting in these networks and being at the same time influenced by them. Both levels have been analysed in a luminous attempt to explain differential partici- pation in social movements [22]. The application of the effect of this analysis to the social media case can be therefore rather fruitful.

The premises of the analysis emphasized specific sources for political partici- pation that could be also considered closely to the concept of identity. Collec- tive identity on the macro level of networks and personal identity on the level of individual perceptions influence individual participation and possible en- gagement in certain protest causes and movements. These processes of „struc- ture translating into action” are critical for understanding of micromobilization processes on the electronic networking platforms as well. The identity con- stituent, however, can be considered too powerful for the social networking connections, even in the case of virtual protests and causes promotion. One should bear in mind that „not all networks between like-minded people neces- sarily reflect social movement processes, which demand focused identity and resulting bonds of certain degree” [11: p.22]. The virtual world or especially virtual communities formation give another perspective on the identity issue since group identity can develop via a bottom-up process of interpersonal – also virtual – communication [28: p.252-253].

The mechanisms that lead people to become involved should also be comple- mented by the factors that can by some means intensify this involvement and

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that refer to „the structural location of social actors and their perceptions” [22: p.124]. Such structural understanding of social networks is elsewhere con- fronted with the notion of the so called socio-spatial networks with alleged greater accent on human agency, close to the social movement theory by Me- lucci and others [25: p.28]. People tend to engage into protest activities to defend threatened common identities usually with their friends and acquaint- ances that share the same network. The individual perceptions or perspectives in the mentioned structure-agency analysis in social movements develop un- der the persistent structural influence of social networks, which has two major dimensions. First, networks create the specific social environment that inspires individual choices „in short run” [22: p.124-125]. Another „long run” dimen- sion concerns certain cognitive parameters that emerge in the course of pri- mary and secondary socialization processes pushing individuals to take part in protest or abstain. So among the main functions of social networks there is a structural connection through the networking resources to an opportunity to participate. Networks can also shape individual decisions on every specific occasion while socializing those connected „into a protest issue”. On the indi- vidual level of perceptions there are also a few factors that influence both the possible joining up as well as the intensiveness of further participation. How- ever, one must bear in mind that networks also have a significant effect on the nature of such perceptions. The first element of that influences each individual decision about participation and therefore mobilization suc- cess refers to the perceived effectiveness of actions [22: p.125].

This aspect is well illustrated in the question „what can I change” as well as in the motto of many social networking sites primarily aimed on social good and justice, virtual protest and petitioning activities to „make a difference”. Among such specialized portals the most populous is Care2.com, which is directed mainly on new social movement topics, such as global warming, women’s rights or healthy living. There are several ways one can participate in „making a difference” on this platform by volunteering, petitioning, work- ing, taking the so-called „daily action” as well as certainly donate money. The main interest for the members of this service is also represented by its social media characteristics, which enable them to use it as a usual social networking service connecting friends, discussing issues on forums, being a part of the

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significant networking system at the same timed based on mutual understand- ing and fighting for common values. What one can give, what difference one can make depends also on how the whole community or system is able to be effective. Prospective participants assess not only their personal contribution, but also that of a whole group before joining a protest or good cause and en- gaging actively in it [22: p.125].

Another remarkable factor that influences the social actors’ intention to take part in collective action refers to the assessment of the possible of collec- tive action [ibid]. Here the cyberspace and Internet – created as a medium for freedom – seems to play a key role as a herald of a new age of liberty. The crucial though probably overly optimistic Castells’ statement reflects the Internet and electronic communication potentials. „ can do little to control communication flows able to circumvent geography and thus politi- cal boundaries” [7: p.168]. These flows and freedom at least at the foundations of new information and communication technologies have made an important contribution into the perception processes on the level of every citizen or neti- zen of either „small” or „big” worlds. If an individual Internet user perceives his or her risk of speaking out about a problem, being active, protesting and „making difference” as rather insignificant, this cyberspace characteristics seems to be even more important than the existence of independent mass me- dia and free speech for the representatives of every political option. If one is safe and free on the Internet especially in his or her perceptions, the virtual society converges with the civil one. On the mezolevel it is tightly intercon- nected with the phenomenon of the so-called grassrooted networks, „elec- tronic grassrooting of democracy” and bottom-up actions based on computer mediated communication via electronic networks that Castells characterized as an alternative power that also influenced the emergence of network society [8: p.362].

There are various contradictions on freedom and repression on the Internet that proved to be dependent on the overall democratic or its total ab- sence in a particular country. However, the common view of cyberspace refers to freedom of speech and actions, so the risks of certain cause promotion or protest activities as well as subsequent high costs are fairly small. This makes a rather positive impact on individual participation in protests as well as raises

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the possible level of engagement intensity, though probably not quality. Moreover, there is a less optimistic opinion, according to which to make con- nections more convenient the social networking sites aim at taking the risk and real work out of any relationship and turning it into information exchange and continuous ‘easy’ communication. At this point one should recognize the unsurpassed capacities of the Internet as well as social networking services in such major areas as information distribution and communication activities irrelative [!] to its possible effectiveness for the protesting issue or cause and intensity of the possible participant engagement.

Engagement as well as choice to participate in a protest might be influenced also by the perceived behaviour of authorities that relates to the previous fac- tor concerning freedom or oppression. If the legitimacy given to political au- thorities by an individual is significantly low the legitimation of protest and mobilization effectiveness rises at the same time increasing the intensity of participation [22: p.126]. However, all these processes also depend on indi- vidual perception of „making real difference” as well as personal availability for collective action including both objective constraints and subjective per- ception of how much time one can offer to join the cause or protest [ibid]. Taking into consideration the demographic profile of social networking site users, which seems to be largely similar to that of Internet users in general, one can propose that young, independent both in mind and action, freedom- loving and aware Internet users are to express most active protest against every injustice or depravity in social or political sphere. However if an active netizen really belongs to the group of such demographic characteristics, one can disagree with their active part since among „the fast and furious” there are a lot of yuppie workaholics, cramming-overloaded students, kids-overloaded young working moms, indifferent teenagers an so on who are surely out of time and vigour to take an active part in any sort of online or offline protesting activities or cause promotion considering also the lack of „immediate and material benefits to individual members”. Such a sceptic opinion can be com- plemented by „making real difference” scepticism as well. However, the net- working structural influence is able to shape individual perceptions, as Passy and Guigni prove in their research, so the optimistic view of Internet protest potentials can rely fortunately on – electronic as well - social network peculi-

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arities. One must also take into account the widely perceived freedom brought by the Internet and life speeding-up – by advanced information and communi- cation technologies. It appears to be a rather controversial issue if contempo- rary people are out of free time because of technological innovations in their daily practices or quite the contrary are able to control their life’s pace and offer plenty of free time for protest activities on the Internet.

There are two major functions specific for social networks as an environment for the so-called micromobilization and protesting activities [22: p.127-129]. These functions are confronted also with the strong/weak and informal/formal ties notions. The cultural role of networks according to this view includes socialization that takes place in the longue durée and concurs to the formation of mobilization potential providing or reinforcing awareness toward a given protest issue. This embeddedness in the networks culturally close to the pro- test issues does not presume totalising the framing of the social world of an individual; rather it places him or her within an interactive structure – espe- cially in the case of electronic social networks – and gives an opportunity to redefine this framing.

Here one can give the example of such a function on the universal social net- working platform (like Facebook, MySpace etc.) as updating or news feed created around the user’s activities within the site. The specialized networking services aimed at protest issues or promotion of the social good are created to highlight its users’ current activities with an emphasis on those which are most important or influential like recruiting the largest number of followers or supporters as well as, for instance, donating the biggest sum for the cause. In the case of the interests in a specific protest issue or social movement such „news from friends” who are engaged already can touch „the right chord” of a potential participant or just accustom him or her to a particular issue. Since one of the most striking features of the social networking sites’ popularity is the people’s curiosity about others’ lives as well as unusual or even narcissist inclination to render their lives to others to observe, the socialization cultural function of electronic networks proves to be extremely meaningful. Here the structural function of a social network pertains as well as enables to recruit prospective participants and activists into the protest issue that means „struc- tural connection of individuals to an opportunity to participate” [22: p.128].

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The social networking services also usually provide the user’s „history” con- cerning links, pictures, videos or comments sharing, group or organization membership, cause or protest joining in the case of specific sites etc. This could refer to such a significant factor that facilitates participation as well as recruitment as the so-called past experiences with the issue along with the mere interest in it illustrated in those online activities and seen by friends and other users [22: p.131].

Previous research has shown that recruits enter a movement or a protest issue mainly through the or informal networks of strong character in terms of Granovetter [15; ibid]. At this point the trust appears to be the most significant factor determining the possibility to reduce uncertainty of an individual regarding a specific problem. „Prospective participants trust those recruiters who are their close friends and who can convince them that a given organization is a good place to become engaged” [22: p.128]. Taking into account the strong acquired and strong ascriptive ties and their diverse effect on potential engagement one can easily find out how they function on the social networking sites which include more close friends then one’s family members. So the recruitment via friends [acquired ties] is more effective and more probable via social networking services entailing more interpersonal trust and common values among friends than the so-called moral obligations and usually lack of intergenerational mutuality in social and political values in the case of a family recruiting route [22: p.139-140]. In regards to formal net- works they appear to be much more informative and active but at the same time giving more pessimistic and realistic impression concerning the limits of the organization to change certain political decisions than other channels of more informal character.

This argument can explain the popularity of chain petition letters that long ago have proven in theory and practice to be ineffective, worthless or even harm- ful [hoax, , spamming etc.] but are still robust all over the Internet manipulating emotionally also the social networking site users. The recruiter status [as well as similarly a chain letter sender] significantly affects probable participation and engagement of an individual so it really matters for people to join collective action whether online or offline [ibid]. So if one has in his or her network connections of first or second degree someone strongly engaged

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or centrally located in a certain social movement or protest issue elaboration one would more probably join this issue being sure of „making real differ- ence” for the world. Taking into consideration the idea of six degrees of sepa- ration it appears that the Internet and social networking services could become the most active political and social protest players in the world which proba- bly will take place in the near future but showing its first results at this mo- ment [6].

In line with the argument of participation intensity conceptualisation one should consider the impact of networks on individual perception. The possible structural determinist approach is controversial but when the social network- ing phenomenon and its main characteristics regarding protest activities and cause promotion are analysed one should especially consider the direct and indirect effects of macrostructures and social relations. These effects could also be seen as a linkage between the structural location of social actors, their individual perceptions and their further actions: „assuring transition from small-scale to large-scale processes and connecting structure and agency” [22: p.130]. Such a strong linkage effect could be also explained in terms of per- sonal and collective identity in social movements and protests which in terms of social networks appears as networking influence over the perception of one’s individual possibilities in a particular political or social environment. Thus social action appears to be an effect of both structural constraints – net- works in this particular case - and subjective perception of those constraints by an individual, a member or a node in networks.

More and more people currently join social networking platforms, define their profiles as well as express social and political views there. They use the in- formation, communication and organization functions of networking phenom- ena in so many ways launching or joining the cause for good or protesting activities on the Internet of different origin, scale and effect. On the one hand, a typical netizen uses social networking services just to connect with his or her significant others to realize this ever-strongest desire of the human being to belong, to share values and fight for values and norms shared with friends. Although the Internet enables its users to be as free in their networking activi- ties or connection obligations as they would like, it also provides incompara- bly powerful tools for real life processes that otherwise would not take place.

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Despite digital divide controversies and digital literacy problems all over the world the Internet offers unique potentials for its users to participate in protest activities or to promote various good causes thanks to instantaneous commu- nication, boundless and non-hierarchical organization possibilities and almost unlimited information resources.

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Dr Kateryna Novikova - Alcide de Gasperi University of Euroregional Economy in Józefów, Poland e-mail: [email protected]

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Simone TOSONI

THE FOUR PHASES OF INTERNET RESEARCH: A PRO- POSAL FOR A CRITICAL PERIODIZATION

If we consider the first socio-psychological approaches to Computer Medi- ated Communication (Hiltz, Turoff 1978; Nelson 1982; Kiesler, Siegel, McGuire 1984; Rice 1984, Van Gelder 1985) as an integral part of Internet Studies, this research field has entered its fourth decade. Throughout these years, the attempts to account for the history of the discipline and to describe its different development phases have been far from systematic. Moreover, these attempts have generally ignored its main theoretical turn-points, focus- ing instead on the alternation of the most studied objects of research, or on some very general tendencies of the field (the utopian and dystopian polariza- tion typical of the ‘90s and its overcoming, the increasingly rigorous adoption of academic approaches).

It’s the case, to quote a well-known example, of Silver’s acknowledgment (2000) of three different phases in Internet Research. For the scholar, in the mid Nineties the field would have moved from the ground-breaking phase of Popular Cyberculture (characterized by a „descriptive” and journalistic na- ture, and by a „rhetorical ” opposing „dystopian rants” and „utopian raves”) to Cyberculture Studies (more grounded into academic disciplines, and revolving around the research topics of virtual communities and identity construction processes). This phase would have lasted until the late ‘90s, when Critical Cyberculture Studies arose, structuring the field into four main re- search areas: online interactions, discourses about these interactions, access to the internet and its limitations, and design of cyberspace interface.

Similarly, Wellman (2004) recognized three main phases in Internet Stud- ies: the first one focusing on „online phenomena in isolation”, with a polariza- tion among dystopian and utopian interpretations, and more close to „travel- ers’ tales” than to academic research; the second one, starting around 1998, characterized by a „systematic documentation of users and uses” through –

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according to Wellman – „large scale surveys”; and a third one, taking shape at the times Wellman was writing (2004), based on „more focused, theoretically- driven projects”.

These proposals have been certainly useful to provide scholars with a first general orientation to the field: nevertheless, in order to fully critically address the development of a discipline (and to contribute to orientate its next steps), any attempt of periodization must be developed at a meta–theoretical level (Role 2005): that is, focusing on the development, revision, and transforma- tion of its main theoretical and methodological concepts. In a discipline, in fact, it is the concepts adopted (reflexively or less reflexively) that methodol- ogically frame the specific objects of research (whatever their alternation), contribute to define the way they will be interrogated - thus contributing to select the research methods most commonly adopted - and open the possibility to specific ideological stances (as in the utopian-dystopian polarization of the mid ‘90s).

Therefore, a critical history of a discipline must be a history of its main theo- retical and methodological concepts: as a contribution to this effort, we will try to sketch an attempt of periodization of Internet Studies based on the re- formulations of the concepts framing CMC systems and the Internet, in a for- malized way or through a shared metaphor (Lakoff – Johnson 1980). The pro- posed periodization identifies three distinct phases in the development of the field, with the possibility of a fourth one taking shape in recent years.

COMPUTER MEDIATED COMMUNICATION SYSTEMS AS COMMUNICA-TION CHANNELS

Socio-psychological research on Computer Mediated Communication dates back to the late ‘70s, when big enterprises and started to integrate the computer as part of their communication technologies. In this context, researchers were called to investigate the possible „second-level ef- fects” of the adoption of CMC systems, the ones related to „how people be- have”, being «first level effects (…) the anticipated technical ones - the planned efficiency gains or productivity gains that justify an investment in

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new technology» (Sproull - Kiesler, 1992, p.4). One of the main concerns regarding the new medium is, in fact, the risk that it may jeopardize the effi- ciency of companies and institutions through the generation of unwanted and unforeseen effects on the behavior of their employees. These effects, in turn, could be arguably generated by alterations introduced by the new medium in communication exchanges: researchers are asked to predict them, and to pre- vent at best the unwanted ones.

In this sense, the medium - the „computer as a communication device” - is basically conceived as a channel, reminding very closely the Shannon– Weaver model of communication (Shannon and Weaver, 1949): a model since long obsolete in the coeval broader field of Media Studies. As a result of its technical features (in particular: narrow band) this channel would be far from being „neutral”: if compared to „natural communication” (face to face com- munication), it would introduce a systematic distortion in communicative ex- changes, that would in turn generate effects on behavior. In particular, this channel would „filter out” any sign not directly expressed in the written texts exchanged (since Eighties CMC is mainly written communication), and in particular visual clues (those embedded in the communicative contexts and the bodies - or even the attires - of the communicators).

All main models of this phase (like the RSC1, SIDE2 and the Social Pres- ence3 models) aim to pinpoint the effects of this deletion performed by the channel. They are mostly empirically grounded in socio-psychological labora- tory experiments with a control group, where the presence of the channel - the medium with its technical features – represents the independent variable, and the communicative clues of presumed effects on „behavior” (i.e. the „disin- hibiting effect”) are the dependent ones. Relying on these experiments, re- searchers claimed to have proved effects like social equalization, increased chaotic behavior, weakening of social norms and, in more than one case, their opposite (through a re-interpretation of previous results, like in Walther - Anderson - Park 1994, where the idea of a medium unable to vehicle „socio- emotional” exchanges is discarded).

1 Reduced Social Cues. See Sproull - Kiesler (1991). 2 Social Identity De-Individuation. See Spears - Lea (1992) ; Spears - Lea - Lee (1990). 3 For an overview, see Lombard - Ditton (1997).

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Apart from their specificities, and sometimes despite the contradictory nature of their results, all these models share the common metaphor of the channel to frame their object of study: a metaphor that will be the lynchpin of the field up to the early ‘90s.

COMPUTER MEDIATED COMMUNICATION SYSTEMS AS PLACES

While studies conceiving their object through the metaphor of the channel did not disappear until the early Nineties, they start to lose relevance for the field. That conceptualization, in fact, appears less and less adequate to answer the new questions arising from a communicative context that is being deeply reshaped. Private and domestic Internet connections are in fact becoming more and more widespread, as well the use of CMC for social or ludic pur- poses.

As both Wellman and Silver point out, properly academic research does not accounts first for these new scenarios: other social discourses, first of all specialized journalism, claim that role. Dery (1996) and Flichy (2001) con- vincingly describe, among the others, the role played in these years by maga- zines like Mondo2000 and Wired in shaping the new internet imaginaries. Describing the experiences of ICTs’ early adopters, journalists do not frame the CMC systems as channels, like coeval academic research, but as places: Internet is an unexplored space inhabited by a new kind of natives, with their own customs, social rules and . For the „travelers” visiting this new world, the Internet is a sort of „digital orient”, a fascinating elsewhere, se- cluded from ordinary daily life and sometimes even dangerous, where it is possible to live adventures and build new kinds of relationships.

This new imaginary draws on the one already depicted, since the ‘80s, by science fiction. Steven Lisberger’s movie Tron, for example, sets its story in a computer-generated „virtual space”: it will be influential on William Gibson, the cyberpunk novelist that popularized the idea (and the term) of „cyber- space”. In his own words, cyberspace is «a consensual hallucination experi- enced daily by billions of legitimate operators, in every nation, by children being taught mathematical concepts... A graphic representation of data ab-

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stracted from banks of every computer in the human system. Unthinkable » (Gibson 1984). Surprisingly enough, the concept (and the term) of cyberspace will be taken by a relevant part of academic scholars studying the internet in the early and mid Nineties. Under a methodological point of view, it will frame the research object through a spatial metaphor: the Internet is conceived as a symbolic space generated by many-to-many persistent com- munication. A new disciplinary phase starts, and the channel metaphor, the research questions associated with it, and the research methods it suggested are quickly discarded and marginalized: it is not possible to study this new space, the cultures and the relationships it hosts, and the practices occurring in it in laboratories. There is no more „effect” to be proven or measured: re- searchers are called instead to personally explore cyberspace, and observe the new natives inhabiting it. Ethnography-inspired approaches replace experi- mental methods. As Stone (1992) notoriously observed, «it is interesting that at just about the time the last of the untouched „real-world” anthropological field sites are disappearing, a new and unexpected kind of „field” is opening up - incontrovertibly social spaces in which people still meet face-to-face, but under new definitions of both „meet” and „face”.»

This supposed „otherness” and detachment of the Internet as a (cyber) space from common daily life keeps on separating Internet Studies from gen- eral Media and Audience Studies (where the relationship between media and daily life is already a main concern), and opens the field to the techno-utopic (and techno-phobic) stances lamented by Silver and Wellman. It is the case, in particular, of the two main research interests of this phase: online social relationships and identity construction on the internet. In both cases, the me- dium is described as opening up unprecedented possibilities, associated with intense hopes or fears. Virtual Communities, for example, are welcomed as a precious chance of renewal of the social ties and relationships endangered by the crumbling tendencies of post-modernity (Rheingold 1993). At the same time, the Internet is warned against as radicalizing these same tendencies. Virtual identities are described as the definitive liberating technologies (Bruckman 1992, 1993; Reid 1991, 1994; Turkle 1995), unchaining identity construction processes from the burdens of the body (once again, the result of the „filtering out” of the body from communication) or, on the contrary, as a

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narcissistic and self-referential game.

It will be only with the new century, and with the deconstruction of the spatial metaphor, that researchers will be able to overcome the dead end of the con- traposition between utopic and dystopian interpretations of internet communi- cation, to focus, more soberly, on the adoption of ICTs into the daily routines of their users.

INTERNET AND EVERYDAY LIFE: FROM THE METAPHOR AS AN ANALYTI- CAL TOOL TO THE METAPHOR AS AN OBJECT OF RESEARCH

With the new millennium, the Internet has become a widespread medium, and its diffusion will still be growing throughout the decade, in work places as well as in public places and households. It is not just a matter of number of users, but also of their diversification: starting from the mid Nineties, CMC systems have been becoming easier to use and, thanks to the massive invest- ments of venture capitals (Castells 2001), richer in features and services, pro- vided mainly – but not exclusively - through a browser interface. As a con- sequence, the internet has become more and more appealing for a wider mul- tiplicity of people, including social categories of users – like women and sen- ior citizens – that were not massively involved in the first phase of its diffu- sion. For the younger generations, it is taken for granted in their media envi- ronment.

As stated by Susan Herring (2004), CMC systems have finally become «more of a practical necessity than an object of fascination and fetish. (Over)use, disenchantment, fatigue, ubiquity, indispensability, and the passage of time all contribute inexorably toward this end. [...] These trends simplify CMC and appropriate it for ordinary interactional purposes. [As a conse- quence] CMC researchers would do well to take a step back from the parade of passing technologies and consider more deeply the question of what deter- mines people’s use of mediated communication.»

The time of the „re-enchantment” of the world driven by ICTs diffusion seems to be over, together with the techno-utopic (and techno-phobic) stances it implied. The internet cannot be conceived anymore as a fascinating else-

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where – a digital orient – to be explored and observed through the amazed gaze of the ethnographer: ordinary daily life now claims its proper place at the center of the researchers’ agenda. The gap between Internet Studies and Media Studies, and in particular Audience Studies, is finally overcome, since the former converge to the latters’ attempt to account for the ways in which (new) media are interwoven into the fabric of daily life. The common goal is now to clarify show how daily routines shape media usage and are shaped by it.

With the deconstruction of the spatial metaphor to analytically and theo- retically frame CMC systems, the whole set of old research methods and methodologies that progressively reveals its limits: in particular, a (virtual) ethnographic approach, focusing on a single technical system of (a MUD., an IRC channel) as an ethnographic field, so common in Nineties internet research, appears unsuited to tackle the intertwine of media usage and daily life.

Coeval Audience Studies tradition, with its linchpin into Silverstone’s the- ory of media domestication, provides a widely tested theoretical and methodo- logical framework to take on the new research questions. In particular, Audi- ence Studies acknowledge the attribution of symbolic meanings to communi- cation technologies by social actors as a constitutive part of their practices of appropriation (that is, those practices enacted by social actors to integrate dif- ferent media into their daily life, or to „domesticate” them in the household). Following this methodological path, Internet scholars do not get engaged in the attempt to replace the obsolete spatial metaphor to methodologically frame the internet with a new one, more adequate to the new research objectives. The attempt is rather to map the different metaphors mobilized by social ac- tors to make sense of new media, and to account for their relationship with specific media practices: from methodological tools employed to frame the research object, metaphors become specific objects of research. Depending on different people, the Internet may be a library where to find information, a repository where to download media products and contents, a social space where to meet new people and stay in contact with friends and relatives, or all these things – and many others - at the same time: it’s up to the researchers to account for these different metaphors and their role in complex appropriation and domestication practices.

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Moreover, it is precisely the complexity of these practices that calls for ap- proaches based on different and integrated methods, as was already experi- mented within Audience Studies: ethnographic observations (now performed mainly in the household, held as the most relevant context of media usage), are integrated or triangulated with other qualitative and quantitative method- ologies - in-depth interviews, focus groups and media usage diaries are the most commonly used.

The new operation of the Internet Studies’ theoretical and methodological frameworks through their integration into Audience Studies will be carried on during the whole first half of the decade and beyond, with only minor adapta- tions of the concepts inherited by this tradition. In particular, the concept of „users” (of a platform, a service, or a device) will replace the one of „audi- ence” as the key concept of the discipline (Sullivan 2013), to account for the more articulated usage practices (mainly: content production) allowed by digi- tal media. The concept of „user” actually seems to better account for the active role that „audiences” are called to enact in a fully „converged” media system (Jenkins, 2006), where the border of each specific medium tends to blur in an interconnected media environment, and media contents and products can be circulated (by content producers and „users” as well) from device to device and platform to platform.

It’s only in the very latest years, under the pressure of the challenge repre- sented by the new tendencies of the media system (in particular, mobile com- munication) that this framework will start to be questioned.

TOWARD A FOURTH PHASE: THE CHALLENGE OF URBAN SPACE TO IN- TERNET STUDIES

In recent years, the scenario informed by convergence processes is further complicated by the widespread diffusion of smartphones, tablets and other mobile CMC systems: media usage is not confined to the household any longer (which was the main research context of the previous decade) or in clearly defined time intervals. On the contrary, media accompany „users” both indoor and outdoor through all the spaces, and the rhythms, of their daily rou-

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tines. Even if with a certain delay, the research agendas of media scholars are consequently called to include, alongside of the household, all the outdoor spaces that host these routines, like public spaces, squares, streets, train and bus stations, pubs. Urban space is quickly becoming a main disciplinary con- cern.

Yet, at least until now, this ongoing renewal of the research agendas has not been sided by a systematic check of the adequacy of the conceptual and analytical tools inherited by the past decade, and by Audience Studies. The concepts of „audience” and of „household” still seem to inform the way re- searchers frame their new research objects.

Regarding the concept of „audience”, we have already pointed out how one of the main theoretical efforts of the discipline in recent years consists in the attempt to account for how „audiences” change thanks to the new affordance granted by digital and portable media: audiences become active, performative, diffused, interconnected (as well as they become „users”). Yet, as a theoreti- cal and methodological concept, „audience” (whatever the alleged adjective) and users still refer to aggregates of people sharing the use of the same device, platform, or (trans-)media product.

In a similar way, the domestic space of the household still seems to play a key methodological role in researchers’ attempts to map urban spaces as con- text of media use: in particular, in their effort to extrapolate specific and clearly recognizable places from the continuum of the urban fabric, to make them the new observation fields of media usage.

As a result, research on media usage in urban space seems to be getting structured along two main research sub-fields (Tarantino – Tosoni 2013): the first one, informed by the concept of audience, that has as primary focus the use of a mobile device, service or platform (an „audience” being here an ag- gregate of people having in common the usage of the same device, service or platform); and the second one, methodologically informed by the concept of household, fragmenting the urban in recognizable places, isolating them from the fabric of urban space as a new ethnographic field for media usage observa- tion.

This field structuration has the credit of triggering and supporting a quick

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(even if quite delayed) update of the research interests of the field. Neverthe- less, the conceptual framework it implies does not seem suited to take on the challenge to the discipline represented by urban space. In fact, and notwith- standing the reconfiguration of its public/private nature implied by media, the „household” represented at the same time a specific and defined place and clearly identifiable , into which „audiences” where fragmented for analysis. This double nature of the key concept of „household” has no equiva- lent in public space. Nothing there guarantees that „audiences” and users share anything else then the use of a device, platform or service. Moreover, the same (shared) medium can be integrated with incomparable roles in different prac- tices and routines: practices and routines that, on their hand, can be hardly restrained in one of the single and specific places in which urban space is fragmented for analysis.

In this sense, if the discipline is now called to account for how ICTs are «ado- pted and shaped within the fine-grained practices [and routines] of everyday urban life», as stated by Stephen Graham in his ground-breaking research ma- nifesto (2004), a radical rethinking of the key theoretical and methodological concepts inherited from the third phase of Internet Studies, and from Audience Studies, appears particularly urgent. Some proposals in this direction have be- en already put forward: it is the case, for example, of the „activity turn” invo- cated by several authors (Fiske 1992, Couldry 2004, 2011; Ridell 2012; To- soni – Tarantino 2013), that suggests to move the main focus of the analysis on social actors’ practices and routines media activities are just a part of; or the case of the attempts to derive from Human Geography a more constructive and relational notion of space, as being shaped and shaping by social actors’ (communicative) practices (Tarantino – Tosoni 2013b; Tosoni - Tarantino 2013b). Yet, the theoretical and methodological implications for such a turn are very far from having been systematically explored and, notwithstanding its potentialities – and urgency - a fourth phase still struggles to take shape.

CONCLUSIONS

In this paper we proposed a periodization of the Internet Studies history based on the main theoretical and methodological concepts adopted to frame their

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research object. Three clearly identifiable phases emerged: the first framing CMC systems as channels (from the late ‘70s to the early ‘90s); the second framing them as places (90s); and the third (from 2000 on) where researchers are called to focus on concepts and metaphors through which social actors make sense of CMC systems as part of their appropriation and domestication efforts. Finally, we pointed out some of the inadequacies of the conceptual framework inherited by the discipline tradition when dealing with urban space. However, a fourth phase seems still yet to come, due in particular to the lack of systematic theoretical and methodological rethinking that is character- izing the present effort to renew the Internet Studies’ research agendas, in an increasingly systematic exploration of urban space(s).

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33. Tosoni - Tarantino (2013), Media territories and urban conflict. Exploring sym- bolic tactics and audience activities in the conflict over Paolo Sarpi, Milan, in «International Communication Gazette», vol. 75, no. 5-6, oo. 573-594 34. Tosoni S. – Tarantino M. (2013b), Space, and media, in «Waves, Bits and Brick: Media and The Social Production of Urban Space», Special Issue of «First Monday», vol. 18, n. 11 35. Turkle S. (1995), Life on the Screen: Identity in the Age of Internet, Simon & Schuster: New York. 36. Van Gelder L. (1985), The Strange Case of the Electronic Lover”, in «MS. Magazine», October. 37. Weaver W. - Shannon C. E. (1963), The Mathematical Theory of Communica- tion, Univ. of Illinois Press. 38. Wellman B. (2004), The Three Ages of Internet Studies: Ten, Five and Zero Years Ago, in «New Media & Society», vol. 6, n. 1, pp. 123-129. 39. Walther J., Anderson J., Park D. (1994), Interpersonal Effects in Computer- Mediated Communication. A Meta-Analysis of Social and Antisocial Communi- cation, in «Communication Research», vol. 21, n.4, pp. 460-487.

Dr Simone Tosoni - Assistant Professor at the Catholic University of Milan, founding members of the ECREA Temporary Working Group 'Media & The City' and cooperates with the ARC Research Centre (Catho- lic University of Milan) e-mail: [email protected]

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GLOBAL PROBLEMS – FUTURE II. – POLITICS – VALUES

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Wojtek LAMENTOWICZ

„If a man gives no thought about what is distant, he will find sorrow near at hand”. Confucius

THE GORDIAN KNOTS AND ALEXANDRIAN SOLUTIONS: NEW APPROACH TO FORECASTING AND STRATEGY MAKING

The concept of the Gordian is not established in the theory and practice of strategic studies and forecasting. The purpose of this paper is to define the Gordian Knot as clear as possible and to put into the framework of dynamic systems and to show its methodological usefulness in forecasting and in strat- egy making.

In section 1 I distinguish two environments where the Gordian Knots occur – the process of guided changes and the spontaneous dynamics. Section 2 is devoted to better clarification of the spontaneity of our time and to explanation how it makes an impact upon Gordian Knots. Section 3 deals with time frames and with the special role played by long standing problems in human devel- opment. Here I stress an interplay of long duration history and the high speed of changes in the present time. In section 4 the main topic is the impact of the increasing speed of changes and the asymmetry of relationships. The main components of the Gordian Knot are also shown as a simple graphic model. The next section deals with arguments against some propositions and hidden assumptions of the theory of Black Swans that was developed by Nassim N.Taleb recently. This is indispensable as some Black Swans could be a source of aggravation of long lasting Gordian Knots. The last part of this study presents particular features of the Alexandrian Solution which is de- signed as a cure for troubles caused by Gordian Knots and as a policy re- sponse to outcomes from Gordian Knots.

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THE CONCEPT OF THE GORDIAN KNOT: THE FIRST APPROXIMATION

In human development or more simply in the process of change we find very frequently sets of interconnected problems that need to be solved if we want to proceed or to change the direction or speed of our motion on some specific paths. Some of those sets of unsolved problems are defined as a Vicious Cir- cle and some are more linear in their nature. However not all complicated sets of interconnected problems are perceived as a variety of stumbling blocks on the road that we have chosen or as an obstacle that is very hard to handle and to overcome. A very special case in problem solving is made by Gordian Knots which are stumbling blocks and a source of crises. In order to under- stand what the Gordian Knot actually is we shall proceed by several steps leading to fully developed definition and a clear construction of all meanings of this particular notion which was disregarded by both scholars and policy makers until very recent propositions made by a team of Polish scholars.

The Gordian Knots can occur both within the framework of spontaneous changes that are uncontrolled by any decision making center (or perhaps are beyond the human capacity of control ) or within the framework of the guided process of changes which are to a certain extent human made and can be viewed as a byproduct of the use of power and management skills.

If we consider the case of the guided change then the Gordian Knot shall be viewed as a an effect of long lasting delays in searching for solutions or as an outcome of many inefficient efforts undertaken by some decision making bod- ies.1 Krzysztof Rybiński, Paweł Opala and Marcin Hołda defined a Gordian Knot as an „intractable problem” that can „emerge as a result of delaying nec- essary strategic choices”2. The Gordian Knot is an outcome of actions that were taken too late and accomplished too little which happens quite often in politics. In such a perspective a long process of neglecting or underestimating the significance of the problem allows for accumulation of the negative char- acteristics and this aggravated set of problems may be called a Gordian Knot. Thus we may assume that the longer the problem is neglected the worse it

1 K.Rybiński, P.Opala, M.Hołda, Gordian knots of the 21st century, Ministry of Regional Development , Warsaw 2008. 2 K.Rybiński et al., op.cit. p.7

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may become and its solution cannot be achieved by ordinary measures within the old business-as-usual and only the bold stroke of the Alexan- drian sword can fix it. In such a perspective of delays in policy responses a Gordian Knot is a result of mistakes in timing or/and errors in assessment of some problems. In summary a Gordian Knot within a framework of guided process is a human product. It is in a sense constructed by non-action and no- decision in a due time.

There are some weaknesses in this approach. The hidden assumption here is that solutions in the due time were feasible and for some reasons (such as the impact of vested interests or lock-in effects of many factors) were not de- signed as a strategy and not implemented. It is very hard to say what was fea- sible and when, if it was not accomplished at all. Any variety of „what if „ thinking in a strategic analysis is value laden and cannot take into considera- tion all the factors and constraints in the past when we think about it some 100 years after.

The second hurdle is the question what is or would be the due time to take „necessary strategic choices”. Sometimes it is the legacy of the past that is an effect of the long duration in history as proposed by F. Braudel. In such a case the Gordian Knot is not a product of an error in policy responses but rather a longitudinal process hardly dependent upon some power centers, on their ac- tion or non-action, decisions or non-decisions.

Another weak point is a question of „necessary strategic choices”. How could we know what was and for whom it was a necessity to make strategic choices? Many actors and factors exert an influence on the agenda setting process in politics, in business, and in military affairs. It is obvious that we cannot know what was necessary and why some actors would be of the same opinion as are the analytical minds which study the same set of problems after some time and from a different perspective.

It does not mean that we cannot study and solve Gordian Knots within the framework of guided changes. We can make it but we must take into consid- eration all intellectual risks involved in searching for non-decisions and delays. If something comes too late we should be able to prove when it was the due and proper timing for a specific strategy to be adopted and put into

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practice in given conditions. This is much harder as it seems at first glance. A second concern here is that we assume that an error or mistake was made by some potential decision makers when they decided not to make strategic choices in some spaces or areas of interest. Any error in thinking or doing can be identified only when we know what would be a proper, sufficient or satis- fying choice that was for some reasons neglected or delayed. This kind of knowledge is hard to obtain and even harder to apply in strategic analysis.

SPONTANEOUS DYNAMICS

The second type of environment where the Gordian Knot can emerge is the process of spontaneous changes that happen more often in history of human- kind than efficiently guided changes. A spontaneous process must not always be a „” or „organized complexity” as it is assumed by many neoliberal economists. Sometimes spontaneity is a pretty disorderly patchwork with many cross-cutting paths, overlapping modes of action, and contradictory trajectories of changes that are mutually reinforcing and pushing to the ex- tremes. I will not assume that spontaneity is a kind of organized whole or a variety of order. Sometimes it can be more like an order and sometimes not. It is an empirical question and must be studied carefully without any prejudice or any assumption imposed by reason that tends to put models before the real facts of life.

The global system consists of the great variety of spaces and realities; some of those are objective and given and many of those are socially constructed or reconstructed after some periods of creative destruction. Reality is a set of meaningful acts and facts based on tacit assumptions about what is real and on sometimes unclear presumptions which give meaning to our thoughts. Some realities are external and „given” by history or/and nature and some are in- vented/designed by human beings, intentionally negotiated and even shared by many distinctive communities living on Earth. The global system of the Spaceship Earth3 and the entire Universe consists probably of both determinis-

3 The Spaceship Earth is a metaphor coined some sixty years ago by R. , an optimist visionary thinker, and designer who invented among other things his geodesic domes, and ephemeralization.

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tic and non-deterministic subsystems and we have no sufficient knowledge to make a final judgment about which of the two prevails and in what condi- tions.4 The suspension of judgment that was recommended by Blaise Pascal (who invented the calculus of probability) is in order in all situations when we are far from certainty in a particular field of study.

The first, purely linguistic intuition tells us that „spontaneous” means that something happens and is uncontrolled, unleashed, unchecked, unguided or poorly guided by human decisions. It is something that resembles the elements of nature and that may produce a lot of surprises, unexpected and/or undesir- able outcomes. When we look at the phenomenon of spontaneous dynamics in a more systematic manner we can suggest that the defining characteristics of spontaneity are the following: a. Spontaneity is a particular feature of all dynamical systems both natural and artificial because most of the processes are not controlled by power centers and many varieties of forces and interact in a contradic- tory manner. Conflict and cooperation of agents are not regulated by a su- per arbiter with unlimited power of right settlements and rulings. Realities in which spontaneity occurs are complicated, unclear, fluid, and foggy if we can use a metaphor that comes from the weather forecasts. In the the- ory of international relations the absence of central rule or coordination center is viewed as a variety of in the global affairs.. b. Spontaneous dynamism means that changes are normal and that a steady or stationary moments are rather exceptional. Change is a norm and a stationary moment is an exception to this norm. Flows are more natural than solid structures and temporary structures prevail over something we might assume would be permanent. It is both information and energy that flows and changes all aspects of life on the globe. Information seems to be more crucial here as it is a our Sixth Sense that allows us to know beyond our five senses, to know what we did not see, hear, touch, smell or taste. Information that goes beyond our senses is a base of our decisions and for that reason has a direct impact on our capability to make and to implement strategies that can deal with spontaneous changes in our environments. As

4 Here it is wise to apply the uncertainty principle and to be rather modest than bold in mak- ing hypotheses that jump beyond facts that we know about so little.

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changes are more frequent than stagnation there is more room for the rec- ognition of rhythm in strategic thinking as well as in social construction of culture. Capability of reading the rhythms of changes is conducive to a smart mode of reaction to spontaneity of developments. Without capabil- ity of reading and monitoring the natural rhythms of spontaneous changes it would be almost impossible to design innovative, regulatory, and adap- tive strategies. c. Spontaneity is a result of non-linear relations to greater extent than it is conditioned by linear causality and therefore can be understood as chaotic and complex.5 Non-linearity means that there is structural tendency to asymmetry of causes and outcomes. Small causes are able to produce effects out of proportion ( that is usually named a ).6 Ef- fects of this kind may be much larger and jump longer in time that we could think as we were looking at their causes. But the big causes can produce very little effect, as well. This case I propose to call a Mountain Effect that refers to a famous saying about the mountain which gave birth to a mice. d. The growing speed and velocity of changes in all subsystems of the global system is a fundamental cause of the spontaneous character of changes.7 The faster the system and/or its environment changes the more spontaneous the process can be. Time and space is obviously compressed by a high level of speed and velocity what we know since Einstein discov- ered it and developed as the theory of relativity. One of the first thinkers who recognized the growing impact of speed in our civilization was Marc Bloch who did it in the 1930’ already. The factor of speed/velocity is not underestimated any longer but only very few thinkers would dare to claim that the entire evolution of life on Earth is based not on the survival of

5 Complexity must not be conflated with a complicated reality. Complicated reality is just not simple one and complexity is related to nonlinearity of dynamics. 6 Michael Dillon defines contemporary global system by three features : circulation( interde- pendence of elements in permanent flow),complexity (non-linear relations produce an over- all asymmetry) and contingency ( high frequency and chance and the high level of risk in a probabilistic relations). M. Dillon, Global security in the 21st Century (in:) The Globalization of Security, Briefing Paper , Chatham House , October 2005, p.2-3. 7 Velocity is speed with a specific direction and is presented by vectors. Speed has no direc- tion and is presented by scalars in contemporary .

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the fittest but rather on the survival of the fastest in nature.8 My intuitive hypothesis would be that the very basic survival depends more on adaptation capability as it was suggested by Charles Darwin many years ago. However the expansion of some organisms depends on their capability to move faster than others and this holds not just in physi- cal and natural spaces. The proposed assumption of spontaneity in this study is based on the survival of the fittest and on expansion of the fastest. The spontaneous world is populated by a lot of new nomadic peo- ple of migrating identities. Social contacts are brief and not deeply rooted. In many spaces of human existence short lasting and non-binding contacts replace permanent or enduring social bonds rooted in strong mutual com- mitments. The movement and mobility of people produces new speed of action in all walks of life. The higher the speed of changes and of motions, the shorter the time spans and time perspectives of people. This aspect of spontaneity is a serious challenge to any strategy that is based on the long term perspective and on risky forecasts about the future to come in the long time. e. Spontaneity is a result of the very plurality of forces and energies oper- ating in a particular space of the global system and of differentiated power potentials of actors and factors.9 Distinctiveness of forces and ener- gies of actors may be less visible as they can melt into a mass without faces. f. Spontaneous changes are self-induced and may be driven by self- generating energy coming from the interaction of various social forces that are not clearly visible on the surface of events. Due to this character- istics spontaneous changes are not easy to study, to explain, to interpret, and to predict. This is known well by social psychologists who study the

8 T. Leary, B. A. Potter, Evolutionary Agents, Ronin Publishing, 2004. It is written by Potter after the death of Leary but it develops some basic convictions of him. Paul Virillio put a proper emphasis on the factor of increasing speed in his explanations of cultural dynamics. Compare his inspiring book "Speed and Politics" (1977 in French) published in many lan- guages and in Polish as well. P.Virillio, Predkosc i polityka, Wydawnictwo Sic! Warszawa 2008 9 Power in physics is defined as a ratio of work that can be done in a specific time span. Power equals to ratio of work and time. Both physical and political concepts of power put a stress on capability to get something done in a time-space of reality. This pragmatic aspect of power is very significant to understanding spontaneous developments both in nature and in human culture.

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outbreak of hatred and within a lonely crowd or group think ef- fects in deliberating groups of decision makers. It is not the result of the hidden plot of some actors but rather an outcome of an interdependence of forces that are not precisely identified by social sciences.

This self-generated dynamism of spontaneous processes has far reaching con- sequences for strategic thinking and future forecasting that cannot be elabo- rated here. One aspect of strategy making is extremely relevant however: pre- vention is always more demanding and more ambitious than intervention as it presumes high ability to predict and self-generated dynamism is not easy to predict of course.

Spontaneous dynamism of environments provides an opportunity to any in- telligent system of organized power to react to this challenging condition in distinctive three ways – 1. The system can adapt to spontaneity,2. It can regulate spontaneous changes by influencing actively some parameters of changes such as speed, directions, scope or intensity,3.It can be innovative by efforts to create something new that was not and probably could not be created by a spontaneous dynamism. 10 Adaptation, regulation and innovation is a foundation of a typology that can be applied to systems, to international organizations, to political systems of countries and to smaller regions within nation-states. We can assume that the effect of specific strategy can be evaluated in these terms as well. Adaptation is the lowest level of am- bitions of the power center that reacts to spontaneity. Adaptation is based on reading strong and weak signals coming from the environments and doing something that is indispensable for survival of the system under particular environment. The medium level of ambition would be the regulation that un- fortunately is very frequently misguided and sometimes may foster or aggra- vate Gordian Knots. The most demanding is innovative strategy ( effects of this strategy can be called an innovative function ) as it wants to introduce something new to a spontaneous flow of changes in the environments of the system and/or in the system itself. Regulative and innovative effects are the

10 This triple function approach was developed by myself in early 70’ and then applied to the study of functions of the and of the State. Wojciech Lamentowicz, Refor- mizm szwedzki, PWN: Warszawa 1977 and in my book Państwo współczesne, Wydawnic- twa Szkolne i Pedagogiczne: Warszawa , 1996 (second edition)

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most precious fruits of intelligent human agency in the worlds we live in. Each of the three modes of responses can be applied as a policy of prevention or as a policy of intervention. We will revert to this triple distinction again as it can be used to comparative analysis of strategies dealing with Gordian Knots.

VARIETES OF

Complex System = not independent of its environment but it has some freedom of choice (complicated ≠ simple)

ADAPTIVE REGULATIVE INNOVATIVE

1. The number of parts in the 1. the same as in the 1. Ω system and the number of (Ω) relations between the parts is not trivial

2. The system has memory 2. The system has ca- 2. The system has ca- or includes feedback pacity to learn from pacity to create new experience solutions

3. The system can adapt 3. Ω 3. Ω itself according to its his- tory or feedback

4. The relations between the 4. Ω 4. Ω system and its environ- ment are non-trivial or non-linear

5. The system can be influ- 5. The system can influ- 5. The system can sub- enced by, or can adapt it- ence (regulate) some stantially change self to, its environment flows and/or seg- some flows and/or ments of its environ- segments of its envi- ment ronment

NeilF. Johnson, 2007 made a description of adaptive systems.

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Description of regulative and systems is based on my concept of triple funtions

THREE FUNCTIONS OF DYNAMICAL SYSTEMS

ADAPTIVE Crucial to survival

Dynamical system functions

Regulative Innovative Crucial to Crucial to expansion development

Some questions to be considered are:

What is a lowest degree of the autonomy and distinctiveness that must be pre- served in order to keep ability to regulate and to innovate?

How intelligent systems can preserve this amount of autonomy in the world of fast speeds?

Do the higher levels of autonomy increase the capacity to innovative strategic action?

How complexity of the system relates to the degrees of its autonomy? Is sim- plicity of the system’s structure conducive to its ability to create innovative strategies ?

Does expansion and development of the system increase its ability to move faster in spaces?

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Within the spaces of spontaneous changes in the global system the Gordian Knots appear as a bundle or as a bunch of interlocked and interconnected problems that are results of all characteristic features of spontaneous changes discussed above. A Gordian Knot is not a single problem that can be solved separately as if it was independent from many other problems. We cannot solve it just one by one in a piece-meal manner of reform policy or within a framework of business as usual scenario of the future. The Gordian Knot is a strongly knitted set of long lasting problems with a wide scope of impacts and a great diversity of impacts that increase threats and risks but if solved by an Alexandrian Solution those problems may allow for reach- ing a turning point in a trajectory of spontaneous changes.

The long lasting nature of the problem that we name a Gordian Knot may be produced in two distinctive ways. First of all it seems to be the deeply rooted legacy of the past, an outcome of the history of long duration that leads to some kind of backwardness, lagging behind or dropping out of the mainstream of changes in a specific time period within the context of the particular civili- zation. The second route that leads to the Gordian Knot are delays in provid- ing solutions by power centers or low efficiency in efforts to guide changes.11 The most important source of cognitive errors here is hidden in the intersec- tion of the long distance past and very fast speed of changes in the present time that may hide the long distance future in searching for strategic so- lutions.

When we say that a Gordian Knot is capable of producing a wide scope of impacts we mean that it may : Strongly influence one and single but very large space (for example the global economic growth or the global security) in the global system or Significantly influence many different spaces (such as economics, natural environment, social and cultural) and In effect high quantity of people can be directly or indirectly affected by its occurrence.

The Gordian Knot is a challenge to many layers of power centers of the globe

11 This second route alone was taken into consideration by K. Rybiński et al in the book quot- ed above.

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as it may produce threats, risks, and disasters. On the other hand it is an op- portunity to find a bold solution and to reach out to the turning point that may pave the way to a new development and to progress. Our history is perhaps a byproduct of lost opportunities on many occasions but to a degree it is a product of our dreams and visionary actions as well. The pessimists put amore attention to lost opportunities. Optimists believe that clever adaptation, suc- cessful regulation, and creative innovation are feasible and can be achieved by well designed strategy and well concerted action of people.

Gordian Knots may be of high and low sharpness and of high and low pre- dictability. As they are the long lasting problems they are quite easily pre- dictable and highly visible but sometimes are not perceived by power holders as Gordian Knots and are still neglected and postponed by the power centers. The biggest challenge to our intellectual capacity is a question how to distin- guish a Gordian Knot from an ordinary bundles of troubles that occur so fre- quently in the worlds where we live. The world of the high speed can bring any situation to its extremes. This is so visible nowadays and it can be a result of problems that reinforce each other. As in the philosophy of Mani the distinction between two polarized points of reference may persist without any reasonable hope for finding a synthesis that was posited by the old dialectics of Hegel and his idea of Aufhebung.12 It could be that due to the Gordian Knots, the well known binary and contradictory oppositions tend to be more and more polarized and coexist in the long run. Therefore poor and rich, weak and strong, slow moving and fast moving, creative and totally un- educated are becoming even more unequal than they used to be some time ago. This particular tendency I propose to call a Polarization Effect.13 The asymmetric relations and the high speed of interactions are conducive to the emergence and persistence of Gordian Knots.

The asymmetry is and it may be seen almost everywhere ; asymmet- ric are forces and resources, skills and identities, causes and reasons, causes

12 Jean Baudrillard distinguished rightly between the Manichean duality that tends to the extremes and the dialectics of thesis-antithesis that may eventually dissolve into a new syn- thesis that can restore a better harmony after a long period of contradictions. 13 Nassim N.Taleb invented an inspiring binary model of Extremistan and Mediocristan, and elaborated it in his books - Fooled by Randomness: The Hidden Role of Chance in Life and in the Markets, Penguin Books:London,2004 and The Black Swan: The Impact of the High- ly Improbable, Penguin Books: London,2007.

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and outcomes, sizes and volumes, spaces and speeds, time of duration and time horizon of our strategies. Thus reality of asymmetric world is messy, chaotic, and disorganized. What is worse , many asymmetries are multi- layered and cross-cutting as the density of networks increases and new, more sophisticated are manufactured ( such as a digital divide based on unequal access to broadband internet) in a supposedly flat and single world of multimedia and telecommunication.

For the general definition of the Gordian Knot it is essential to understand the difference between the problems generated by hierarchies and asymmetric relations and problems that emerge from the horizontal networks of fast flows and of great number of nods. Both vertical and horizontal structures can be conducive to Gordian Knots but it happens in a different manner. In hierarchical world the problem is unresolved for a long time due to the vested interests of the ruling elites. In a horizontal structure of the network society it is easier to identify the Gordian Knot and easier to exert some pressure on decision makers in order to persuade them to search for adequate solutions. In conclusion we may say that: 1. The aspect of fast speed is more relevant for understanding the mode of behavior of the horizontal networks, 2. The aspect of long duration is more painful in vertical, very slim hierar- chies that are still with us in many walks of life in many regions of the globe.

The question of resistance to change really matters. In slim resis- tance may be stronger on the top of it, but in a horizontal community the resis- tance is more widely distributed and in many cases will be stronger in the lower strata of the community.

Associative and hierarchical relationships of parts of intelligent systems were distinguished by Ben Goertzel and successfully used in many of his studies on cognition and mathematical modeling. 14 Associative relationships can be represented as a „ A and B have often occurred together” and we can study it

14 Ben Goertzel, From Complexity to , Plenum Press: New York 1997 and by him as well Chaotic Logic: Language, Thought and Reality from the Perspective of Complex Sys- tems Science, Plenum Press; New York 1994.

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by statistical correlations. More relevant are hierarchical relationships that are represented in the following forms:

A is a special case of B,

A precedes B ,

A is a part of B,

A is higher positioned than B,

A occupies larger space than B.15

Our hypothesis is that the Gordian Knots are to a greater extent produced and reproduced in the long run by tensions and contradictions arising from multiple hierarchical relationships than by associative relationships. But on the other hand very long or almost permanent occurring together of two or more objects ( i.e. institutions, norms, values, traditions, religious be- liefs, habits etc) may suggest that is not a coincidence and that a long lasting set of problems can be explained by this permanent interwoven set of facts. Anyhow the interplay of associative and hierarchical relationships is a proper focus for the study of Gordian Knots in a specific time frame and space.

Identities of actors ( both inherited, ascribed to them and freely constructed ) are very important for identification of Gordian Knots. Who are the principal players in a specific arena, how they define themselves, where they locate the game-changers and the pace-setters in a specific space under study – this is a set a fundamental questions for a study of the dynamics of the Gordian Knots. It is good to know who are those who are the most affected or can be the most affected in the future by unresolved Gordian Knots, where they are located in geographic and social space, and how they define their identity. The possible losers and victims of the growing Gordian Knot are more important than po- tential winners who usually belong to a privileged minority.

Both in hierarchical and horizontal systems of interactions it is important to pay due attention to the identities of elites and differentiated identities of

15 Very relevant to this part of our study is well known textbook by Holger Kantz, Thomas Schreiber, Nonlinear Analysis, 2nd edition, Cambridge University Press 2003. The paradigm of deterministic chaos and nonlinear dynamics are presented here as useful intellectual tools of modeling and forecasting and chaos control.

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large masses of population that are or could be affected by multiple impacts of the Gordian Knot. The price to be paid is always differentiated and the magnitude of this difference shall be well understood if we want to contribute to a better understanding of the specific Gordian Knot.

Some special forms of Gordian Knots are the Kondratieff’s waves and cyclic dynamics of the economic growth and , vicious circles of circular causa- tion in human development16, the cases of long lasting backwardness and self- reproducing marginalization, cases of mis-development, situations of inter- locked imbalances and disparities, cases of fast growing asymmetric relations in all spaces ranging from military through economic to culture potentials. The long lasting backwardness or underdevelopment results from vicious cir- cles and/or Gordian Knots.

Liberal democracy as a political structure is better prepared to deal with the crises and emergencies than with the long lasting, chronic or inherited prob- lems of long duration. It is one of functional paradoxes of liberal democracy that is not efficient in dealings with a long time frames/perspectives.

TIME-FRAMES AND GORDIAN KNOTS

The Gordian Knots are in some respect similar to the Black Swans of Nassim N.Taleb. Fortunately such a variety of problems is quite rare as the Black Swans are rare. So rarity makes Knots and Black Swans similar. Another similarity is rooted in the capacity of generating a wide scope of impacts by both Gordian Knots and Black Swans. But what makes them different is more important – Gordian Knots are not highly improbable. Their probability is pretty high and obviously higher in the present conditions that it was the case few centuries ago due to the increased speed of changes and to the global im- pact of many changes.

In order to be able to make history by innovative strategies one shall never hide from history. While facing a history of long duration, it is re- quested a much deeper interpretation of events than in any other less sophisti-

16 The vicious circles were very frequently used by Gunnar Myrdal in his explanations of poverty and social inequality.

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cated effort to understand a very recent past. A historian, a sociologist, and a strategy maker must think more systematically and deeper in time and wider in space than a reporter or a political commentator of the recent past, for whom something that has happened today and should be understood tomor- row.

Distant past ? PRESENT Distant future ?

Recent past MOMENT Near future

Linear notion of time is based on the mode of thinking presented above. But this notion is questioned by a faster than ever flow of energy and of informa- tion. This process of acceleration with ups and downs in speed brings us closer to the reality of globe spanning synchronicity, to a reality of one real time where past does not matter and future is hardly seen clearly.

If it would be actually true it would be much harder to believe that a remote past really matters and that a history of long duration is of any use in our strat- egy making. But a sad paradox is that the faster we move into the future, the bigger seems to be the significance of forgotten narratives about the long dis- tance past and about the history of long duration . Long distance past takes a revenge if it is neglected and forgotten – it still makes an impact even if power centers may not see how powerful the long distance past actually is. George Santayana was obviously right when he said that those who do not remember the past are doomed to repeat it. The orientation of psychological recentivism (orientation on the present time alone) is closed for the future challenges and leads to a passive mode of ad hoc reactions to immediate risks or already pre- sent threats. It presupposes the stagnation of normative and value systems which shape preferences and motivations.17 It is non-conducive to regulatory or innovative strategies and is hardly sufficient for adaptive strategies in the times of very fast speeds.

Intuitive results achieved by policy makers of a short time perspective may

17 Andrzej Sepkowski, Wizje i projekty przyszłości a nadzieje zbiorowe, (w) Przyszłość i polityka: Nadzieje i strachy zbiorowe przełomu tysiącleci, E.Ponczek, A.Sepkowski eds., Wydawnictwo Adm Marszałek : Toruń 2008, p.65-86.

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look pleasant because it is easy to grasp what is close to a common sense. Counter-intuitive ideas or theories may look unpleasant because it is disturb- ing to believe in something that is not in harmony with conventional wisdom. Many innovative strategies are based on counter-intuitive knowledge and vi- sions that go beyond the common sense of short runners.

Let’s start from the idea that our systems where we will search for Gordian Knots are intelligent and complex. We will study regions, states, continents, and global system ,as well. The intelligent system have a lot of significant properties that we will take into account.

Such a system : Can achieve complex goals in complex environments ( capability of strat- egy making is highly differentiated) Can remember experiences Can learn from experiences both from successes and failures Can be interconnected, interdependent and interactive in relations with its environments18 Can adapt, regulate, and innovate in its relations with an environment. Can self-organize its structure by reintegration of its parts Can emerge in accordance with its own preferences. Can forecast the future Can move in some spaces Can survive crises and disturbances and keep its integrity. Can reproduce its distinctiveness and protect its autonomy against some other systems.

Below is a simple model of relevant variables which contribute to the emer- gence of a long lasting problem and which allow to grasp what kind of data we should have to be able to explain the mechanism of reproduction of the

18 Here some definitions may help. Interconnectivity takes place when exchange of signals is possible but not always carried out.. Interdependence is a situation where the survival and /or identity of systems is based on their mutual interconnectivity regardless of interactions between them. Interactivity is a of intelligent dynamical systems which are able to act (conflict or cooperation?) while taking into consideration the other systems or/and the spontaneous dynamics of their environments. Communication between the systems is one of the basic forms of their interactions.

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long lasting problem.

ENDURING FACTORS SUSTAINABILITY due to the inner nature due to its own efforts and external support and strength

LONG LASTING PROBLEMS TO BE SOLVED

LONG TERM MEMORY LONG TERM PERSPECTIVE Mostly linear causality Mostly non-linear causality Looking back to the past Looking forward into the future

Time-frame is a notion based on the assumption that there can be a long dis- tance past and a long distance future or a short time memory and a short time perspective into the future combined . These combinations are the mind sets in the intelligence of the system. Time frame as we see it consists of both memories and perspectives, of abilities to look back and to look forward.

The memory of legacies means that the system takes seriously a long distance past ( for example a history of long duration). If the perspective of the future is viewed in the long time periods (such as 15 years plus in strategic planning) we may say that a system is future oriented. But there are time frames that are based on both short time memory of the past ( forgetting or neglecting the knowledge about a long distance past ) and on short time perspective in efforts of forecasting and strategy making. In the second case ( the short time frame ) there will be almost no strategies and ad hoc adjustments and improvisation will be a dominant mode of dealing with uncertainty and risk. For a long time of pre-modern and even modern part of the peoples and their leaders lived in a short time frame and were hardly able to control the devel- opments by strategic thinking and action19.

19 On the long time statistics and its invisible power of small increases in the long time peri- ods compare Grzegorz Kołodko, Wędrujący świat, Wydawnictwo Pruszyński:Warszawa, 2008.

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The longer the time frame (both the ability to look back and the ability to look forward), the greater are the opportunities for innovative strategies that can create something new that goes beyond the ongoing pressures of spontaneous dynamics of the environments. The long time memory and perspective into the future is conducive to strategic imagination in policy planning. It helps to keep in mind both the memory of the long distance lega- cies and to learn from this knowledge and to look into the long distance future, to forecast, and to invent alternative futures in the world of non-linear rela- tions. In a sense it can allow to kill Black Swans before they appear on the horizon or to prevent them from producing/aggravating the Gordian Knots in human development.

The longer we can trace back our experience and the longer is our per- spective into the future the more we can limit the unpredictability of ac- celerating changes. On the other hand a short time frame increases the risk of the uncertain and highly improbable events that would take us by surprise and diminish the efficiency of strategic thinking.

HIGH SPEED OF CHANGES AND INCREASING ASYMMETRY AS THE MOST POWERFUL FACTORS

High speed and the global magnitude of impact are the two most relevant fac- tors that we should take into consideration while searching for a relevant defi- nition of Gordian Knots. On the other hand it is important not to forget that the Gordian Knot is a set of the long lasting problems, usually inherited from a distant past and somehow (how ?) persisted until today. There is a kind of a contradiction that is built into the very idea of the Gordian Knot : on the one hand it is sustained by the legacies of history for a long time period but on the other hand it is fostered and aggravated by the very fast speed of short term changes of present time. Long duration and high speed are put together to create a dangerous momentum to the Gordian Knots of our time.

The Gordian Knot can be presented as a set of cross-cutting and overlapping causal loops and non-causal interconnections/interdependencies. The Gordian Knots tend to be rooted into the causality of linear logic and non linear logic, as well.

In the case of non-linear relations there is a high dependence on initial condi-

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tions which was discovered by Edward Lorenz in the 60’ (he put in motion a famous phrase about the Butterfly Effect). The Butterfly Effect is based on the asymmetry of causes and outcomes: in this case the small cause (as small as the butterfly) is contributing to the emergence of a huge and eventually dangerous effect. The complexity and network effects in a chaotic process is only one of many ways how the Gordian Knots are created, developed or re- produced. In this perspective they just occur without being made by anyone in a manner where most important forces are unrevealed, undisclosed, and hid- den in the foggy and mysterious nature of spontaneous dynamics. On the other hand the longitudinal character of Gordian Knots shows that they emerge from a long way of deterministic causal loops of longue duree. Legacies do not jump on us out of the blue but these old factors shape our culture (and strate- gic culture of course ) by a very long time with a great deal of linearity in causal . These are quite hard factors even if they look as a mil- lions of drops of water which after a 100 000 years break the rock into small pieces. Water is soft and a drop of water is a very small but a long duration makes it a very strong determining factor with a tremendous potential of de- struction and nobody can claim that it is highly improbable event in social space. This geological metaphor helps us to understand the hard power of soft factors which operate in the very long time span.

There is the other side of the asymmetry of cause and effect when a big cause produces a very small impact. This asymmetric causation I would call by to the Butterfly Effect. I would suggest we can name a Mountain Effect as we all remember the saying about the mountain which gave birth to a tiny and helpless mice. The Mountain Effect is at a first glance less trouble- making than its counterpart - the Butterfly Effect. After more careful consid- eration however we feel it is very dangerous when we apply a huge potential and that action brings us a very little or negligible outcome. This kind of asymmetric inefficiency can be produced both by nature and by human inter- actions. What I call here a Mountain Effect is a challenge to strategy makers as it increases the risk of waste, and of misuse of all resources. Anything that tends to be or to go out of proportions is a challenge that we should keep un- der control if we want to be successful in strategy making.

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MODEL OF CHAOS GENERATION

Initial conditions Acceleration of speed in Expotential change (first pusher) one direction

Tendency to extremes Assymetric Relations: Randomness Bytterfly or Mountain Effect

Edge of chaos Chaos

Is higher when dependenci of the system on Complexity = the environmental forces and on initial conditions is higher

Complex system = NOT INDEPENDENT, LOW LEVEL OF AUTONOMY

The dynamical and intelligent systems which can achieve complex goals in complex environments can be divided into four classes. The matrix below is based on two criteria : 1.Low and high speed moving systems, and 2. Short- time and long-time frame systems. Distinctive properties of intelligent sys- tems can be classified in the following manner:

High Speed Moving System Low Speed Moving System Long –time frame POSTMODERN MODERN TYPE II Short-time frame MODERN TYPE I PREMODERN

These two criteria have been unjustly neglected by all scholars of modeling and methodology of intelligent complexity. The addition of this perspective will allow to show that theory of intelligent systems can be related to different levels of development that is presented here in terms of modernization theory.

The Gordian Knots can emerge in any stage of human development. They can start growing in a stage of low speed and short time frame. Late medieval roots of backwardness of some regions is a good example of this. Regions that were late in industrial revolution or have never experienced such a period of fast increasing productivity tend to lag behind for along time and have a great difficulty in catching up with the leading regions which were and are the pace- setters for all.

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The long duration of certain bundles of problems despite manifold changes around them is a mystery: why some properties of reality persist when many others disappear? We can wonder what makes some attractive after many thousand years and many other beliefs evaporate after 50 years or less. We should try to understand how a long duration history or a living history is sustained. By doing so our forecasts can be deeper rooted in the past and per- haps less fallible in the long run. Better understanding of the long distance past is one of the most fundamental sources of successful forecasting of the future and strategy making for the better future.

The distance between pace-setters and the laggards can be measured. As we do it quite well we should still bear in mind that sometimes it is impossible to close gaps that were made 300 years ago and proved to be enduring for such a long time. The deeper the roots of disparity or inequality in a timescale, the harder it is to close gaps and to find some equitable solutions.

On the other hand there is a dangerous dynamics of the very fast speed of events at present. Some of the most fundamental results of the speedy time of the 21st century are presented below (High Speed World).

HIGH SPEED WORLD: DIVIDE BETWEEN PACESETTERS AND LAGGARDS HOW THE SPEED MATTERS?

Bounded rationality: Misguided policy: conflict of explanation, understanding, forecasting Complexity values and goals, insufficient strategy & coordination, lock-in of systems Tsunami Effect: limits to strategy effects, too slow adaptation etc

Erosion of trust: culture of Probability of disasters & mistrust Impressions make INCREASING catastrophes: high risk images & assessments SPEED OF environment Instability of institu- SPONTANEOUS tions: vulnerability to CHANGES Rare and highly improba- rapid challenges ble events : Black Swans, randomness, chaos Destruction of normative order Short –lasting commitments Asymmetry of relations : tendency to extreme situations by unpredictable, and exponential multiplication of Low efficiency, safety, sustainability , quality of effects & a lot of spill-over effects. solutions: temporary & low-quality solutions Butterfly Effect or Mountain Effect: replace solutions of long durability impacts out of proportion to causes. Non-linear causality & post-linear, interactive notion of time of fast feed Haste makes waste. E = mc² backs Velocity( c) matters much more than mass (m) in energy generation what is a backbone of any strategy.

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Asymmetric reality is fostered and widened by high speed. Polarization Effects, fragmentation, disproportions, disparities, diversity, inequality, and differentiation grow faster and become more acute despite the higher trans- ferability of resources and opportunities, higher liquidity of assets, higher flexibility in using assets and skills.

Many asymmetries tend to their extremes and may become irreducible. The new hierarchies may dominate over the technological opportunities to provide for a more horizontal network society based on fair and easy access to many networks. Exclusion of large marginalized groups is hard to alleviate in a world of asymmetries. Asymmetry could be of: threats, identities, power, resources, causes and effects, emotions ,cultural legacies of the past, problems to be solved, access to capital and technology, and of anything that matters in strategic thinking. The Gordian Knots are not so painful in all regions of the global system: the less assets and resources are available, the more deeply rooted can be Gordian Knots into the history of long duration. The his- tory of failures and defeats matters more than the history of successes and victories. The society of losers and laggards will suffer more from Gordian Knots than the successful society of smooth progress. The principle of Saint Mathew (to those we have a lot will be given more) may not allow for a fair redistribution of both public and private goods.

Asymmetry in social relations can be positive if it allows to do more with less energy and other resources in the long time span. Buckminster Fuller coined the word „ephemeralization” in order to name such opportunities. He be- lieved that technological advances will result in ever growing prosperity for an ever growing population despite finite natural and human resources20.

The effect is another idea about positive asymmetry21. Synergy effect occurs when overall output of the system under study cannot be foreseen by a simple sum of the output of each part of this system. It shows that we can get a surplus energy or any other final product that goes beyond simple addition of small energies. The positive asymmetry of synergy refers to the autonomy

20 R. Buckminster Fuller, Nine Chains to the Moon, Anchor Books 1938 21 The development of synergetics as a trans-disciplinary science has been made possible due to intellectual achievements of many scholars and first of all of Herman Haken, Buckmin- ster Fuller, Jay Forrester, and .

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of the system. The higher the level of autonomy of the system of the dynam- ics of its parts and its environments, the higher is the self-organizing capac- ity of the system. Macroscopic order can emerge due to synergy that can rein- tegrate diverse microscopic forces/positions into an order of priorities relevant for survival of the larger whole. This particular capacity is based on the ability to achieve a macroscopic order, stability, and growth of the system indepen- dently of the microscopic interactions of its sub-systems. Diversity and ten- sions of parts is not fully transferred on the entire system due to its autonomy. Whole is more than the sum total of its parts and sometimes it may go out of proportion .

This mechanism allows for synergetic stability and growth, and for synergetic accumulation of power and of its efficient use. Multiplication ability really matters in the world of high speed. Positive asymmetry can contribute to at least five important improvements: 1. Macroscopic order – it can be restored independently of microscopic dis- asters and threats stemming from spontaneous interactions of environ- ments and of the parts of the system. 2. Speed – it can be increased as the system can move faster than it would be allowed to do it by a sum total energy of its parts. 3. More equal distribution of resources – synergy allows for alleviation of disparities and some disproportions and can lead to a more equitable bur- den sharing. 4. – it may increase due to synergy in analytical and forecast- ing activities of experts and decision makers. 5. Culture of trust and accountability – it can be fostered by synergetic ef- fects of smart cooperation that produces better results and gives more in- centives to further cooperation.

Autonomy of the system is a relative notion that can be presented on scale in the following manner:

Dependent Semi-dependent Interdependent Independent

>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>

The highest level of independence of the system of its own sub-systems, of its

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environments, of some forms of spontaneous dynamism, and of microscopic conflicts between diverse sub-systems we call the autonomy. The autonomy is never full or unlimited but a proper level of it is conducive to self-organization capacity of the system and to a synergetic actions against Gordian Knots. In order to be able to a bold stroke of the sword as in Alexandrian Solution ,one must be autonomous to a degree that allows for a strategic choice and brave, decisive action. We will revert to a link between autonomy and Alexandrian Solution in the last section of this paper while discussing the properties of Alexandrian Solutions.

The following model shows some basic components of the Gordian Knot.

KEY COMPONENTS OF THE GORDIAN KNOT

Multiple problems emerg- Long duration history, legacy of the past ing in the same time Long lasting, deeply rooted problems (and neglected, postponed or mishan- dled for a long time, forgotten, un- solved…)

The Gordian Inteconnected, ovelapping, Mutual reinforcement : Knot cross-cutting set or kundle Problems reinforce each of problems other

Aggravation of problems by a very fast speed of chan ges Risk magnifying: at present These problems increase the risk that we face NOW and in the FU- TURE

Beyond the reach of the oridinary piece-meal strategy. Problems cannot be solved by one, but all together ALL OR NOTHING OPTION ALEXANDRIAN SOLUTION

Compression of space Cyberspace replaces the geometry of three dimen- sions. Geographical distance matters less than ever due to tele-contacts be- tween the people who may easy get „in touch” without getting really close, because they can make it from a long distance. The lonely crowd in emotion- ally empty spaces can be manipulated by the elite of power and of knowledge.

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Plenty of cross-cutting spaces without clear boundaries makes most of people vulnerable to manipulation. And this again may increase the speed of increas- ing asymmetries in all walks of life. Important is that many of these asymme- tries were born a long time ago and are the legacy of the past which is a stum- bling block on the road into a better future. All reformers know how painful it could be when we hit onto the hard piece of the past while heading into a brighter future.

One time reality. Everything can be seen or known in the real time with mi- nor delays. One time reality is the world where the global time is more rele- vant than local times and where short-time spans dominate over the long-time perspectives. In many areas we can be approaching the absolute speed – the speed of light - by absolute velocity of electronic data on the information su- perhighways of internet and multimedia. Short-time profitability, faster pace of capital accumulation, and commoditization of everything are the fundamen- tal features of capitalist market economy. And it facilitates the emergence of one time reality and the destruction of the long time frames that seem to be indispensable to strategic thinking. The more we feel compressed to the pre- sent one real time the more should try to keep a long time frame, ang to look sharply back to long distance past and to the long distance future. The broad- ening and widening of our time frames is the only way out from the trap of living in a one time reality.

Weak Signals matter more than strong ones due to the higher speed of changes but are harder to observe and to grasp. That is why many of those Weak Signals can be overlooked. The risk of undesirable surprises and excep- tional events is higher in many spaces where we live. We are taken by surprise quite frequently in spite of the fast flow of information and a better knowl- edge. This context makes our systems more vulnerable to Gordian Knots.

Cognitive Challenges. In the reality of asymmetry there is higher risk of fun- damental loss of orientation by human beings . New cognitive disturbances foster higher risk of misperception and wrong judgment. Symbols without meanings and foggy meanings make it harder to create a meaningful global culture with distinctive common values.

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5. WHY BLACK SWANS ARE NOT SO DANGEROUS?

In this section I have to take a serious look at the idea of Black Swans and some hidden cultural assumptions on which it was based. As I said the Gor- dian Knot is not an unpredictable and highly improbable Black Swan. Its very nature is different but a Black Swan in a society of high speed may foster and enhance and aggravate many of Gordian Knots of our time and even may take them forward into the future. It is the reason why I have to discuss here the skeptical approach of N. N.Taleb.

I see in the history many Gordian Knots that were not solved in a proper way and I can see quite a number of them still with us today . The long list of 15 global challenges identified by The Millennium Project of the United Nations is perhaps a list of Gordian Knots of great urgency: sustainable development for all, clean water without conflict, balance of population growth and re- sources, democratization that is genuine, policy making more sensitive to global long time perspective, information and telecommunication technologies available for all, inequality between the poor and the rich, threat of new and reemerging diseases, institution change and decision making capacity of peo- ple, ethnic conflicts, terrorism, and the use of weapons of mass destruction as main challenges to human security, changing status of women and improve- ment of human condition, transnational organized crime as global threat, growing energy demands, scientific and technological progress and its contri- bution to the quality of living, incorporation of moral considerations into global decisions. All these Gordian Knots are challenging and worthy of an effort to make them less dangerous to us.

Nassim Nicholas Taleb made a strong effort to show how randomness grows in the Extremistan of post-modernity and how it undercuts human capability to predict and to make wise strategies for the future. This pessimistic and strongly non-deterministic approach might be dangerous to all strategic stud- ies if we take it really seriously. Anything can/may happen - N. Taleb tells us . Anything goes because there are very few normative constraints and anything can happen because we are constrained by our low capability of prediction and by the very nature of random realities in which we have to live today and to a greater extent tomorrow. Chance is rare, he says, but in the same time he

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claims it is more frequent than a regular process. Because we know very little we should suspend our judgment and take a „wait-and-see” disorganized road to an unknown future.22

He is right in making a clever distinction between Mediocristan and Extremis- tan in his book. I share many of his assessments about Extremistan and it is presented in section 2 of this paper which deals with a spontaneous dynamism of reality. I admire his sharp criticism of businessmen’s behaviors on the fi- nancial markets and I share his view that many investors have no knowledge about randomness and only due to a good chance they may become rich or go bankrupt. However some critical remarks about Taleb’s theory are needed in order to put it into a proper perspective.

RARITY ARGUMENT. NON SEQUITUR ERROR First of all, he defines a Black Swan as a rare event that seems improbable but occurs anyhow. Rarity is a basic characteristic of this notion. He agrees that most – perhaps 99,9 % - of events are White Swans that means regular events of the usual probability. If he is right, and I believe he is in this regard, so why he tries to persuade us to suspend our judgment and to refrain from predictions at all because he as- sumes we must fail in most cases of forecasts. Why is it so that an extremely low number of events called Black Swans should make our knowledge about a great multitude of White Swans obsolete and doomed to failure when we use it for strategies and long term thinking based on some predictions? Why our knowledge about 99.9 % of the past and present events should be dismissed because something happens extremely rarely with a very low probability, something beyond our knowledge and imagination? I do not see any compel- ling reason in his argument that it is wise to give up forecasting because there are Black Swans and because many forecasts were wrong or not good enough. It is good to know that there are Black Swans and that they can bring a lot of unpredictable consequences. This is mission accomplished by Taleb as he convinced his readers that what is rare should not be neglected because it can be very powerful in our Extremistan. It does not follow from this truth that we should disregard White Swans and throw away our knowledge about them. We are warned about the hidden risk caused by Black Swans – that’s all right

22 Nassim Nicholas Taleb, The Black Swan: The Impact of the Highly Improbable, Penguin Books: London 2007.

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and we can be thankful for this, but his conclusions jump above the proofs that he provided.

SELF-DEFEAT ARGUMENT. The second point I want to raise here is that his theory is in a sense self-defeating. He teaches us about the Black Swans and makes us more aware of the ambiguity of this kind of risk. Some other experts do the same (, nonlinear causality, non-causal explana- tions, emergency theory, asymmetrical relations, Butterfly Effect and Moun- tain Effect, Cascade Effect etc). The more we know about the nature of the Black Swans and about the positive and negative surprises, the less we are vulnerable to any surprise that may come in the future. The very knowledge about Black Swans is a killing device that helps to make them less dangerous and less harmful. Why should we stop predicting and just take advantages of the uncertainty brought by Black Swans when we can make some effort to prevent the darkest of the Black Swans from appearance? By knowing more about the Black Swans we are able to recognize them better and faster, to use them as an opportunity (as rightly advised by Taleb) and even to predict some of them before they arrive where we do not want them, if they are negative from our perspective. If something extremely rare becomes more frequent (as Taleb suggested in his description of Extremistan), it may be better controlled by sophisticated strategy after some time as we can learn from experience and we can be better acquainted with Black Swans.

POSITIVE SURPRISE ARGUMENT. Nassim Taleb has distinguished be- tween positive and negative Black Swans.23 His point is that the bad surprises occur much faster than good surprises because it is „…much easier and much faster to destroy than to build” 24 What does it mean for us when we want to deal with highly improbable events? Not all Black Swans are bad or danger- ous. There are positive surprises, as well. Taleb encourages us to use rare events as opportunities in both cases when these events seem to be positive and negative. By this distinction of positive and negative surprises Taleb con- tradicts his own general definition of Black Swans as he claims that all of them are characterized by a low predictability and a large impact. Is the posi- tive Black Swan that comes to us in the longer time than a negative one, more

23 N.N.Taleb, op.cit, p.45 24 N.N.Taleb, op.cit., p.45

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predictable due to the longer time of its emergence or not? At first glance something that comes slowly (positive surprises come slower than negative - asserts N.Taleb) should be more predictable than something that comes out of the blue. If this is so, we could expect that a general definition of the Black Swan would take this into consideration.

Taleb distinguishes between two varieties of rare events: „..the narrated Black Swans, those that are present in the current discourse and that you are likely to hear about on television, and those nobody talks about, since they escape models-those that you would feel ashamed discussing in public because they do not seem plausible”.25 Are narrated Black Swans unpredictable to the same degree as the second variety of rare events? And if not, can we assume such a high level of non predictability as Taleb presupposes in his books?

HIGHLY IMPROBABLE EVENTS AND UNPREDICTABILITY. Black Swans by definition are highly improbable events and Taleb concludes that those events should be unpredictable or almost unpredictable. This is again a non-sequitur logical error. If you say or make a judgment that event Alpha is highly improbable you have based your judgment on some kind of reasoning. This reasoning is …an effort to predict event Alpha. If you make an effort of prediction – openly or in a hidden manner – and you think you are still in limbo you may draw a conclusion that this event is so rare and its probability is so low that you have a good reason to think it is improbable or highly im- probable. In order to make a judgment about improbability you have to try first to predict the event under consideration. If I am right Black Swans are hard cases in forecasting and we should be aware of it but this does not mean they are totally unpredictable and we should give up any intellectual enterprise of prediction.

LEVANTINE PERSPECTIVE OR PARS PRO TOTO ERROR. Many dis- tinctive properties of Extremistan are well defined by Taleb and in some re- spects it seems to be similar to our understanding of spontaneous dynamism (see section 2 of this paper). He is right that in Extremistan the economy is not based on the notion of equilibrium because imbalance is more frequent than balance and big asymmetry is more frequent than normal distribution as pre-

25 N.N.Taleb, op.cit.,p.77

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dicted by a Bell Curve of Gauss. Equilibrium models and the statistical idea of an average quantity build an artificial sense of certainty regardless of many risks. In Extremistan errors are more widespread than patterns, exceptions dominate the norm, irregularity is more normal than any regularity, and ine- quality is more visible than equality.

His sharp criticism of the very idea of order and predictability in human be- havior and his repudiation of statistical tools of study and of the symmetrical causality seems to be colored by some traits of his cultural background, his experience of living in the Levantine culture of the South-East Mediterranean. He agreed himself with the supposition of his friend that Taleb „..was able to seek luck and separate cause and effect because of his Eastern Orthodox Mediterranean heritage”.26 He admits in many discourses that he can look at matters from a different angle due to his Greek Orthodox heritage. He replies to some of his interlocutors with the phrase „…I will offer my usual „ because I am originally from the Greek Orthodox village Amioun, northern Lebanon” et cetera”. 27 He is aware of the impact of the distant past of his culture on his perception of decision making, uncertainty, risk, predictability, of the rare events and the role of chance in life . He knows that his intellectual masters whom he likes to read again and again „..are patently substandard, compared to today’s works; they are largely anecdotal, and full of myths. But I know this”.28 He is skeptical about the possibility of knowing the past and again he is right but only within a narrow frame of his own culture. I have met very few Greeks, even among highly educated , who had a decent, non-mythical knowl- edge about the history of their country and culture.

This sharp dissociation of cause and effect that leads to low predictability and to many surprises happens more frequently in the Levantine world than in Asia or in Western Europe. The specific art of cheating and being smart is very widespread in this part of the globe. It is very good among the Greeks when a person is perceived as „mangas”. This a word in Greek to call a shrewd crook who is smart enough to cheat successfully and make a lot of profit by doing nothing more but cheating. It is nothing wrong to be a liar – in

26 N. N. Taleb, op.cit.,p.63 27 N.N.Taleb,op.cit.,65. 28 N.N.Taleb,op.cit.,p.198.

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this culture of clever guys who do not like to work and like to live well. It is wrong to be exposed as guilty when something terrible has been done, but it is not wrong to do it, if you may go unpunished. In the Levantine cultures it is hard to believe what the people say and even harder to trust anybody as break- ing promises is a norm and not an exception to a norm of local morals.29

Levantine cultures shape the personality types that do not think in the long time frame. They live at present and only today matters. Widespread habit of living for today puts a limit on the forecasting ability. Imagination on the long time future is very rare. I am tempted to say that a future oriented personality in the Levantine world is as rare as the Black Swan in nature. Goal setting in life and politics with a long time perspective is perceived as a fairy tale due to a well known unpredictability of most of the people living there. Some of them told me –„ Do not expect from me a clear promise because I cannot pre- dict my own behavior in a period of one year. How could I be serious about my promises when I do not know what I would do and what could happen in a week from now? Do not expect me to be like a god” . When you mention a conscience or moral values of decency and honesty you may get a joke in reply that unfortunately sounds quite seriously „ My conscience is clean for ever as I never use it” and they smile to you nicely hoping for understanding and friendship.

Cynical and nihilist approaches to norms are more frequent than a principled mode of behavior. Everyday life and business activity in the Levantine culture is perceived very often as an uncontrolled flow of unpredictable disasters. We remember the final words of Zorba, the Greek from the famous story by Nikos Kazantzakis „ it was such a beautiful catastrophe”. It looks like a short synthesis of this way of life. In these few words everything is put in a nutshell.

Many critical remarks about the prevailing mode of behavior of „night danc-

29 I used to serve as an ambassador of Poland to Greece and Cyprus In 1997-2001 and in 2001 -2005 I was a manager of marine insurance company based in Piraeus, but I was travelling around the Mediterranean region very often. Low level of trust in institutions and in each other among Greeks is confirmed by many sociological studies of this part of Europe. They know good reasons why they should not trust each other. Greeks are aware that they are not worthy of trust in most walks of life. Trustworthy and predictable person in this culture is rare as a black swan in nature.

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ers” I heard from educated and more cosmopolitan Greeks.30 These Levantine people are able to take a distanced and cold look at their own nation and tradi- tions but it is as rare as the Black Swan. As usual they pretend they are better than they actually are. I found it quite common practice that they look down on others in order to hide they well hidden but painful inferiority complex.

Taleb is not critical about all of this heritage and seems to be fascinated with a story about Onassis, a Greek financial tycoon. His bad organizational habits and his widely known arrogance and smiling brutality, Taleb regards as a proof of his conclusion far reaching anti-intellectual conclusion that „informa- tion is bad for knowledge” .31 Let me quote some Taleb’s words about Onassis for us see how messy and disorderly can be a Levantine mode of living and doing business. Taleb writes on Onassis – „…work in the conventional sense, was not his thing. He did not even bother to have a desk, let alone an office. He was not just a dealmaker, which does not necessitate having an office, but he also ran a shipping empire, which requires day-to-day monitoring. Yet his main tool was a notebook, which contained all the information he needed. Onassis spent his life trying to socialize with the rich and famous, and to pur- sue and collect women. He generally woke up at noon. If he needed legal ad- vice, he would summon his lawyers to some nightclub in Paris at two A.M. He was said to have an irresistible charm, which helped him take advantage of people.”32

No wonder that in such a world with heroes like Onassis there must be a lot of Black Swans. However it is quite obvious that there are plenty of Gordian Knots in society that good luck is more important than good manners and good organization. Anyhow I can hardly believe this is a general human way of behavior and a trend-setting power of postmodern world. I dare to say Nas- sim Taleb is a very bright representative of his heritage. He makes a „pars pro toto” logical and sociological error as he takes the Levantine bad habits as an overall pattern of human behavior. Taleb told us that there are three main rea- sons why we are blind to Black Swans. Two of them are internal, psychologi-

30 A phrase „night dancers „ was used by one of the Greek businessmen who used to be my frequent interlocutor in Athens. He was looking down upon those whom he named in that manner. 31 N.N.Taleb,op.cit.,p.143-144. 32 N.N.Taleb,op.cit.,p.143.

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cal : Confirmation Bias (we search for data that can confirm our beliefs) and Narrative Fallacy ( culture-bound tendency to take for granted something that fits a story to a series of connected or disconnected facts). The third reason is external – non-linear causation and asymmetry of result and process.

I suggest that he himself was caught by a Confirmation Bias and a Narrative Fallacy of his own cultural heritage that made him a bit blind to White Swans that are rare in this culture. Fortunately, we all are not born in poor villages of Levant and shaped by that culture. So, the Black Swans are less dangerous to us as we contribute less to their emergence and reproduction as the Levant people usually do.

If we do not behave according to a rule „cheat as cheat can” there can be more trust among us. If we do not follow the rule „catch as catch can”, we will be safer and our world can be threatened less by bad surprises.

All outliers should be studied carefully by experts involved in strategic fore- casting. The sense of „being out” comes from a judgment based on some kind of perception/understanding, about location of an event in a time space. It could be something out of box in thinking, out of the mainstream in culture or politics, out of area in strategy of NATO, out of proportion in a study of asymmetric relations etc. Good lesson from writings of Nassim Taleb should be quite simple : be aware of outliers not just in long time series of numerical data, but in qualitative analysis as well. Outliers are important even if they consist less than 0,0001 per cent of the sample or the population under study. Even the smallest minority matter if you want to understand what and why majority does or will be probably doing in the future.

ALEXANDRIAN SOLUTIONS : DISTINCTIVENESS OF THE BOLD CUT

Gordian Knots cannot be solved by step-by-step approach due to their nature and to the nature of complex intelligent systems and spontaneous dynamics of their environments. Distinctive properties of The Alexandrian Solution seem to be the following: 1. As a cut of the sword it must be radical enough to be able to destroy the long lasting and self-reproducing essence of the Gordian Knot. Radicalism

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does not mean a revolutionary action in most of the cases. However this solution must be deep going and reaching the hidden roots or under- pinning causes of the long lasting bunch of problems. The minimal level of radicalism is ability of the power center to cut through the fundamen- tal links (at least) that keep a bunch of problems together.33In a sense, the Gordian Knot must be uprooted by one stroke of sharp sword. The first cut must cut the deepest and must use as much strength ( intellectual rather than physical !) as possible. It is a test of sharpness of the strategic sword that we use. 2. It should be comprehensive enough . That means it must take seriously into consideration how old and how complicated and intertwined is a spe- cific Gordian Knot. Before cutting, one should know how much power one must apply and how wide a cut should be to be able to succeed. The harder the case of the Gordian Knot the more power and determination would be needed to cut or to dismantle it. Comprehensive solutions are wide in scope and deep in reaching to causes. 3. It should be based on a pretty high level of the autonomy of the strategy making center and the system which it commands from the spontaneity of its environments. High dependence of the strategy maker upon the spontaneous dynamism of the environment can be an obstacle in design- ing and implementing the strategy that is both radical and comprehensive. 4. The sword must be well focused on the most critical parts of the Gor- dian Knot and his roots. Alexandrian strategy presupposes smart prioritiz- ing of fields where the first bold stroke should be applied. Focusing is equivalent to being sharp and fast enough in getting your thing done. My karate coach told me once – be elegant in fighting, if you have to fight do your utmost to make your enemy impotent with one single and precise stroke of your well trained hand, do not drag him and catch him many times without a proper effect.

33 Story about three sons of a dying father and his test of strength of his sons is a good exam- ple of an Alexandrian solution that can be applied without cutting anything in physical terms. Only the youngest son dissolved/dismantled a bunch of thin pieces of wood that were bound together into something hard beyond a human power . The other older and probably physically stronger sons could not break it without a clever step of dismantling it first. An- other good example is a Columbus’ egg that he put straight on the table in a very simple manner but first he started to think out of box.

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5. It should based on the proper timing – Alexandrian Solution must be done not too early and not too late, just right on time. Alexandrian Solu- tions should be applied in the right time to be the most successful. It is important to remember that good timing in the field of strategy is secu- rity and sustainability as the time is money in business. 6. It should be oriented toward positive synergy and to the possibility of appearance of some Virtuous Circles in human development. Synergy and self-organization capability is a crucial precondition of positive asymme- try and by using this we can achieve many effects bigger than the forces we have got as parts of our system. 7. It should be designed in a smart way to be efficient in the long run, it should be good for much longer time than tomorrow. 8. It should consider global public goods and common needs of all mankind such as indicated in the Oath of Alexander the Great. Nowadays it is cru- cial to take into account peace, human security, inclusiveness, non- discrimination, enhancement of creativity and freedom.34 Values first. The goals of Alexandrian strategy should follow the values and not the other way around. Parochial or/and particular interests provide rarely a good guidance to an Alexandrian strategy of problem solving. 9. The general approach that seems to be the most conducive to Alexandrian strategy is a concerned optimism, a strong belief that human rationality and compassion matter a great deal and if put together they can make a difference. The biggest mistakes are made not by the fools but by the wise people who underestimated their power to change the world for the better. An evil survives not due to the actions of bad people but due to inaction of the good ones. Concerned optimist believes that one should be good and get done as much as possible.

In order to plan for Alexandrian strategy in any arena of action it is good to

34 Alexander the Great in his oath in the city of Opis in Mesopotamia in 324 B.C. referred to „prosperity in peace” and equal treatment of Greeks and barbarians . „For me every virtuous foreigner is a Greek”. In his idea of the „contract of love” all peoples should „…live like one people in concord and for mutual advancement” and they „..must not consider god like an autocratic despot, but as a common father of all” .The philosopher Eratosthenis , the di- rector of the library in Alexandria heard these words from Alexander’s comrades that were ear witnesses.

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find the weakest part of the Gordian Knot and to hit it at the beginning. The distinction below shows how can we proceed in search for a weak link of the target, of a particular, well defined Gordian Knot.

I. Weak event weak signal weak link of the target II. Strong event strong signal weak link of the target III. Accumulated knowledge about the two tracks shown above. Power/property relationship is an institutional framework where we can find a weakest link and perhaps the most relevant to the solution we need.

The biggest methodological trouble here is – how can we know ex ante what variety of Alexandrian Solution is available. Can we know it only ex post, after an effort to get rid of the Gordian Knot or can we really find out it before we do anything?

Some intellectual devices can be of relevance for more successful searching for Alexandrian Solution. The following recommendation are heuristics that can foster creative thinking and strategic imagination.

1. Think out of the box – do whatever you can to break from the dominant mode of thinking, from common sense and conventional wisdom, go be- yond any established ideology and , go beyond strategic conven- tions of your time by construction of images, spectacles, and narratives that prefigure new ways of seeing and living…For example in a compara- tive study of Triple Mezzogiorno we can think in the box and out of box as well. In-the-box factors or indicators that are frequently used in re- gional studies of backwardness and underdevelopment we may find the following: strong tradition of the village and a high quote of peasants in the population of the region, very late industrialization and urbanization, attitudes of conservatism driven by strong religious beliefs, culture of mis- trust, low disposable income and high poverty, acute social inequalities, lack of natural resources. Out of box explanations of backwardness or blocked modernization can go to a long distance past, to legacies and heri- tages, to geographic location of the region at the border of the states etc. 2. Search for counter-intuitive ideas and learn from whoever is able to deliver this variety of inspiration. The source of inspiration is irrelevant.

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What really matters is what you will do with this inspiration and where do you go from here and now. 3. Learn as much as you can from all crises because short term crisis may foster strategy for long term solutions as it was the case with the New Deal policy of Franklin Delano Roosevelt in the 1930’. 4. Remember that there is no obsolete knowledge. Only non-trivial knowl- edge that goes beyond banality of narrow minded experts is of great- est value. Cooperation of highly specialized experts with generalists is more conducive to Alexandrian strategy than a simple addition of specialists in their distinctive fields. Good communication and trust be- tween specialists and generalists is the best combination that may allow all of them to participate in a well organized learning and problem solv- ing.35 Narrow specialists alone can hardly produce a synergy as thay tend to think within the boxes of their distinctive fields of specialized knowl- edge because they know almost all about very small area. The generalist knows a lot about methodology of strategy making and problem solving and has some knowledge about special fields of interests as well. General- ist can help invent something out of box of specialized knowledge and this can be tested by specialists. A proper mix of specialists and generalists in a strategy making team is a strategic problem per se. If you need an Al- exandrian strategy you must be able to construct decision making teams in an Alexandrian way. In our times the King is and must be re- placed by a team of strategy makers because our world is more compli- cated and more complex than the world of Alexander the Great. 5. Dream about alternative futures and do not be afraid of thinking un- thinkable. Have a courage of hope that we achieve what we want if we are guided by brave and visionary leaders who share a global responsibil- ity and are ready to beyond parochialism and narrow-minded local per- spective. In dreams begins responsibility for the future. 6. Question all traditions and many well established institutions as they may preserve stumbling blocks to your innovations. Alienate yourself

35 Warren Bennis and Burt Nanus in their famous book distinguished four strategies of leader- ship :1.attention through vision, 2.meaning through communication, 3.trust through posi- tioning, 4.the deployment of self ( Leaders: Strategies for Taking Charge, 2nd edition, Collins Business, 2007 passim.)

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from alienations in which you were put by old orders in many walks of life. 7. Widen the scope of the possible by sharing your ideas with others who might be willing to help you in searching for Alexandrian strategy. Coali- tions of those who might help in finding Alexandrian Solution shall not be based on ignoring legitimate concerns and knowledge of other partners in strategy making. Listen carefully to possible and actual opponents in order to be able to predict the power of resistance to Alexandrian strategy you are to design and to implement. 8. Define your Gordian Knots as clear and critical as possible and in order to do it well use all sources of wisdom, knowledge and information. Remember the long duration history and do not be afraid of the quick flow of the present time. Look from the perspective of the future scenarios upon the present time and look far back for underpinning causes of the Gordian Knot. Time and timing matter much more in a society of fast speed and cross-cutting vectors of changes. The faster is the time flow, the faster a strategy maker must be able to be in the right time on the right place. Speed of information flow is very high due to computers and innovations in this field but human capacity to process and to use the in- formation are not getting any faster. Humans are not fast enough. Their minds act as bottlenecks in the process of strategy making. This informa- tion overload results in either delay in making decisions, or that we make wrong decisions. So instead of providing solutions to Georgian Knots we may produce even tougher knots for the future generations. We should warn ourselves against this kind of risk everyday as it is possible that something important has been discovered yesterday that we do not know and it can have a tremendous impact upon the problems we are trying to solve.

Bounded rationality models seem to be more relevant and adequate in searching for Alexandrian strategy than all pure models of rational choice. If we want to maximize benefits and minimize costs or to achieve our goals with the best means that we may have, we should assume that it all happens in a framework of cultural and institutional boundaries that must distort human capability of pure reasoning.

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The field of bounded rationality in psychological terms is limited by interfer- ence of many history related and culture bound factors such as : 1. Knowledge about the Gordian Knot and about the situation in which we have to act 2. Emotions of strategy makers and other relevant social groups ( hopes, fears etc) 3. Intentions and motivations 4. Norms and values accepted by reference groups 5. Common sense and intuitive knowledge 6. Interests : public and private, local and global, class, national, regional, corporative etc

It is wiser to assume that all actors are bounded by their models of rationality than to believe that there are universal and pure models of pragmatic or eco- nomic rationality. Rationalities are constructed by people and strongly colored by history and culture in which people construct their notions of rational be- havior.

REMARKS ABOUT APPLICABILITY

The methodology of Gordian Knots identification and a conceptual framework of Alexandrian Solutions presented above can be of relevance for strategies dealing with all levels of the global system , ranging from continents and large international systems through nation states to regions and local communities.

It seems possible to use it first of all in non-military settings. It better fits to problems of economy, society, and culture than to a logic of the battle field. However even the military strategists may find interesting some of the points made above.

Prof. Wojciech Lamentowicz – University of Business and Administration, Gdynia, Poland e-mail: [email protected]

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Lech W. ZACHER

RECONFIGURATIONS IN THE WORLD SYSTEM – BETWEEN THE OLD DRIVING FORCES AND NEW NETWORKS

WHAT DECIDES TRANSFORMATIONS, CONFIGURATIONS AND RECONFIGU- RATIONS?

Transformations and reconfigurations of political subjects (national, interna- tional and global) have continuously emerged throughout history. There is strict correlation between the changes of these subjects at the national level and their role and meaning, both regionally and globally. Globalization should therefore be a reference point, in spite of all its effects and associated criti- cisms.

It is doubtful whether there are factors and forces (or their „sets”) which can determine, in an unambiguous way, all these changes. Even if there were, they would be very difficult to identify and separate. These factors would be both material and immaterial, some would be constant (such as natural resources and space) while some would change over time (such as production, GDP, and population). We believe that the most important factors and their characteris- tics are as follows:

The ECONOMY – , structure of the economy, structure of production and services, level of modernity (including applied technologies, infrastructure, knowledge, skills; size of state capital assets, number and size of „native-based” transnational corporations, and level of openness);

RESOURCES – natural (e.g. water, coal, oil, gas, uranium, ores, wood, arable lands, level and size of agriculture, food produced and available.);

POTENTIAL OF DEVELOPMENT – state and advancement of science, technology, education, organization and management, attitudes (e.g. trust, activity, entrepreneurship, prospective orientation), and culture (especially the

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cultural ability for transformation and change);

IDEOLOGIES AND RELIGIONS – these are the components of culture, however, historically, they play a big role (e.g. Christianity, Islam, fascism, communism, neo-liberalism, alter-globalism);

SCALE – scale (size) of the population, market, consumption (the latter is often underestimated, but has been found to be increasingly important, as demonstrated by China and India);

DYNAMIC CONDITIONS – their scale, span, and important changes in time, however, they exist all the time: wars, armaments, mafias, terrorism, poverty and hunger, and environmental problems;

POLITICS AND LEADERSHIP – politics is a generating and transforming force; leadership (ideological, military, political, and civilizational) can be the result of various circumstances. Politics and leadership have shaped, to some extent, a new international and global arrangement, a certain world configura- tion, without necessarily being an intentionally and effectively introduced new order. New situations or reconfigurations are not easily predictable since there are factors involved such as various coincidences, chaotics, unforeseeable reactions, counter-actions, and emergencies.

Therefore, some interpretation of the above forces and factors of change is needed which includes: their significance, meaning, influence, effects and consequences; changes historically can be diverse, however, they are interdependent and subject to control to a different extent; some of them undergo autonomization and chaotization as well as various interferences, mutual amplifications or neutralizations; they all have internal (local, domestic) and external (regional, interna- tional, global) dimensions of growing importance under the conditions of globalization, open economies, free trade, transfer of technology, knowl- edge, skills, and patterns; they have their own „nature” (i.e. developmental features, large scales, ir- reversibility, unpredictability, heterogeneity, diversity, fuzziness, irregu- larrity, instability, unrenewableness, and unreliability) and linked with it, their appropriate rationalities (i.e. sets of criteria for evaluation and cho-

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ice) modified by political, economic, strategic, and military decisions; global rationality should also be added and considered.

Other presentations and interpretations of these forces and factors of change are also possible. For example, it can be perceived that politics is a perpetrat- ing force, while technology and markets are mechanisms of development, and culture is its ground or interactive context. In economic terms, it is possible to discuss them as capital – financial, social, human, intellectual, and cultural.

The above stated forces of transformation and reconfiguration function differ- ently in time and space. Apart from technology, knowledge, skills, and cul- ture, there are important and valid traditional resources, such as oil, gas, water, and food, and large scales of populations, markets, and consumption. The compass for economies and research and development (R&D) is invariable, however, it is with diverse intensity, such as armaments, wars, and arms trade. Even so, environmental devastation, poverty and fear of terrorism also signifi- cantly influence politics and citizen behavior. The changing world political leadership, due to the relatively diminishing impact of the United States (US), will not only be a new one, but another different one. A new world, unlike the new order, is emerging, to a growing extent, under the influence of another culture.

THE EMERGING NEW WORLD

The emerging new world is the result of many processes. It is happening due to local and domestic changes together with the shift of leadership from the US to other centers, mainly Asia. This shift may not be intentional and it can be argued that state leadership may become dispersed and fuzzy. Furthermore, there is a growing number of TNCs, which are not US-based. What is new in the world financial market are large state capitals to are beginning to circulate and create large financial disequilibria.

Another increasingly meaningful factor which is modifying the current world leadership is mass non-governmental global social movements: civil, environ- mental, consumer, anti- and alter-globalistic, and feminist. This new emerging

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world is already called post-America. The old type of policies performed for decades by the US cannot continue (e.g., maintaining low oil prices, profits from arms trade, dollar’s inflation, imported cheap labor and drain, in- ternal and external deficits, and the domination of technology, skills, knowl- edge, and management). The US is most likely to overcome various barriers and crises, but it will not decline totally. However, the reconfiguration of the emerging new world would limit the American impacts on global governance.

Waves of political power are far from a regularity. They elevate some subjects higher than others. These waves can be described as follows. The XV century marked the beginning of globalization after the discoveries of Colubus; large scale development of science, technology, trade, and capitalism occurred. Revolutions took place in agriculture and production methods. The worl was subjected to phenomena such as colonization, imperialism (conquest and ex- pansion), and Westernization. The effects of this wave resulted in the world domination of the West, the West as a civilization, economy, and culture.

At the end of the XIX century, the next big wave of modernizationand devel- opment, and political power elevated the US to the world front. The industri- alization of the US made it a superpower in virtually all areas: science and technology, finances, military spheres, education, organization, management, entrepreneurship, and external expansion. This was the result of government policies and the fact that the majority of TNCs were US-based.

In social customs, models of consumption and culture, the processes of Americanization occurred because of films, TV, the press, tourism, and migra- tions. The globalization processes, which earlier were connected with West- ernization, significantly escalated. The US was innovative, entrepreneurial and a rich hegemony, not dependent on its short history. This era was science and technology-based, and future-oriented. It sought space for its mission and expansion.

It is a rule that technologically and economically dominated countries demand the abolition of trade and legal barriers and promote their capital flows abroad. Thus, the US accelerated globalization and the US-based TNCs entangled, with their tentacles, the entire world. As a result, they could not only influence capital flows, technology transfer and world trade, but also governments, in-

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ternational politics , international organizations and institutions (e.g. the UN, World Bank, IMF, OECD, NATO, G7). The Americans extended the „dimen- sion” of their rationality up to the global scale. Moreover, globally functioning TNCs „produced” international managerial and employee elites, who identi- fied themselves more with the interests of companies, than with the interest of their base or origin.

Globalization has positively changed the world, at least from the point of view of economic criteria. It was rational to import raw materials from places where they are cheaper, to exploit cheap labor force (of immigrants, or by FDIs in poor countries), to sell products and services where markets are large and more absorptive. The result was the improvement of economic parameters and the inclusion, at least passive, of countries being outside the forefront. In the latter, numerous developmental impulses appeared, including transfer of tech- nology, organization, knowledge, skills, patterns of behavior and consump- tion. Globalization, in spite of developmental dualism and increasing divides inside the poor economies and their growing distance to world leaders, be- came an important element of modernization and development. Growth oc- curred where the cultural ability to adaptation, transformations and change had emerged or risen. It was the fact, that among the biggest 25 world compa- nies, there were not only American, Chinese and Indian firms, but also Brazil- ian, Mexican, South-Korean, Taiwanese, Chilean, Malaysian and South- African.

Thus, a kind of post-colonial de-marginalization of many countries, especially of large populations and large markets, took place. Other factors leading to the reconfiguration of the old world and the old order include globalization, rela- tively stable world peace, and long conjunctures. Assuming that the American hegemony loses, at least with reference to GDP, the world leadership position will become the new Post-American World (see Zakaria 2008). However, what is really shocking is the pace of this international race. China has already surpassed the US in terms of number of the Internet users and car sales.

It is not just the total decline of the US and its economy, education, technol- ogy or military power, but the growth and advancement of the rest of the world. In particular, this refers to the already mentioned China and India to-

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gether with Japan, and the so called „Asian tigers”. It may, perhaps, also in- clude oil countries, such as Russia as well as Eastern European countries, or the entire European Union. Proportions are changing. The „Asian inclination” does not mean that the new Post-American World will be predominantly shaped by another culture, other values, attitudes, so- cial customs, and religions. In the long run, we do not know for sure what will happen. The civilizational progress of some countries can mean a cultural shock and trauma for others. Such a situation can lead to civilizational clashes. In particular, it is hard to predict how the „white Euro-American, Christian West” will react to this situation. In any case, this reconfigurations (see Fig. 1) will lead to a new world, but not necessarily to any intentionally deliberated order. It will be the result of many factors and forces. The new world will consist of many poles of power, many centers of influence and decisions, many new interests, aspirations and ambi- tions, attitudes, cultures, rationalities, diverse divides, gaps, exclusions and inclusions. The dispersion and fuzziness bring about new non-Western narra- tives – scientific, political, medial, and social. All this will be stimulated and amplified by global information and communication networking. This will be accomplished by the global mass media, flows of people, commodities and services, and of knowledge. It seems that the civilization of diversity has become a hard fact. It is now even possible to talk about a zero-polar (no-pole) world. Thus, the universalistic project of the uniformistic world has not come true yet. Diversity, from the point of view of politics, consensus reaching, and co-operation, can be a sub- stantial difficulty. There is an increasing number of subjects interested in the „course of events and processes” in the world; there are more and more coun- tries on the way of development, globalization, and networking; there is a growing number of NGOs acting globally. However, this engagement does not mean taking co-responsibility for the shape and fate of the world, or for the world order. Will progress, development, order, and stabilization become commonly shared political values and common interests of the new and old actors? Will the games of the future have a co-operative characteristic? If so, in what time perspective will this happen? These are difficult to answer ques- tions.

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Fig. 1 The reconfiguration of the old world

reconfigurations old shape of the world new world shape old poles of deve- development lopment

DEVELOPMEN- DEVELOPMEN- TAL LEADERS TAL LEADERS divides and divides gaps and networks gaps the rest of the new poles world enclaves of deve- the rest of DISPERSION lopment the world FRAGMENTATION no-poles world (networked structures) GLOBALIZATION factors and forces

time

Commentary: The factors and forces of globalization have caused a „progressive move” and more interactions between the less developed world, and the development leaders (the developed world), and exploitation by both worlds or global nets. Some new divides and gaps, increasing within the rest of the world and be- tween this world and the highly advanced world, have emerged.

NEW WORLD ARRANGEMENT AND WORLD ORDER

The new arrangements of the world system and configuration are the conse- quence of transformations and reconfigurations of its parts, their weights, strengths, meanings, and relationships. The list of causes includes: growth of production, technological progress, its directions and types, population changes, and ageing. These were, in fact, „physical” factors, generated with intentionality, with politics towards others, with consideration of international and global aspects in , and with relationships and reactions to others. Needless to add, there are factors and circumstances on which deci-

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sion-makers have practically no influence. These include turbulences, inertia, chaotization, catastrophes, economic cycles, various entanglements of policies and activities, unexpected emergencies, and clashes of . The „physical” configuration of the world and the world order are interconnected, especially in their dynamics and in the long run. The fundamental role in all reconfigurations is probably played by large and strong countries. It is also reflected in such concepts and theories like dominant–dependent economies, centers–peripheries, developed–underdeveloped worlds, and leading coun- tries–imitators. Figure 2 schematically illustrates the evolution of the world order starting from the Westphalian peace and the so-called the Post-Westphalian world. This is a reference poin not that far back in the ancient times or colonial con- quests. The notion of world order requires some additional interpretation. The evalua- tion of the world order can be performed with reference to stability (or turbu- lence and disequilibrium), security (or risks and dangers), rationality (bi or multipolar), and agents (or opponents) of reconfigurations. No doubt, such can be controversial and doubtful. It is difficult to decidedly evaluate which world order was more stable – the one based on the cold war, equilibrium of fear, with an ideological and psychological war (not to mention armed the conflicts in Korea and Vietnam), or that connected with the uni- polar hegemonic order with the „peace mission” in Iraq and Afghanistan, with ethnic conflicts and international terrorism. There are concerns about the new multi-polar order and its new leaders. How risky for world stability can North Korea and Iran be? How about Georgia and the Israel–Palestinian conflict, the increasingly radical countries of Latin America or the emerging powers such as China and India, not to mention countries creating or trying to create nuclear weapons? There are also con- cerns for Russian policies and their international impacts, especially in the area of energy trade. In any case, the new arrangement of the world and the new emerging world order are consequences of the reconfigurations taking place in recent decades. Will they lead to higher – as before or present – instability? The emerging new

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world arrangements and world order are more diverse, multi-centered, and post-American. The change of proportions of forces and impacts can, perhaps, result in the domination of the „rest of the world”. Is it possible for a kind of collective world leadership to emerge (besides the UN and G8, in which China, India and Brazil were not included, only recently G20 was once as- sembled)? How will we connect particular interests and rationalities and reach consensuses concerning common goals, or at least elaborate on some kind of „edge conditions” for the politics of various actors? In the context of new challenges, is it possible to habe a kind of global governance or global man- agement? Will social movements, NGOs, and citizens effectively generate a new civil society at the global level? It is also to wonder whether some hard to imagine developmental coalitions could be built, e.g. Russia – China, EU – Russia, China – other Asian countries, not to mention possible Latin American integrations.

These reconfigurations, already happening or only just possible, can get trapped in the hard contexts of poverty and hunger, exclusion and new divides (e.g. digital divide), risks, dangers and environmental catastrophes, silent or open wars over resources (both strategic and unrenewable), as well as ethnic and religious conflicts, mass uncontrolled migration, new epidemics and healthcare issues, global black economy and organized crime, and interna- tional terrorism (also digital and with use of mass destruction weapons). All of these contextual conditions can become an impulse for new reconfigurations, and perhaps dangerous for the stability and security of the whole world sys- tem.

It is necessary to consider new dimensions of the developmental and political processes. The world arrangement and world order will be reflected in the process of the conquest of outer space (Cosmization) and in the functioning of the new space for the economy, politics, and life – cyberspace. Both spaces have an increasing significance for present and future reconfiguration. There- fore, their effective control and will to dominate can result in further risks, instabilities and conflicts.

The crucial question is, however, how and how fast the „rest of the world”, up to the present time less developed and less dynamic, can overcome the exist-

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ing supremacy of recent leaders. More prospective predictions concerning an increase in the „postmodern conditions” are even more difficult, if at all pos- sible. The future seems to be open-ended and our visioning limited.

Fig. 2 Conceptualization of world order evolution (some characteristics and dis- tinctions)

Old times

Postwestphalian world Wars on resources, land World before and after the 1st World War and domination World before the 2nd World War World after the 2nd World War Arms race (mass destruc- Cold war tion weapons) Ideological wars

RECONFIGURATIONS

GLOBALIZATION USA Rivalry of two systems Equilibrium of fear Bipolarity WORLD Decline and fall of the Communist-system

Hegemonism USA (Pax Americana, Americanism) WORLD Unipolarity Declining role of the US postcommunist (Anti-Americanism) world

Brazil Latin USA Multitude of centers America Japan (Post-Americanism) Multipolarity WORLD Asian New regional and global leaders tigers EU Change of power proportions China Growth of the „rest of the world” India

No global leaders Networks of power Changeability and chaotics Zero-polarity WORLD Growing complexity Kaleidoscopic relations Emergencies Postmodernist patterns time

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RECONFIGURATIONS OF THE REGULATORS OF GROWTH AND FUNCTION- ING OF ECONOMIES AND SOCIETIES

Regulators include mechanisms, institutions, organizations, laws, strategies and pressures (especially organized). The regulation of functioning and growth assumes various forms and is implemented by a multiplicity of sub- jects (i.e. agents and actors).

Market mechanism (demand – supply, competition, marketing and advertis- ing, monopolization and oligopolization, market failures, economic cycles, and crises) and strategies of large corporations; the spontaneity of the market is presently significantly limited and controlled by legal regulations, economic and social policies, the public sector, by marketing and advertising (shaping demand), by immanent for free competition system – monopolization ten- dency. The market functions more independently in the area of SMEs, guided by microeconomic rationality and a short time horizon. The market, in the part dominated by large , is usually more globalized and future- oriented, because of the long term R&D and innovation application time, and today, TNCs are the main source of new technologies. However, the rational- ity of oligopolies has a particular character; they adopt the principles of mi- croeconomics. On the other hand, they apply global rationality criteria while choosing sources of supply, labor force or directions for their expansion.

Spontaneous processes (e.g. panic in markets or in the stock exchange) and market failures are difficult to regulate. The result is some degree of chaotiza- tion. Its second source is the clashing of competitive strategies of large corpo- rations. However, their actions influence global economic processes (like pro- duction, division of markets, migrations, and technology transfer), and less explicitly political processes. Yet, corrupt political elites, local authorities or bribing social stakeholders can generate uneconomic management, improper choices, and chaotic moves. At any rate, global corporations are not the only economic power influencing internal and external matters.

Political power (states, governments, and organs of integrated groupings) still play – in spite of neoliberal ideology and propaganda – a significant role in regulating or influencing development processes and on functioning econo-

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mies and societies. However, this role is not directly performed as it was ear- lier, when traditional interventionism dominated.

The present crisis has found the world unprepared. Some extra measures are planned in many countries, not only the US. Virtually all countries have large budgets controlled by states, central banks, and smaller or larger (e.g. in Europe) public sectors. Governments use public debt policy, they use subsi- dies and tax reductions, they co-finance R&D (this is especially risky, not to mention they finance military research), they determine principles and legal regulations (together with parliaments), and they conduct policies – educa- tional, tax, energy, environmental, social, immigration, military, and foreign (the latter canalizes the impacts of globalization). A few more measures should be added: government orders, public-private partnerships, nationaliza- tions and denationalizations. In some countries, the dominant economic sys- tem is de facto state capitalism (e.g. in Russia and China). Even in tradition- ally free market economies, there are long traditions of state control (statism) and there are immense state (e.g. in France or Germany).

As a result, the influence of political authorities (at all levels) seems to have a significant regulatory character. Yet, it is limited in results since it concerns very complex systems and processes. Some claim that it is a kind of art, in which there are just a few masters, and even they can fail (like A. Greenspan). The effectiveness of this influence is also limited, because of inefficient bu- reaucracy, protractedness of decision-making in administration, failed poli- cies, and negative external influences. There is some hope in e-government which can help, but at the same time, it can either increase government control or citizens participation.

The world financial market is a new phenomenon. Large state financial capi- tals are introduced by governments and central banks, which become serious world players. So it looks like a specific hybridization of the state and private industries.

International organizations and institutions, legal and treaty type of regula- tions. There are many of them, for example, the United Nations and their agencies (UNIDO, UNESCO, UNCTAD, UNEP, and WHO.) and programs (on , biodiversity). Especially economicly important are the

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World Bank, IMF, OECD, and WTO. There are also security military blocks like NATO, CENTO, and SEATO.

Technology-oriented organizations are very important (e.g. International Tele- communications Union, Comsat). Some organizations have cartel characteris- tic (e.g. OPEC). Special international roles are played by various integrative regional groupings (like the EU and NAFTA). International organizations, institutions, and groupings are able to exert influence and pressure on the world, or its parts. The same refers to international law and its institutions (like tribunals). Thus, there are many – beyond market – influences that are growing. It is so, because the world is becoming multi-polar and multi- centered in the area of interests, politics, and perspectives. The postmodern long term view seems to be even more complex, fuzzy and chaotic, in spite of all of these deliberate particular rationalizations.

Global co-ordination is thus increasingly difficult, if an adequate level of effectiveness is expected. It is still not realistic to suggest the establishment of a world government and world parliament. For the time being, some global political coordination is performed by the meetings of the G8, or more re- cently, the G20 (China, India, Brazil and some other representatives of all continents were co-opted). We can also include the various summits, politics and business (e.g. Davos), and Earth Summits (including more NGOs). The present world may generate more coordination and joint ac- tions.

Global societal pressures are relatively a new phenomenon closely connected with the new ICTs. Some world actions were prepared in a traditional way, with the help of the post, radio, and TV. Now, the internet and mobile phones make it possible to communicate globally, online, and beyond borders.

Global communication, information and the propagation of ideas, programs and actions are available on portals and homepages. New ICTs have been heavily used by anti- and alter-globalists in their activities.

The media have an ambivalent position in society. They perform their infor- mation missions exerting mediumistic pressure, yet they are, in many coun- tries, significantly controlled by business and political circles. Moreover, the media are business organizations per se (except the public ones). Public media

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function alongside the market. They can play public and citizen roles. Non- governmental and non-market pressures can also be exerted by religions and churches (especially active are Catholicism and Islam). In the context of the increasing regional and global risks and dangers (like environmental catastro- phes, poverty and hunger, epidemics, uncontrolled migration, new arms races, arms trade, armed conflicts, ethnic conflicts, international terrorism, the un- controlled „black economy” connected with mafia and narco-business and corruption, not to mention humanitarian and economic crises, and global over- liquidity of capital), it seems that the role of non-market and non- governmental factors as regulators of functioning and development of the world economies and societies is definitely growing. Their pressure and their potential of resistance and opposition – from manifestations and citizens pro- tests to revolutionary and armed activities – should moderate the decision- making spheres of politics and business. However, it is rather too early (or too utopistic) to announce a global civil society (see Keane 2004), though the globalized and networked human multitude (the term of Negri and Hardt 2004) gathers the potential to influence politics.

CONCLUSION

The present transformations and reconfigurations of local, national, regional and global politics are, above all, the result of globalization, its de- territoriality, trans-borderness, and global rationality (yet, to some extent, „mixed” with particularism, with glo-cality), also of technologization, infor- malization and networking of the world, economies, societies, organizations (business type, governmental, NGOs), households, and human individuals. Technologies, ICTs in particular, and their multiple applications go global, especially in the mass media, in the government, and in human communica- tion. New, increasingly dense, network nodes, new flows of information and knowledge are constantly emerging. The impacts of the political subjects, or actors, in particular in the world framework, are changing their proportions and relative strengths. The world becomes increasingly multi-polar and multi- centered; its diversity is strongly marked. This will become more clear in a long-term perspective, provided that these tendencies are not disturbed, modi-

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fied or reversed by unexpected processes and phenomena, hard to predict or not really probable in the present evaluation and in the present recognition of the situation and state of the world and its components. Today’s postmodern perspective, just embryonic, is even more fuzzy and difficult for any visioning to take place.

REFERENCES (SELECTED)

1. Anderla, G. et al. (1997). Chaotics – an Agenda for Business and Society in the XXIst Century. Westport, CT: Adamantine Press. 2. Boli, J., Elliot, M. A. (2008). Facade Diversity: The Individualization of Cultural Difference. International Sociology. vol. 23. No. 4. July. 3. Castells, M. (2000). The Rise of the Network Society. Vol. 1, Second Edition, Oxford: Blackwell. 4. Castells, M. (ed.) (2004). The Network Society. A Cross Cultural Perspective. Cheltenhem: Elgar. 5. Coates, J. F., Mahaffie, J. B., Hines, A. (1997). 2025 – Scenarios of US and Global Society Reshaped by Science and Technology. Greensboro, NC: Oakhill Press. 6. Currie, W. (2000). The Global Information Society. Chichester – New York: Wiley. 7. Davis, J. et al. (eds.) (1997). Cutting Edge – Technology, Information Capitalism and Social Revolution. London – New York: Verso. 8. Drucker, P. F. (1993). Post-Capitalist Society. New York: HarperBusiness. 9. Ellul, J. (1964). The Technological Society. New York: Vintage Books. 10. Ester, P., Vinken H. (2003). Debating Civil Society: On the Fear for Civic De- cline and Hope for the Internet Alternative, International Sociology, vol. 18, no. 4, December. 11. Everard, J. (2000). Virtual States – The Internet and the Boundaries of the Nation – State, London - New York: Routledge. 12. Featherstone, M. (2000). Technologies of Post-human Development and the Po- tential for Global Citizenship. in: J. N. Pieterse (ed.) Global Futures – Shaping Globalization. London-New York: Zed Books. 13. Harrison, L. E., Huntington, S. P. (eds.) (2000). Culture Matters – How Values Shape Human Progress. New York: Basic Books. 14. Hodgson, G. M. (2000). Socio-economic Consequences of the Advance of Com- plexity and Knowledge. in: The Creative Society for the 21st Century. Paris: OECD.

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15. Jamison, A., Rohracher H. (eds.) (2002). Technology Studies and Sustainable Development. München – Wien: Profil. 16. Keane, J. (2004). Global Civil Society?. Cambridge: Cambridge University Press. 17. Kerckhove de, D. (1997). Connected Intelligence – The Arrival of the Web Soci- ety. Toronto: Somerville House. 18. Kiely, R. (2005). Globalization and Poverty, and the Poverty of Globalization Theory. Current Sociology. vol. 53. No. 6. November. 19. Klein, N. (2002). Fences and Windows. Dispatches from the front lines of the globalization debate. New York: Klein Lewis. 20. Klein, N. (2007). The Shock Doctrine: The Rise of Disaster Capitalism. New York: Metropolitan Books. 21. Negri, A., Hardt, M. (2004). Multitude. New York: Penguin Books. 22. Rheingold, H. (2002). Smart Mobs – The Next Social Revolution – Transforming Culture and Communities in the Age of Instant Access. Cambridge, Ma.: Basic Books. 23. Rifkin, J. (2000). The Age of Access – The New Culture of Hypercapitalism Where All of Life is a Paid – for Experience. New York: Jeremy P Tarcher/ Put- nam. 24. Schiller, D. (1999). Digital Capitalism, Cambridge, Mass. – London: The MIT Press. 25. Schuerkens, U. (2003). The Sociological and Anthropological Study of Global- ization and Localization. Current Sociology. vol. 1. No. 3-4. May-July. 26. Tapscott, D. (ed.) (1998). Blueprint to the Digital Economy: Wealth Creation in the Era of E-business. New York: McGraw – Hill. 27. Taylor, P. A., Harris, J. L. (2005). Digital Matters – Theory and Culture of the matrix. London – New York: Routledge. 28. Toffler, A. and H. (1995). Creating a New Civilization – New Directions. The Politics of the Third Wave. Atlanta: Turner Publishing, Inc. 29. Van Dijk, J. (2006). The Network Society: Social Aspects of New Media. Second Ed. London-Thousand Oaks-New Delhi: Sage. 30. Virilio, P. (1998). La bombe informatique. Paris: Éditions Galilée. 31. Wallerstein, I. (2004). World-. An Introduction. Chapel Hill, N.C.: Duke University Press. 32. Wellman, B. (1999). Networks in the global village. Boulder, Col.: Westview Press. 33. Woolgar, S., Ingram, C. S. (2000). Virtual Society? the of new technologies. Assignation, 17,2. 34. Zacher, L. W. (2007). E-Transformations of Societies, in: Encyclopedia of Digital

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Government, vol. II. Hershey – London – Melbourne – Singapore: Idea Group Inc. 35. Zacher, L. W. (2009). Information Society Discourse. in: Encyclopedia of Infor- mation Science and Technology. Second Ed. Hershey, PA.: IGI Global. 36. Zakaria, F. (2008). The Post-American World. New York: W. W. Norton. 37. Zedillo, E. (ed.) (2008). The Future of Globalization – Explorations in Light of Recent Turbulence. New York: Routledge.

Prof. Lech W. Zacher - Center of Impact Assessment Studies and Forecasting, Koz- minski University, Poland e-mail: [email protected]

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J.Andrew ROSS

GLOBORG: THE EMERGING GLOBAL ORGANISM

SPIRAL DYNAMICS

From a modern scientific perspective, the psychosocial status of the early members of the Homo sapiens was far more primitive than that of modern global citizens. The first humans were intelligent apes without the polish of civilization. The ape self is a creature of appetite, obsessed with food, shelter, respect, obedience, and getting anything it wants. The inner life of such a self tops out in obsessions or fetishes relating to those goods. A schematic and conjectural outline of the psychosocial evolution of Homo sapiens from such ape-like roots to the outlooks represented in modern citi- zens arises from a scheme called spiral dynamics. This scheme arose from the work of Clare W. Graves and others in the late twentieth century [Beck, Cowan, 1996] and was taken up by the integral thinker [Wilber, 2001, pp. 8-13] and by a group of German theologians [Küstenmacher et al., 2011]. In spiral dynamics, the primal ape-like stage in the mental life of human be- ings is colored beige, following a completely arbitrary color code. In subse- quent generations, humans in tribal groups found ways to domesticate each other sufficiently to work together within a traditional social order. They did so by invoking animistic and magical ideas [Tylor, 1871]. The shamans told tales of spirits and crafted totems and taboos to tame their tribal peers, drive out demons, honor the dead, and so on. In spiral dynamics, this stage is col- ored purple. The next major step in the evolution of human mental life came with the emergence of heroic warrior gods who led their tribes on glorious missions of conquest. These red gods were closely modeled on charismatic leaders or hu- man warriors from tribal legend. The more successful of these gods left traces in our earliest written histories. One such god, probably no better than the

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others on any objective scale, was the Yahweh of the early Hebrews. The blue gods came next, and they represented a big step forward. These gods anchored a social order, with written laws and a hierarchy of priests and kings. Some blue gods grew cults of great size and historical importance. One such was the Yahweh of Mosaic and later Judaic tradition, another was the God of the early and medieval Christian tradition, and yet another was the Allah of Arabian and other peoples in the golden years of Islam. Next came the orange gods of reason, individuality, liberty, and enlighten- ment. These were called goods or goals, not gods, for they turned people away from the thrall of traditional religion toward a new age of science and pro- gress. This age brought industry, democracy, capitalism, and colonialism. After the orange phase came the green phase of political turmoil and conflict through , communism, and relativistic . Later green poli- tics became multicultural and environmentalist. The green wave brought on a yellow wave of selfish, eugenic, and racist ideas, which later mellowed into the hippy mysticism of the „me” generation. Then came a turquoise world of global networking and holistic integration of indi- vidual selves in the terrestrial , which represents our latest world- view. The new wave of turquoise change is peaking as the development of a global organism: Globorg [Ross, 2010]. To summarize the color-coded story of spiral dynamics: 1. Beige: Humans apes lived in a world of instincts dominated by survival imperatives. 2. Purple: Magical and animistic thinking led to tribal gods mediated by shamans. 3. Red: Warrior tribes celebrated heroic gods and conquered their neighbors in war. 4. Blue: A founding myth found expression in religion with scriptures, laws, and priests. 5. Orange: Individuals expressed themselves in a rational order of science and democracy. 6. Green: Relativistic politics bloomed into ideologies of revolution and multiculturalism.

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8. Yellow: Individuals cultivated selfishness, first in racist terms and then in mystic ideas. 9. Turquoise: A global network of high technology flourishes in a managed environment.

This psychosocial development has a spiral dynamics in the sense that higher levels (with colors that serve only to assist memory) revisit previous levels in new ways. The development is an evolution of more complex mental and so- cial organization from primitive beginnings. The spiral is not only a cultural history of Homo sapiens but also a series of stages in the development of a person from infancy onward, in which most people stop growing before they reach turquoise. Students of German philosophy will recognize something Hegelian about the dynamics. They might even regard it as an updated psy- chological or anthropological derivative of dialectical idealism, recast in a form that modern materialists can accept, without Marxist jargon. The big ideas in the world spun into being by this spiral dynamics have all been shaped by the industry of modern science. Professional scientists have introduced the world to many new developments, but above all they have brought awareness of humbling facts. To the best of current scientific knowl- edge, humans are smart apes with a knack for survival in natural environ- ments. Meaning has retreated from the realm of transcendent purpose, which so greatly exceeds human grasp that religious believers grope in psychic fog for traces of a divine plan, to the realm of everyday function, at the mundane level where the meaning of a machine is what one can do with it. Science has taught humans to limit their ambitions. People can send spaceships to Mars, but they only yearn to do so because they feel the urge to plant their seed in its virgin soil, in blind obedience to their . Scientists see no higher meaning than that. People just do what their nature prompts them to do. Science has done a lot to tranquilize people in the face of existential risks. Most people breathe, eat, work, and travel routinely without philosophical problems. They may have their personal psychological oddities, but they do not let such nonsense stop them living most of their lives in accordance with pragmatic common sense. Science has gone before them to shape their futures even before they inhabit them, so that they step into a preconfigured reality

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where the sun is where it should be, the food is on the table, things work as intended, and so on. All this is convincing evidence of the scope and success of the investment that scientists have made to develop a logically coherent and empirically well founded view of reality.

AVATARS AND MINDWORLDS

The best insights that scientists provide today encourage educated people to accept that humans often have themselves to praise or blame for the state of the world they live in. Human minds are the best tools available to members of Homo sapiens for planning their lives. For humans, their own minds are tools that they themselves deploy. However what are selves? Cognitive scientists say that selves are virtual artifacts constructed by the brain [Metzinger, 2009; Minsky, 2006]. They are like computer models. To be more exact, they are avatars in the virtual worlds that build up from input delivered by the senses. To their users, the virtual worlds look like the real world, but that is only because the users are inside them. The imperatives of survival forced earlier generations of humans to make their models realistic in all the ways that count for success in the school of hard knocks. But around the edges, where the model comes unstuck from reality, early humans could add any strange ideas they liked to the picture. These became the myths and gods that fill human history. Complementing this picture, neuroscientists say that human brains are packed with billions of neurons, linked via and dendrites into an intricate net- work, like a dense spider’s web with many trillions of synaptic connections [Koch, 2004; LeDoux, 2002]. The network up with neural traffic when its owner is consciously experiencing feelings and thoughts. The tiny electri- cal signals that carry thoughts flit back and forth in milliseconds, and great waves of these signals vibrate over the with rhythms of many cycles per second. These electromagnetic waves are like symphonic music, or perhaps „soul” music. They carry or entrain huge quantities of coded informa- tion in melodies that far exceed in complexity the music that people make and download for entertainment.

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The self enjoys, experiences, or suffers a mental life, and does so in a material body. The question of how the mind and the body fit and work together ani- mated philosophers for many centuries and now animates neuroscientists. The philosophers could not decide whether mind drives matter or matter causes mind. This led to centuries of debate between materialists and idealists. Whichever side was right, there is an exquisite correlation between the inner world of experience and the orchestrated activity of the neurons in the brain. The way the brain generates a mental life is worth tracing further. The neural network operates like a massively parallel computer using associative logic to build a model of the brain’s owner in his or her world. The model of the owner is like an avatar, or a virtual agent, an animated figure that follows commands from elsewhere in the network. The model of the real world is a virtual world, as in a computer game, that serves as the environment for the avatar. About ten years ago, the author coined the term „mindworld” for such a virtual world to emphasize its mental status [Ross, 2009, chapter 5]. A mindworld is like a movie set, just a set of facades that look good from certain angles, and in principle (but only in principle at the time of writing) it can be defined in computer code, so a mindworld is a mathematical construction. As such, it is an ideal denizen in Plato’s heaven. The key feature of this mechanism of avatars and mindworlds is that humans are hard-wired to accept it naively as real. The self, the first person, is the avatar, and the mindworld is the real world, for all the self knows. It takes a lot of painstaking science to reverse- the hard wiring and undo the illusion. A cognitively important point here is that the society of agents that populate a mindworld is as prone to arbitrary redefinition as the set of facades that represent external reality. If people feel the need to fill their mindworlds with myths and gods, the only obvious downside is that their mental toolset may become clumsy or dysfunctional. Returning to the anthropological myth of colored levels in a spiral staircase, it is natural to feel that the human predicament also demands for its full charac- terization a more poetic or musical rendition. Humans are so deeply rooted in planet Earth that their shared identity as its offspring is more real than their respective identities as walking bags of meat carrying brains aflame with their soul music [McGinn, 1999]. Their bodies are rooted in the Earth, their minds

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merge in the music, and the music is Earth’s song. The planetary organism even has her own name, Gaia [Lovelock, 1979]. Humans are the offspring of Gaia. The rock music from the planet beneath their feet spirals up through their minds to peak in the brainstorms of psychic thunder and neural lightning that make them sing. Their songs ring out the joy of Gaia through the heavens. This is the poetic basis of the view that individual human identities are onto- logically less fundamental than their collective identity as offspring of Gaia. The relevance of poetry (even bad poetry) to fundamental was stressed by Heidegger, for whom logical language proved inadequate at the level of being [Heidegger, 1927; Safranski, 2000]. In modern rhetorical terms, the poetry acts as an intuition pump [Dennett, 1991]. Invocation of poetry incurs a debt that must be repaid in the hard currency of science. As living beings subject to human , specimens of Homo sapiens are bound by physical laws. The planetary order of Gaia must be built on the fundamental layer of being presupposed in physical theory. To avoid a long detour into physics, this fundamental ontology can simply be called the background of spatiotemporal structure, BOSS, which can be referred to as the Boss. The generality of the mindworlds mechanism invites conjecture about the relation between human biology and monotheism. Calling the divine or heav- enly patriarch of the monotheists the „god of our fathers” enables one to shrink the phrase to the acronym GOOF, which can be written as a proper name, Goof, a new name for the God of Abraham. Goof was the one who said „I am” to Moses, the one who watched with love as Jesus hung on a cross, and the one who dictated his commands to Muhammad. Goof is not the Boss. Goof is a relatively humble descendant of the Boss. To confuse the two is to commit an ontological error. Monotheists see Goof as a living god. But life on Earth is a biological phe- nomenon. A trace of Goof can be detected in biology in the concept of a self. Life as it is currently understood, where organisms compete for their chances to live and breed, depends on each organism maintaining its own identity in the face of forces that threaten to dissolve it. Every breath a person takes and every bite of food they eat recomposes their identity as they swap out a few molecules. And as they grow they change more grossly. They take on new

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shapes and sizes and learn new habits and skills. Some people learn to treat certain machines as extensions of their bodies. Others learn to extend their understanding of themselves to encompass a family, a tribe, an army, a com- pany, or a nation. All such changes involve identity. Biology requires an understanding of the ontological status of an organism. Molecular biology treats an organism as a set of cells that all share the same or related genes. In the neo-Darwinian view, the genes are the replicators and they drive the rest [Dawkins, 1976, 1982]. Genes build organisms that help them survive and replicate much as humans build machines to help them live their lives. The analogy is not perfect because humans have a lot more fore- sight than genes, although probably less than is often supposed, and they have free will, although whether humans really have free will is a deep philosophi- cal problem. The trend in evolution has been toward ever more complex organisms. Proba- bly the biggest breakthrough for life in the last billion years was the move from free-living cells to multi-celled organisms. Bacterial cells are prokary- otic, and live as individual organisms, but human cells are eukaryotic, which means they live and work together as a collective. The evolutionary leap from to eukaryotes occurred during the Cambrian explosion some 550 million years ago. Most of the living organisms on Earth are prokaryotic, but the eukaryotes have evolved stable survival strategies that represent a triumph of collectivism over . However many cells it has, an organism has a single self. The self of a cell is simple but the self of an or an ape is a miracle of logic. The science of understanding the process of building selves includes the science of avatars and mindworlds, and is pursued intensively in computer science and robotics, where equipping machines with selves is a logical way to enable them organize their behavior in complex environments with some level of autonomy. Given the logic of the self, we can see a new hierarchy: from the simple self of a microbe with a membrane defining inside and outside, and behavior that tends to enlarge or replicate the mass of organic material inside; through the innate self of an in a higher organism; and the emotional self of a „4F” animal organized to feed, fornicate, fight, or flee, as appropriate; to the more godlike selves of typical members of Homo sapiens. This hierarchy

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is a work in progress for scientists and logicians [Hofstadter, 2007]. It is de- fined via complexity, and may remind some readers of the Great Chain of Being of medieval philosophy [Lovejoy, 1936]. Goof is a tribal god, imagined as an idealized father. Generalized, it becomes a species god, or an idealized self-image of Homo sapiens. Generalized further, it becomes a high-level self for life as it is currently found on Earth, that is, for organisms based on DNA molecules. This self is just the idealized subject of the drive that animates „selfish” genes. One may think of it as the asymptotic limit in a hierarchy of ever more universal genetic avatars, nested in an infinite mathematical space of recursive forms analogous to the of images generated by a recursive zoom into the [Peitgen et al., 1992; Bourke, Green, 2004]. The hypothetical least upper bound in the hierarchy of genetic avatars that can serve as a logical foundation for all human behavior deserves its own name: Goof.

ROBOTS, GENES, AND RELIGION

From a long historical perspective, the main event in the second half of the twentieth century was the spread of computers from a few company back rooms to just about every home and office and factory in the developed world. In the last sixty years, computers and computing have become billions of times cheaper and more pervasive. The impact of this change is hard to understand because it has been absorbed so fully. Science has been transformed. The physics of elementary particles is now an industry involving giant accelerators and colossal computing resources to analyze the debris from countless particle collisions in real time, for exam- ple at the Large Hadron Collider [CERN]. The biology of DNA-based organ- isms is an industry involving giant laboratories where armies of gene sequenc- ing robots read entire genomes, as pioneered in the Human Genome Project [ORNL]. And the science of the brain is a growing industry based on ever more precise brain scanning technology and ever more accurate computer modeling of and function, for example in the Blue Brain Project [EPFL]. Beside the two long-established pillars of the , the-

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ory and experiment, a third, , is growing in importance for all the sciences [Wolfram, 2002]. In manufacturing industry the changes are just as dramatic. New products are designed on computers and manufactured using robots. The robots are embod- ied computers, with eyes and arms and sometimes a basic sense of self. The progress is such that consumers now routinely expect the goods they buy to be practically perfect, with none of the random flaws or design defects that once seemed normal. The sales and service industries for these goods have im- proved immensely too. And the supply chains behind the goods have gone global. Mastering and managing the ongoing globalization of trade and indus- try is the great political challenge of modern times. Politicians are racing to catch up with best practice in global corporations by holding G20, G8, or G2 meetings. The author guesses they may soon attend regular GO meetings that represent Globorg as a whole. The main event in the first half of this century is likely to be the rise of the robots. Practical needs and technology converge to encourage the integration of robotic features in architectures that implement a complex self. For exam- ple, a robot car might not only drive and navigate but also monitor its parts for wear, schedule routine maintenance, identify and personally entertain its pas- sengers, and serve as an office assistant for passengers doing online work. Robot users may learn to regard their robots as more like companions than machines. As robot selves develop, humans may even begin to treat robots as sentient beings and give them basic rights. The rise of the machines has transformed modern civilization. Machines are parts of modern human identity. Human beings have a core biological identity that is largely unconscious. On top of that identity, civilized humans have a conscious self that swims in a huge social world, and this world is increas- ingly online, mediated by machines [Krawczyk-Wasilewska et al., 2012]. The gods of previous generations are obsolete for many modern citizens. Returning to basic science, Gene Goof is to biology what the Boss is to phys- ics. It is a symbol for the focus we see in the apparently purposeful striving toward self-realization shown by all life forms. In humans, this apparent pur- pose seems real. People tend to understand themselves as having goals and

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striving to reach them. Their actions tend to push them toward future states that they intend in some way. A self is a work in progress, a process, not a finished thing. Its drive toward completion is what keeps its organism alive as a coherent entity, until one day the organism dies and the self ends, completed at last. An organism is defined by a set of feedback mechanisms that reinforce its identity as a functional being. To take a simple example, a bacterium has an outer cell membrane that defines the boundary of its self. Within the bound- ary, information flows via chemical gradients that allow the organism to main- tain itself in being via homeostatic mechanisms. The cell is an open system that exchanges energy and with its surroundings to support its own . At its core is a set of genes that centralize the regulation of the whole chemical stack. The bacterium is kept alive by a set of circulatory sys- tems that sustain its persisting identity as a functional self for long enough to reproduce, if circumstances permit. A human being is an organized mass of some hundred trillion cells that work together to sustain a self with roots in the body and higher parts implemented in the mechanism of avatars and mindworlds. A human being unites the ef- forts of his or her cells in a collective project. Similarly, human civilization unites the efforts of billions of people in a collective project. The global organism, Globorg, is now an organized mass of some seven bil- lion humans in a civilization based on money, machines, and electronic media. This organism has deep roots. Below the human level, other life forms popu- lating the feedback loops that define Globorg include pets, domestic animals, the food chain, the natural environment, and ultimately all life on Earth. All the DNA-based organisms in the form an integrated global ecosys- tem. Humans cannot separate themselves from this global system without risking their lives. For all denizens of planet Earth, the health of Globorg is an issue of existential importance. In the Marxist sense, Goof is a mystified precursor of Globorg. Once scientists saw the power of genes to explain the primal power of Goof, in the long his- torical process that began with the theory of evolution [Darwin, 1859], the mythic power of monotheist religion was weakened. The hold of a god of life

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and love was seen as a natural expression of human DNA . Goof is thus a biological driver for Homo sapiens. Adherence to the religions of Goof becomes a way to raise the life chances of the faithful. Their success or failure at the business of reproduction is related to the quality of the religious doc- trines. Sexual discipline and rules of chastity or celibacy are crude mecha- nisms to steer the fertility of a community. Ideas about loving your enemy or propagating the faith by means of the sword are strategies for survival and success. Goof is mapped to biology as Gene Goof. The central concept for understanding the human project on this planet is that of the self. Biologically, humans are intelligent apes, and apes are organisms with well defined identities that give rise to robust innate selves. A human self is a sensed identity as a physical being with its normal or default spatial boundaries at the skin surface and its outer temporal boundaries at birth and death. Selfish behavior tends to favor the flourishing of the being within those boundaries, where that being is realized a circulatory system of efforts and rewards that pumps itself up to a limit imposed by the available resources. The inner states tend to become more organized at the cost of rising entropy in the environment beyond the circle of concern. Prehistoric humans lived in tribal groups. Individuals learned to extend their circles of concern beyond the beige concerns of their animal existence to the shared security and prosperity of the group as a whole, reinforced by purple totems and taboos. Agriculture and the red gods of organized warfare sup- ported the growth of tribal groups by rewarding division of labor and the col- laborative planning and execution of shared projects. Social living trans- formed the innate selfishness of the human ape. As language developed, tribal communication became more effective and shared myths began to consolidate group identity. Over the generations, the myths became religions, and as writing developed the religions appropriated sacred scriptures that anchored blue forms of spirituality. Then came orange, green, yellow, and turquoise developments. In the last few decades, human communication and knowledge have gone global. People expect to be understood wherever they travel, and expect to understand the people they meet. Texts and ideas can be translated within a

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stable frame of knowledge that claims universal validity. Tribal identities have become analogous to family identities. The emerging universal cognitive frame allows all seven billion humans to share their background identity as people on a planet. The incommensurability of identities that prevailed until modern times has been overcome. Biologically, human identity arises from the genome. The human genome is shared in its essentials by all the people on the planet. It distinguishes them from other apes and mammals that evolved alongside humans. More specific features of the genome are unique to each individual person, and mark that person off from other people even within the same family. The combinatorial space of human genome variants is many orders of magnitude larger than seven billion, so personal identity is unique at the genomic level. This unique- ness is reflected in what biologists call the immune self, which enables the immune system to identify and attack not only foreign species such as danger- ous bacteria in a body but also groups of human cells such as a transplanted organ from a different body. Each human being is an organism with a genome that differs slightly from that of every other human being. A biological fundamentalist might stop there and say that organisms come first. Groups are secondary. operates at the level of the indi- vidual or the organism, and group selection is a myth. More fundamentally still, natural selection operates on genes, and genomes are simply convenient packages of genes that work well together. The real unit of selection is the gene, and organisms are secondary. In that view, groups are tertiary, and hence negligible as carriers of biologically salient identity [Dawkins, 1976, 1982; Pinker, 2012]. The globalization of human identity changes the view. Previous levels of higher identity became ever more attenuated as they increased in size. As they grew larger, the concentric circles around an individual defined by family, tribe, nation, and so on exercised ever less hold on the individual, whose pri- mary loyalty was to himself or herself as a biological organism. In an emer- gency that threatened the life of the organism, even that identity was too large a circle, since it could be sacrificed for the greater good of the genes, for ex- ample when a mother died for her children or a man for his brothers. Now the globalization of the larger circles of concern has brought these circles back to

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the core. A loyalty to life on the planet defines a level of existential selfishness that can outweigh even the claims of the genes in the human genome. The ultimate foundation of human existence is no longer the self-awareness of an animal organism but the deeper global self-awareness of a human excrescence of life on Earth. A shared level of concern is available to inner feeling as a wellspring for action. Since genes are mere carriers of code for selves, this level of concern can be shared by robots.

„WE ARE GLOBORG”

Humans live on a planet with a mass of six zettatons and a circumference of forty megameters. By bouncing microwave signals off geosynchronous satel- lites, modern citizens can exchange messages between any two points on the planetary surface in less than a second. They can exchange volumes of infor- mation in video or audio files that match or exceed any previous communica- tions their ancestors could exchange even locally with immediate neighbors, and cultural homogenization ensures that modern citizens can achieve basic understanding with anyone by means of such exchanges, so the world is no longer an infinite medium in which all human efforts dissipate to insignifi- cance but a planetary spaceship in which people are all so close to each other that they must learn to live together. Globorg is the self that emerges when human civilization puts down roots in Gaia. Some years ago, NASA scientists wanted to know how they might de- tect life on other planets, and James Lovelock proposed some tests that would work if used from far away to study Earth [Lovelock, 1979]. In doing so, he found feedback mechanisms in our planet’s outer layers that tend to stabilize conditions that help life flourish. Those outer layers seemed to work like an organism, so he gave this hypothetical organism the name Gaia. Globorg is Gaia in its latest turquoise flowering. Globorg is where the poten- tial self of Gaia blossoms via spiral dynamics as an eighth-level being. If Gaia forms the body of Globorg, the global network of ma- chines forms its brain and the human activities mediated by those machines form its thoughts.

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Humans are social animals, and human society has recently become global- ized. No human group is likely to survive for much longer in isolation from the global collective. The economic systems that increasingly entrain people into common projects have consolidated so far that it is reasonable to speak of a single global business world to which every person alive today bears a de- fined relation, if only via the need to earn or otherwise acquire enough money for the bare necessities of life. The global money system has become a unified and quantified scale of value for a wide range of human activities. This scale is widening and deepening every day as new human activities are bought and sold in local and global markets. Like the mechanization of work that fol- lowed the reduction of previously arcane arts and crafts to algorithmic activi- ties for which efficiency can be defined and increased, the monetization of value is like a wave of crystallization that has circled the globe and is now to intensify its impact on human lives [Ross, 2010]. In face of this phenomenon, human selfishness looks increasingly anachronis- tic. Working for money is working not to get rich but to consolidate more value in the global circulatory system. The evolutionary leap from prokaryotes to eukaryotes was still within the realm of biology, but the next giant leap from human ape life to social life in Globorg is in the realm of sociology and economics, and will surely change human psychology. The main impact in psychology will be a gradual elevation of concern from genomic selfishness to awareness of living in a self that embraces the biosphere. A historical precedent for this elevation is that of the majestic plural in polite speech. Royal personages were expected to identify with the social organisms for which they served as the symbolic head. When a king or a queen said „we” it was understood that all the members of the social organism were embraced and spoken for in the locution. Similarly, when a global citizen uses the pro- noun „we” it can be interpreted as a reference to all humans, or at least all living humans. This implicit widening of the domain of reference is the majes- tic plural in action. There is a fine difference between using the word „we” to refer to everyone and dilating the self in royal fashion to include them all. The word „we” has a plural referent, whereas the self is singular. Confusing them may seem to be a mathematical error, but conflating them in a majestic dilation of the self can

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be a valid response to an inherent vagueness in what counts as an instantiation of the concept of a self or a person. The drift from plural to singular here is a natural transition in the ontology of persons. There is an analogy within a , where the little selves of the cells of the body learn to sing together in a majestic self and no longer shout in discord as individual cells in a struggle of each against all. The neu- rons in the are the last cells to retain a trace of their individual voices, but they too learn to line up in logic circuits and fire only when excited to do so by the brainwaves that flow back and forth across the cerebral cortex. The unity of a human self is an achievement in which trillions of cells learn to play their part in the symphonic music that carries the flow of a human per- sonality in action. Similarly, when people learn to conform their actions to collective music that embraces millions of other people, their individuality can be swept up in the music too, allowing them to claim the royal „we” in their statements of self. As Globorg consolidates its footprint on Earth and as human social claims embrace ever more of the existential roots that define human individuality, it seems possible that people will feel ever less need to make an individual stand and disagree with the collective wisdom. In a world where sufficiently gener- ous space is made for human individuality, singing with the crowd may be prized more highly as a way to let the singer’s soul dilate to join the chorus of the majestic self. A social precedent exists in Christian religion. Sharing the host at communion is a symbolic act of union with the body of Christ in a huge royal self of all believers. As a cell in the body of Christ, the believer rises above the little self of his or her ape body and partakes in the majestic self of Christ. The royal „we” becomes an „I” and the believer rejoices in this elevation to glory. At the ontological limit, the self unites with the „I am” of the godhead and becomes immortal. This precedent illustrates the psychology of self-overcoming that forms the core dynamic of the self. The self of today overcomes the self of yesterday, the Christian self in prayer overcomes the self fallen into sin, and the self in Globorg overcomes the self of the personal genome. The self underlying subjective inner experience (with acronym Susie) may be

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something else. The „hard problem” in consciousness studies [Chalmers, 1996] is the problem of giving a satisfactory account in science, with its third- person (3P) perspective, of the subjective or interior quality of first-person (1P) experience. A 3P account of the self as an avatar may satisfy cognitive scientists but it does not satisfy philosophers who seek an account of the 1P nature of Susie. Only mystics have claimed to bridge the 1P-3P divide with any credibility [Wilber, 2001], and scientists cannot confirm their claims. One way to approach Susie is via the Sufi mystical experience of Allah. Mus- lim experience of Goof does not reduce easily to a god of life and love that invites mapping to a genetic . The 1P approach via Susie may turn out to be more promising. If so, the three main traditions of monotheism can be mapped speculatively as follows: 1. The Judaic God of cosmic law maps to the Boss (the symbol of the reality behind Einstein’s theories and more recent theories of everything). 2. The Christian God of life and love maps to Gene Goof (the symbol of the reality behind Darwin’s views and modern biology). 3. The Muslim God with ninety-nine names maps to Susie (the symbol of the reality behind mystic experience and everyday invocations of Allah).

The Boss, Gene Goof, and Susie are symbols for three salient fields of sci- ence, namely physics, biology, and psychology respectively. These fields form subspaces (or dimensions) of a single natural space (the 3D space of „Bogg- sie”). The science of nature unites the old gods in a single logical space in Plato’s heaven. In terms of Hegelian dialectics, the apparent contradictions between the three treatments are sublated [Palm, 2009] in the synthetic unity of apperception [Brook, 2011] of the majestic self of Globorg. A global organism with seven billion human parts is not too big to work effec- tively, as the precedent of the cells in a human body suggests. It may be the least that citizens of Globorg need to realize the promise of monotheism. The downside, if future generations of „Globorgers” get it wrong, is that they end up in a Borg collective, which is the techno dystopia immortalized in the Star Trek franchise, for example in the movie First Contact [1996]. In a Borg collective, human prisoners are recruited into a hive mind as „drones” by means of nanotech implants which hijack their thoughts so effectively that

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„resistance is futile,” as the drones tell their new victims. A slogan may high- light the contrast: Borg is bad, Globorg is good. In conclusion, human beings and their civilization seem to be undergoing physical, biological, and psychological integration with all life on Earth to form a single global organism: Globorg.

ACKNOWLEDGMENTS.

The author thanks Professor V. Krawczyk-Wasilewska for advice and encouragement during the preparation of this paper.

REFERENCES

1. Beck, Don E.; Christopher Cowan (1996): Spiral Dynamics. New York: Wiley. 2. Bourke, Paul; Melinda Green (2004): . http://www.complexification. net/gallery/machines/buddhabrot/ (2012-10-20) 3. Brook, Andrew (2011): Kant’s View of the Mind and Consciousness of Self. Stan- ford Encyclopedia of Philosophy, Winter 2011 Edition, Edward N. Zalta (ed.). URL http://plato.stanford.edu/archives/win2011/entries/kant-mind/ (2012-10-28) 4. Chalmers, David J. (1996): The Conscious Mind. Oxford: Oxford University Press. 5. Dawkins, Richard (1976): The Selfish Gene. Oxford: Oxford University Press. 6. Dawkins, Richard (1982): The Extended Phenotype. San Francisco, CA: Free- man. 7. Darwin, Charles (1859): On the Origin of Species. London: Penguin Classics. 8. Dennett, Daniel (1991): Consciousness Explained. New York: Little, Brown. 9. Ecole Polytechnique Fédérale de Lausanne (EPFL): The Blue Brain Project. http://bluebrain.epfl.ch/ (2012-10-17) 10. European Organization for Nuclear Research (CERN): The Large Hadron Col- lider. http://public.web.cern.ch/public/en/lhc/lhc-en.html (2012-10-17) 11. Heidegger, Martin (1927): Sein und Zeit. Tübingen: Niemeyer. 12. Hofstadter, Douglas (2007): I Am a Strange Loop. New York: Basic Books. 13. Koch, Christof (2004): The Quest for Consciousness: A neurobiological ap- proach. Eaglewood, CO: Roberts. 14. Krawczyk-Wasilewska, Violetta; Theo Meder; Andy Ross (2012): Shaping Vir- tual Lives: Online Identities, Representations, and Conducts. Lodz: Lodz Univer- sity Press. 15. Küstenmacher, Marion; Tilmann Haberer; Werner Tiki Küstenmacher (2011):

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Gott 9.0. 3. Auflage. Gütersloh: Gütersloher Verlagshaus. 16. LeDoux, Joseph (2002): The Synaptic Self: How our brains become who we are. New York: Viking. 17. Lovejoy, Arthur O. (1936): The Great Chain of Being. Cambridge, MA: Press. 18. Lovelock, James (1979): Gaia. Oxford: Oxford University Press. 19. McGinn, Colin (1999): The Mysterious Flame: Conscious minds in a material world. New York: Basic Books. 20. Metzinger, Thomas (2009): The Ego Tunnel: The science of the mind and the myth of the self. New York: Basic Books. 21. Minsky, Marvin (2006): The Emotion Machine. New York: Simon & Schuster. 22. Oak Ridge National Laboratory (ORNL): The Human Genome Project. http:// www.ornl.gov/sci/techresources/Human_Genome/home.shtml (2012-10-17) 23. Palm, Ralph (2009): Hegel’s Concept of Sublation. Doctoral Dissertation. Katho- lieke Universiteit Leuven. See also entry for Aufheben in Wikipedia: http://en.wi- kipedia.org/wiki/Aufheben (2012-10-28) 24. Peitgen, Heinz-Otto; Hartmut Jürgens; Dietmar Saupe (1992): Chaos and Frac- tals: New frontiers of science. Berlin: Springer. 25. Pinker, Steven (2012): The false allure of group selection. http://edge.org/conver- sation/the-false-allure-of-group-selection (2012-10-22) 26. Ross, J. Andrew (2009): Mindworlds: A decade of consciousness studies. Exeter: Imprint Academic. 27. Ross, Andy (2010): G.O.D. Is Great: How to build a global organism. Germany: Rover. http://www.andyross.net (2012-10-23) 28. Safranski, Rüdiger (2000): Ein Meister aus Deutschland: Heidegger und seine Zeit. 3. Auflage. Frankfurt: Fischer. 29. Star Trek (1996): Star Trek: First Contact. http://www.startrek.com/database_ar- ticle/star-trek-first-contact (2012-10-15) 30. Tylor, Edward Burnett (1871): Primitive Culture. London: Murray. 31. Wilber, Ken (2001): A . Dublin: Gateway. http://www. ken- wilber.com/home/landing/index.html (2012-10-18) 32. Wolfram, Stephen (2002): . Champaign, IL: Wolfram. http://www.wolframscience.com/ (2012-10-22)

J. Andrew Ross - formerly Oxford University, UK e-mail: [email protected]

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Filip PIERZCHALSKI

DIALECTICAL LEADER – POLITICAL LEADERSHIP IN MORPHOGENETIC APPROACH

INTRODUCTION

The contemporary theoretical reflection on the concept of change in the sci- ence of politics cannot ignore the multifaceted relationship issues at the inter- face of economic activity (various types of perpetration of certain participants in the political regime, the activity of individuals, social groups or collective political actors, their actions, decisions, etc..) vs. a given socio-structural envi- ronment. In this sense, any change of a political nature is directly related to the interactions that occur between the pre-defined entities and structural condi- tions that are the basis for determining the characteristics and properties of the political system. In other words, the description and explanation of any politi- cal change in the context of the functioning of a particular political regime are determined by the multi-layered relationship at the entity - structure interface. Hence, the following research questions arise: What and / or who is the pri- mary factor in political change? What and / or who is the source of political leadership?

Is it always people, their activity and the agent perpetration? Or, on the con- trary, is political change, including leadership in politics, conditioned by ob- jective structural relationships that become primary in relation to the behavior of individual entities?

THE PART OR WHOLE IN LEADERSHIP EXPLANATION

A historiosophic look at the issue of social change in the wider social sci- ences, including political science, brings a lot of theoretical and practical solu- tions, where the authors in different, often contradictory ways define the key

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factor in the growth of society as a such1. Among the many scientific concepts relating to the indication of the primary determinants of the phenomenon of volatility and social temporality one can speak of two opposing tendencies which observe the source of all the changes in: 1. Subjective factor – single entities (countable units) or collective actors (social groups, large groups, worker self-management, organizations, in- stitutions, etc.) of social life, which are the core of any change of social value. In this variant the change of the activity is subjective activity, in- cluding the actions and decisions of these bodies; actual subjective perpe- tration, quantifiable causal effect (causal power) of the operators, their gradable sense of effectiveness, impact, control in relation to the world, where there is a manifestation of the intrinsic forces of a particular entity in a particular socio-structural environment. In addition, in this variant scientific personification mechanism of social structures is performed, where the core of any social structure are always (and only) human beings and relationships between the individuals and actions of the people. 2. Structural factor – a primordial social structure (timeless social skeleton) and duplication of dynamic subject in the structure. In this perspective, there is no society without a social structure where the hypothetical loss of structure, if at all possible, would mean creation of formless space, even chaotic collection of individuals. Therefore, the social structure is an inal- ienable element (pre-link) of any social organization, which involves the fact that it is a system of relations between people, social groups, organi- zations or institutions occurring both at the micro (individual level), as well as macro-scale (social level), and is a synonym for, among others, phenomena such as the existence of a hierarchy among people, the exis- tence of various distances and inequality in society, role play and receiv- ing positions between people, objective existence of divisions or stratifica- tions in a given political regime.

In the first case we are talking about a well-defined trend of research, where the starting point for various types of analysis within political science become

1 In this perspective the debate between the advocates of micro and macrotheoretical view- points is crucial (mico-macro link; problem of scope), where the problem lies in the way and range of describing, theorizing or explaining the sociopolitical. Moore inter alia debates (Alexander, Giessen, Münch, Smelser 1987).

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the foundation of methodological individualism. It means that a situation in which all scientific investigations, with respect to indication, description or explanation of the factor and / or factors of change in a particular population, are based on several methodological individualist directives. These include, among others, such research axioms as any understanding, and more impor- tantly, an explanation of a complex social situation, always (and solely) de- rived from knowledge of the dispositions, beliefs and mutual relations of hu- man beings; any facts, events, states of affairs or processes within society as a whole can only be explained by the fact that they are deduced from the princi- ples that govern the behavior of people participating in them or from descrip- tions of situations in which these people participate; internal characteristics of the total and / or can be determined empirically, but its ex- planation is to show that they are the results of individual actions (Watkins 1952: 22-43). In other words, any scientific explanation of social reality, in- cluding the phenomenon of different types of political changes should be based on the social part (human body), which becomes the primary element of the investigation in relation to the socio-structural whole. According to the thesis: to explain a social phenomenon first means to understand personal actions, behaviors, attitudes, beliefs etc. that generated it (…) view- ing each social phenomenon as the result of some personal action in- spired by comprehensible motives, in relation to the social and his- torical context to which they are circumscribed (Fulga 2005: 104).

In individualistic viewpoint, the explanation of political leadership is to re- duce scientific analysis of specific leadership practices to the subjective factor, where any nomological explanation of complex relation at the interface of the leader ↔ followers is brought to microtheoretical research. In this variant, the leadership relationship study in politics (the subject of inquiry) is directed at, among others, elements such as leadership qualities; personality and lead- ership skill; styles of leadership; psychological profiles of leaders; compe- tence; behavior or emotional intelligence of the leader (Northouse 2013: 19- 97).

In the second case in turn we are talking about a different perspective of re-

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search, the theoretical and analytical core of which are formed by the assump- tions of methodological . For the analysis of political science research it means a situation in which the social whole (a given community) is the origi- nal – in the ontological, epistemological and methodological sense – with regard to the social part (entities). At the same time, the socio-structural whole is more than the sum of individuals, it is even an integrative complexity of higher order, i.e. the community which cannot be unambiguously reduced to the characteristics or properties of the individual components comprising it. In other words, holistic viewpoints allow the possibility of emergent proper- ties of the whole society and hence the key distinguishing features of each social unit recognized include: progressive complexity multi-level structure and unpredictability of that whole. An example of this type of thinking about the structure and / or all of the social or broader process of shaping the society, organization or leadership in a self-organizing and emergent reality is the con- cept of dissipative structures, which are understood as: »Dissipative structures« refer to the coherent and stable new struc- tures emerging by means of supposedly self-organizing processes tak- ing place at critical thresholds of certain control parameter. This model is composed of four basic elements: 1. Spontaneous fluctuations which initiate and form the seeds of the new emergent order; 2. Posi- tive which amplify the fluctuations of #1; 3. Coordinating mechanisms that stabilize new order; 4. Recombinations of existing re- sources that help construct the new order (Goldstein 2007: 63).

In addition, differentiated in the form and content, the holistic perspective assumes two approaches to defining social structure. Hence, it can be under- stood as: 1. Something external to the subject – explaining the structure as "imper- sonal" or "non-subjective" . 2. Inter-subjective system – the structure explained as subjective structure, in which actors play a fundamental role and importance. This is the actual layout and / or the relationship between given entities that are tied with bond or with a make up a particular structural integrity. Most frequently it is the complexity of higher order which is not only a mechanistic system of relationships or circumstances. Examples in-

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clude management teams, team leadership, collective bodies, etc.

In other words, the contemporary diversity of definitions relating to the con- cept of social structure is encapsulated in four complementary concepts: 1. Patterns of aggregate behavior that are stable over time – where the social structure is defined as the persistent pattern of behavior and / or specific product of individual and aggregate behaviors of different types of politi- cal actors. 2. Law-like regularities that govern the behavior of social fact – where the social structure is seen as something completely independent and / or re- leased from agency of political actors (example of anti-indvidualistic ap- proach is functional structuralist proposal by ). 3. Systems of human relationships among social positions – social structure is explained through the prism of relationship and / or links between the actors / entities that come together in numerous often innumerable interac- tions. Therefore, the structure is a reflection of the different types of inter- ests, resources, competences, limitations class struggle, or embarrassment resulting from the inter-subjective interactions which are inscribed in the process of shaping the social structure. 4. Collective rules and resources that structure behavior – here the structure is interpreted both as rules and resources, where the explanation of the so- cial structure is based on both the society, ie individual perpetration of the subject, as well as on an objective social structure (Elder-Vass 2010: 76- 86).

At the same time, methodological holism in its objective complements supra- individualistic factors of change in the wider political analyses, which in the case of explaining the phenomenon of political leadership means going "out- side" the subjective plane for macrotheoretical and holistic and struc- tural analyses. Therefore, the relationship at the interface of a political leader ↔ followers (subject of inquiry) is aimed at, inter alia, items such as: multi- levelness, complexity, dynamics of leadership; social, organizational, envi- ronmental context, where the leader functions; substitutivity of leadership (Avery 2004: 113-138), including the phenomenon of self-leadership, network leadership, chaotic leadership, etc.

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DIALECTICAL THINKING OF AGENCY-STRUCTURE

At the same time, we cannot forget that in the context of sociological theoriz- ing, regarding the originality of explaining the relationship between the sub- ject (the social part) ↔ structural conditions (the social whole), numerous research viewpoints emerged, which set themselves the goal of overcoming the dichotomous division. Such views include the so-called hybrid theories which: Hold that both individual and structure have ontological autonomy and that their mutual causal relations must be explained. (…) Increasingly since the 1980s, sociologists working within the Structure Paradigm have developed hybrid theories that incorporate both the microlevel and macrolevel; the development of these theories has been called »third phase« of postwar sociology (Sawyer 2005: 196).

In this arrangement, hybridity is synonymous with dialectical combination of the two spheres, ie the plane of the personal (human agency) and structural (the sociostructural conditions), where the practice of research is not about mutual exclusion or antagonism between these areas, but is a complementa- tion of these two, in principle, autonomous spheres. Such synthesis should lead to the better diagnosis, capture and explain the multi-level and multi- factorial, and very often depending on context, relationships that arise at sub- ject ↔ structure interface. Among many hybrid analytical and research ap- proaches structuration theory deserves special attention (the theory of structu- ration) of and the morphogenetic/static approach by Marga- ret S. Archer.

In the case of Giddens we talk about the duality of structures, where there is a subject-structured connection (approximation). In this sense, a full explanation of a particular social structure comprises always two components, ie on the one hand, the social structure is constituted by subjects, and more specifically by their activity, on the other hand, the same structure determines the quantity, quality, nature or type of subjective activity. According to Giddens' assertion regarding the duality of structure: „I mean that social structure are both consti- tuted by human agency, and yet at the same time are the very medium of this

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constitution” (Giddens 1976: 121). It means the situation when: Every act of production is at the same time an act of reproduction: the structures that render an action possible are, in the performance of that action, reproduced. Even action which disrupts the social order, breaking conventions or challenging established hierarchies, is medi- ated by structural features which are reconstituted by the action, albeit in a modified form This intimate connection between production and reproduction what Giddens calls the »recursive character« of social life (Thomson 1994: 58).

In contrast, Margaret S. Archer's approach is based on the concept of analyti- cal dualism, where there is the question of mutual complementarity and inde- pendence of the realm of agency and structure. Thus, a scholarly description or explanation of the socio-political world cannot be based only on one side of the relation human agency ↔ structure because then there is conflation – one- dimensional theorizing, where the adequacy of the scientific research is lost or an incomplete too superficial, image and applications in the scientific analy- ses of reality are achieved. In other words, the morphogenetic test procedure, according to Archer, should be based on two basic propositions: that structure necessarily pre-dates the action(s) leading to its reproduction or transforma- tion; that structural elaboration necessarily post-dates the action sequences which gave rise to it (Archer 1995: 15).

CRITICAL REALISM

We cannot forget when that Archerian approach is the source of critical real- ism2, which, being the result of realistic assumptions (independ- ence of the social world of human cognition, research, emerging knowledge, etc.) and interpretationism (scientific knowledge of reality is essentially charged with theory, which involves acceptance of certain conventions of terminology or theoretical and methodological conventions, social construc-

2 Contemporary critical realism, understood as a research orientation, represented include researchers such as: Roy Bhaskar, Margaret S. Archer, Andrew Collier, Tony Lawson or Adrew Sayer.

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tivism, and subjective interpretation of the data provided by researchers) (Marsh, Stocker, 2010: 30-32; Cruisckshank 2003: 1-15) is based on a strati- fied ontology, where the socio-political reality is examined in the perspective of analytically separate levels and the relationship between them. This refers to the autonomy and mutual determination between micro- and macrolevels (Sayer 2000: 10-29).

For the duality of agency-structure stratified ontology is in fact simultaneous independence and complementarity of the personal sphere (activity and the perpetration of the subjects) and structural sphere (specific activity and the dynamics of socio-structural whole; structure-forming processes, including the production, as well as the reproduction of structural relationships within the social whole). Thus, the society (the social whole) cannot exist independently of human activity – error of reification, and is not solely the product of that activity – error of voluntarism (Bhaskar, 1998: 36).

In the viewpoint of critical realism the Archerian concept of analytical dual- ism is in fact an attempt to reconcile directives of individualism and methodo- logical holism. It is an intellectual attempt to overcome the dichotomy be- tween the subject and the structure for synthesizing strategy in the dialectic spirit, where the socio-political reality, including facts, processes, states of affairs or changes in that area, is explained by the prisms of multilevel, multi- factorial, often context-dependent relationships; where the existence of both individual entities as well as collective ones is not negated, where the func- tioning of certain societies and political regimes is considered as a dynamic, complex and emergent coincidence of subjective and structural conditions.

The background of the intellectual and theoretical research break, as Archer points out, can be found in the Transformational Model of Social Action (TMSA) proposed by Roy Bhaskar’s, which is based on the following as- sumptions: I argue that societies are irreducible to people and… sketch a model of their connection (1). I argue that social forms are a necessary condi- tion for any intentional act, (2) that their pre-existence establishes their autonomy as possible objects of investigation and that (3) their causal power establishes their reality (4). The pre-existence of social

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forms will be seen to entail a transformational model of social activity (5). The causal power of social forms is mediated through human agency (6) (Archer 1995: 137).

In this interpretation, the socio-political space, more precisely events or proc- esses occurring within it, is primarily a mediation between the actors / subjects and structure. In this system we are talking about dual relationship where in- dividuals are subject to gradable structural determination (including the so- cialization process, the adoption of social roles; entering into certain positions, statuses, social functions for different types of subjects), as well as through the perpetration of the subjects it leads to gradable changes within the socio- structural environment (inter alia processes of reproduction and transforma- tion of given structures).

DIALECTICAL LEADERSHIP

This complementarity of the personal domain and multi-level structural de- termination shows multilevel determination between the active subject and the socio-structural environment, where one can talk about transformation / repro- duction of the social structure of with the help of homo faber and vice versa. Using Bhaskar’s argument it can be stated that: The relationship between the social structure which constrains or en- ables the human agency which reproduces or transforms it can be re- garded as mediated by process, the way in which structural powers are exercised and their causal effects materialize (…) This sets the basis for dialectical explanation, including concepts of contradiction, crisis and struggle and a least potentially dialectical arguments. The coinci- dence of the causal efficacy of ideas and their material conditioning will lend to any social dialectic a crucial relational (subject-object, agentive-structural, epistemic-ontic) aspect (Bhaskar 2008: 155-157).

In this interpretation, any change of the socio-political nature is primarily the result and / or coincidence of the subjective conditions ( perpetration of symp- toms understood in many ways) and objective (structural conditions, including

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structural emergence), where there is a permanent interweaving of these two spheres of activity. In addition, examination of the social world as a "complex developmental process" means the acceptance of dialectical methodology, where the scientific explanation of the political space is based on the axiom of dialectical contradictions developed by . In the social conditions such conflict is synonymous with dissonance and / or tension, which in fact means different types of "anagonisms between internally related aspects of a whole". (Collier 2002: 155-167).At the same time, these antagonisms do not always mean conflict, but can be understood as a , where through the constant tension between the subject as such and given structure (dual anastomosis, mutual determination of human agency and social struc- tures) the transformations and changes in the socio-political world occur in accordance with the following dialectical thinking: thesis → antithesis → synthesis.

One cannot at the same time forget that the dialectical method, the origin of which can be found in the speculative logic of Georg Wilhelm Friedrich Hegel and historical materialism of Karl Marx can be successfully applied to the analysis of individual leadership practices. In this sense, the phenomenon of leadership is explained rather from the perspective of process definitions of leadership, where, as suggested by Arthur G. Jago, leadership is a "phenome- non that resides in the context of the interactions between leaders and follow- ers" (Jago 1982: 315-336). In other words, it is the situation of scientific re- search in which political science analyses of given leadership practices repre- sent a departure from the trait definition of leadership in favor of emphasizing the complexity and dynamics of the relationship at the interface between the leader ↔ followers. This is a departure from the subjective understanding of leadership (explication of leadership based on personality traits or qualities of a leader, their psychological attributes, developed leadership styles, etc.) for multi-level and contextual analyses, where followers understood as the socio- structural conditions (explication of leadership based on multi-level analysis are complimented, where in addition to individual characteristics of the leader the social, economic and cultural context counts).

Examination of the phenomenon of political leadership in the context of tem- porality and the complexity of socio-political reality understood as a "complex

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developmental process" becomes the premise valid for explanations of rela- tionship at the interface between the leader ↔ followers through the prism of dualism subject vs. structure. In this arrangement, the real leadership in poli- tics means permanent clash and penetration of the personal domain (sphere of activity and agency of the leader, his aptitude, personality attributes, skills, assertiveness, emotional intelligence) with the structural domain (the social environment, including the aspiration and expectation of supporters, the level of social trust, accreditation, legitimisation. Here, the activity of the leader is determined by supporters and factors social factors). In other words, it is the research situation where political science analyses of leadership practices are considered as dialectical relationship of subjective agency of the leader with the objective socio-structural conditions where on the one hand we can recog- nize the mutual autonomy of the area of subjective and structural activity of entities, on the other hand a multi-level impact of both spheres is emphasized. Hence, the question of dialectical contradictions arises, which becomes the "powerhouse" of given leadership practices where one notices a simultaneous antagonism and mutual dependence at the interface between the leader ↔ followers, where leadership in politics is each time synonymous with multi- level coincidence of subjective factors (multiform perpetration of the leader in the environment) and objective factors (multifaceted activity of social struc- tures).

MORPHOGENETIC PATTERN OF POLITICAL LEADERSHIP

An example of this type of thinking about political reality, including the indi- vidual practices of leadership can be found in Archerian morphogenetic / static perspective where the core of all scientific explanations are dialectical causal relationships between subjectivity and structural conditions. In this perspective, the concept of development of the stratified human being3 is the direct inspiration for the morphogenetic matrix of subjectivity leadership where leadership in politics is examined in the context of the dual reality in

3 In this regard, the key is realism’s account of the development of the stratified human being (figure 8.1), where M. S. Archer shows mutual influence and the relationship between selves ↔ primary agents ↔ corporate agents ↔ actors (Archer 2000: 260 i nast.).

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which there is a continuous "clash" of two analytically separate spheres, ie the subject-reflective and socio-structural plane. In other words, it is a thesis that in which the political leadership should be clarified through the prism of two separate but interrelated determinants or areas: subjective world – belonging to different leaders; the objective world – the associated structural circum- stances outside in relation to these leaders (Diagram 1).

Diagram 1. Morphogenetic matrix of leader subject

Display STRUCTURALISED ACTOR (public) POLITCAL LEADER („You”) („We”) Personification

Quadrant 4 C S Quadrant 3 O O M C M I I A Realisation T L collective individual M I E S N A T T Quadrant 1 Quadrant 2 I O N Differentiation

REFLECTIVE SUBJECT LEADER SUBJECT („I” ) („Me” ) Display (private)

Source: own study4

It is clear that Diagram 1 is an attempt at conceptual-analytical separation of the four areas in relation to the interface of the leader (party leadership) ↔ followers (structural environment), where in order to adequately investigate and / or explain the leadership relationship in each policy must be analyzed in

4 More on the political leadership morphogenesis in: F. Pierzchalski, The Morphogenesis of political leadership. Between the structure and human agency, Wydawnictwo Uniwersytetu Kazimierza Wielkiego, Bydgoszcz 2013.

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four areas, ie the reflectional subject (quadrant 1), leader subject (quadrant 2), which together form a peer flow network and exchanges between private and public displays. In addition, Diagram 1 shows the multiple correlation and determination that exists between the reflective subject (self-aware) and the socio-structural environment, which in this case means, among others: 1. „Immersion” of the reflective subject with gradable leadership potential in the structural and political space in which there is a phenomenon of the location of the reflective subject with gradable leadership potential in in a particular structural configuration (quadrnat 2) – means subject's accep- tance specific roles, functions, position or status of the development of leaders in the social environment; the process of making the reflective subject’s own leadership potential public. 2. The real political leadership in terms of given structural conditions (quad- rant 3), where there is a mechanism of personification of leadership. Here the leader embodies a specific vision, style, authority, talents, ideology etc. In this aspect, the subject becomes a real creative force which creates structure, thanks to which alterations, modifications or elaboration of the socio-structural surrounding may occur. 3. Multilateral environmental impact of structural surrounding on the politi- cal leader and, more precisely on the level of self-awareness of the per- sonal leadership (quadrant 4). Here, the structuralized actor is a „trans- formed” subject due to external objective-reflective factors and arises as a result of the involvement in the public and political sphere.

CONCLUSIONS

The morphogenetic perspective of scientific analyses of leadership practices shows the translation of the dualism agency-structure into the relationship at the interface between the leader ↔ followers. In addition, the adoption of the morphogenetic perspective as a starting point for research on leadership in the political leadership means that: 1. Political practice means nothing more than a specific structural configura- tion, which consists of various types of reflective subjects (leaders). The whole political order is an outcome - of objective assigned to a specific

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social whole, as well as of a subjective factor based on the activity and in- ter-subjective interaction . This system is a multi-level analysis of morphogenetic multi-level, subjective-objective coincidence, where the first component is a subjective synonym of the reflective subject with gradable leadership potential, while the second element of objective cul- tural and structural properties. 2. To explain political leadership means to analyze a specific fragment of reality, which will keep the proportion and balance of the micro-macro scale, to go beyond one-dimensional theorizing in favor of seeking precise two-element explications of integrating character and / or holistic and re- alistic character, which are crucial for multilateral relations at the interface of leader (subject) ↔ followers (the socio-structural surrounding).

REFERENCES

1. Alexander J. C., Giessen B., Münch R., Smelser N. (1987), The Micro-Macro Link, University of California Press, Berkeley 2. Archer M. S. (1995), Realist Social Theory: The Morphogenetic Approach, Cam- bridge University Press, Cambridge 3. Archer M. S. (2000), Being Human: The Problem of Agency, Cambridge Univer- sity Press, Cambridge 4. Avery G. C. (2004), Understanding Leadership. Paradigms and Cases, Sage Publications Ltd., London 5. Bhaskar R. (1998), The Possibility of Naturalism, Routledge, London & New York 6. Bhaskar R. (2008), Dialectic: The Pulse of Freedom, Routledge, London & New York 7. Collier A. (2002), Dialectic in Marxism and critical realism, [in:] Brown A., Fleetwood S., Roberts J. M. (ed.), Critical Realism and Marxism, Routledge, London & New York 8. Cruisckshank J. (2003), Critical Realism: The Difference That it Makes, Routledge, London & New York 9. Elder-Vass D. (2010), The Causal Power of Social Structures. Emergence, Struc- ture and Agency, Cambridge University Press, Cambridge 10. Fulga G. (2005), Social Change and Political Culture, ULG, Liège 11. Giddens A. (1976), New Rules of Sociological Method, Hutchison, London 12. Goldstein J. A. (2007), A New Model for Emergence and its Leadership Implica-

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tions, [in:] Hazy J. K., Goldstein J. A, Lichtenstein B. B. (ed.), Complex Systems Leadership Theory. New Perspectives from Complexity Science on Social and Organizational Effectiveness, ISCE Publishing, Mansfield 13. Jago A. G. (1982), Leadership: Perspectives in theory and research, „Manage- ment Science”, 28 (3) 14. Marsh D., Stocker G. (2010), Theory and Methods in Political Science, Palgrave Macmillan, Hampshire 15. Northouse P. G. (2013), Leadership. Theory and Practice, Sage Publications Ltd., London 16. Pierzchalski F (2013), The Morphogenesis of political leadership. Between the structure and human agency, Wydawnictwo Uniwersytetu Kazimierza Wielkie- go, Bydgoszcz 17. Sawyer R. K. (2005), Social Emergence. Societies As Complex Systems, Cam- bridge University Press, New York 18. Sayer A. (2000), Realism and Social Science, Sage Publications Ltd., London 19. Thomson J. B. (1994), The Theory of Structuration, [in:] Held D., Thomson J. B. (ed.), Social Theory of Modern Societies. Anthony Giddens and his critics, Cam- bridge University Press, Cambridge 20. Watkins J. W. N. (1952), Ideal Types and Historical Explanation, „The British Journal for the ”, no. 3

Dr Filip Pierzchalski - Institute of Political Science, Kazimierz Wielki University, Bydgoszcz, Poland e-mail: [email protected]

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Kathleen O’HARE Dora MARINOVA

SHARING COMMON GROUND: HUMAN RIGHTS DIS- COURSE AND THE PRACTICE OF YOGA

INTRODUCTION

The field of human rights – the absolute rights to which each person is entitled by the mere fact of being a human being (Sepúlveda et al., 2004), is defined by complexity. This intricacy is as diverse as the spectrum of humanity which it seeks to understand, protect and in some way, unite. The questions being asked in the realm of human rights discourse rarely have straightforward an- swers. Human rights, as understood through the Universal Declaration of Hu- man Rights (UDHR) gained momentum with the aftermath of the Second World War. The abhorrence at the magnitude of human suffering during this time outraged the international community and opened a space for dialogue. This also saw the beginning of a united effort to heal the wounds created by the committed atrocities and prevent the magnitude of tragic loss of human life occurring again. The UDHR adopted by the UN General Assembly in 1948 proclaimed in its first article that: „All human beings are born free and equal in dignity and rights” (UN, 1948).

Despite the collective action to attempt to never have such cruelties repeated, the field of human rights has become fraught with , challenges and inconsistencies. The tension between universalism and cultural is central to understanding human rights and poses a plethora of questions for researchers, theoreticians and practitioners (Ife, 2007). The simplistic under- standing of human rights as universally applicable everywhere regardless of the specific context has led to a lot of criticism that portrays this discourse as a manifestation of the western imperialist and individualist approach to devel- opment (Gibney, 2003). Other approaches connect human rights with caring for others, a domain influenced by religious and spiritual moral considerations

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(Kittel, 2012). This paper opens an alternative view to human rights through the spiritual practice of yoga and the commitment to . It argues that there is a strong common ground between the two, a shared space outside the mainstream western hegemony.

We first outline the main tension between universalism and cultural relativism in relation to the human rights discourse and then explore the search for alter- natives for connecting the individual to the global consciousness through spiritual liberation. The meaning of the practice of yoga is explained and its principles are connected to social action. We conclude that although the area of human rights has traditionally focused on the outer world, for it to be fully understood and expressed it needs to connect to the nature of being human.

CULTURAL RELATIVISM AND UNIVERSALISM

Cultural relativism provides one of the most compelling areas of contestation to the universal understanding of human rights. An-Na’im (2001) approaches this with the belief that human rights violations reflect the lack of cultural legitimacy in a specific society. Therefore, for such issues to be addressed, it is essential to reinterpret human rights through the religious and cultural be- liefs and constructions of that society (An-Na’im, 2001). Such a position does not dismiss the universal standards of human rights, however it does argue that there needs to be real attempts to embed these frameworks in all societies through a legitimate and agreed process.

Cultural relativism provides an alternative to universal notions of human rights which are largely determined by a western liberal democratic approach (Bauer, 2003). Dominant voices about human rights largely represent western liberal groups and there is a lack of critique of the normative or foundational beliefs which underlie human rights assumptions (Mutua, 2002). An-Na’im (1992, p. 315) argues for a „re-conceptualization of human rights through a cross cultural approach to assist in the dialogue which is necessary in the de- velopment of standards and shared understandings”. He believes that contin- ued cross-cultural dialogue is needed to enable the development of human rights so that they have contemporary meaning and relevance. His perspective

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legitimizes culture but he does not lose sight of universalism as the overall goal for human rights (An-Na’im, 1992).

Mutua (2002) develops this idea further and suggests that there is a lack of critical engagement with the underlying assumptions in the human rights dis- course with a downfall of the current understandings being the limited ex- change between those who argue for either a universal or relativist perspec- tive. Further to this, the formulation of human rights must be considered out- side of the usual American and European legal systems. Mutua (2002, p. 14) encapsulates it by saying „the problem with the current bundle of attributes lies in their inadequacy, incompleteness and wrongheadedness”. He explains that the globalization of human rights is part of a historical pattern in which the West is the high morality and civilizing agent to the rest of the world (Mu- tua, 2002). The lack of critical engagement with the power imbalances is evi- dent in the normative constructions of human rights. Although there might be states that attempt to hide behind culture in an effort to continue practices which are harmful to their citizens, this is not reason enough to place barriers in front of establishing cross-cultural legitimacy to human rights (Mutua, 2002).

It is argued that there is no shared understanding of universalism (An’Naim, 1992; De Sousa Santos 2007; Mutua, 2002). While An-Na’im (1992), De Sousa Santos (2007) and Mutua (2002) present different arguments for the basis of their beliefs, they clearly state that a reinterpretation of these norma- tive and universal ideals must be reconstructed through non-western cultures as a priority. Universalism, international and global understandings of human rights are terms used too lightly and frequently with scant regard for those who fall outside western liberal democratic states.

Cultural relativism and universalism is the most compelling issue within hu- man rights and should not be left to „wax and wane with political and aca- demic fashions” (Goodale, 2009, pp. 71). Goodale (2009, pp. 64) does not denote this to being a purely academic issue as relativism is intrinsically linked to „the enduring specter of imperialism, , and the inequalities of power within the international system. Indeed it is precisely at the moment that academics are declaring the problem of relativism obsolete, marginal to

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real issue or logically absurd that we can be assured that the problem is most current, central and intellectually challenging and thus most in need of the attention of a wider range of critical voices”.

The views discussed here differ significantly from the traditional understand- ings of human rights which have been historically located within the domain of law, politics and international relations and as such are most usually under- stood as an area for rationalist and positivist inquiry (Meckled-Garcia and Cali, 2006). However, the disagreement about the universal nature of human rights has undoubtedly led to them being less applicable.

OPENING UP OF HUMAN RIGHTS

There has long been a commitment to the betterment of the human condition and this may have previously been explored through avenues such as religion and politics (Evans, 2007). The acceptance of the universalism of human rights as complete, according to De Sousa Santos (2007), represents an imma- turity in the development of the human rights discourse. His suggestion is to reject the idea of consensus and by doing so, enable a dialogue regarding the dissentions, complexities and flaws in the idea of a universal understanding of human rights. It is further argued that „insurgent cosmopolitanism has suc- ceeded in credibly demonstrating that there is an alternative to hegemonic, top down globalization and that there is counter hegemonic, solidarity, and bottom up globalization” (De Sousa Santos, 2007, p. 11).

The framing of human rights through the United Nations has tacitly placed responsibility for these rights in the hands of nation-states. This framework does not acknowledge the role of the individual, family, neighbourhood, community, nation and global community within human rights (Ife, 2010). Ife (2010) further argues that human rights is ultimately about human relation- ships and therefore also include a responsibility on behalf of each individual. He advocates for a recasting of human rights and for them to be conceived through the relationship between individuals, communities, nations and glob- ally. This reconstruction is outside of the realms of law and the state, and re- turns responsibility to each person to be an actor in a culture of human rights.

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Therefore ‘universal’ human rights need not be realised through legal mecha- nisms alone. Ife (2010) distinguishes between discursive and reflexive under- standings of human rights. He believes that discursive definitions occur when the notion of human rights is given as factual, inflexible and taken for granted definitions documented in the likes of charters or bills of rights. Conversely, the reflexive definition of human rights occurs when people make sense of the terms human rights themselves and rather than accept the definitions thrust upon them, examine the meanings and uncover them for themselves.

Opening to the understanding of alternative possibilities to ways of framing human rights is essential to the continued relevance of the human rights dis- course. Rationalist principles such as reason and deduction, often used to frame humanistic ethics informing human rights, do not inherently connect the body, heart and mind and therefore limit our human expression (Kittel, 2012). They also limit our capacity to respond to the incredible challenges that threaten humanity such as war, disease and poverty. While the need for action on many fronts seems obvious, rational thinking has dominated attitudes that there is little that can be done about matters of such a magnitude. However a growing interest in the connectedness of the individual self to the global con- sciousness provides a space to develop the idea of the individual impact on the global cosmos at large. This is noted in organisations which seek to incorpo- rate the spiritual practice of yoga and the commitment to social justice pro- grams, activism and human rights, including NGO groups, yoga organisations and individuals. The areas of spiritual liberation and that of political liberation have long been divided and this separation is probably most greatly displayed in the secularism’s heartland of the West. However even there, what once was firm ground may now seem to be giving way (Job, 2009). Job (2009, pp. 206) asserts that the strength in these two approaches „is for each to discover in the other the resources they need to creatively respond to their own limitations”.

In the human rights discourses religion and spirituality are usually considered to be positioned into that of the private realms (Kittel, 2012). This belies the fact that religion and spirituality are also of importance to social movements and social justice. Famously, Mahatma Gandhi guided by Hinduism with Jain influences, employed non-violent civic disobedience and led the Indian movement for independence from colonialist Great Britain (Gandhi, 2008).

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Martin Luther King’s work was guided by the Christian principle of uncondi- tional, self-sacrificial love referred to as agape; Aung San Suu Kyi leads the Burmese struggle for democracy according to ahimsa and meta or loving kindness; the Dalai Lama leads the Tibet Freedom Movement with specific attention to the Buddhist principle of compassion (Kittel, 2012). These power- ful examples demonstrate interconnection between the individual practices of religion and spirituality and the external world of social justice, social change and the quest for human rights. These examples span multiple cultures, conti- nents and social issues. At their core are devotional leaders, steadfast in their commitment to their inner spiritual lives and to sharing their spiritual practices more broadly in the world. This commitment is demonstrated by challenging injustices and suffering. The burgeoning world of modern yoga provides an avenue for exploring the connection between inner spiritual values and the outside world.

PRACTICING YOGA

Positioning yoga as both a transformative personal practice and an avenue for social justice is challenging. This challenge stems from the notion that yoga is a diverse practice and has multiple meanings. Yoga has roots both in ancient Indian culture but equally true is that it is a booming commoditized market in the modern world. Looking at yoga in its classical form is beneficial for un- derstanding its potential. The word ‘Yoga’ is derived from the Sanskrit term ‘Yuj’ meaning ‘to yoke’ or ‘to join’ or to ‘join together’ (Iyengar, 2001). At a philosophical level this refers to the joining of the individual consciousness and the universal consciousness or to the yoked reality of the human’s experi- ence of body, mind and spirit (Taylor, 2004). The practice of yoga essentially springs from the knowledge that greed, hatred and delusion manifest in the human being based on impure residues known as samskaras. In order to be free from these states the body must be cleansed from these impurities (Chap- ple, 2008). More commonly perhaps, the term refers to that group of practices originally from India that develops harmony in the body, mind and spirit (Feuerstein, 1998).

In the Indian traditions, these groups of practices or pathways include Jnana

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Yoga or the yoga of knowledge and the intellect, Bhakti Yoga or the yoga of devotion, Karma Yoga or the yoga of selfless service and Ashtanga Yoga or the eight-limbed path incorporating rules of living with physical, mental and spiritual practices. While many of the pathways are closely linked to Hindu- ism, Ashtanga Yoga lends itself to secular life and is widely practiced across the world by people of many religions as well as by those with no religious affiliations as it makes no dogmatic demands of belief (Taylor, 2004). Yoga – today this term conjures images ranging from cave dwelling men with long beards to a lycra worthy physique stretched into a spectacular position.

Given the extremes in these descriptions it is pertinent to acknowledge that yoga covers considerable ground and ranges from a spiritual practice from the Indian subcontinent to a health and wellbeing phenomena spread across the developed world. These interpretations of yoga are impacted upon by the era, geographic location, context and practice (Singleton and Byrne, 2008; Strauss, 2005). Strauss (2005) claims that yoga can be described as an attitude, phi- losophy, set of practices and way of being in the world. It can be found in all parts of the globe and is „unobtrusively but visibly expanding” (De Michelis, 2008, p. 17). The Australian Bureau of Statistics based on a 2012 survey about sport and recreation in Australia found yoga was one of the top ten physical activities undertaken by women with 3.3% of Australian women (which equals to 298 900 women) indicating that they participated in yoga (ABS, 2012). Another survey conducted by the Australian Sports Commission indi- cates that yoga received a 3.5% participation rate across all population with 610 200 participants (SCRS, 2011, p. 62).

The meaning of yoga as traditionally taught in the Yoga Sutra 1.2 describes yoga as yoga chittavritti nirodaha. This literally means that yoga is translated to describe the cessation of the fluctuations of the mind (Iyengar, 2001; Chapple, 2008) which can be achieved through many different ways. Yoga Australia (2011) describes the multiple styles and practices of Yoga as fol- lows…

„In Yoga, the body, breath and mind are seen as a union of these multi-dimensional aspects of each and every human being. The system and various techniques of Yoga cultivate the experience of

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that union, leading to greater integration of being, internal peace- fulness and clarity of the mind. It is a system that is designed to cultivate health and happiness and a greater sense of self- awareness and higher consciousness.”

The Yoga Sutras describe the eight limbs of practice which are required by the seeker to overcome the difficulties that they have on their spiritual path. These are a balance of integrated spiritual practices and states of awareness (Iyengar, 2001; Adele, 2009; Stone, 2009).

1. Yama – there are five yamas and they are considered universal moral guidelines in nature: ahimsa or non-violence, satya or truthfulness, asteya or non-stealing, brahmacharya or chastity and aparigraha or non- coveting. The yamas describe how a yoga practitioner relates to the world. 2. Niyama – they relate to the individual and are saucha or practices of pu- rity and cleanliness particularly of the body: santosa or contentment, tapas which is an intense and concentrated effort, svadhyana or self-study or education and isvara pranidhana or dedication of one’s actions to a higher consciousness/power. 3. Asana – these postures or positions serve to strengthen and invigorate the body, helping all physical systems to work harmoniously. They include the skeletal and muscular structures as well as the circulation, respiratory, glandular and nervous systems. The asanas are performed with awareness, with a focus on the breath and the internal experience. 4. Pranayama – practices of breath regulation and control. Through the breath the body is relaxed and energised. There are many different tech- niques of pranayama. 5. Pratyahara – this occurs through the practices outlined above and in- volves the practitioner turning their focus within and therefore they are less impacted upon by their senses. This is the first step towards medita- tion. 6. Dharana – this is the practice of focussed concentration. It may occur through focussing on one thing, such as one of the senses. This is a pre- paratory stage for meditation. 7. Dhayana – this is meditation, mindfulness and stilling of the mind 8. Samadhi – this is joining or yoking of the individual and the universal.

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These traditional philosophical views of yoga are crucial for understanding the roots of this dynamic practice. However as this practice grows and moves into many different permeations around the globe, it is essential to consider the view of Stone (2009, p. 68) who states „as yoga penetrates contemporary cultures, and if its practices help awaken us, certainly we will have something to offer this ancient tradition currently coming alive in a new form, and, by extension, yoga will have something to offer this culture at this time”.

YOGA AND HUMAN RIGHTS

Linking human rights to the practice of yoga is through yama and niyama of an ‘eight limbed’ yoga practice. A social action significantly impacted by the teachings of yoga is exemplified through the life of Mahatma Gandhi (Pastan, 2006; Tahtinen, 1979). Gandhi’s work was embodying the practices of ahimsa (non-violence) and satya (truthfulness) so that his life was an expression of these ethics or virtues. Ahimsa or satya he describes as rising out of the unity within one’s mind and body referred to unity or oneness. In this sense ahimsa is not merely the absence of violence but an embodied presence, strength and truth (Tahtinen, 1976). Some interpretations of non-violence have been to describe non-killing, however this is a narrow view and ahimsa may extend to all thoughts, speech and finally action. In Gandhi’s ahimsa human values take on great significance. He implored his followers to consider ahimsa in all areas.

Ahimsa in this sense is a way of life rather than a tactic and together with the search for truth makes the difference between passive submission to injustice and an active struggle against it. My life is my message was not a mere state- ment but a testimony and as much of Gandhi’s work wasn’t theoretical, it is his life, which must be examined (Allen, 2008). He believed that the greatest human need was to be released from evil and untruth that are in oneself (Bose, 1981). For Gandhi there could be no victory or defeat; only the pursuit of cer- tain values and social action was an inherent part of this process. In this his understanding of ahimsa delineated from some Jain, Hindu and Buddhist in- terpretations. He chose not to turn inward but to focus outwardly with a de- tached attitude to the outcomes of his actions (Mantena, 2012).

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Gandhi’s theory of non-violence therefore included structural inequities, such as the role of government as a pervasive form of violence in the lives of citi- zens (Mantena, 2012). However despite drawing on both Hindu and Christian teachings, Gandhi never claimed that his political ideals came solely from his spiritual beliefs. He was a self-confessed political pragmatist and dismissed ideas of himself being saintly or a visionary. This combination disempowered Britain’s hold on India. Gandhi taught citizens to rise up against this suffering and injustice and in essence, to stop believing the oppressors. In relation to a Gandhian perspective of peace, the means and ends are radically intercon- nected. His philosophy stated that the means are the ends and therefore there the emphasis was always relational and not on any specific outcome. Gandhi taught that non-violent struggle is not the ‘safe’ option, as it sometimes may be construed. Satyagraha (non-violent action) to oppose serious oppression is inherently dangerous. However it also is a process that has proven to be pow- erful and effective in achieving outcomes (Mattani and Atkinson, 2011).

The UDHR does not explicitly encapsulate non-violence as understood through the yamas and niyamas of Ashtanga yoga. Human rights are not ex- pressed as duties but as rights and therefore, does not provide guidance to an individual on how to act (and this was presumably never its intent). Article 5 of the UDHR states that no one shall be subjected to torture or cruel, inhuman or degrading torture or punishment (UN, 1948). It positions being able to live free from serious harm as integral to human rights and provides a link between the UDHR and the practice of ahimsa. This conceptualises the interconnection between yoga and human rights and from this linkage multiple applications of this relationship can be explored.

There are more recent applications of yogic principles influencing social ac- tion. Chapple (2009, p. 107) describes non-violence as a basic consideration: „will this thought, word or action cause harm or violence to another? If so, what alternative can be found?” He asserts that foundational to a yogic life- style is the knowledge that all life is interconnected and therefore sacred and this informs environmental activism based on spiritual teachings such as yoga. Chapple (2009) argues for non-violence to be the basis for environmental action which emphasises green lifestyle choices. According to him, the yogic principle of truthfulness can be applied to understanding global warming. He

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argues that being truthful with ourselves about our impact on the universe and aiming to educate others about this impact is critical and an integral part of yogic practice. By being untruthful we remain in a state of self-deception which ultimately leads to further neglect of ourselves and the planet. In terms of non-stealing, Chapple (2009) uses the example of the USA which is home to five percent of the world’s population and utilizes forty percent of the world’s natural resources. This staggering injustice can be considered stealing, as many people are exploited in untenable working conditions and living in absolute poverty to provide goods, services and natural resources for some lucky nations (Chapple, 2009).

Laura Cornell founder of Green Yoga Association places Gandhian values of non-violence central to the teachings of this organisation (Green Yoga Asso- ciation, 2009). She teaches that the practice of yoga provides a foundation for correct action that can be extended to all beings and eco-systems. Using this reinterpretation of yoga ethics Cornell began a campaign to encourage the removal of all yoga mats made from polyvinyl chloride to mats made of natu- ral rubber and jute (Chapple, 2009). Gary Snyder cuts to the heart of non- duality that yoga describes, and states that „non-harming is not something we do, it becomes who we are. When yoga is expressed you are peace” (Stone, 2009, p. 69). All these positions concur that internal change and external ac- tions are connected and can be viewed as one and the same.

Kittel (2012) argues that with reference to human rights the private views of religion and spirituality are just as important as the political views of the pub- lic. The domination of political views over private, religious or spiritual views continues their subordination. Practicing yoga has always been associated with the personal realm – an individual pursuit, practiced with other like- minded individuals to eventually come to know one’s own true nature. How- ever the practice of yamas and niyamas are about how we relate to ourselves and others. This signifies that our relationship with ourselves and others is crucial in the development of our spiritual selves. The yamas and niyamas of yoga practice differ to the contemporary perspectives of human rights. One of the most obvious differences is that the yamas and niyamas are conceptualised as duties and responsibilities on the bearer. They also lack prescription and therefore it is the responsibility of the bearer to ascertain if thoughts, words

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and actions are in fact an embodiment of these qualities. The yamas and niya- mas are broad principles which can be applied to the smallest deeds and ac- tions. Therefore this practice provides no limits to where these principles can be applied. In no way are these ethics relational to the state. This is in stark contrast to a western democratic understanding of rights being a process where the state has responsibility for the relationship between individuals and their human rights. Contemporary human rights are in essence prescriptive; however despite this they are lacking in any grounding in human interaction.

The ethical principles of yoga are taken to be applied to all people, at all times regardless of any difference that may be apparent. In western human rights, multiple codes have sprung up in an effort to overcome inequality between people based on race, religion, ability, gender or sexuality. Stone (2009, p. 85) asserts that the acceptance of an „interconnectedness that exists among all living things begins by exiting this kind of thinking where the transformation of society is one thing and the transformation of ourselves is another”. In yoga, neither takes precedence; these two aspects cannot be separated so eas- ily. Therefore this radically changes what may be social action and what may be considered spiritual practice making room for a seamless integration of spiritual practices and social activism.

An example of social action through a spiritual practice is that of Engaged Buddhism, instigated by Thich Naht Hanh in response to the brutality and horrors witnessed during the war in Vietnam in the 1960s (Queen and King, 1996). According to Buddhist principles internal anguish such as selfishness, greed, anger and delusion manifest in external behaviour and incline people to violate rather than protect human rights. This fundamental insight of Engaged Buddhism is crucial to the advancement of human rights as an equally inward turning and outward turning transformation. Engaged Buddhism focuses on the resolution of social problems through both inner and outer action (Kraft, 1992). It aims to combine the culmination of inner peace with active social compassion in a practice and lifestyle which supports and enriches.

Peace within restores wholeness and dignity to the human and thus contributes to the project of human rights and global peace. The burgeoning area of En- gaged Buddhism (Queen and King, 1996) therefore provides an existing

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framework for the spiritual practice of yoga as embodied activism.

CONCLUSION

Human rights as a discipline has traditionally focussed on the outer world, insisting along with thoughts of rationalist inquiry that the inner and outer worlds are not linked. Human rights actualised through a humanist ethic ac- cording to modern rationalist principles, a process that does not allow for the full expression of what it means to be human (Kittel, 2012). This gaping hole in human rights discourse has been long overlooked, denied and belittled by many in the area contributing to the support of narrow and the void of those who seek alternative explanations for the existence of humanity and life on Earth.

However practices of human enrichment such as the spiritual yoga provide an alternative view to understand human interactions, the quest for peace and the ability to live a good life. Too often spiritual and secular worldviews are seen as binary and the outcome gridlocked into a preferred way of expressing our shared humanity. Viewing these as mutually enriching may provide firmer ground for encompassing expressions of human rights.

An integration of the eastern and western world (Singleton, 2010), in the form of modern yoga as a spiritual practice offers an embodied experience for its practitioners with which to experience new consciousness and awareness and may be a vehicle to inform social activism. Therefore this is an expression of human rights and it is this expression that has begun to manifest in dynamic forms within the community, NGOs and social justice groups globally.

REFERENCES

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4. An-Na’im A.A. 1992. Human Rights in Cross-Cultural Perspectives: A Quest for Consensus. Philadelphia, PA: University of Pennsylvania Press. pp. 315-334. 5. An-Na’im A.A. 2001. Human Rights in the Muslim World. In The Philosophy of Human Rights. Hayden P. (ed). St Paul, MN: Paragon House. 6. Bauer J. 2003. The Challenge to International Human Rights. In Constructing Human Rights in the Age of Globalization. Monshipouri M., N. Englehart, A.J. Nathan and K. Philip (ed). Armonk, NY: M.E. Sharp. pp. 239-287. 7. Bose A. 1981. Gandhian Perspectives on Peace. Journal of Peace Research 18(2): 159-164. 8. Chapple C.K. 2008. Yoga and the Luminous: Patanjali’s Spiritual Path to Free- dom. Albany, NY: State University of New York Press. 9. Chapple C.K. (ed). 2009. Yoga and : Dharma for the Earth. Hampton, VA: Deepak Heritage Books. 10. De Michelis E. 2008. Modern Yoga: History and Forms. In Yoga in the Modern World: Contemporary Perspectives. Singleton M. and J. Byrne (ed). London: Routledge. pp. 17-35. 11. De Souse Santos. B. 2007. Another Knowledge is Possible Beyond Northern . London: Verso. 12. Evans M. 2007. Does God believe in Human Rights? A Reflection, In Does God Believe in human Rights? Ghanea N., A. Stephens and R. Walden (ed). Lieden, the Netherlands: Martinus. pp.1-16. 13. Feuerstein G. 1998. Tantra: The Path of Ecstasy. Boston, MA: Shambhala. 14. Gandhi R. 2008. Gandhi: The Man, His People and the Empire. Berkeley, CA. University of California Press. 15. Gibney M. (ed). 2003. Globalizing Rights. Oxford, UK: Oxford University Press. 16. Goodale M. 2009. Surrendering to Utopia: An of Human Rights. Stanford, CA: Stanford University Press. 17. Green Yoga Association 2009. Values Statement. http://www.greenyoga.org/ about-green yoga/51-green-yoga-values-statement. (accessed January 29 2013). 18. Iyengar B. 2001. Light on Yoga. 4th (ed). London. Thorsons. 19. Ife J. 2007. Cultural Relativism and Community Activism. In Challenges in hu- man Rights: A Perspective. Reichert E. (ed). pp.76-96 20. Job S. 2009. The Rise of the Global God-image? Spiritual Internationalists, the International left and the Idea of Human Progress. Third World Quarterly 30(1): 205-224. 21. Kittel L. 2012. Healing Heard and Mind: The Pursuit of Human Rights in En- gaged Buddhism as Exemplified by Aung San Suu Kui and the Dalai Lama. The International Journal of Human Rights 15(6): 905-925.

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22. Kraft K. 1992. Inner Peace, World peace: Essays on Buddhism and Non-violence. Albany, NY: State University of New York Press. 23. Mantena K. 2012. Another Realism: The Politics of Gandhian Nonviolence. American Political Science Review 106(2): 455-469. 24. Mattani M.A. and K. Atkinson 2011. Constructive Noncooperation: Living in Truth. Peace and Conflict Studies 18(1): 3-43. 25. Meckled-Garcia S. and B. Cali (ed). 2006. The legalization of Human Rights: Multidisciplinary Perspectives on Human Rights and Human Rights Law. New York: Routledge. 26. Mutua M. 2002. Human Rights: A Political and Cultural Critique. Philadelphia, PA: University of Pennsylvania. 27. Pastan P. 2006. Gandhi: A Photographic Story of a Life. New York: DK Publish- ing. 28. Queen C. and S. King 1996. Engaged Buddhism: Buddhist Liberation Move- ments in Asia. New York: Albany State University Press. 29. Sepúlveda M., T. van Banning, G. Gudmundsdóttir, C. Christine and W.J.M. Genugten 2004. Human rights handbook. 3rd (ed). Ciudad Colon, Costa Rica: University of Peace. 30. Singleton M. and J. Byrne (ed). 2008. Yoga in the Modern World: Contemporary Perspectives. London: Routledge. 31. Singleton M. 2010. Yoga Body: The Origins of Modern Posture Practice. New York: Oxford University Press. 32. Standing Committee on Recreation and Sport (SCRS) 2011. Participation in Ex- ercise, Recreation and Sport Survey: Annual Report 2010. Australia: Australian Government Sports Commission.http://www.ausport.gov.au/__data/assets/pdf_fi- le/ 0018/ 436122/ERASS_Report_2010. PDF. (accessed January 29 2013). 33. Stone M. 2009. Yoga for a World out of Balance: teachings on Ethics and Social Action. Boston, MA: Shambala. 34. Strauss S. 2005. Positioning Yoga: Balancing Acts across Cultures. Oxford, UK: Berg. 35. Tahtinen, U. 1976. Ahimsa: Non-violence in Indian Tradition. London: Rider and Company. 36. Tahtinen U. 1979. The Core of Gandhi’s Philosophy. New Delhi: Shakti Malik. 37. Taylor M. 2004. Yoga Therapeutics: An Ancient Dynamic . In- ternational Journal of Yoga Therapy 14(1): 11-22. 38. United Nations (UN) 1948. The Universal Declaration of Human Rights. http://www.un.org/ en/documents/ udher/index.shtml. (accessed Januarty 28, 2013).

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39. Yoga Australia 2011. What is Yoga: Introduction. http://www.yogaaustralia. org.au/What IsYoga. (accessed January 29, 2013)

Kathleen O’Hare – PhD candidate, Centre for Human Rights Education, Curtin Uni- versity, Australia e-mail: [email protected]

Prof. Dora Marinova - Curtin University Sustainability Policy Institute, Australia e-mail: [email protected]

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SUSTAINABILITY III. – KNOWLEDGE – WISDOM

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Joanna KIELIN-MAZIARZ

ENVIRONMENTAL MANAGEMENT AND SUSTAINABLE DEVELOPMENT

The aim of the paper is to consider whether there is a connection between environmental management and sustainable development. I argue that the implementation of environmental management can be considered as an ele- ment that could improve sustainable growth. As far as I am concerned, there is a possibility to indicate two levels of accordance between the environmental management system (based on EMAS) and the sustainable development con- cept. It is possible 1) to determine the formal dimension of dependence be- tween the system and the principle and 2) to indicate the substantive dimen- sion. The formal dimension according to the division consists of the presence of the system in the EU documents concerning sustainable development (e.g., strategies, action plans, progress reports) whereas the substantive dimension, which results from the formal one, concerns the method by which the sustain- able development idea can be realized by the environmental management sys- tems. This article will be based on such separation of terms.

In terms of the European , the most important factor to mention is the EMAS Environmental Management System. The Eco Man- agement and Audit Scheme (EMAS) is included in Community Regulation (EC) No 1221/2009 of the European Parliament and of the Council of 25 No- vember 2009, allowing voluntary participation by organizations in a commu- nity’s eco-management and audit scheme. This regulation, called EMAS III, replaced the EMAS II regulation adopted on 19 March 2001.1 EMAS is a vol- untary management tool for companies and other organizations created in order to evaluate, report, and improve their environmental performance.

An environmental management system is based on the grounds of environ- mental law principles established by the Treaty on the Functioning of the

1 The first version of the EMAS regulation was adopted in 1993—Council Regulation (EEC) No. 1836/93 of June 1993—and allowed voluntary participation by companies in the indus- trial sector; „A Community Eco-Management and Audit Scheme” Official Journal of the European Communities (OJ), 10.07.1993.

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European Union2 such as prevention, reduction, and—if possible—elimination of the environmental at source, which should take place at the enter- prise level (i.e., at the source of pollution).3 These principles are not only re- flected in the environmental management systems; the connection between the previously mentioned principles and the environmental management system is the effect of the general accordance between the system and the idea of sus- tainable development. The aim of such an approach to the problem is to meas- ure reasonable use of natural goods as well as present the application of envi- ronmentally friendly, „clean” technologies.4 The same understanding of the connection between sustainable development and environmental management is included in the EU strategy concerning sustainable development.5 The strat- egy contains seven main challenges to achieving sustainable development— namely, climate change and clean energy, sustainable transport, sustainable production and consumption, better management of natural resources, threats, social inclusion, demography and migration, and the fighting of global poverty. The most interesting challenge from the environmental man- agement point of view is the challenge concerning sustainable production and consumption. The question of addressing this challenge is explored in The and Production Action Plan included in the Com- munication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of Regions from 2008.6 The action plan refers to the EMAS regulation, treating it as a measure by which the environmental dimension of the industry might be achieved. The action plan was published in 2008 and stated the need of intro- ducing the amendments to the EMAS II regulation. As previously indicated, in 2009 the new regulation (EMAS III) was adopted; thus, it can be said that the action plan’s stipulations had been fulfilled. The action plan7 stresses that the

2 Art. 191 of the Treaty on the Functioning of the European Union, OJ C 83/4. 3 J. Kielin, Environmental management systems as an exemplification of the European Law Principles, Warsaw, 2010. 4 J. Kielin, op. cit. 5 EU strategy concerning sustainable development. 6 The Sustainable Consumption and Production Action Plan included in the Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of Regions from 2008, Brussels, 16.7.2008, COM(2008) 397. 7 The Sustainable Consumption and Production Action Plan included in the Communication from the Commission to the European Parliament, the Council, the European Economic and

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EU system called EMAS is a measure by which enterprises can optimize their „production processes, reducing environmental impacts and making more effective use of resources.”8 The main stipulation of environmental manage- ment is to protect the environment, which still remains under very strong in- fluence of industrial plants; however, under the new method, it would be founded inter alia on the constant improvement of the enterprise as well as on the new instruments entailing the reduction of the negative environmental impact. Consequently, EMAS is the European Union’s system designated for those organizations that aim to stay in accordance with the environmental law while simultaneously aspiring to ensure self-improvement as well as diminish- ing its negative environmental effect.9

The action plan stressed the need to amend the regulation. The aim of the amendment is to increase the number of organizations participating in the system. According to the action plan, this could be achieved inter alia by de- creasing the administrative burden and costs for small organizations. As the action plan stipulates, the new EMAS III regulation introduced changes by which the system could be more attractive for organizations. Such a solution was necessary because the number of organizations participating in the EMAS system was very small. The Progress Report on the Sustainable Development Strategy 200710 stressed that, despite the adoption of several initiatives, as predicted by the renewed strategy, to support and promote sustainable con- sumption and production challenge (e.g., implementation of the eco-design aspects of the Energy Using Products Directive and the EU Environmental Technologies Action Plan and continued work on an Environmental Tech- nologies Verification System), the number of organizations participating in the eco-label and environmental management system still remained very small.11 The progress report estimated that only 5,000 of the 29 million com- panies operating in the EU are registered in the EMAS. In 2009, the commis-

Social Committee and the Committee of Regions from 2008, Brussels, 16.7.2008, COM(2008) 397, p. 9. 8 Ibid. 9 J. Kielin, op. cit. 10 Communication from the Commission to the Council and the European Parliament Progress Report on the Sustainable Development Strategy 2007 Brussels, 22.10.2007, COM(2007) 642 final, p. 6 11 Ibid. 2007.

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sion prepared a communication that reviewed the European Union’s strategy for sustainable development.12 According to the second progress report, some development in the scope of sustainable consumption and production had been achieved since the previous revision. However, these changes, as stated in the report, „show a rather mixed picture”.13 Better results are evident in the sphere of sustainable production rather than consumption. The progress report in 2009 was adopted at the same time that the legislation process concerning the new EMAS regulation was conducted, which is why this report does not pay as much attention to the system as the previous one. The 2011 new report should refer to the results of the amendments incorporated to the EMAS regu- lation in 2011. However, untill 2013 the new report concerning sustainable development was not prepared.

In 2011 Mid – term Evaluation of the Sustainable Consumption and Produc- tion and Sustainable Industrial Policy Action Plan Technical Report stated that EMAS „appears to have similar problems with low take up and a perception of complexity.” The main problem, of EMAS, according to the report is its voluntary character. At the same time there are not enough incentives in many Member States. The authors of the report say that the solutions can be found in „either an obligation for companies to have a certified Environmental Man- agement System (like e.g. in Norway) or in the creation of proper (financial or regulatory) incentives in the Member States.”14 Beside these obstacles, ac- cording to the data given by Eurostat in 2013, since 2003 the number of or- ganizations which participate in the EMAS system increased, mainly in Southern European countries. In 2013 this level was particularly high in Cy- prus, Austria, Spain, Italy and in Denmark.15 Between 2003 and 2010 registra- tion in the EMAS increased increased by 5.7 % per year from 3 068 to 4 521

12 Brussels, 24.7.2009, COM(2009) 400 final Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions Mainstreaming sustainable development into EU policies: 2009 Review of the European Union Strategy for Sustainable Development. 13 Ibid. 14 R. Williams, K. Rademaekers, M. Smith, S. Zaki, Ch. van Breugel, Mid-term Evaluation of the Sustainable Consumption and Production and Sustainable Industrial Policy Action Plan Under the Framework Contract ENV.G.1/FRA/2006 Final Report; Client: European Com- mission – DG Environment; Rotterdam, September 2011. 15 Data available at: http://epp.eurostat.ec.europa.eu/cache/ITY_OFFPUB/237PL/PL/237PL- PL.PDF, 25.02.2014.

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organizations.16

The main stipulation of the new EMAS regulation, as already stressed, was to undertake the measures by which the number of organizations participating in the system will increase. It is crucial to ensure the proper image of organiza- tions working based on EMAS. An environmental management system or- ganization achieves a more „environmental friendly” image as the system ensures that the production and management patterns stay in accordance with the environmental law requirements. As such, it is necessary to stress that the EMAS purpose is also to encourage industrial plants—as well as organiza- tions in general—to take responsibility for the environmental outcomes, threats and dangers generated by their actions. Furthermore, because of the environmental management implementation, organizations have the opportu- nity to engage in voluntary self-restraint in order to decrease the negative en- vironmental impacts identified herein.

The implementation of the EMAS system provides enterprises a chance to increase their competitiveness as organizations performing according to the environmental management system might generate higher social confidence. At a time when many are paying more attention to the problems of environ- mental protection and taking greater care of natural goods, companies con- cerned about their environmentally friendly images have obviously stronger market positions. It also should be stressed that an efficiently working envi- ronmental management system contributes to reducing the costs of enter- prises’ actions as well as to their improvement.17 These are the advantages of the environment management system implementation. In particular, those elements that stress the external dimension of the system could become the prevailing arguments encouraging organizations to implement the system.

Although the advantages of the system are significant, the number of organi- zations participating in the EMAS system remains small, making amendment of the regulation necessary. In the Proposal for the EMAS Regulation, the most important change was to introduce the amendments by which the system will be more attractive for participants—both current and potential partici-

16 Data available at: http://epp.eurostat.ec.europa.eu/statistics_explained/index.php/Sustaina- ble_development_-_consumption_and_production, 25.02.2014. 17 J. Kielin, op. cit.

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pants.18 The new EMAS III regulation provides for measures that could en- courage organizations to participate in the system.

One of them is the idea of green public procurement,19 which is the measure put forth in the EU’s sustainable development strategy as one of the means for sustainable consumption and production.20 The aim of green public procure- ment is to diminish the negative impact of the public sector’s consumption on the environment while stimulating innovation in environmental technologies, products, and services.21 The Renewed Strategy for Sustainable Development assumes a wide range of its application. The method by which this could be achieved is application in the public sector. The new EMAS III regulation asserts that the member states should conduct public procurement procedures, taking into consideration organizations which implemented the EMAS regula- tion and work according to this or any other environmental management sys- tem. The EMAS III regulation22 obliges the public sector to choose only from among these organizations. As the regulation states, participation in the sys- tem should be a condition for undertaking work and service contracts, al- though without prejudice to community legislation on public procurement.23 The effect of such a regulation will be a greater number of organizations par- ticipating in the EMAS system, especially those that realize public procure- ments.24 It is possible to expect that such dependence between green public procurements and environmental management can realize the sustainable de-

18 Proposal for a Regulation of the European Parliament and of the Council on the voluntary participation by organisations in a Community eco-management and audit scheme (EMAS), 16.7.2008, KOM(2008) 402 final version, 2008/0154 (COD), s .9 19 Communication from the Commission to the European Parliament, the Council, the Europe- an Economic and Social Committee and the Committee of the Regions, Public procurement for a better environment Brussels, 16.7.2008, KOM(2008) 400, http://eurlex.europa.eu/ LexUriServ/LexUriServ.do?uri=COM:2008:0400:FIN:EN:PDF 20 Renewed European Union Sustainable Development Strategy. 21 Communication from the Commission to the European Parliament, the Council, the Europe- an Economic and Social Committee and the Committee of the Regions, Public procurement for a better environment Brussels, 16.7.2008, KOM(2008) 400, http://eurlex.europa.eu/ LexUriServ/LexUriServ.do?uri=COM:2008:0400:FIN:EN:PDF 22 Community Regulation (EC) No 1221/2009 of the European Parliament and of the Council of 25 November 2009 allowing voluntary participation by organisations in a Community eco-management and audit scheme, O J L 342/1. 23 Art. 43 of the Community Regulation (EC) No 1221/2009 of the European Parliament and of the Council of 25 November 2009 allowing voluntary participation by organisations in a Community eco-management and audit scheme, OJ L 342/1. 24 J. Kielin-Maziarz, „New EMAS III Regulation” Przegląd Ustawodawstwa Gospodarczego, 10 (760), 2011, pp. 23-29.

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velopment concept.

The other measure by which the number of organizations participating in the system will increase is the incentives for small organizations, consisting of reduction of the burdens connected with the implementation of the system. As the regulation states, the participation of small organizations should be pro- moted by „facilitating access to information, to existing support funds and to public institutions and by establishing or promoting technical assistance measures”25 or even by reduction of registration fees for small organizations.26

The New EMAS regulation also indicates different means by which the sys- tem would be more attractive, including the possibility of groups of organiza- tions participating (e.g., clusters of organizations), with the possibility for corporate registration, which—according to the proposal for the regulation— will have a direct cost-saving effect and make participation more attractive.27 In order to create a more attractive system, the regulation also recommends the reduction of regulatory and administrative burdens „by introducing ele- ments that create with, and allow for, closer operational links be- tween EMAS and other EU legislation and instruments” or the facilities in implementation of the system by organizations already operating according to another environmental system. There is also a possibility for organizations from outside the community to use the system.

The new regulation pays higher attention to the visibility of participation in the system. One of the measures by which the higher visibility of the system could be achieved is the simplification of the logo application. According to the new regulation, EMAS has only one symbol.28

All of these measures from the EMAS III regulation can contribute to realiz- ing the recommendation of the Sustainable Development Progress Report in terms of the need to increase the number of participants in the system. As

25 P. 10 of the Community Regulation (EC) No 1221/2009 of the European Parliament and of the Council of 25 November 2009 allowing voluntary participation by organisations in a Community eco-management and audit scheme, OJ L 342/1. 26 Proposal for a Regulation of the European Parliament and of the Council on the voluntary participation by organisations in a Community eco-management and audit scheme (EMAS), Brussels, 16.7.2008, COM(2008) 402 final, 2008/0154 (COD). 27 Ibid. 28 J. Kielin, op. cit.

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previously mentioned, organizations that have implemented the system can perform in accordance with the environmental law requirements and simulta- neously become more attractive on the market. However, it is still a question as to whether the amendments, which in theory should provoke the organiza- tions to implement the system, really could become the measure by which the number of registered organizations will grow.

The question presented thus far concerns the first aspect of the realization by the environmental management system, according to EMAS—namely, the concept of sustainable development. As mentioned in the beginning, the aim of this paper is also to indicate the substantive dimension by which sustainable development can be realized by environmental management systems. The strict division between the formal and substantive dimensions is not possible because, as already stressed, the substantive dimensions emerge from the for- mal ones.

Today, sustainable development creates the bases for preserving natural re- sources while simultaneously ensuring economic and social development. All environmental protection policies as well as particular norms should focus on exploring this idea.29 Understanding sustainable development will help clarify that all sector policies should stay in accordance with this principle. „The sus- tainable development concept can be treated as the answer for the dangers created in the natural environment by the extensive economic development connected with wide exploitation of the natural resources. The sustainable development idea predicts the possibility of the economic growth with simul- taneously taking into account the issue of environmental protection.”30 Sus- tainable development is an idea widely reflected in the legal regulations con- cerning the environmental management concept. As Stanisław Wrzosek noted, „in every state which implemented the international law rule, it is impossible to create the norms concerning the mention question without taking into con- sideration the idea of sustainable development.”31

In order to demonstrate the dependence between environmental management and sustainable development, it is important to understand the elements in the

29 Ibid. 30 Ibid. 31 S. Wrzosek: Ekorozwój w prawie polskim, Ekonomia i Środowisko, Nr 2, 2001, p.168.

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construction of the system that can determine the reasonableness of the as- sumption.

The first element is the need for constant improvement. An organization that has implemented one of the systems is obliged to use natural resources effec- tively while promoting technological development. Such an attitude ensures the proper utilization of the environment, which is one of the aims of sustain- able development, while compelling the organization to pursue technological development to make the use of natural resources more effective. In addition to constant improvement, the environmental management system requires the proper use of natural resources at every work station in the production sphere and for every service. Another crucial element is the lifecycle assessment for moving closer to sustainable production.

The Sustainable Consumption and Production Action Plan included in the Communication from the Commission to the European Parliament, the Coun- cil, the European Economic and Social Committee and the Committee of Re- gions from 200832 stipulates the main challenge to be the creation of a dy- namic framework „to improve the energy and environmental performance of products and foster their uptake by consumers.”33 It is possible to say that one of the main assumptions of sustainable production is a question of improving the overall environmental performance of products throughout their lifecycle. Connections between the environmental management system and the sustain- able production issue are a problem for the product lifecycles. According to the sustainable production action plan, it is necessary to minimize the prod- uct’s negative impact on each stage of its life. Such an assumption under- scores the need to also pay attention to the phase of product manufacturing. Environmental management systems give the product the possibility of realiz- ing the concept of sustainable consumption as it pays attention to environmen- tally friendly production.

Another argument is the better fulfillment of environmental law requirements by the organization once it implements the system. Environmental manage-

32 The Sustainable Consumption and Production Action Plan included in the Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of Regions from 2008, Brussels, 16.7.2008, COM(2008) 397. 33 Ibid.

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ment promotes regular reporting on the functioning of the system; thus, the organization not only fulfills the minimum legal standards but often is able to operate beyond the minimum requirements. Organizations that control the dimensions of their pollution also introduce additional measures aimed at pre- venting further pollution.34 Moreover, the implementation of the system en- sures that the main threats to the environment from the organization side are properly identified and that effective management of the environment in the enterprise minimizes them. In addition to risk reduction, the organization— through the implementation of the system—is able to correctly identify its influence and the limits of its liability for environmental violations; in the case of risk, the organization can properly manage these issues and minimize nega- tive environmental effects35.

The advantage of implementing an environmental management system is therefore the fact that this system provides for an adequately organized and coherent concept for appropriately dealing with issues related to environ- mental protection at the organizational level in order to reduce negative envi- ronmental impacts36. At the same time, participation in EMAS, as previously mentioned, creates greater competitiveness for the organization. It is also con- nected with greater confidence among the public. The reduction of extra activ- ity costs undoubtedly result in financial benefits for the organization.

Such an attitude realizes the concept of sustainable development because, as previously mentioned, it diminishes the negative environmental impacts while promoting organizational development. As such, the EMAS III is not only a measure promoting strategies related to sustainable development; its structure and the main idea of environmental management are in accordance with the general concept of sustainable development.

Dr Joanna Kielin-Maziarz – School of Law, Kozminski University, Warsaw, Poland e-mail: [email protected]

34 N. Darnall, D. Rigling Gallagher, R. N. L. Andrews, D. Armal: Environmental Management Systems: Opportunities for Improved Environment and Business Strategy?, Environmental , Spring 2000, s.2. 35 N. Darnall, D. Rigling Gallagher, R. N. L. Andrews, D. Armal: op. cit., s.1. 36 E. Perotto: Environmental performance, indicators and measurement uncertainty in EMS context: a case study, Journal of 16 (2007), s. 518.

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Jin HONG Xiumei GUO Dora MARINOVA Wentao YU

NON-GOVERNMENT ORGANISATIONS (NGOS) AND THE DISSEMINATION OF ENVIRONMENTAL KNOWLEDGE IN CHINA

INTRODUCTION

Over the last three decades, environmental issues have become serious in China. However, the governments focus has centred on economic growth while private institutions have been pursuing their own financial interests. As a result insufficient attention has been paid to environmental deterioration within the country. In addition, China’s education system also lacks a com- plete environmental curriculum, which makes it hard to deliver effective envi- ronmental education programs to students and the general masses in China. The lack of environmental knowledge is an important reason why many Chi- nese citizens and organisations have poor awareness of environmental protec- tion issues.

Against this background, non-government organisations (NGOs) in China are playing an important and ever increasing role, by providing environmental knowledge and promoting environmental protection. The first environmental NGO in China, Friends of Nature, was established in 1994. At present, there are more than 40 registered environmental organisations in China. They have become quite influential in policy making and the development of the coun- try’s curriculum. Such organisations are the key to understanding China’s and educational develop- ment.

The rest of the paper examines the history, functions and mechanisms used by Chinese NGOs, which enable them to provide effective environmental educa-

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tion. It starts with an overview of the history, structure and activities of Chi- nese environmental NGOs, and then explores the NGOs role in environmental knowledge dissemination.

Some unfavourable factors which impede the work of NGOs are also dis- cussed. The Friends of Nature case study presents some of the operational mechanism used by NGOs in China, which enable them to provide effective environmental education. Finally, the paper considers some strategies, within the context of the new Chinese Economy, which when implemented will fur- ther enhance Chinese environmental knowledge and understanding.

ENVIRONMENTAL PROBLEMS IN CHINA

China’s dramatic economic growth has resulted in the country’s Gross Do- mestic Product (GDP) increasing more than 22 times from its 1978 level (Na- tional Bureau of Statistics of China, 2012). The growth rate of the Chinese GDP was 9.3% in 2011 and although restricted by the one-child policy since the 1970s, the Chinese population continues to grow (see Table 1). This growth can be attributed to the current population’s relatively young composi- tion (see Figure 1).

Table 1: Population, China, 1950-2011

1950 1960 1970 1980 1990 2000 2006 2011 563 m 650 m 820 m 985 m 1.14 bn 1.26 bn 1.30 bn 1.33 bn

Source: National Bureau of Statistics of China (2012)

Figure 1: Population of China, 2011

Source: National Bureau of Statistics of China (2012)

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With the rapid growth experienced in recent years, China is suffering from the deterioration of its natural environment. This includes serious water and , city smog and deteriorating urban environments. Greater vehicle numbers and a limited level of success enforcing environmental law and ac- countability contribute greatly to these environmental problems (Guo, Mari- nova and Hong, 2013; Ifeng, 2013). Another issue of concern involves uncon- trolled and inadequate land use practices, which result in soil erosion. In addi- tion longer periods of low or no flow in China’s major rivers are a frequent phenomenon, due to water and waste mismanagement.

In the future, China will have to face not only increasing pressure on the local natural environment due to its growing population, but also environmental deterioration due to continuing industrialisation, urbanisation and land degra- dation. The ecological burden on the Chinese population will likely further create more difficulties in dealing with the ageing crisis triggered by the one- child policy. Solving environmental problems, such as land erosion, air, soil and requires environmental awareness and knowledge dis- semination. However, the appropriate structures and processes required for successful delivery are only just emerging. Although environmental awareness is increasing as the Chinese population becomes more affluent (Wu, 2003), China’s government and industry have not been proactive in delivering proper environmental education. This gap has been filled in by the numerous non- government organisations (NGOs) and their work is the focus of this paper.

NGOS IN CHINA

According to Salamon (1994), NGO refers to proper social organisations, which are also known as non-profit and non-government. They have five characteristics: they are (1) an organisation which is (2) non-governmental, (3) operates non for profit, (4) is self-managed and (5) uses the work of volun- teers. The non-governmental and non-profit characteristics are the main fea- tures of such organisations. The word NGOs was introduced in China during the World Conference on Women in Beijing and in 1998 became an official Chinese word (Qi, 2000). In China, there are no NGOs that have all of these five characteristics. However, there are many organisations that are non-

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government and non-profit.

The Chinese government classifies NGOs into two groups: 1. Community interest organisations, such as social groups, academic groups, enterprise groups, special groups and mix interest groups; and 2. Special purpose organisations, such as educational, technological, cultural, health, sports and social welfare organisations.

According to the registration, these organisations are further divided into na- tional and regional groups. They are active in the transitional Chinese social, economic, cultural and political areas, particularly in the social service, envi- ronmental protection, poverty alleviation, enterprise adjustment and policy enhancement.

Historically, the development of China’s NGOs experienced up and down periods. At the beginning of China’s foundation in 1949, the Government cleared and reformed any existing organisations. Between 1950 and 1965, the number of national non-government organisations grew from 44 to 100 while the number of local organisations grew to more than 6000 (Wang, 2002). In the mid 1990’s, the total number of NGOs reached 170,000 (Wu, 1999).

Table 2 below shows the distribution of NGOs by area of activity.

Table 2: Distribution of NGOs in China

Activities % Activities % Cultural and arts 34.62 Animal protection 3.12 Sports and entertainment 18.17 Social development 17.04 Clubs 5.31 Housing 6.17 Schools (non-government) 1.99 Employment service 15.85 Universities (non-government) 1.13 Policy inquiries 21.88 Adult education 14.19 Legal services 24.54 Survey and research 42.51 Funding services 8.62 Hospitals and health centres 10.54 Volunteer organisations 8.16 Nursing homes 7.03 International exchange 11.47 Councelling and psychological services 9.75 International 3.32 Social surveys 44.63 Religious services 2.52 Disaster prevention 11.27 Professional associations 39.99 Poverty alleviation 20.95 Others 20.56 Environmental protection 9.95

Note: The total is more than 100% as one NGO can cover multiple activities. Source: Wangming, 2001 Source: (Wangming, 2001)

The largest concentration of NGOs is in culture and the arts. The percentage of NGOs operating in the area of the environment is relatively small at around

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13% (including environmental protection and animal protection). Chinese environmental NGOs have the following characteristics: Wide participation: environmental problems relate to ordinary people’s interests, so they have a wide supporting social base. They mix the characteristics of special communities of interest and special purpose organisations. Community residents and school children are encouraged to participate in the environmental protection activities which results in a wide range of social participation. Environmental NGOs can draw upon the resources of experts and attract people from various areas, such as journalists, professors, lawyers and ce- lebrities. This allows them to build a sound base of supporters and public trustees.

FUNCTIONS OF NGOS IN ENVIRONMENTAL EDUCATION IN CHINA

The NGOs related to the environment are not a major part of all NGOs in China (see Table 2). However, the environmental NGOs are the most active and most influential among all NGOs. Examples of these are organisations such as Nature of the Environment, Beijing Global Village, Green Homes Volunteers and Network of Beijing Environmental Volunteers. The NGO, Friends of Nature, is the best-known one among the environmental NGOs in China. Environmental NGOs have been carrying out a large amount of activi- ties to promote the dissemination of environmental knowledge in China. They have been successful in influencing China’s system of environmental educa- tion as well as making.

The major functions of environmental NGOs are: disseminating knowledge and improving environmental awareness, influencing environmental education in schools, mass education in environmental protection, encouraging public participation and conducting research on science and technology for environ- mental protection. Below are some examples of the work they do: Environmental NGOs are disseminating environmental education and improving the environmental awareness through holding seminars, train-

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ing sessions, public events, such as Global Day, Protecting the Goat and Green Hope; Environmental NGOs have significant influence on schools’ environ- mental education (see Exhibit 1). They connect their environmental activi- ties with the schools’ educational system and increase the students’ par- ticipation in environmental activities. They have established environ- mental education centres and „green schools”. By 2004, there were more than 17,200 green schools in China.

Exhibit 1: Environmental School Education by Friends of Nature

Source: (Friends of Nature, 2013).

Environmental NGOs encourage public participation to improve environ- mental awareness (see Exhibit 2). In many large cities of China, particu- larly in Beijing, there is active cooperation between the government and NGOs to encourage public participation in environmental protection. Bei- jing Green Community is just one successful example of this cooperation.

Exhibit 2: Environmental campaigns on encouraging low carbon lifestyles

Source: (Friends of Nature, 2013)

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Environmental NGOs such as environment associations and research insti- tutes conduct research in and environmental pro- tection (Lin, 2004). They also promote international exchanges on issues related to environmental protection in order to diffuse modern environ- ment technology and environmental awareness in China. This is done by attending and hosting international conferences, sending staff overseas for trainings and inviting visiting scholars from abroad.

The environmental NGOs play a very important part in easing, the environ- mental crisis, which cannot be replicated by the Government. The most impor- tant role they play is that they disseminate more and more accurate environ- mental knowledge, gradually changing Chinese people’s thinking, approach, attitude and values. Their contribution in this respect is significant. For exam- ple, Beijing Global Village won the Sofia Prize which is the world’s highest prize related to the natural environment.

FRIENDS OF NATURE

Friends of Nature, the first environmental NGO in China, was established in 1994, which marked the first environmental NGOs official registration in China. The president and vice president of a NGO are respectively a famous Chinese professor and environmental education expert. Similar to other Chi- nese NGOs, Friend of Nature is cooperating with government trying to build support for environmental policy, regulations and measures within govern- ments and local communities (Liang and Liang, 2006). During the decade since its establishment, the number of members has grown to reach more than 8000, including more than 3000 active participants and over 30 groups. Friends of Nature has received multiple awards internationally, such as the Asian Environmental Award, Global Award and Great Panda Awards.

The work and motivation of Friends of Nature and other NGOs in China has become quite influential in policy making and environmental education. Its introduction in 1994 marked the birth of the first non-official organisation registered under the Chinese government, with the aim to promote environ- mental education, nature protection, public participation, build and dissemi-

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nate green culture in accordance with China’s own unique national character- istics. The dedicated work of Friends and Nature and other Chinese NGOs has become is key towards understanding China’s environmental movement and environmental educational motivations, initiatives and strategic direction.

Friends of Nature uses a tri-driver mode of environmental knowledge dis- semination (see Figure 2), namely through environmental educational pro- grams, conducting environmental research and social intervention. It is impor- tant to note that its aim goes beyond the purely green concerns about the natu- ral environment, into the broader arena of sustainability which highlights re- lated issues of social justice, equity and intergenerational rights.

Figure 2: Tri-driver mode of environmental knowledge dissemination by Friends of Nature

Source: Own Graphic

According to Friends of Nature (2013), some examples of the environmental education work Friends of Nature does are: 1. Environmental Education Programs carried out through promoting envi- ronmental education in schools, adult education, publishing brochures, mass media and activities. The purpose is to improve environmental awareness and encourage public participation through mass education. The widely known environmental programs include Green Hope, Green Map and the Environmental Education Van. 2. Friends of Nature conducts environmental science and technology re- search such as the publication of China’s Environmental Green Book. It

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also holds seminars and does research exploring the clear white river. The purpose of this research is to organise proper and effective environmental activities. They also carry out exchange research programs. 3. Friends of Nature, promotes environmental education through social and policy intervention. They support any policies, measures and activities carried out by the government, social organisations and individuals that lead to the improvement of the state of the natural environment in China. They are open to collaboration and cooperation with government and in- dustry. Notwithstanding this, they also monitor, criticise, reveal and inter- vene in any initiatives that could be potentially damaging the environ- ment. They are playing a key role in influencing making procedures and processes in China.

Friends of Nature has a clear approach and mode of operation, which reflects the basic knowledge strategy of China’s environmental NGOs.

CONCLUSION

China’s environmental NGOs play a very important and unique, role in envi- ronmental education and achieving sustainability. They have been able to fill in a gap left open by the rapid industrialisation of the country, which poten- tially could affect the entire global community. The scale and influence of the environmental NGOs on the Chinese society are obviously significant. How- ever, irrespective of the wide range of achievements, their capacity for Launching and maintaining environmental activities, campaigns and initia- tives is not strong enough to overturn China’s ever-increasing environmental problems. Because of the nature of NGOs, they often lack essential skills and requirements such as legal knowledge, financial backup, social support and cultural background.

In order to strengthen the position of environmental NGOs within the Chinese society, the following strategic considerations need to be addressed, particu- larly in the context of China’s new knowledge economy: The cooperation between individual environmental NGOs should be pro- moted with the aim of establishing a viable network thus improving the

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power of all of the NGOs involved; Efforts should be made to influence, facilitate and standardise environ- mental education in the schools, using practical examples from the locali- ties in which they are situated. A practical approach in solving real-life problems where students can see the outcomes of their efforts, is a very effective and rewarding way of promoting environmental awareness. NGOs should also cooperate with communities, promoting environmental education among adults and employees, increasing public participation in protecting the environment and most importantly influencing decision- makers on issues related to the environmental protection and heritage. Realising that NGOs have only access to limited resources within society, they should encourage a bigger role for government in environmental education, legislation and protection. Government on the other hand, could better resource (including financially) some of the valuable activi- ties conducted by NGOs. There are many developed countries, including countries in the Asia- Pacific region such as Japan and Australia, which have well advanced measures and procedures in place to protect the natural environment. Learning from these experiences is important in order to find solutions that have worked in other places. Nevertheless, the ability to find effective solutions that work locally will always remain the domain of China’s most passionate and committed environmental activists. Currently, there is no law related to environmental NGOs; it is suggested that such a legislation be put in place as soon as possible in order to en- sure that NGOs have a lawful position and lawful rights. All levels of government, including local government should start to slowly and effi- ciently adjust public policy direction and focus on China’s future sustain- ability, an important aspect of which is the protection of the natural envi- ronment. Better environmental training and education strategies promoting sustain- ability in China need to be developed.

Environmental NGOs will continue to make a significant contribution to the practical, research and policy making fields within China. However in the future, the development of China’s environmental NGOs will depend on the

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economic, political, social and strategic environment of the country. In many ways nothing can replace the role of Government or big industry. Environ- mental NGOs are playing a crucial role in establishing networks and bridges between civil society and these two influential sectors. There will always be a part for them to play in China’s transformation towards a resource efficient and environmentally friendly society.

ACKNOWLEDGEMENT

The first two authors acknowledge the financial support from National Natural Sci- ence Foundation of China (71172213), China’s Department of Education (09YJA630153), the large bid project from Social Sciences Fund (08&ZD043). The last two authors acknowledge the financial support of the Australian Research Coun- cil.

REFERENCES

1. Guo X., D. Marinova and J. Hong 2013. China’s Shifting Policies towards Sus- tainability: A Low-carbon Economy and Environmental Protection. Journal of Contemporary China 22(81): 428-445. 2. Friends of Nature 2013. Friends of Nature Website. http://www.fon.org.cn. (ac- cessed October 8, 2013). 3. Ifeng Online News 2013. Chinese River Ecosystem has been Severely Damaged. http://news. ifeng.com/gundong/detail_2013_12/24/32434087_0.shtml. (accessed 24 December, 2013). 4. Liang C and X. Liang. 2006. For the innocent Great Nature: Baihau Arts Publish- ing House. http://www.fon.org.cn/. (accessed October 22, 2006). 5. Lin L. 2004. Research on the developing environment by China’s environmental NGO. China’s Environmental Management 1: 9-11. 6. National Bureau of Statistics of China 2006. China Statistical Yearbook – 2006. http://www. stats.gov.cn/tjsj/ndsj/2006/indexeh.htm. (accessed October 22, 2006). 7. National Bureau of Statistics of China 2012. China Statistical Yearbook – 2012. http://www. stats.gov.cn/tjsj/ndsj/2012/indexeh.htm. (accessed August 8, 2013). 8. Qi B. 2000. Non-government organisations: management, construction, develop- ment. Jinan: Shandong University Press. 9. Salamon L. 1994. The emerging sector. Maryland: The John Hopkins University. 10. Wang M. 2002. A discussion of NGOs. Beijing: Publishing House of Chinese People’s University (in Chinese).

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11. Wangming M (ed). 2001. China’s NGO research 2001: Individual analysis. Bei- jing: United Nations Regional Development Centre (in Chinese). 12. Wu Y. 2003. Deregulation and growth in China’s energy sector: A review of recent development. 31(13) 1417-1425. 13. Wu Z. 1999. Development and management: Non-Government organisations in China. Beijing: NGO Research Centre, Tsinghau University.

Dr Jin Hong - School of Management, University of Science and Technology of China, China email: [email protected]

Dr Xiumei Guo - Curtin University Sustainability Policy Institute, Curtin University, Australia

Prof. Dora Marinova – Curtin University Sustainability Policy Institute, Curtin Uni- versity, Australia e-mail: [email protected]

Wentao Yu – PhD Candidate, School of Management, University of Science and Technology of China, China

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Lesław MICHNOWSKI

TOWARDS ECO-HUMANISM

(…) there is urgent need of a true world po- litical authority (…) to be regulated by law, to observe consistently the principles of sub- sidiarity and solidarity, to seek to establish the common good (…) Benedict XVI, Caritas in veritate. p. 67.

INTRODUCTION

The current world economic and financial, as well as unemployment and state debt crisis has shown us the inefficiency of the UN sustainable development strategy (Brundtland 1987, United Nations 1992, 2002, 2005). This strategy was elaborated to overcome, on a common interest base (Brundtland 1987), the global crisis that was recognized on the beginning of the 1970s years of the XX century (Meadows 1972).

As a result of the realization of this the UN anti-crisis strategy focussed on the skills to integrate durable social development with economic development and environmental protection (United Nations 2002). Thus, resolving the global challenges ought to be done with worldwide cooperation. It would allow us to avoid the destructive effects of growth (Capra 1987) and economic cycles, eliminate deficit resources, gain skills in the proper management of the natural environment and achieve steady progress in quality of life for all humans. For this end it would be necessary to make a sustainable transformation based on loving, truth-telling, popular learning, new patterns of consumption and pro- duction, and new information infrastructure (Meadows 1992, 2004a).

The Catholic Church is also calling for civilization transformation based on a common good value system, instead of an egoistic one, as precondition for overcoming the global crisis. However, for some time, significantly opposite

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to the above, namely „zero growth” 1 anti-crisis proposals, based on the thesis of Earth overpopulation, have been propagated (Martin 1999, Forrester 1971/95).

Lately (co-author of the above „loving” based proposal) described his new anti-crisis proposal: "We desperately need for population, energy use, material use, and pollution streams to be reduced" (Meadows Eu- ronatur).

To the question: "Is it possible to have 9 billion people on the planet?" he stated "No. Even 7 billion is too much -- at least if they are all to have an ap- propriate standard of living. If you think it is acceptable to have a small elite that enjoys a decent lifestyle and a large majority that is excluded from that, then the Earth can probably sustain 5 to 6 billion people. If you want everyone to have the full potential of mobility, adequate food and self-development, then it is 1 or 2 billion.” (Meadows 2009). When we are analyzing the causes of current crisis we ought to take into consideration Meadows’s social- Darwinistic depopulation proposals.

In this text I justify on the basis of a systems/ research the thesis that avoiding global catastrophe is impossible by means of the above depopu- lation strategy. Thus for survival we need to generate political will for realiz- ing the world society’s sustainable development strategy. For this end we need inter alia to enforce in public life the Catholic Church’s role (Mazur 1976, Michnowski 2006, 2010a).

SPIRITUALITY FOR OVERCOMING THE GLOBAL CRISIS

Let’s first look at the current crisis with the view of such a depopulation de- fense strategy. The theoretical base of such anti-humanitarian survival pro- posal is philosophical – about presumably te inevitable growth of entropy - interpretation of the II Thermodynamic Law, as well as belief about the possi- bility to reverse the process of the global ecosystem life together with a belief that life-support resources are limited and can be completely exhausted.

1 See: (Forrester 1971/85, fig. 8)

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Lastly, that by means of cyborgs and other achievements it is possible to radically diminish the need for intellectual human labor.

It follows that there are also two quite opposite approaches to the current world crisis. From one side we are informed that world society is already on the path to recovery, therefore we do not need to look for its real causes. Thus it is also not necessary to put into operation basic anti-neoliberal conclusions, elaborated inter alia by G20 London Summit 2. This would mean that to achieve full world economic recovery it would be enough to make only small corrections in world financial regulation mechanisms and put in place opera- tional austerity programs to drastically „tighten the belt” of the weaker socie- ties.

From another point of view – one that I share - this current crisis is only the opening phase of the global crisis, recognized in Report (Meadows 1972). Therefore this current crisis is not over and we are looking in the face of the next phases of this global crisis. We are approaching enor- mous social crisis: with large-scale unemployment, dismantling of the welfare state, food shortage, other bitter consequences of the false big debt, all may be short-sighted or very sophisticated but egoistic - anti-crisis stabilization poli- tics. Additionally, we may be in the path of a new totalitarian world order (CA p. 46) and/or world war (SRS p. 47, Jan Pawel II 1993a, Michnowski 2009b).

If this second approach is correct, we need to thoroughly review the essence of the current crisis. We ought to look for causes of weakness in the UN sustain- able development strategy, as well as the small outcomes of Catholic Church’s call to put away a „culture of death”. In this text I present the arguments for the need to substitute spirituality based eco-humanistic social relations for social-Darwinistic ones and build global governance as well as information bases for the above substitution.

I call a spirituality-based approach to life (one's own and others’) a life- holistic approach. Every person is a life-system and element of bigger sys- tems: family, nation, world society, Earth (global ecosystem), Universum – that are also mutually interconnected life-systems. The life of every life-

2 For example: The era of banking secrecy (and Washington Consensus) is over (G20 London Summit, Volkery 2009)..

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system depends upon the life and quality of the environment that is also a life- system. The individual and collective common interest in life-support activity is therefore supported by the environment, and conversely, destruction of the life of the bigger systems leads to environmental defense activity.

Information is the main life-support agent 3. Creating information - and/or opposing to growth of entropy level - for the set: life-system – environment, is the main task of the life-system life. The life-systems possess properties of life-support and defense homeostasis, inter alia life-support cooperation.

From such a spirituality approach our life is not only for us, but also for our environment. The conditions of our life - not only for today - are also for the future (CA p. 37).

The methods of evolution in the social sphere would be radically changed by means of the eco-humanistic civilization transformation. Instead of „young”, primitive natural methods of multiple mutations and developmental selection by disintegration and/or death of the unfit there would be „mature” - intellec- tual, information aided, synergetic integration - selection by promoting and supporting persons and organizations that are more eco-socially useful.

For developed societies and their elites it would mean transition from life and „growth at the cost of environment”, to „development together with environ- ment” and reaching positions of visionary leaders of the global society (Ber- tone 2009, Michnowski 2009a). It would mean also starting to transform hu- man consciousness and multiplied human creative potential into a powerful agent of Universum development evolution activity.

MORAL DESTRUCTION - THE MAIN AGENT OF GLOBAL CRISIS

My systems research implies that the main cause of the global crisis is not

3 Information is conceptualised in SoL in three ways: 1. in contrast with entropy, as a conceptual measure of quality, including the organization of society, among other things (Wiener 1961, 1971); 2. as real information contained in the structure of society-environment system, i.e. every fac- tor that contributes to life or to that system’s more sustainable and efficient functioning; 3. as reflection information, i.e. information that adequately reflects changed static and dy- namic of above system (past and future - data, knowledge, prognoses, etc.).

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overpopulation but the lack of skill in eliminating the negative effects of a rapidly progressing moral destruction and obsolescence 4 of life-forms that are not adapted to the new life-conditions rapidly emerging with the science- technology development. The rate of moral destruction grows with science- technology development, which is also inevitable for elimination of the nega- tive effects of moral destruction.

It is impossible to remove these negative effects while continuing social- Darwinistic, informationally-inefficient, very eco-socially costly, and egoistic social relations. At the same time an eco-humanistic civilization transforma- tion would allow us to rationalize population growth (by means of culturally upgrading weaker societies and including them in eco-socially useful creative activities).

Further findings from this research are: The global crisis is the effect of the XX century science–technology revo- lution, albeit done without proper, adequate development of computer simulation technologies (Forrester 1971/95, Sage 1977, Michnowski 2006, 2009ab) and adaptative social relations to the State of Change and Risk. State of Change and Risk (SCR): Quite a new human life-state that has arisen mainly as a result of science-technology progress and emerged out of high-inertia socio-economy structures. The changes in the environment are paced so rapidly that the feedback control-based social relations are obsolete/morally destroyed. For life in SCR we need to add into world so- cial relations feedforward control5. It means a necessity to base politics on knowledge about the approaching new life-conditions and life-needs of our own and the environment, and also on knowledge about the complex and future effects of politics. Because the future is not fully predictable, such pre-emptive politics will be linked with a large risk of political faults.

4 Moral destruction/obsoleteness (of life-forms): such form of life-forms destruction, that is caused by means of changes in life-conditions. As a result of it, physically not destructed life- form has not ability in new life-conditions to support/aid life of society. 5 Feedforward indispensable subsystem (feedforward): life-process control subsystem, that is based on predictions of approaching life-conditions and allow to shape policy of adopting life-forms to these new life-conditions with help of knowledge about probable future results of policy, i.e. in the pre-emptive way.

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For life under SCR we have to develop the skills of far-sightedness, cog- nitive-, innovative- and reserves creative- potential, as well as human and technological flexibility for efficient adaptation of life-forms to the new life-conditions in an anticipatory, feedforward way. To this end we have to continuously enlarge human intellectual creative potential, develop artificial intelligence, and multiply and share with „neighbors” our knowledge for common good/common interest - thus cre- ate partnerships and cooperate instead of competing in a deadly and eco- socially costly way. Without the change from social-Darwinistic egoism to eco-humanism it is impossible to get access to the enormous amount of knowledge (also about the future) required for the creation of eco-socially useful innova- tions that are essential for successively eliminating the negative effects of moral destruction.

The main task of adaptation to SCR is to create easy access to complex knowledge about future effects of socio-economy and policy activities, as well as the ability to anticipate and eliminate predicted dangers.

ECO-HUMANISTIC GLOBAL GOVERNANCE AS THE FIRST ANTI-CRISIS TASK

To better justify the above anti-crisis conclusions let us more precisely de- scribe the notion of „sustainable development” (Figure 1) as well as introduce the notion of „dynamic monitoring”.

Sustainable development: A form of societal development (the part of its life-process when a number of elements of society and its diversity and qual- ity, as well as the durability of society - is growing up), that is not interrupted by crises, and necessary to build new forms of life (adapted to new life- conditions) on the debris of old ones. Sustainable development is based on knowledge about society approaching its limits of growth (with up-to-date infrastructure) and the skill to cross them in a developmental manner, using proper infrastructure to rebuild new ultra- stable forms of life.

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Figure 1 Sustainable development of the society/life-system (LS)

Source: own.

In SCR sustainable development must be based on the above mentioned „three pillars”: social development, economic development, and environmental pro- tection (United Nations, 2002). This kind of development ought to be based on knowledge about possibilities of synergetic integration of existing diverse high quality elements of the set: society – environment into new, more effi- cient and durable socio-economic wholes.

Dynamic monitoring means collection and transformation of statistical data reflecting the complex process of socio-economic-natural life into knowledge about this process' quality, dynamics, and future (barring any outside interfer- ence). It also enables successive evaluations of the effectiveness of sustainable development policy. Dynamic monitoring provides forewarnings of threats, which stimulate countermeasures. It informs about the need to undertake in- tervening measures in case of developmental slowdowns. By informing about the distance to the next limit on growth (Figure 1), in case of the inability to move forward this limit to growth within the current inter alia socio-economic (and ) infrastructure, dynamic monitoring would stimulate the antici- patory reconstruction of this infrastructure with the aim of developmentally crossing this limit to growth.

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Figure 2 Dynamic monitoring of the state of the World 1970.

Source: Limits to Growth 1972.

To criticize existing - and design efficient - methods to overcome the current crisis and achieve sustainable development let us come back to the Limits to Growth dynamic monitoring result (figure 2) and with the new (including cybernetics) knowledge try to interpret this warning forecast once more. It would allow us to recognize properly the essence of the global – as well as current – crisis.

This global dynamic monitoring warns us about world society approaching in the first half of 21th century its limit to growth and the possibility of a global catastrophe caused mainly by depleting sources of natural resources. This catastrophe will be preceded by enormous economic and consumption growth, destruction of the environment and a demographic explosion (especially in the weaker parts of the world society).

Besides the above dynamic monitoring another important simulation was done. It was assumed that there are no resource access restrictions. The result was a big collapse, this time as a consequence from the destruction of the natural environment (Meadows 1972).

Both of the above computer inform us about the consequences of continuing the existing social-Darwinistic, egoistic, and short-sighted social

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relations as a base of such enormous, rapid, economic and consumption growth. Before I look for new methods to avoid this global catastrophe, let us once more remember the depopulation outcome of a primitive analysis of the causes of global crisis based on this warning forecast, and describe a „zero growth” method for pathologically overcoming such a crisis (Forrester 1971/95, fig. 8).

The global crisis would be a result of the weakness of up-to-date social- Darwinistic methods of development. Too many people are being born, and too few are going to their deaths. Therefore to overcome this crisis it would be necessary to use new science-technology achievements to strengthen these old – by the death of the unfit – natural evolution selection methods. Thus if sources of natural resources are depleted and the natural environment (and climate) is dangerously degraded together with a „demographic explosion” a big sophisticated – high science-technology aided - depopulation operation would be presumably essential. Therefore, for example the intentionally pro- voked big economic and social crisis, with the help of speculative tools (Chomsky 2003) and wrong debt creation, could be the successful tool of put- ting down in a „calm”, invisible way a large number of humans. Cooling the – i.e. decreasing the rate of economic growth - would also be a useful tool for such a defense strategy (Fey 2001). Such crises could force weaker, peripheral societies to raise unemployment, diminish their incomes and level of production and consumption, as well as access to health care and other welfare state civilization achievements.

Therefore the current economic and financial crisis could be the result of knowingly and in conspiracy (Jan Paweł II 1993a, KAI, John Paul II 1999, EV p. 3) formed world situation in a way leading to allegedly natural depopulation along with big defense financial enforcement of a small but increasingly wealthy part of the world society, as well as big militarization of the most wealthy states. Thus speaking about unwise and greedy bankers as well as cheating government politicians (the crisis in Greece) would be only masking the real sources and forces behind the creation of this current crisis.

However let us put aside this pathology anti-crisis defense thinking. It would allow us to reach the additional eco-humanistic anti-crisis conclusions:

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1. The world society has crossed - by means of large growth of negative impacts, i.e. outerly (to natural environment) destructive effects of highly developed socio-economy activity - the limit of the environment to regen- erate by itself in a way adequate to the life-forms that are necessary to support human life. 2. The world society depletes sources of energy and natural resources faster than it gets access to new sources of them. 3. The world society has great organizational inertia - what is reflected (Fig- ure 2) in the time period from the moment of the beginning of destroying natural environment and exhausting sources of resources to the moment of socio-economy and humanitarian catastrophe, as a result of the above. 4. We ought to treat the big „demographic explosion” (multiplication not only of human mutations, but also world intellectual potential) as an effect of natural defense activity of the world society (especially the weaker parts) that is a result of its natural homeostasis feedforward defense prop- erty. 5. To avoid the global catastrophe the world society has to go through the developmental, ultrastability forming, transformation that will allow it to put into operation for the common good existing – often passive - intellec- tual potential and create for this end information bases of sustainable de- velopment ethics, policy and economy (Michnowski 1995, 2006, 2007, 2008, 2009a). 6. To eliminate the negative consequences of moral destruction and activate the above passive intellectual potential for big sustainable economic growth is indispensible. 7. The world society has up to date no homeostasis - including global gov- ernance and information - potential to prevent this catastrophe and support development by means of ultrastability forming sustainable development civilization transformations.

For the next conclusions I propose two important premises: A. The process of life (of individuals, societies, ) is irreversible, and is progressing in a strongly non-linear, often chaotic and catastrophic way with synergy and dis-synergy performance. B. The amount of energy existing in the universe, in a large sense, is infinite

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(E=mc2) (Michnowski 1995, 2006). Access to these natural resources de- pends on the level of world societal development, including intellectual (and ethical), as well as artificial intelligence, and other science- technology potential.

Premise A inter alia implies that it is impossible to return to the previous state of the natural environment (Meadows 1972), as a means of restoring its ability to self-regenerate. Thus instead of returning we ought to go developmentally forward. The chaotic property of life-processes imply the possibility to over- come with positive effects the negative effects of activity (that are inevitably combined with our activity), under the condition of access to proper (espe- cially future) knowledge and an adequate science-technology potential for it.

To restore a properly self-regenerating natural environment it is necessary to: 1. develop, with popular wisdom creating education (Michnowski 2009a) and new science-technology revolution, such new forms of life/socio- economy activity (including eco-socially useful patterns of production and consumption) that would allow us to overcome these negative effects with the positive effects of our impacts on the natural environment, and rebuild the entire techno-sphere into a human-friendly and „green” form; 2. take under developmental control, as much as possible, changes progress- ing in the natural environment.

Premise B entails that access to the new sources of resources would be possi- ble by means of activating and multiplying existing intellectual potential aided by means of properly developed artificial intelligence and other new science- technology revolutionary achievements (CA p. 58). This access is conditioned on proper anticipatory forming human life-forms adequate to changing the human’s and environment’s life-needs.

All of above confirms the main thesis, that not overpopulation but moral destruction/obsolescence is the main agent of the global crisis.

To resolve this basic obsolescence problem it is necessary to create powerful, eco-humanistic global governance based on feedforward mechanisms. De- fense-developmental policy, including a technological one, must be done (in SCR) in accordance with, as much as possible, knowledge about future life-

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conditions and life-needs, and complex (including future as well as social and natural) effects of such policy realization. For this end a popularly-accessed world sustainable development (including free access to crucial knowledge) would be essential.

This global governance will also inevitably change the economic (including financial) system into one that will stimulate, in an anticipatory way, popular socio-economic activity motivated by common interest and allow socio- economic activity coordination – to create synergy – and avoid dis- synergy/negative- developmental effects.

Therefore to overcome the global crisis it is necessary at first to integrate the most powerful world social-control organizations that have socio-control knowledge and homeostasis potential, even if they are currently in antagonis- tic position with one another. To achieve this it would be convenient to pick up these powerful organizations on the basis of their susceptibility to adopting the eco-humanistic/common good/common interest value system, as well as their amount of social-control (including information) potential and stimulate them to discuss and approve the eco-humanistic anti-crisis outcomes. Thus instead of weakening strong religions organization – including the Catholic Church - we have to cooperate with them in strengthening the world society’s homeostasis potential and creating eco-humanistic global governance – factors indispensible for the stable overcoming of the global crisis.

CATHOLIC CHURCH SOCIAL TEACHING FOR DEVELOPMENT RESTORING

Among the world's powerful social-control organizations that could help the world society to recovery through eco-humanistic civilization transformation is the Catholic Church. From a cybernetics point of view the Catholic Church is an important element of world society's homeostasis, albeit for a long time mainly as its conservative subsystem (Laslo 1972, Mazur 1976, Michnowski 2010a). In fact, this church is a social control system which employs an in- formation network based on the confessional, hierarchy and the pulpit as well as a multitude of monastic, educational and scientific organizations which gather knowledge inter alia about social steering and pass it on from genera-

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tion to generation (together with acceptance of the system by its faithful) to regulate and influence human behaviour (SRS p. 41, CA .p. 55). The Catholic Church is directed by all-human common good value system and for a long time calls to transform the mutually antagonized world society into a family cooperating set (Ss p. 50, CIV p.p. 7, 53, 67).

Therefore taking under consideration and approving the Catholic Church – especially John Paul II’s and Benedict XVI’s life-defense assessments and recommendations could be fruitful in recognizing the global crisis’ essence and creating eco-humanistic global governance, refining the sustainable de- velopment strategy and really starting its realization. It would also help to confirm the falseness of the above mentioned depopulation anti-crisis strategy and put it away.

To justify the conclusion about the usefulness of the Catholic Church as world society ’s progressive element and enforce its steering role in public life I will re-iterate some adequate anti-crisis Catholic Church Social Teach- ing (CCST) critics, warnings, diagnoses and proposals. 6

In CCST view, this crisis is a crisis of egoistic axiology (CIV p. 36) as a cur- rently dominating value system.

Therefore the main CCST recommendation - for overcoming the global crisis – is to throw away the „culture of death” (Jan Pawel II 1993a, John Paul II 1999, EV, p.p. 3, 12), and transform world society with fair globalization (John Paul II 2001, 2003b, United Nations, 2005, CIV, p.p. 42, 67) into a Human Family, a Family of Nations (CIV, p.p. 53, 67), restore development (SRS p. 30) and finally create a Civilization of Life and Love (Jan Pawel II 1994, Michnowski 2006, 2010ab).

In this approach „loving” means to act for „neighbor” quality of life increas- ing, as well as to „give” others more than to „take” from them 7.

The most dramatic statement was to world society directed in 1987:

6 More, see inter alia: (Michnowski 2010). 7 You shall not murder" becomes a call to an attentive love which protects and promotes the life of one's neighbour. (VS, p. 15). Charity goes beyond justice, because to love is to give (CIV, p. 6). To „give” more (by mature subjects) than it is „taken” (from socio-natural environment) is the base of currently indispensable „development together with environment”

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„today's world, including the world of economics (…) lead us (…) towards (…) world economic crisis (…) (and – LM) death. (SRS, p.p. 24, 36, 47, CA p. 38), (…) people (…) are linked together by a common destiny, which is to be constructed together, if catastrophe for all is to be avoided. (SRS, p. 26). The essence of this call in reality is an assertion that the social-Darwinism social relations - that were current and very efficient methods of social pro- gress stimulation (with help of the poor treated as tools by the rich for their wellbeing and wealth – CA p.p. 33, 44, EV p. 18) – are completely morally destroyed, and that it is necessary to shift politics into one based on new „evil- into-good transformation” synergetic development principle (SRS p. 8, Bene- dict XVI 2008b).

To overcome the global crisis, it is necessary to transform our social relations into ones based on the principles of common good, solidarity and justice.

The common good principle means combining our good with good of all peo- ple." (SRS, p. 30, 39, CA p. 61) - i.e. to direct socio-economy activity for the common interest of rich and poor, and cooperate on „win-win” principles (CA p. 30, Hu Jintao 2009).

Solidarity depends on supporting the poor by the rich to allow them to reach „maturity”, i.e. intellectual creativity level (LE p. 8, 25), that is necessary for fruitful common good cooperation (SRS p. 38). It also means that the task for the poor is to help rich in realization of the above mutually enriching activity.

Justice means „to take” from everybody, and value the effects of his/her socio-economic activity, and „give” everybody in return from the common good, proportionally to his/her input in common good increasing, stimulating with such just dividing principle creative developmental activity (SRS p. 39, CA p. 10).

Continuation of egoistic social relations when the deficit of accessible re- source is increasing leads to setting aside and even eliminating the powerless (SRS p. 17, John Paul II 1999) and a new cold war between the highly- industrialized and poorer countries (Jan Pawel II 1993a). Additionally to de- fend against terrorism by people without perspective for a social order re-

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spectful of the dignity and rights of the person. (John Paul II 2003, Benedict XVI 2008a).

CCST warns that realization of the above depopulation strategy can be done in conspiracy (Jan Pawel II KAI) and by means of quite new, very sophisticated ways (EV p. 4, FER p. 81), as well as by open or thinly disguised totalitarian- ism. (CA p. 46)..

CCST is against speculative capitalism (CA p.p. 35, 48) and proposes to cre- ate a solid economy which will direct the functioning of the market to the common good (…) (CA p.p. 36, 42, 43, 52, Benedict XVI 2010) including Real Socialism achievements: the elimination of unemployment and help to the poorest (LE p.p. 4, 9, 25, CA p.p. 6, 34, 36, Jan Pawel II 1993b, Ss p.p. 20-22). Therefore it is necessary to regard, that private property (…) has a social function which is based on the law of the common purpose of goods. (CA, p.p. 30, 43, 52).

To overcome the global crisis CCST proposes therefore to enforce within international cooperation a United Nations Organization, creating a global governance institution - TRUE WORLD based on common good, subsidiarity, and solidarity - and to rebuild economic institu- tions and international finance (CA p.p. 48, 58, CIV, p. 67, Benedict XVI 2010).

The above mentioned few fragments of CCST justify my thesis about the need of including firmly the Catholic Church into anti-crisis and world society sus- tainable development homeostasis progressive activity.

CONCLUSIONS

In the view of the above, the main agent of the current and global crises is not overpopulation but the moral destruction/obsolescence of the forms of life that are inadequate to the new rapidly changing conditions of life. For survival we have to cooperate globally and acquire the ability of the life-forms to adapt to the new life-conditions in a anticipatory, feedforward way.

We will not be able to master the global crisis by social-Darwinism – at best

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we will only postpone the system's and its beneficiaries' fall. As far as we thrive in these morally destroyed, information-inefficient solutions – together with curbing eco-socially useful innovativeness and growing mutual hate, unemployment, hunger – the global catastrophe will be rapidly approaching.

Without knowledge about the complex and long-range effects of eco-social activity, even less poverty and more labor (also loving) simply means faster exhaustion of natural resources and extinction of nature, i.e. a faster pace to global catastrophe.

Therefore overcoming the global crisis and achieving sustainable development of the world society calls for spirituality-based civilization solutions. These solutions are radically different from traditional solutions. They will primarily create and strengthen eco-humanistic global governance and base it on a popu- larly-accessed world information system, including global dynamic monitor- ing (Michnowski 2009b). It would allow us to change the economy into a sustainable-development economy, based on a complex (including future and socio-environment effects) account of benefits and costs that stimulate com- mon good-directed cognize and innovative activity.

Seen through the prism of development cybernetics the social teachings of John Paul II, enriched by Benedict XVI, properly point to the path that world society must take to adjust to life in an era of highly-advanced science and technology. Therefore, these teachings are a good starting-point for dialogue on cooperation between different political and civilization options, dialogue that is crucial for the construction and execution of a programme aimed at an enduring conquest of the global crisis.

Thus, instead of admonishing the Church to stick to religion, let us concen- trate on creating (with backcasting – Michnowski 2003) the right conditions for John Paul II's only seemingly utopian Civilization of Life and Love.

In our scientifically and technologically advanced era there is no axiological alternative to the spirituality based eco-humanistic/common interest coopera- tion between wise, subjectively-treated and well-informed, intellectually crea- tive people aided by highly-developed science and technology, as well as in- formation culture.

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Leslaw Michnowski - Polish Academy of Sciences, Poland e-mail: [email protected]

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Amzad HOSSAIN Dora MARINOVA

WISDOM FOR LIVING WITH CERTAINTY AMIDST UNCERTAINTY

INTRODUCTION

In general, wisdom reflects a deep understanding of what is true or right, is often guided by value judgements and directs the ability to think and act (Dic- tionary.com, 2014). The believers in the Scriptural revelations conceive wis- dom as divine enlightenment or knowledge par excellence. According to Aziz Shah Fakir1, wisdom is the synergistic reflectivity of a person of higher under- standing who can see things as they are, practise moral values, nurture spiritu- ality and live in happiness. Such persons themselves are the living wisdom, as Jesus Christ is the wisdom of God – the wisdom that also ecological intelli- gence (Edwards, 1995).

According to Sefa Dei et al. (2000: 6), wisdom is a body of conventional in- digenous knowledge associated with the long-term occupancy of a certain place. It inspires the practice of seeing humans as part of nature as well as the acquiring and guarding of the wisdom of elders, pondering about the living and future generations, participating in community welfare and reflecting the connectedness to culture and all in nature. Wisdom brings together people’s traditional norms and values integrated into mental constructs that guide, or- ganise and regulate their way of living and making sense of the world. It al- lows humans to live in an environment that is often unpredictable and full of risks.

Understanding and accepting the uncertainty of life and transforming it into practical certainty are major aspects of becoming and being wise. Gibson et al.

1 Darvish Aziz Shah Fakir (102) is a renowned Baul guru. He lives with his wife Laily at the tomb of his guru Darvish Kalu Shah Fakir (d. 1971) in village Choraikole of Kushtia district of Bangladesh.

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(2005) assert that human survival itself is an old wisdom, perhaps the wisdom, as since the dawn of human civilisation, the earthly objective of most people in diverse communities has been to achieve longevity. People’s core strategy in the pre-industrialisation era was to perform activities that create a degree of certainty in relation to their basic needs, such as food, clothing and shelter. Industrialisation however introduced new perspectives in human life related to having, desiring, possessing and consuming (Macdonald 1993). The modern era introduced the fear of insecurity even when people have enough to suffice their needs. They are ever uncertain for they fail to figure out what they have and they still want more. According to a traditional proverb, ‘a greedy man is always poor’; but what modernity has created is not only personal unhappi- ness, social tensions and disparities but also ecological destruction.

There are however wise people who are trying to counteract the forces of modernity and to facilitate a more sustainable world. This chapter uses the example of Bangladesh to make the case that wisdom can contribute to creat- ing more certainty in a constantly destabilised social, economic and natural environments. Macdonald (1993) describes the following attributes to wis- dom, namely: a reality-seeking attitude, non-reactive acceptance, holistic see- ing and oneness, and behaviour that benefits others. We use these characteris- tics to explain how the Baul philosophers of Bangladesh encourage living with certainty.

Bauls are the most popular gurus in rural Bangladesh and are often seen as being at the root of the Bengali culture. They come from both Muslim and Hindu backgrounds and while mostly unlettered, show a full measure of po- etic, musical and philosophical talent. The majority of the Bauls are male; although female Bauls are fewer, they are more popular. Being truly soul stir- ring, the Bauls take the listeners closest to nature. They are environmentalists in their belief and practice; they are simple, natural, unembellished and rooted in the soil. Bauls are judged ‘illiterate’ within a written culture, but hearing their innumerable songs, one cannot but regard them as supreme pundits. For example, Baul Fakir Lalon Shah has not read any religious books, but in dis- cussing religion, he displays an extraordinary knowledge of the Scriptures. The Bauls do not believe in writing down their spontaneously composed songs. They sing as they go along and as feelings come to them.

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The Bauls are unique in socio-religious syncretisation. This has been ac- knowledged by pundits such as Rabi Thakur, Mansuruddin, Kabi Jasim uddin, Anwarul Karim, Abu Talib, Abul Hasnat Chowdhuury, Solaiman Ali Sarkar, Upen Bhattacarya, Fakir Rashid, Khaja Jahangir, Bhagawan Rajneesh, Khsi- timohan Sen, Edward Dimock, Sashivushan Dasgupta, Sanat Kumar Mitra, Mcdaniel, to name a few. All of them stress the Bauls’ contributions towards maintaining the social harmony in Bengal by subduing the prevalent caste and creed hatred in the Bangali society. How do the unlettered Fakirs do that? What are their secrets? The people listen to them and their songs, which are continuously modernised to offer contemporary relevance, and see them as sources of living wisdom. In 2005, UNESCO listed the Baul songs as an in- tangible cultural heritage of humanity (UNESCO, 2008).

A REALITY-SEEKING ATTITUDE

There is a lot of scientific evidence about the negative impact of anthropo- genic activities on climate change with the best example being the work of the Intergovernmental Panel on Climate Change (IPCC, 2013). Despite this reli- able and confirmed evidence, climate sceptics continue to attack scientists, lobby politicians and create doubts in the mind of ordinary people. A vibrant Baul song by Lalon Fakir (1774-1890) says: ‘Do not proceed through conjec- tural path, it has fatal pitfalls. Sailing on the boat of wisdom, identify a sus- tainable pathway and go by understanding your limits…’ While it is difficult for rural people to understand the complexities of the climate change debate and what are its implications for a country, such as Bangladesh, the Fakir’s wisdom calls for understanding the limits of human knowledge but also creat- ing an accurate and truthful picture of the reality.

Such a realisation may in many cases be challenging, particularly with the more frequent occurrence of natural calamities such as drought, floods, heat waves and sea level rise as well as the increasing loss of biodiversity and ar- able land. The uncertainty triggered by such ecological deterioration is further aggravated by its social and economic consequences as they relate to people’s livelihoods. An old wisdom however says: „behind every adversity lies a hid- den possibility” and „it is wise to remember that risk is opportunity’s constant

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companion” (Smith, 2005: p. xii). A way to create certainty is to seek possible solutions within the boundaries of scientifically sound knowledge that reflect the state of the art (Breyer, 1998) as well as being able to constantly analyse and reflect on your actions.

One of the most revealing examples of this is the return to organic and tradi- tional agricultural methods in rural Bangladesh after the observed evidence of ecological damage. Village people venerate nature through paying respect while exploring what it offers for meeting human needs. They look not only for what harvest the current season will bring but also how to sustain the pro- ductivity of the land for future yields. It is in this context that the villagers have changed in recent years their practices away from the discredited large- scale inorganic unsustainable methods of the Green Revolution farming (Shiva, 1992) to small-scale organic farming that supports biodiversity and does not exhaust nature’s fertility beyond its restoration capacity (Shiva, 2005).

The tradition of innovating appropriate agro-technology by uneducated folk scientists of Bangladesh can be seen as applied ecological wisdom that pro- vides an alternative to devastating modern technology. The inspiration for such innovation comes from animistic religions such as Hinduism that depicts earth as a mother giving birth to scenes composed of animals, trees and human beings. The relationship between trees, animals, vegetation and water is one of biosystems (Rinehart, 2004: 345). The rural innovators simulate the wisdom of Mother Nature and personify.

Wisdom results from a whole array of ways of knowing, being, living and dealing with the world with a degree of certainty, for the wise can see things clearly in their original form. They can deeply understand human and natural conditions with regards to when to act and when not to act. Many people in the past and of the present day, including those educated without understand- ing, appear to fail to make the best use of knowledge in terms of wisdom, which creates a fear of uncertainty.

A reality-seeking attitude allows the right knowledge to be acquired through „adversity and failure” (Thornhill, 2000:99) and applied rightly for the right objective at the right time. According to the Sufi teacher Hazrat Inayat Khan,

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„wisdom is not in words; it is in understanding”2; and a reality-seeking attitude can help develop this.

NON-REACTIVE ACCEPTANCE

The human species have evolved to feel strong emotions, including negative reactions, such as greed, envy, fear, jealousy and hatred (Macdonald, 1993). When these reactive impulses are supressed as the Baul philosophers do, they experience serenity and joy. The reactive nature of the human brain is system- atically exploited by marketing experts who encourage continuing high levels of consumption in order to maintain high levels of production of goods. This is in a sharp contrast with the Gandhi’s philosophy: „The more I have, the less I am” (Joshi, 1993: 53) which resents material possessions and encourages peace and voluntary simplicity.

The diverse natural calamities in Bangladesh such as famine, floods, droughts and cyclones cause people to frequently experience sustainability setback. In order to revitalise adaptation, coping and resilience skills while in hardship, people are culturally taught to use the widely known proverbial wisdom such as: ‘there is no happiness without sorrow’, ‘take the bad with the good, ‘where there is a will, there is a way’, ‘failure is the pillar of success’, ‘money is not all’, ‘people are the slave of their environment’, ‘desire for too much is ruin- ing’, ‘cut your coat according to your cloth’, ‘eat less to live longer’, ‘foolish is s/he who overeats’, ‘eat to sustain life, and not for the pleasure of it’; ‘wise is s/he who is immune from excessive material desire’, ‘respecting Mother Nature is worshipping God’, ‘avarice begets sin, sin begets death’. This sus- tainability wisdom conveys a sense of values that belongs to the universal human conditions (Fluehr-Lobban, 2004: 74) and creates peace and certainty.

HOLISTIC SEEING AND ONENESS

In the earliest forms of the contemporary world religions, such as Hinduism,

2 Hazrat Inayat Khan (1882-1927) is an Indian musician and Sufi teacher who is believed to have brought Sufism to the West (Sufism, n.d.).

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Judaism, Christianity and Islam, the world was presented as animated and integrated, similar to what we now call primitive or traditional knowledge (Suzuki and McConnell, 1997). The beauty of the universe was its wholeness where humans and their spirit were equal to all other things, but this has dras- tically changed. People now no longer see the connections with the other spe- cies and the rest of the non-human world and the oneness of the world. They tend to focus on their immediate circumstances ignoring the importance of others. Concepts such as evolution and system thinking are studied at school but are not truly understood in their applicability to daily living where human life is supported by the vast network of plants, trees, animals, fish, insects, soils, water, air and all elements of the biophysical environment.

On the contrary, the wise people are concerned about the wellbeing of the planet and all species on it. The serious problems that we face today, such as ecological destruction, climate change, resource depletion, social tensions, poverty, hunger and inequality, may seem divergent but are all interconnected. They should be understood and handled holistically, as one problem. In fact, Meadows et al. (1972) argued more than 40 years ago that what humanity faces is an all pervasive complex and dynamic „world problematique” which unless resolved, will generate further uncertainty for the future.

The sustainability blueprint for Bangladesh as expressed in the songs of the Bauls represents the holistic wellbeing of the country:

„Nadi vora jol (water in the river), math vora sashay (field full of crops), pukur vora maas (pond full of fish), gohal vora garu (cow in the cowshed), bari vora gaas (homestead with trees), pakhir kolotan (melodious tune of the birds), shisur koahol (uproar of children), bauler o majheer gaan (songs of Bauls and boat- men), Rathe banya jantu O vuther voy (fear of wild animals and ghosts at night).”

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BEHAVIOUR THAT BENEFITS OTHERS

The behaviour that benefits others is expressed in the direction of those who are contemporary fellow citizens as well as those who are to inhabit and in- herit this planet in the future. Living wisely is essential to lift the uncertainty for those who are yet to be born: ‘Just as the deep red of the setting sun holds the promise of a beautiful tomorrow, a life well lived conveys the gift of hope to future generations’ (Ikeda, n.d.).

The wise Bauls live a very simple life but a life that is directed towards bene- fiting their numerous disciples and followers. Compassion for all creatures on Earth as well as acceptance of their weaknesses and strengths are essential characteristics in order to avoid conflict and encourage harmony within soci- ety and with nature. The description given by Macdonald (1993) that personal growth in wisdom can reach a point when it is difficult to differentiate be- tween yourself, the universe and what needs to be done, applies faultlessly to the Bauls. This encourages the rural people of Bangladesh to live with wisdom and search for organic, gentle, non-violent and elegant ways of harmonious existence. The Bauls counteract the push for modernisation and consumerism by rejecting technological violence against nature and the contemporary meaning of economic progress. By doing this they create certainty and em- power ordinary people to be self-reliant (Marinova et al., 2006), respectful of one another and the biophysical world.

Rural people’s everyday matters, such as how to till the soil, educate children, prepare meals and so on, are founded on an intricate web of understandings, traditions and beliefs that are particular to Bangladesh and the land that sup- ports them (Gibson et al., 2005). The Bauls encourage the wisdom embedded in customary systems. From time to time, changes in thought and practice might be found necessary and desirable, but without the approach to respect tradition, there would always be a greater risk (Gibson et al., 2005). It is ac- cepted that technology is an important means to improve human lives with the change of time (Fox, 1996); however rampant, unguided, unrestrained and accelerated technological change devoid of or unsupported by wisdom can become the enemy of the living world (Smith, 2005: 231). The Baul songs warn about this.

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Educating is a major aspect of the behaviour that benefits others and the Bauls are constantly performing this in a unique way. Guru Aziz Shah says: „speak to every person according to his/her level of understanding”. Chittick (1983: 10) explains this with the following comparison: „The window determines how much light enters the house, even if the moon’s radiance fills the east and the west”. The wise educators form an active part in the process of transmit- ting „to the succeeding generations their accumulated store of the knowledge of arts, values, customs and their ideals of life as a whole as well as their ex- periences in various fields which should help the younger generation in carry- ing on their activities of life effectively and successfully” (Ahmed, 1990: 1). Their education for wisdom is essential for understanding the natural and so- cial environment and for connecting this knowledge with our concerns about nature, ecology and other people in establishing sustainability certainty.

The current UNESCO Decade of Education for Sustainable Development emphasises the importance of values (2002, 2005). A further emphasis on education for wisdom is required to achieve sustainability so that society can transform knowledge into wisdom (Knapp, 2007: 60). According to Lin (2006: 86), „(b)y putting aside wisdom education and emphasising skills and knowledge, we are letting the cart drive the horse, and we are depriving our- selves of a truly educative experience”. In formulating how to help students develop wisdom, Lin (2006) stresses that educators need to realise that while values and virtues are indispensable qualities for success in life and for soci- ety’s wellbeing, wisdom is essential for humanity’s survival and sustainabil- ity. Lin (2006:94) further explains that if we are going to successfully meet „the greatest challenge that has confronted the human race in its entire his- tory,” and „solve the common problems that threaten our future on the earth”, our mode of envisioning the template for humankind’s newly emergent global ethics must reflect creatively the knowledge and wisdom evident in the pat- terns that sustain the global eco-mind. The Baul educators are inherent trans- mitters of wisdom to the benefit of society and the globe.

Education for wisdom is best transmitted orally, especially for people who are not formally lettered. Proverbs are diffused through elders, Baul singer- philosophers, story telling by grand parents and the spiritual discourses by gurus are the main methods of oral transmission of wisdom. According to

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Regan (2000: 10), oral tradition is learning from the past as it is told and it really works. Rosenberg (1991) finds that all beliefs and values are relayed orally, face-to-face, and are held in memory. Orality for wisdom education provides ‘creations beyond the reach of literates’ (Rosenberg, 1991: 27).

As wisdom reveals itself through reflectivity, Harun Baul3 talks that in order for a person to develop a reflective disposition, s/he has to observe the reflec- tive manifestation of another person, go through personal experience or ob- serve nature itself. To encourage reflective learning of wisdom, a story about Jesus Christ is often refereed to in rural Bangladesh. It is maintained that Jesus gave away his only comb and water mug after observing a sheep drinking directly (without a mug) from a water place and a crow combing its feathers with its claws. This story helps in identifying which are people’s most essen- tial needs and by thinking about those who are most in need creates compas- sion and certainty.

Wisdom is experiential knowledge for practical application. The Bangladeshi people are inherently nature-dependent and grassroots. Mujtaba and Musavi (2000: 47) stress that local naturalists, such as the Bauls, teach them to apply wisdom by observing how every other species adapts to its changing condi- tions of life. This includes caring for and sharing of nature.

Some development activists in Bangladesh come from the traditionalists, who are known to the scholars as the culturists or the cultural mediators. In their work, they apply traditional wisdom and local knowledge to syncretise new and traditional concepts of development, thereby facilitating development to be progressive and sustainable. In their view, development does not mean exhaustion of natural resources; rather renewal of resources to see a sustain- able future and diminish uncertainty. They strongly believe in the wisdom „grasp all, lose all”. These activists voluntarily use their acquired wisdom and experience to benefit people in development, animate others and guide a dis- course on right and wrong. Their aim is to generate contentment: happiness, fulfilment, morality and aesthetics for themselves and for the fellow villagers.

These activists foster the wisdom that any development has side effect, as ‘no rose is without thorns’. However, to minimise uncertainty in development

3 Harun Baul (1938–2013) was a singer-philosopher, disciple of Aziz Shah Fakir.

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they emphasise indigenous views and represent the indigenous culture, em- powering themselves by negotiating their perceived cultural identities (Abram et al., 1997: 10). To them, development is an ever-changing phenomenon.

APPLICATION OF WISDOM

The application of wisdom is a tool to overcome sustainability uncertainty and generate or restore sustainability certainty. „It is in vain to cast your net, where there is no fish”. Rural Bangladesh is a very fertile field for sustainabil- ity education and a wise lifestyle. This is strongly facilitated by the Bauls.

Every person’s health, spiritual state, hopes and desires – all manifest the state of application of one’s self-knowing. Wisdom has it that: „Knowing is impor- tant, but applying what you know is often more important than knowing”; „the truly learned are those who can apply in practice what they know”; „knowl- edge without its application is like water without wetness”. All these examples indicate that sustainability certainty can be reached through the application of sustainability insights, for it can underpin one’s identity and power when ap- plied.

CONCLUSION

Despite presumptions of progress, our current lifestyle, devoid of social and ecological wisdom, is simply generating sustainability uncertainty. The Bauls’ wisdom describe this progress like a deer in the desert chasing after a mirage in vain in the hope of water.

According to Macdonald (1993), wisdom is not one particular thing but a whole array of being, living and dealing with the world better than in the ordi- nary ways. The present techno-industrialised global civilisation has created a dominant way of being, living and dealing which has induced added ecologi- cal, social and economic uncertainty, particularly in relation to climate change.

Sustainability itself is a cluster of old wisdom (Gibson et al. 2005:39) that has

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been forgotten and no longer used. The increasing sustainability uncertainty in the human living conditions corresponds to the diminishing application of accumulated wisdom. Thus, the final tool to apply for restoration of declining social and ecological sustainability is to be wise. This also includes the appli- cation of practices that have endured through the centuries and gave certainty in the past. According to Suzuki and McConnell (1997), there is a lot to learn from the cultures formed by the original cosmic religions, including Aborigi- nal traditions which see the land as revelatory of the sacred (Edwards, 1995). The Baul philosophers belong to these treasures of humankind.

Despite the infinite capacity of the human spirit to uncover new territories and come up with new solutions, in practice there is a lot that we do not know and probably would never know (Helminiak, 2008). What makes people wise, namely a reality-seeking attitude, non-reactive acceptance, holistic seeing and oneness and behaviour that benefits others, is deeply rooted in their values and spirituality. The Bauls are by nature environmentalists and humanists. They are a perfect example of how wisdom can be hosted throughout the centuries and spread around the globe to give hope and create certainty in an age of uncertainties.

REFERENCES

1. Abram S., J. Waldren and D. Macleod 1997. Tourists and tourism: Identifying with people and places. Oxford: Berg. 2. Ahmed, M. 1990. Islamic Education: Redefinition of aims and methodology. New Delhi: Qazi Publishers & Distributors. 3. Breyer, S. 1998. The interdependence of science and law. Science 280(5363): 537-538. 4. Chittick, W.C. 1983. Sufi path of love: The spiritual teachings of Rumi. Albany, USA: State University of New York Press. 5. Dictinary.com 2014. Wisdom. http://dictionary.reference.com/browse/wisdom. (accessed January 16, 2014). 6. Edwards, D. 1995. Jesus the wisdom of God: An ecological theology. New York: Orbis Books. 7. Fluehr-Lobban, C. 2004. Islamic societies and practices. Gainesville, FL: Univer- sity Press of Florida. 8. Fox, R. (ed). 1996. Technological change: Methods and themes in the history of

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technology. Amsterdam: Overseas Publishers Association. 9. Gibson, R.B., S. Hassan, S. Holtz, J. Tansey and G. Whitelaw 2005. Sustainabil- ity assessment: Criteria, processes and application. London: Earthscan. 10. Helminiak, D.A. 2008. Spirituality for our global community. New York: Row- man and Littlefield Pub. 11. Intergovernmental Panel on Climate Change (IPCC) 2013. Climate Change 2013: The Physical Science Basis. Summary for Policymakers. http://www.climate- change2013.org/images/uploads/WGI_AR5_SPM_brochure.pdf. (accessed Janu- ary 17, 2014). 12. Ikeda, D. n.d. Words of wisdom. http://www.ikedaquotes.org/youth-and- aging.html. (accessed January 17, 2014). 13. Knapp, J. (ed). 2007. For the common good: The ethics of leadership in the 21st century. Westport, CT: Praeger Publishers. 14. Joshi, N. 1992. Development without destruction: Economics of the spinning wheel. Ahmedabad, India: Navajivan Mudranalaya. 15. Lin, J. 2006. Love, peace, and wisdom in education: A vision for education in the 21st century. Oxford: Rowman and Littlefield Education. 16. Macdonald, C. 1993. Toward wisdom: Finding our way to inner peace, love, and happiness. Toronto, Canada: Hounslow Press. 17. Marinova, D., A. Hossain and P. Hossain-Rhaman 2006. Sustaining local lifestyle through self-reliance: Core principles. In Sharing wisdom for our future: Envi- ronmental education in action. Wooltorton, S. and D. Marinova (ed). Sydney, Australia: Australian Association for Environmental Education. pp. 373-380. 18. Meadows, D.H., D. Meadows, J. Randers and W.W. Behrens III 1972. The limits to growth. New York: Universe Books. 19. Mujtaba, S. and L. Musavi 2000. God and his attributes: Lessons on Islamic doc- trine (translated by H. Algar). Motomac, MD: Islamic Education Centre. 20. Regan, T. 2000. Non-western educational tradition: Alternative approaches to educational thought and practice. London: Lawrence Erlbaum Associates. 21. Rinehart, R. 2004. Contemporary Hinduism: Ritual, culture, and practice. Oxford: ABC CLIO. 22. Rosenberg, B.A. 1991. Folklore and literature: Rival siblings. Knoxville, TN: University of Tennessee Press. 23. Sefa Dei, G.J., B.L. Hall and D. Goldin Rosenberg (ed). 2000. Indigenous knowl- edge in global contexts: Multiple readings of our worlds. Toronto, Canada: Uni- versity of Toronto Press. 24. Shiva, V. 1992. The violence of the Green Revolution: Ecological degradation and political conflict in Punjab. New Delhi: Zed Press.

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25. Shiva, V. 2005. Earth democracy: Justice, sustainability and peace. Cambridge, UK: South End Press. 26. Smith, G.P. II 2005. The Christian religion and biotechnology: A search for prin- cipled decision-making. Dordrecht, the Netherlands: Springer. 27. Sufism n.d. Sufi quotes. http://www.rodneyohebsion.com/sufism.htm. (accessed January 17, 2014). 28. Suzuki, D. and A. McConnell 1997. The sacred balance: Rediscovering our place in nature. St Leonards, NSW: Allen & Unwin. 29. Thornhill, J. 2000. Modernity: Christianity’s estranged child reconstructed. Grand Rapids, MA: W.B. Eerdmans Pub. Co. 30. United Nations Educational, Scientific and Cultural Organisation (UNESCO) 2002. Learning to Be: A Holistic and Integrated Approach to Values Education for Human Development. Core values and the Valuing Process for Developing Innovative Practices for Values Education toward International Understanding and a Culture of Peace. UNESCO-APNIEVE Source Book No. 2. Bangkok: UNESCO. 31. United Nations Educational, Scientific and Cultural Organisation (UNESCO) 2005. Values for Learning and Working Together in a Globalized World. An In- tegrated Approach to Incorporating Values Education in Technical and Voca- tional Education and Training, UNESCO-APNIEVE Source Book No. 3. Bang- kok: UNESCO. 32. United Nations Educational, Scientific and Cultural Organisation (UNESCO) 2008. Baul songs. http://www.unesco.org/culture/ich/en/RL/00107. (accessed January 17, 2014).

Dr Amzad Hossain – Research Fellow, Curtin University Sustainability Policy Insti- tute, Australia e-mail: A. [email protected]

Prof. Dora Marinova - Curtin University Sustainability Policy Institute, Australia e-mail: [email protected]

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Transformational IV. Case Studies Worldwide

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Katarzyna KOPECKA-PIECH

CREATIVE AND CULTURAL INDUSTRIES POLICY IN PO- LAND OF 2012. STATUS, STRATEGIES, AND INAUGURAT- ING PROJECTS

INTRODUCTION

General outline and the aim of the study

Poland is a country with a population of 38 million people and has had a de- mocratic form of government for more than twenty years. Since 2004 it has been a member of the European Union. The country is divided into 16 voivo- deships with democratically elected local governments that are independent in their regional and local policy, including cultural policy. The Minister of Cul- ture and National Heritage is responsible for the growth of culture, and the protection of the national heritage. S/he coordinates the internal policy, includ- ing the realization of the cultural policy by self-government, and external, international policy as well as being responsible for the creation and realiza- tion of cultural policy in Poland. The Minister enjoys public support and strong legal standing1. Cultural policy is realized at the national, regional, and local levels. In Poland, the issue about creative and cultural industries is mainly of interest to the Minister of Culture and National Heritage, but also to the Minister of Economy and to the local governments.

The following analysis is based on public documents, mainly ministerial strategies, commissioned expert opinions, and documents prepared by inde- pendent institutions as part of selected projects. Its aim is to define the histori- cal context and then the status and position of the creative and cultural indus- tries in the Polish cultural policy in 2012. So far, the cultural policy on the

1 Ministry of Culture and National Heritage, Uzupełnienie narodowej strategii kul-tury na lata 2004-2020 (Supplement to the National Cultural Strategy for 2004-2020), Warszawa 2005, p. 68, http://bip.mkidn.gov.pl/media/docs/050617nsrk-uzupelnienie.pdf (accessed 1 March 2012).

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creative and cultural industries has not been scientifically analyzed. Up-to- date knowledge on the creative industries is very limited, and only slightly less so in the case of cultural industries. According to Krzysztofek, this prob- lem has been overlooked due to both objective and subjective reasons. On the one hand, since the transformation, cultural policy has not been a priority; on the other, it has been stereotypically understood as „a benefit that the state owes to the society”2. Individual social and governmental initiatives failed to become a sufficient stimulus for the beginning of the study of these sectors in Poland. Data is rather fragmentary. Results from the research done so far con- cern the significance of the transformation of the political system for the cul- tural sector and a broadly defined cultural policy3, individual branches and selected problems in the age of creative economy4 and the significance of creativity and innovation in the development of regions and cities5.

Post-transformational history

The twenty-year period following the political transformation in Poland was characterized by dynamic changes, including the area of cultural policy. ‘Be-

2 K. Krzysztofek, Status przemysłów kultury: między ekonomią i kulturą (Status of Culture Industries: Between Economy and Culture), [in:] Perspektywy badań nad kulturą (Prospects for Cultural Research), eds. R. Kluszczyński, Z. Zeidler-Janiszewska, Łódź 2008), p. 238. 3 J. Purchla, Kultura a transformacja Polski (Culture and Transformation of Poland), [in:] Kultura i przemysły kultury szansą rozwojową dla Polski (Culture and Culture Industries as a Chance for Development of Poland), ed. J. Szomburg, Gdańsk 2002; J. Szomburg, „Kultura i przemysły kultury szansą rozwojową dla Polski (Culture and Culture Industries as a Chance for Development of Poland), [in:] Kultura i przemysły… 4 K. Krzysztofek, Status…; P. Kieliszewski, Publiczne i prywatne. O nowym modelu relacji międzysektorowych (Public and Private. About the New Model of Intersector Relations), [in:] Od przemysłów kultury do kreatywnej gospodarki (From Cultural Industries to Creati- ve Economy), ed. A. Gwóźdź, Warszawa 2010); K. Krzysztofek, Tendencje rozwoju krea- tywnej ekonomii w sieciach (Tendencies of the Development of the Creative Economy in the Networks), in Od przemysłów…; A. Klasik, Od sektora kultury do przemysłów kre- atywnych (From the Sector of Culture to the Creative Industries), [in:] Od przemysłów … 5 T. Stryjakiewicz, T. Kaczmarek, M. Męczyński, J. Parysek, K. Stachowiak, Poznan Faces the Future: Pathways to Creative and Knowledge-based Regions. ACRE Report 2.8, 2007, http://acre.socsci.uva.nl/results/documents/WP2.8Poznan_FI-NAL.pdf (accessed 1 March 2012); T. Stryjakiewicz, M. Męczyński, K. Stachowiak, Sektor kreatywny w poznańskiej gospodarce (Creative Sector in the Poznan Economy), Poznań 2009; A. Klasik, Przemysły kreatywne oparte na nauce i kulturze (Creative Industries Based on Science and Culture), [in:] Kreatywne miasto – kreatywna aglomeracja (Creative City – Creative Agglomeration), ed. A. Klasik, Katowice 2009); A. Cellmer, Przemysł kreatywny w gospodarce miast (Crea- tive Industry in the Economy of Cities), Acta Scientarium Polonorum, Administratio Locorum, No 10, 2011, pp. 29-37.

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fore 1989 culture in Poland was almost exclusively a domain of the State and a strongly ideologized sector’6. As Purchla presents, the period between 1989 and 1991 marks the beginning of privatization in selected sectors of culture, and the of public duties, which led to the adoption of systemic reforms and the preparation of the principles of cultural policy of the State in 19937. However, the work slowed down between 1993 and 1997; and there was a return to a centralized system. Despite the self-government reform of 1997, cultural policy (if one could speak of it as such) in this context was rather an outcome of particular policies. It did not create changes, did not popularize desired models or solutions8. ‘The success of the first decade of transformations was based mainly on the use of the simple efficiency and al- locative reserves and the already existing human, social and moral resources, which were being wasted under the previous system’9. There was no under- standing of the role and the vision of culture, which is strictly connected with the deepening crisis of this sector in Poland. According to Purchla culture continued to be treated as a static and extensive system, a burden on the state budget, isolated from the private and non-profit sectors10. Polish cultural pol- icy suffered three ills: the doctrinal barrier (culture as a sacrum outside the economic circulation); the political barrier (from extreme centralization to extreme decentralization); incompetent financing and the departmental barrier – ignoring its connection with other sectors. It was so called departmental thinking, which treats culture as limited and marginal, ‘in isolation from dif- ferent phenomena of civilization: growing possibilities of communication between people, electronic media development, larger amount of free time, increased consumption of mass culture or the very development of cultural industries’11. During the first decade of transformation, culture was one big public sector, not subjected to any deeper transformation12. According to some researchers, the situation has largely remained the same today13, although a

6 P. Kieliszewski, Publiczne…, p. 36. 7 J. Purchla, Kultura…p. 15. 8 P. Kieliszewski, Publiczne…, p. 37. 9 J. Szomburg, Kultura…, p. 9. 10 J. Purchla, Kultura…, p. 14. 11 A. Rybicki, Przemysły kultury w Polsce są faktem – czas na politykę państwa (Cultural Industries in Poland is a Fact – it is Time for the Public Policy), [in:] Kultura …, p. 27. 12 J. Purchla, Kultura …, p. 13. 13 P. Kieliszewski Publiczne…, p.36.

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clear tendency towards reform needs to be pointed out.

Towards change

The last decade in Polish cultural policy is characterized by a change in think- ing about culture; there was a shift from ad hoc actions that very often depen- ded on the current political situation to long-range strategic planning. The ana- lysis of a situation, outlining objectives, and naming priorities for short, medi- um, and long-term perspectives constitute a relatively new political practice. National strategy for the development of culture, prepared by the Ministry of Culture and National Heritage was the first document that encompassed cultu- ral industries14. It was a response to the challenge posed by a new mode of action, imposed mainly by practices of the European Union. Difficulties in im- plementing a planned strategy can be seen in the introduction to the document, which contained a kind of explanation why ‘a planned strategy is no longer the whim of a visionary, but the duty of a properly functioning state apparatus and organs of self-government’15. The very preparation of the new strategy turned out to be ‘a catalyst for a new approach’16 to the question of culture in the public administration. Culture came to be seen as closely connected with economic and social development. It became part of a systemic approach, which has to be seen as a breakthrough. A rationalization for actions started to be postulated. Those having a causative power were to be distinguished from actions of a stimulating and assisting character. Moreover, strategic fields of culture in the given periods of programming were to be specified. In 2004 in Poland there was no awareness of the significance of the cultural industries. Even in the said document they are referred to as the ‘so called cultural indus- tries’17 and do not play a significant role in the strategy. This can be explained by the fact that they were defined arbitrarily and partially as ‘all private enter- prises and independent contractors operating in the for-profit industries such

14 Ministry of Culture and National Heritage, Narodowa strategia rozwoju kultury na lata 2004-2013 (National Strategy for the Development of Culture for 2004-2013), Warszawa 2004, http://bip.mkidn.gov.pl/media/docs/Narodowa_Strategia_Rozwoju_Kultury.pdf (ac- cessed 1 March 2011). 15 Ibidem, p. 5. 16 Ibidem, p. 4. 17 Ibidem.

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as book, artistic, music, film, and audiovisual industries’18 (the definition has been expanded to encompass related goods and ser-vices, e.g. cultural tourism and media). As it can be seen, there is neither a cle-ar definition of what con- stitutes activities of the cultural industries, nor a list of institutions or organi- zations belonging to them. What is more, the significance of the creative in- dustries for cultural policy was not realized, and the sector was not understood as a part of the cultural policy. The relationship be-tween culture and cultural industries was seen as one-sided, i.e., that ‘culture creates cultural indus- tries’19. A sustainable development of culture was defi-ned in the document as a continuity of tradition and preservation of cultural heritage. The different character of the commercial sector and precarious co-financing of culture by the private sector caused by the changing economic si-tuation were identified. Thus, the state was to become a guardian of culture while the cultural indus- tries were to develop outside the public sector.

At that time, cultural industries and creative industries were isolated from the cultural policy and were not of interest to the Ministry of Labour and Social Policy, the Ministry of Education or the Ministry of Science and Higher Edu- cation, and above all to the Ministry of Economy. It was not until the end of 2009 that the report commissioned by the last of the departments was issued. Until then, the Ministry of Economy did not do analysis, and, all the more, did not realize supporting programmes. Despite the preliminary analysis, the said document clarified neither the cultural nor economic significance of the Polish sectors. The document presented a range of definitions from abroad, including foreign research centers and indexes, such as the innovation index of creative sectors. However, the share of the sectors in terms of GDP or employment was not estimated. The economic significance of these sectors in Poland and the necessity of state intervention were justified through the description of its characteristics and components, analysis of the external documents such as: The Economy of Culture in Europe, United Nations Conference on Trade and Development (UNCTAD), British Department for Culture, Media and Sport (DCMS)20 and the British organization Nesta documents.

18 Ibidem, p. 13. 19 Ibidem. 20 Department of Culture, Media and Sport, Creative Industries Mapping Document, London

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The especially frequent references to the last two institutions reflect the strong influence of British standards. The recommendations were formulated on the basis of theoretical speculations, worldwide practices (giving as examples mainly Australian and British ones), and interviews with the representatives of Polish companies (it was not stated how many interviews were done; the re- sults of four interviews with anonymous respondents were presented). In order to justify the economic significance of creative industries, the national strategy for the development of culture was referred to, which, as it was already stated, did not discuss the issue of this sector.

It was also emphasized that ‘the main role of the creative sector is to create demand, and as a result stimulate the innovativity in other sectors’21. Other roles of this sector, including the sociocultural ones, were ignored. There was an about-turn in the pre-transformational approach to culture as a sphere out- side the economy, neglecting the analysis of their economic significance22. The documents analyzed demonstrate the significant problem of the artificial division between the culture subsidized by the state budget and the cultural industries, as well as focusing on their competition and not complementarity23. The first Polish programme documents concerning cultural or creative indus- tries left numerous terms undefined and many matters unsettled. However, they became an impetus for in-depth analyses made or commissioned mainly by the non-governmental organizations and local self-governments. As a re- sult of these studies, there was an increased awareness of the significance of

1998, http://webarchive.nationalarchives.gov.uk/+/, http://www.culture. gov.uk/global/pub- lications/archive_2001/ci_mapping_doc_2001.htm, (accessed: March 2012). 21 Ekorys, Analiza potrzeb i rozwoju przemysłów kreatywnych. Raport końcowy (Analysis of Need and Development of the Creative Industries. The Final Report), Warszawa Consulting 2009, p. 74, http://www.mg.gov.pl/files/upload/10147/Analiza%20potrzeb%20i%20rozwo- ju%20przemyslow%20kreatywnych.pdf (accessed: 1 March 2012). 22 The answer that was given in an interview with one of the authors of the report could be seen as quite symptomatic: M. Mazerant: What is the structure of the creative sector in Po- land? A. Śliwka: There has been no research on the structure of the creative sector in our country so far. Maciej Mazerant: What does your report say about the creative sector? A. Śliwka: On the basis of the analysis made it is not possible to determine the detailed struc- ture of CI in Poland. It was the first research of this kind, the main assumption of which was to outline the general world trends in the field of support for the creative sectors and draw the general conclusions and recommendations for Poland without making detailed research of the sector. M. Mazerant, Raport kreatywności (Report on Creativity), Newsletter Przemy- słów Kreatywnych (Creative Industries Newsletter), no 2, 2011, http://kreatywnisamozat- rudnieni.pl/kreatywni_files/File/2nr_newsletter_kreatywni.pdf (accessed: 22 April 2012). 23 K. Krzysztofek, Status…, p. 238.

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cultural and creative industries in Polish public policy and public discourse. The formation of more detailed strategies began and the first projects entered the realization phase. The methodological scheme of the cultural policy analy- sis, comprising processes, institutions and policy implementation requires a correction: the early stage of the formation of Polish policy on the creative and cultural industries allows a detailed characterization of the first two elements, but no more than an outline of the last one. Nevertheless, the analysis below indicates five issues of the cultural policy (framework, implementation, social development, economic development, management)24.

STATUS AND SIGNIFICANCE OF THE CULTURAL SECTOR, CULTURAL INDUS- TRIES, AND CREATIVE INDUSTRIES IN POLAND

Defining

As Rybicki points out, the changes that took place in Poland after the political transformation, including the wide and fast privatization, caused problems in arriving at a definition of culture25. The traditional understanding of culture includes a wide range of institutions that also undertake cultural activity. It is similar in the case of cultural and creative industries. The principal problem, which should be resolved at the beginning, is the definition of creative indus- tries and cultural industries currently accepted in Polish cultural policy, be- cause public policy depends on a specific definition26. Meanwhile, in Polish cultural policy as well as in the political discourse, there is latitude in defining and arbitrarily applying different definitions and concepts, which provokes chaos, and together with an established, coherent concept of the development of industries, additional inconsistencies. Many important documents do not include definitions at all. Difficulties arise also while translating English ter- minology. Facing the difficulties that Stryjakiewicz and others point out, i.e. lack of submission of the creative activity to strict classification rules, which

24 F. Matarasso, Ch. Landry, Balancing Act: Twenty-One Strategic Dilemmas in Cultural Policy, Strasbourg 1999, cited by: A.Pratt, Cultural Industries and Public Policy, Interna- tional Journal of Cultural Policy, no 11, 2005, p. 36. 25 A. Rybicki, Przemysły…, p. 19. 26 S. Galloway, S. Dunlop, A Critique of Definitions of the Cultural and Creative Industries in Public Policy, International Journal of Cultural Policy, no 13, 2007, p. 17.

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entails ‘equivocation and confusion of terms and classification in the litera- ture’27, a strong need appears to create a Polish national document specifying the notions and terms, based upon which it will be possible to formulate analyses, strategies and projects. A huge discrepancy exists between individ- ual notions. From the report about the economical importance of the cultural section28, prepared from the sources of the National Cultural Center, it could be concluded that the cultural industries are part of the creative sector; while creative industries consist of the cultural sector (and so the cultural industries) as well as manufacturing and indirect services sectors.

Table 1. Definitions of cultural and creative industries, Lewandowskie et al, Znaczenie….

Cultural industries Creative industries

Create consumable goods of culture’. Their products are ‘only the products and services which serve to improve the quality of con- Create ‘indirect goods, used in fur- sumers' free time. In other words, their con- ther production processes; use the sumption is a goal in itself (and does not goods of culture as a relevant factor serve to satisfy physiological needs), but of production’. their production - not necessarily’ (Lewandowski et al. 2010, pp. 15–16).

Kinds of activity: publishing, reproductions of recorded media, manufacture of toys, antiques trade, sale of newspapers, books, Kinds of activity: distributing soft- music, video recordings, cable television ware, specialist design, design, pro- services, organizing fairs, exhibitions, con- fessional photography services, ar- gresses, making, distributing, screening chitectonic services, advertising, films, video recordings and television pro- informational agencies grammes, sound and music records, broad- (Lewandowski et al. 2010, p. 17). casting programmes, literary, artistic work, activity of art institutions, library, museum, monuments.

The report commissioned by the Ministry of Economy29, despite the analysis of numerous examples does not indicate a definition of creative industries, but

27 T. Stryjakiewicz et. al., Sektor…, p. 13. 28 P. Lewandowski, J. Mućk, Ł. Skrok, Znaczenie gospodarcze sektora kultury. Wstęp do ana- lizy problemu, raport końcowy (The Importance of the Culture Sector. The Introduction to the Analysis of the Problem. The Final Report), Warszawa 2010, http://www.obserwatoriu- mkultury.pl/files/2011-01-04/znaczenie_gospodarcze_sektora_kultury.pdf, (accessed: 1 March 2012). 29 Analysis of needs and development of creative industries, Ecorys, Analiza…

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only states that ‘attention should be paid to the industries from the following sections, groups, classes and subclasses according to Polish classification of activities: the retail sale of other new products in specialized shops, publis- hing books, newspapers, magazines and other periodicals, other publishing ac- tivity, publishing computer games, film, video recordings, television pro- gramme production, film projection, architecture, advertising (including sale), specialist design, photography, artistic plays, creative literary and artistic acti- vity, operation of art facilities, libraries, archives and museums’30.

On the other hand, in the development strategy by the Ministry of Culture and National Heritage, a distinction appears between the creative and cultural industries, which are part of the market and economy – and the creative sector as well as the cultural sector belonging to the social sphere. During the diagnosis of the need for a strategy in the pipeline, the lack of a common definition and access to data were pointed out as problems31. The admission of these facts did not contribute to the elaboration of clear defini- tions and distinctions.

Table 2. Definitions of creative an cultural sector, and cultural and creative in- dustries, Ministry of Culture and National Heritage, Strategia….

CREATIVE SECTOR CULTURAL SECTOR

Sphere of social life in which professionals Term describing culture as one of (designers, architects, programmers, etc.) use the spheres of social life (politics, their imagination, talent and creativity, create science, religion, industry etc.) that ideas, concepts and works, which can achieve manufactures, reproduces, and economic value’32. popularizes cultural goods and prepares for their use’33.

CREATIVE INDUSTRIES CULTURAL INDUSTRIES

Professionalized system for the manufacture of Personalized system for the manu- goods for sale, which are the effect of individ- facture of cultural goods which are

30 Ibidem, p. 12. 31 Ministry of Culture and National Heritage, Strategia rozwoju kapitału społecznego. Projekt dokumentu po konsultacjach społecznych, (The Strategy of the Development of the Social Capital. The project of the Document after the Social Consultations), Warszawa 2011, http://ks.mkidn.gov.pl/media/download_gallery/20120112_Strategia_Rozwoju_Kapitalu_Sp olecznego_po_uzgodnieniach_miedzyresortowych_%E2%80%93_tekst_glowny_21-12-11. pdf, (accessed: 1 March 2012). 32 Ibidem, p. 126. 33 Ibidem.

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ual or collective creativity and have innovative provided for sale or those that can character. The creative industry is concerned be used as a means of production in with the production of cultural goods that are the sectors of social life different transformed into consumable objects by the than culture. Types of production cultural industry (e.g. architectonic and design that can be distinguished within this projects, screenplays, curatorial exhibition system: publishing, exhibit, film, concepts, etc.) and the ones which promote the broadcasting, music activity as well popularization and promotion of products of as the manufacture of computer cultural industry (e.g. advertisements, clips, games and multimedia, and network trailers, etc.), but also the ones which are auto- goods of culture’, etc.35. 34 nomic works (e.g. works of art)’ .

The definitions and classifications quoted do not explain the distinction that exists between the creative and the cultural industries (e.g. why does film be- long to the cultural industries but screenplay to the creative industries?). They also do not justify why a particular industry has been classified in a particular way. Every policy document defines the terms differently: from definitions based on characteristics of end products and types of consumption; through a system of production specified on the basis of characteristics of a production process; to characteristics of spheres of social life. Such a diversified approach in strategic or programme documents, or expertise makes local analysts and project promoters use definitions and classifications arbitrarily.

Table 3. Creative industries and creative sector - definitions, identification crite- ria and kinds of activity in four different municipal projects

City Definitions, identification, criteria Kinds of activity

‘Creative sectors are broadly under- design, audiovisual media, per- stood as creative industries which formance art, cultural jobs and are particularly market-oriented and creative services37 Łódź deal with the creation, production, distribution and/or popularization of creative goods through media’36.

34 Ibidem, p.125. 35 Ibidem. 36 Urząd Miasta Łodzi, Demo Effective Launching, Łódź na lata 2010-2016. Raport zamknięcia – wyniki wdrażania strategii (Lodz for 2010-2016. The Closing Report – Re- sults of the Implementation of the Strategy), Łódź 2010, p. 43, http://www.kreatyw- na.lodz.pl/data/dataPublicator/raport_zamkniecia_-_wyniki_wdrazania_str.pdf, (accessed: 1 March 2012). 37 Urząd Miasta Łodzi, Demo Effective Launching, Łódź…

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‘The term 'creative industries' ap- publishing and entertainment plies to a wide range of economic activity, film activity, journal- activities that deal with the manu- ism, museums and other cultural facture or use of knowledge and activities, retail sale of cultural Gdańsk information. They are also called goods, architecture and engi- cultural industries or creative econ- neering, design, advertising, omy’ 38 . The creative sector com- programming39 prises private companies, non-profit organisations, state institutions. ‘The creative sector manufactures advertising, design, (including goods and generates jobs through fashion), architecture, art mar- the use of intellectual property’ 40 . ket, restoration of works of art, The creative sector comprises cer- antiques market, handicraft, tain companies that are not financed craftwork, film (including vi- from the state budget. deo), photography, computer Warszawa games, music, theatre, dance, performance art, electronic, traditional publishing, pro- gramming and computer ser- vices, traditional and electronic media (television, radio)41. ‘The creative sector comprises two creative industries: advertising, basic sub-sectors: creative industries architecture, works of art, craft- and knowledge-intensive indus- work, design, and fashion de- tries’42. sign, video, film, music activity and photography, artistic and entertainment activity, publish- ing activity (software), radio Poznań and television; knowledge-inte- nsive industries: manufacturing and services in ICT save pro- gramming, financial services, legal services and other servi- ces for business (e.g. consulting, market research), R&D, higher education43

38 M. Koszarek, Diagnoza sektora branż kreatywnych na obszarze Metropolii Gdańskiej. Raport końcowy (Diagnosis of the Creative industries Sector in Gdansk Metropolis Area), Gdańsk 2010, p. 13, http://www.creativecitiesproject.eu/en/output/doc-23-2011/SWOT_Gd ansk _PL.pdf, (accessed: 1 March 20120. 39 M. Koszarek, Diagnoza… 40 M. Grochowski, Sektor kreatywny w Warszawie. Potencjał i warunki rozwoju (Creative Sector in Warsaw. The Potential and Conditions for the Development), Warszawa 2010, p. 5, http://www.creativemetropoles.eu/uploads/files/creative_metropoles raport warszawski sektor kreatywny.pdf, (accessed: 1 March 20120. 41 M. Grochowski, Sektor… 42 T. Stryjakiewicz, Sektor…, p. 14. 43 T. Stryjakiewicz, Sektor…

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The examples quoted show not only that the definitions are arbitrary and lack coherence, but also that the terms are confused (industry, department, econo- my) and the particular industries are arbitrarily classified (including the higher education and legal services). As a result, there is a risk in recommending an integrated approach to creative industries in public administration44. Formulat- ing development policy, creating strategy and efficient work coordination, until settling the question of definitions, will be incomplete and potentially contradictory.

Statistics and estimations

The fundamental problem faced by every institution trying to conduct cultural policy in Poland is the lack of current and exhaustive statistics. The Polish in- stitution charged with collecting statistics is the central statistical office: GUS (Główny Urząd Statystyczny). The problem of statistics is present in scientific publications45 and reports46. First of all, GUS does not define creative and cul- tural industries and makes it impossible to distinguish them because of the way it classifies the institutions. Moreover, the data that it holds allows only a very limited analysis, eliminating a number of companies and institutions. The GUS database contains incomplete data. For instance, only business entities with more than nine employees are listed in employment statistics, which me- ans that small and micro businesses, which dominate these sectors, are not classified. For example, in the Poznan metropolitan area, companies employ- ing less than nine people constitute 96% of all creative sector entities47, which makes an analysis impossible. The research prepared on the basis of diagnos- tic reports of particular cities shows that the data has to be verified further. Among 17,386 companies classified as belonging to the creative sector, only 6,682 really exist and conduct the declared activities (only small and medium- sized privately financed companies were taken into account)48. Moreover, the law on statistical confidentiality restricts access to data that are used to create

44 Ekorys, Analiza…, p. 75. 45 A. Rybicki, Przemysły… Kieliszewski Publiczne … 46 Ministry of Culture and National Heritage, Narodowa…; Ekorys, Analiza …; T. Stryjakie- wicz, Sektor…; M. Koszarek, Diagnoza…; Lewandowski et al, Znaczenie… 47 T. Stryjakiewicz, Sektor…, p. 11. 48 M. Grochowski, Sektor…p. 13.

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strategies and projects49. Since the publication of the national cultural strategy in 2004, the problems still remain the same: the lack of a commonly accepted definition; no itemized list of the commercial companies from this sector; and no separate GUS statistics50. Because of this, the data upon which most of the analyses, strategies, programmes, and projects concerning creative and cul- tural industries are based are only estimations or trend indicators, and not a diagnosis of the situation based on complete data51. There is also a fear that the creative sectors can be defined too broadly. This can be due to better ac- cess to data on large business entities, whose scale of activity requires a dif- ferent national policy52. Conducting research on creative and cultural indus- tries often meets mental barriers, mainly because of the sector’s little self- awareness53, and an inability to recognize the phenomena that concern it, e.g. creative partnerships. That is why it has been accepted that the quantitative research on a representative respondent group would not yield valuable results in Poland; consequently, mainly qualitative research is being conducted.

Available quantitative data on Polish creative and cultural industries

Having made additional methodological assumptions, e.g. adopting a scalar and proportional representation for other countries if there was insufficient da- ta, the first estimations of the entire country were published in 2010. The rese- arch done during the last three years yields the following results: the cultural industries and creative industries produced revenue of 17.5 and 27.5 milliard zlotys respectively. The cultural sector employed 260 thousand people and the creative sector 375 thousand. The contribution to Gross Domestic Product was 1.6% and 2.5% respectively54. Compared with the 2004 KEA research The

49 M. Koszarek, Diagnoza…, p. 9. 50 Ministry of Culture and National Heritage, Narodowa…, p. 32. 51 The international project Accommodating Creative Knowledge, Competitiveness of Euro- pean Metropolitan Regions within The Enlarged Union (ACRE), through which the research on Poznań financed, is an exception here. 52 P. Lewandowski et al, Znaczenie… 53 D. Ilczuk, K. Krzysztofek, Znaczenie kompetencji kulturowych dla budowania kreatyw- ności i kapitału intelektualnego Europy (The Importance of the Cultural Competences for the Building of the Creativity and Intellectual Capital of Europe), Warszawa 2011, p. 23, http://www.platformakultury.pl/files/2011-10-25/ekspertyza_znaczenie_komp-etencji.pdf, (accessed :1 March 2012_. 54 P. Lewandowski et al, Znaczenie…

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Economy of Culture in Europe and the report from 2003, there was an in- crease of the value added and the number of people employed. In spite of that, Poland has a lowly position in the rankings: 22nd place among 29 EU countries with regard to the creative and cultural sectors’ participation in the GDP (toge- ther with Hungary and Bulgaria), and 23rd place with regard to the level of knowledge and creativity investments within the cultural and creative sector in 2003. Poland has contributed, however, to the increase in the value added to the European GDP. Poland ranks seventh with 13%. The average rise in the turnover is 6.1% (17th place among 29 countries)55.

In Poland the highest value added is contributed by publishing activity, broad- casting and libraries, museums and monuments – 75% together; the lowest – reproduction of recorded media, sound recording and music publishing. The highest level of employment is in literary creation, activity of the art institu- tions, libraries, museums, and monuments (around 47%) and publishing activ- ity (17.5%); the lowest in the reproduction of recorded media, and sound re- cording and music publishing. A comparison with other sectors of the Polish economy is interesting. In terms of employment, the cultural sector performed better than fishery, mining, production and supply of electricity, gas, and wa- ter; mo-reover, the creative industries outperformed the hotel industry, restau- rants, as well as financial and insurance activities. In terms of the value added, the cultural sector produced GDP similar to that produced by the mining in- dustry56.

Current Strategies – crystallization of the idea of the importance of crea- tive and cultural industries

As the research shows, the issue of creative and cultural industries is part of two different national policies. In Poland it is most often located within the cultural and social policy, but also within the economic and especially innova- tion policy.

55 KEA European Affairs, The Economy of Culture in Europe. Study Prepared for the Europe- an Commission, Brussels 2006, http://ec.europa.eu.culture/key-documents/doc873_en.htm, p. 109, (accessed: 1 March 2012). 56 P. Lewandowski et al, Znaczenie…

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Cultural policy

As already mentioned in the introduction, the first Polish strategy for cultural policy was ‘a unique and pioneering undertaking’57. The strategic goal was to achieve balanced cultural development in the regions through higher effec- tiveness of management, innovative administrative solutions, greater partici- pation and equal opportunities in the access to culture, better conditions for conducting the artistic activity, preservation of the heritage and improvement of the infrastructure58. None of the national programmes created to achieve these goals was directly dedicated to the creative or cultural industry. Never- theless, it was assumed that the number of small and medium-sized compa- nies, as well as their level of employment, will rise59.

The latest documents indicate a greater complexity of the cultural policy and an increasing awareness in the use of the cultural industries’ potential. Supple- ment to the national cultural strategy already recognizes a threefold character of culture: as a value in itself, a foundation of the knowledge of society and ‘together with the cultural industries, one of the dynamically developing sec- tors of industry’60. The strategy should result in, among other things, ‘creating a relationship between culture, education and science in order to produce so- cial capital’ and ‘a creation of brand national tourism products’61. The cultural strategy will be integrated into the national development plan for the years 2007–2012. The cultural industries’ increased contribution to GDP is due to modernization and development of the cultural sector’s companies, support for small and medium-sized businesses, development of new technologies, creation of the dedicated business incubators, and increase of the cultural in- dustries’ competitiveness62. There is still no dedicated support for the cultural and creative industries, but it should be noted that the ‘development of cultural industries (cinematography, media, design, publishing, and phonography’) has become one of the partial objectives, and a ‘special importance’63, although

57 Ministry of Culture and National Heritage, Narodowa…, p. 110. 58 Ibidem, p. 116. 59 Ibidem, p. 125. 60 Ministry of Culture and National Heritage, Uzupełnienie…, p. 5. 61 Ibidem, p. 62. 62 Ibidem, p. 63. 63 Ibidem, p. 103.

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for the time being only symbolic, has been given to the cultural industries.

Creative and cultural industries in the social policy

In September 2011 creative and cultural industries were given a new scope and significance in Polish social policy. Firstly, they were for the first time defined (although, as it has already been mentioned, imprecisely) in an official strategy document, i.e. social capital development strategy, which was pre- pared under the coordination of the Minister of Culture and National Heritage. Secondly, they were recognized as an important element of social cohesion and socio-economic development, which was reflected in the specified, planned actions. It is one of the nine strategies of national development. Its operational objective number 4 is the ‘development and effective use of the cultural and creative potential’. The strategy articulated the fact that culture as an important development resource was undervalued, which served as a rea- son for reviving the public debate about creativity and culture. For the first time, actions were designed that were not only to support cultural institutions but the very process of creation and dissemination of culture, i.e. they were to support new social media users, user-generated content, etc. The support for the cooperation of entities and individuals that are active in the cultural and creative sector, both those who form part of the cultural, educational, non- governmental organization sector as well as private entities (Action 4.2.1), became the most important aim. Plans for the ‘development of the system of support for the creative industry and the support for the entrepreneurship in the cultural sector’ (Action 4.2.3)64 were made and specific solutions pro- posed: promotion of cultural activities in the economic sphere; incentives and concessions, e.g. tax reductions for artistic, scientific and educational projects; support for partnership-based enterprise in these sectors; support mechanisms for joint research and development projects and experimental projects in said sectors; support for public-private and public-social partnerships. The analysis of the document shows that the importance of building a creative environment and the role of the consumers of culture, and not just its creators, was recog- nized. The ‘assumption about the synergy of public policies in the sphere of

64 Ministry of Culture and National Heritage, Strategia rozwoju… p. 80.

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social capital and the directing of scattered actions towards the achievement of common goals’ and the ‘horizontal coordination to ensure the complementar- ity and cohesion in actions’65 became symptoms of an opening towards part- nership, which constitutes an endeavour to break with the already mentioned impasse, which is a result of departmental actions. ‘Not survival and adapta- tion, but a will to undertake common actions’66 are to characterize the social capital that contributes to the socio-economic development of Poland.

Creative and cultural industries in the economic and pro-innovation pol- icy

Creative and cultural industries are present in the Ministry of Economy’s lat- est strategic documents. The Strategy for the innovative and effective industry for the years 2011–2020. Dynamic Poland intends that the state should sup- port different kinds of innovation, including user-driven innovation, e.g. in the creative sectors67 and a closer integration of enterprise policy, innovation pol- icy, as well as scientific and technological policy: ‘the support is mainly to be directed at the (1) technological, (2) modern services sector, including the creative industries and (3) academic business activities’68. This strategy points at the so called culture of innovation, in which creative and cu-ltural industries are to play a significant role. One of the objectives is to prompt innovation, make the society participate in its creation, promote entrepreneurship, creativ- ity, innovation, and adherence (by means of education and information cam- paigns) to copyright laws and their use. In this context the si-gnificance of the cultural sector and of the creative industries is special – they constitute the potential for growth of the social capital, which is the basis of creativity and innovation69. They are also a part of the so called free time industries, which develop alongside the increased efficacy of modern economies. Thus, one of the strategy executors’ objectives is to ‘make it easier for creative products

65 Ibidem, p. 85. 66 Ibidem, p. 15. 67 Ministry of Economy, Strategia innowacyjności i efektywności gospodarki na lata 2011- 2020. Dynamiczna Polska. Projekt z dnia 12.07.2011, wersja nr 09 (The Strategy of Innova- tion and Effectiveness of Economy for 2011-2020. Dynamic Poland. The Project from 12.07.2011, Version no 09), Warszawa 2011, p. 40. 68 Ibidem, p. 54. 69 Ibidem, p. 23.

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and services to enter the market and to integrate in innovative processes the creative industrial participants coming from different sectors’70. Creative in- dustries are defined as ‘forerunners of the new forms of industrial activities’71.

Pro-innovation policy

The analyses and reports that were carried out72, directly point to the fact that the significance of the creative and cultural industries in Polish pro-innovation policy is crucial. Moreover, they highlight their close connection with the cultural policy. The former document, commissioned by the Ministry of Cul- ture and National Heritage, singles out creativity as the generator of economic value, the arbitrary character of the distinction between culture and economy, the significance of symbols and their relationships in the creation of profits. It seems that the first document created during the Polish presidency in EU en- abled Polish decision-makers to understand the character and importance of creativity and its contribution to the sociocultural and economic development. Culture here is perceived as a development factor, a tool to control symbols, a compass to find one’s way in the modern world. Its social value is appreciated and at the same time its economic value is emphasized. The document lays emphasis on the importance of creative partnerships, which are nothing other than a form of close cooperation between creative and cultural industries and other entities (public, private, social; business, educational, scientific). Espe- cially the latter document, which constitutes a continuation of the first one, explicitly states the role of creative partnerships: ‘the creation of innovative content and transfer of creative abilities from the sphere of culture to other areas of industry and social life’73. The postulates and recommendations contained in the two documents argue for a full understanding of the culture’s role in the creation of a knowledge-

70 Ibidrm, p. 61. 71 Ministry of Economy, Polska 2010. Raport o stanie gospodarki (Poland 2010. The Report on The State of the Economy), Warszawa 2010, p. 235, http://www.mg.gov.pl/fi- les/upload/8436/RoG20100830%20na%20strone.pdf, (accessed: 1 March 2012). 72 D. Ilczuk, K. Krzysztofek Znaczeni…; Fundacja Pro Cultura, Partnerstwa kreatywne w Polsce. Raport końcowy z badania (Creative Partners in Poland. The Final Research Re- port), Warszawa: 2011, http://www.obserwatoriumkultury.pl/files/2012-02-13/pro_cultura _raport_partnerstwa_kreatywne_w_polsce_copy1.pdf, (accessed: 1 March 2012). 73 Fundacja Pro Cultura , Partnerstwa …

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based economy, cultural education as a part of a school curriculum, monitor- ing and promotion of partnerships, e.g. through the exchange of ideas between people, change in regulations that make the creation of partnerships in Poland difficult and a formulation of communication strategy 74. Popularisation of partnerships is regarded here as tool to create a competitive economy and a modern cultural policy75. As a result, Polish pro-innovation policy needs to go hand in hand with the cultural policy. Visions, strategies, and actions have to support and supple- ment each other. Overcoming common institutional, legal, and psychological obstacles serves the purpose of realizing the strategy which only superficially seems relevant to different independent departments. At the moment Poland is preparing to realize the Europe 2020 strategy. There- fore, in state reform programme for the realization of the Europe 2020 ‘the support for the cultural and creative industries as the areas of innovation’76 was established. Growing awareness of their significance for the sociocultural and industrial development resulted in the Minister of Culture and National Heritage’s pointing out of the lack of reference to the creative and cultural industries in the strategy Europe 2020, which was overlooked by the leaders of other European countries. He urged for the strategy to be complemented77. It seems to be a symbolic moment when Poland begins not only to adjust itself to the changes that the developed countries are undergoing but starts to ac- tively participate in the creation of international cultural and industrial policy.

Inaugural initiatives and realized projects

Researchers emphasize the fact that the problem of cultural policy in Poland does not lie in insufficient financing but rather in its ineffective use. Since Poland’s entrance into the EU financing for culture increased significantly.

74 D. Ilczuk, K. Krzysztofek Znaczenie…, p. 73. 75 Fundacja Pro Cultura , Partnerstwa…, p. 5. 76 Ministry of Economy, Założenia do krajowego programu reform na rzecz realizacji strategii „Europa 2020 (Assumptions for the National Reform Program for the Impelementation of the Strategy „Europe 2020”), Warszawa 2010), p. 14, http://www.mg.gov.pl/node/12466, (accessed: 1 March 2012). 77 Ministry of Culture and National Heritage Page, Posiedzenie Rady Ministrów Kultury UE (The Meeting of the EU Ministers of Culture), http://www.mkidn.gov.pl/pages/posts/po- siedzenie-rady-ministrow-kultury-ue-668.php (accessed: 22 April 2012).

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There is much to be wished for, however, in the way European Funds are used: ‘they are used one-dimensionally, the emphasis rests on the absorption of money while the broader structural and organizational context is ne- glected’78. The first creative and cultural industry projects have only a regional and local character. They are not concerned with defining the problem in a systemic way, to organize it or to view it from a national perspective. Slow development of the awareness of the cultural industries’ importance in Poland led to a public debate in big cities about the possibilities created by dynamic progress of this sector. Such discussions took place among others in Warsaw, Gdańsk, Łódź, and Poznań. In some cities, the discussions were part of the race for the title of the European Capital of Culture 2016, which eventually went to Wrocław. In such a socio-political context, the first projects aimed at the support of creative and cultural industries were created in Poland. Until now they have had mainly a regional character. They are primarily financed by European Funds, through the Operational programme ‘Human resources development’, the Operational programme ‘Innovative economy’ and Re- gional operational programmes. Two of the cities that realize the above- mentioned programmes are worthy of special notice due to the aim that the support of the said sectors is to serve. The project Creative Self-employed79 realized by the Łódź City Council and the Purpose company, was part of a promotional and informational campaign, whose aim was to promote entre- preneurship and self-employment in the creative and cultural industries. The project was aimed at popularizing effective practices, offering information and support for establishing and running a business, mainly for the graduates of the humanities. The effects have been taken into account in strategy for the promotion of Łódź for the years 2010–201680, which creates a possibility for continuation and broadening of the programme. The second edition of the programme was designed to transform Łódź from an industrial city into a cul- tural one by informing officials about how to animate and support said proc-

78 P. Kieliszewski, Publiczne…, p. 38. 79 European Culture Consulting Culture Factory Page, Kreatywni samozatrudnieni (The Crea- tive Self-employed), http://www.kreatywnisamozatrudnieni.pl/o_projekcie.html (accessed: 22 April 2012). 80 Urząd Miasta Łodzi, Demo Effective Launching, Strategia promocji i komunikacji marketingowej marki Łódź na lata 2010-2016 (The Strategy of Promotion and Marketing Communication of Lodz Brand for 2010-2016), http://www.kreatywna.lodz.pl/data/data Publicator/strategia_zarzadzania_marka_lodz_na_lata.pdf, (accessed: 1 March 2012).

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esses. The city of Łódź deserves special attention here thanks to its strategy of positioning and promotion as a city of creative industries, which is accompa- nied not only by an intensive social debate and the creation of programmes at the municipal level81, scientific activity (not to mention the international con- ference Łódź you like to be creative?), but above all a specific plan of action aimed at the creation and development of cultural (creative) districts of the city, cultural and sport events, and creative industries.

In turn, the project Entrepreneurship in Creative Sectors82 is financed from the funds of the European Union Operational Programme 'Human Resources Development' by Leon Koźmiński Academy in Warsaw. Its goal is to distrib- ute EU funds in the form of donations and bridge assistance for people starting their own businesses in the creative sector (defined in accordance with DCMS, 1998). Additionally, the project was extended with the research on this sector in Warsaw as well as a training and consulting programme. As the capital, Warsaw appears to be predestined for the role as the national leader of creative and cultural industries. It is Warsaw that took part in the interna- tional project Creative Metropoles, thanks to which the City Hall issued a report on preparing activities in favour of the creative industries in one of the districts of Warsaw83. The document was made on the basis of large-scale research and public consultations in the form of workshops with the participa- tion of 175 people from the future creative district. As a result, the guidelines that ‘feed into the city administration’s decision-making process for increasing support to the creative industries were prepared’84.

Public discourse: Summary

As it was mentioned in the beginning, in the case of Poland it is difficult to

81 Urząd Miasta Łodzi, Demo Effective Launching, Łódź… 82 Akademia Leona Koźmińskiego Page, Przedsiębiorczość w sektorach kreatywnych (Entrepreneuship in the Creative Industries), http://kreatywni.waw.pl/o-projekcie (accessed: 22 April 2012). 83 Zespół Creative Metropoles, Wspieranie przemysłów kreatywnych na Pradze Północ. Wy- tyczne do opracowania planu działania (Supporting Creative Industries on North Praga. Guidelines for the Elaboration of the Action Plan), Warszawa, 2010, http://www.creativemetropoles.eu/uploads/files/wspieranie_przemyslow_kreatywnych.pdf, (accessed: 1 March 2012). 84 Ibidem, p. 2.

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analyze the process of implementing cultural policy for creative and cultural industries because of its beginnings. However, it is possible to identify the kind of the public discourse which is successively intensifying, contributing to a rise of awareness of these industries. This is, especially within the sphere of these sectors, a discourse characterized by critique and a skeptical approach. It is worth citing two publications – one scientific and the other professional – to illustrate the current situation of these sectors in Poland.

‘The peculiarity of the metropolitan, post-communist countries of the East Central Europe is expressed, among others, by their delay in taking the devel- opment path of the creative-knowledge sector, its relative 'over-representation' in Warsaw, as well as in the insufficient support policy for this kind of devel- opment, especially on the central level. In the development strategies the stress is put especially on 'hard' factors (which seems understandable to a cer- tain degree, taking into consideration long-term negligence e.g. in technical infrastructure), while the factors of social capital development are left in the background (the interest in the latter lies primarily in the rise in the number of students and professional trainings). There are also no specific initiatives in the field of public-private partnership (PPP), which in highly-developed coun- tries of the Western Europe is a relevant factor to development of the creative knowledge sector’85.

In turn, one of the industry publications comprises the following introduction: ‘We want to start the discussion on the Warsaw creative sector from the fun- damental question – what forms do the Polish variety of the creative industry assume in conditions of limited resources – without politics, strategy, support programmes, and without the habit of starting and developing economic activ- ity – and how are they formed? The publication is a presentation of different models of activity, which reflect the changes taking place in our country: de- mand for new services, which is, first of all, an effect of the change in the mentality of the society which somewhat out of breath tries to catch up with the older and more experienced fellows from Europe’86.

Analyzing the current Polish strategy in the field of culture, which positions

85 T. Stryjakiewicz, Sektor…, p. 28. 86 Creativo Page, Creative People, http://creatives.waw.pl/artykuly/creative-people/ (accessed: 23 April 2012).

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the meaning of creative and cultural industries in Polish cultural policy, it is disposed towards certain dilemmas formulated by Matarasso and Landry87. Cultural and creative industries, by becoming more and more relevant, are an object of cultural policy and policies aligned with it: economic and pro- innovative policies serve the evolution of social policy. As a result, it can be stated that analyzing Polish strategic and expert public documents, certain directions and tendencies for change can be noticed, such as turns from culture as the arts towards culture as a way of life; from cultural self-justifying value to culture development; from heritage to contemporary; from public to private; from subsidy to investment. What contributes to this are, among others, the first projects in support of creative and cultural industries, financed mainly from European funds. The initial phase of the policy for creative and cultural industries and the continual lack of precision and coherence in defining terms are preceded by the main problem, which is a real lack of development strat- egy for creative industries in Poland. The only guidelines and reference points for the project initiators, researchers, and practitioners become cultural, social and economy-wide strategies coupled with the experiences of western Euro- pean countries, which still seems to be an inefficient way to face the growing importance of these sectors in Poland and the world, apart from their particu- lar national characteristics88.

Dr Katarzyna Kopecka-Piech – Department of Communication and Media, Faculty of Sport Science, University of Physical Education in Wrocław, Poland e-mail: [email protected]

87 F. Matarasso, Ch. Landry, Balancing Act: Twenty-One Strategic Dilemmas in Cultural Policy, cited by: A. Pratt, Cultural…, p. 36. 88 I would like to thank you the translators of the article: Izabela Krypczyk and Łukasz Pudło.

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Matteo TARANTINO

FRAMING SCHOOL SPACE: NOTES FOR A TAXONOMY OF THE REPRESENTATION OF EDUCATIONAL SPACES

Social geography has taught us that „representations of space” play a key role in the social production of spaces: how we think about a space influences and feeds back on what we do in those spaces and in the materiality of these spa- ces as well (Lefebvre, 1991). This is of particular importance for key institu- tional and public spaces: a lot of scholarly work has been devoted from a so- cial geography perspective to a myriad of public spaces. Some scholarly atten- tion has also been reserved to the social production of a key space for our society: that of the school (Gallagher, 2006). Some authors (e.g.; Aitken 1994, Krenichyn, 1999; Paechter, 2002) have focused on how gender plays a role in the conflictive production of school spaces by pupils. On similar lines, a large part of this literature focuses on the practices enacted by the various social ac- tors within educational spaces, in order to stress such topics as inequality and asymmetries in power relations1 (Collins & Coleman, 2008). While spatial practices are a paramount research interest, we argue that work has still to be done on the representational side. This paper will take a different approach: as a preliminary step towards a broader of educational spaces, this paper will draw upon the analysis of 49 movies and 39 television series to propose a taxonomy of representations of school spaces. Similar efforts have been performed with respect to teachers (Bauer, 1998; Dalton, 1995; Dalton, 2010; Grant, 2002; McCullick, Belcher, Hardin, & Hardin, 2003; Trier, 2001), but not as many focus on spaces. Of course, the two cannot be easily separa- ted, as our analysis will show.

In selecting the object of this paper, we are well aware that we are isolating media representations from the lively interplay between representations, prac- tices and materialities (Tarantino & Tosoni, 2013; Tosoni & Tarantino, 2013)

1 This preference of course may be traced back to the influential work of Foucault (1977), who identified in the school space one of the foremost „modern” disciplinary institutions.

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in which they play their role. Indeed, this choice of perspective limits what we can say on the impact of these representations on concrete spaces, as well as, conversely, on the influences on them by historical materialities and practices. Both are worthwhile topics which do need throughout investigations: here, ho- wever, we will focus on the taxonomy and illustrate it through some exam- ples. We will focus on Italian and American audiovisual material, in order to stress in the conclusions some relevant differences.

The taxonomy we propose relies upon two axes. On the first, we have the flexibility of the space represented: how much and to what extent the school space represented can and is changed by the social actors: this axis will range from flexible spaces (which need little power to be transformed) to inflexible spaces, which cannot be easily modified by social actors.

On the second axis we have the institutionalization of the actor performing the transformations: this axis ranges from fully institutional actors (such as teach- ers: people from „inside” the space) to subjects who are completely external to the school (i.e. people from „outside” the space). Four quadrants result from the intersection of those two axes. Of these four spaces, two are inflexible, hard to transform, and constitute the setting of narratives of resistance or for- mation: (a) The fortress, which sees the school as an immutable, institutionali- zed space, built and operated by institutions; (b) The ruins, which see schools as a space forever ruined, destroyed in role, function and value by the action of non-institutional subjects. Two spaces are instead flexible, and constitute the setting of narratives about successful transformations: (c) the frontier, where a situation of disorder is corrected by the intervention of an institutional hero; and (d) the Liberation, in which a rigid, institutionalized space is suc- cessfully de-structured by non-institutional characters.

We will proceed now to illustrate in detail these four typologies.

THE FORTRESS: FAILED TRANSFORMATIONS

The school as a „total institution”, especially in the form of the boarding scho- ol, has been a trope of audiovisual industry for a long time. Here the school space is a barrier against the forces of individual desire, a place for the pro-

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duction of subjectivities oriented towards „good citizenship”. While texts after 1960s have been dominated by a negative representation of the fortress as a repressive device, up until the 1950s it was framed positively – and indeed, as we will see, nostalgia for this period is sometimes present in later texts.

An example is the „positive rigidity” of the Cedar Grove High School of Good Morning Miss Dove (Koster, 1955) and of its norms. Both hinge on the in- flexible teacher Miss Dove. By tightly regulating the school space, Miss Dove can correct deviants, nourish talents and form consciences by redirecting indi- vidual impulses and desired towards „productive” ends. For example, the tea- cher negates class differences through a strict alphabetic disposition of pupils (which pairs the rich and the poor at the same table). In a later scene, she uses the classroom as a confessional to restore the morality of a debauched female ex-pupil who wasted her life attracted by outside spaces (Hollywood) turning her into a nurse. All of the characters formed or redeemed by Miss Dove come at some point to homage the classroom, which remains unaltered throughout the decades the movie spans. As a fortress, Cedar Grove can be seen as a cas- tle, a place for the retire or defense of something valuable: in this case, the meaning of American way of life. A similar „castle”, containing individual desire for the „greater good”, can be found within Italian cinema in Le Diciot- tenni (Mattoli, 1955), where a female boarding school protects the authentic happiness of pupils (who risk their lives and morality when escaping it); and in Gli Anni Più Belli (Mattoli, 1956), where an elementary school run by an old-style teacher (who actually lives in the school) represents a bastion against industrial modernity. In the latter movie, the school is saved by former pupils, who, like in Cedar Grove, acknowledge as adults its importance for their life: they dismantle in court allegations made against the teacher by ruthless devel- oper Valentini for blackmailing purposes.

After the 1960s, the castle progressively gives way to the prison. By subjugat- ing individual desire, the prison does not produce good citizenships, but me- rely conformist subjects. In its seventh episode, the highly successful televi- sion show Il Giornalino di Gianburrasca (Wertmüller, 1964) makes explicit the prison character of the boarding school by showing pupils marching thro- ugh the corridors; similarly Le avventure di Ciuffettino (D'Angelo, 1969 - 1970) shows the school as a militarized space run by the omnipotent Director

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and the Teacher. During the late 1960s, the critique of the fortress becomes explicitly political: the fortress is shown as producing violent subjects. If ( Anderson, 1968) shows a space strictly regulated by senior students and tea- chers which push students to a bloody, final vengeance where authority figu- res are mowed down by gunfire and grenades.

Afterwards, political critique folds back into the private: the fortress is ac- cused of producing not so much deviant subjects but unhappy ones. For ex- ample, the cinema of John Huges presents high schools as fortress where indi- vidual instances are crushed and standardized. The Breakfast Club (Hughes, 1986), represents a paradigmatic example: a group of stock figures (the jock, the deviant, the nerd, the beauty queen etc.) are forced to spend a day in the space of the school library. Here they engage the school surveillance in a ga- me of continuous evasion, and in the spaces and times they manage to appro- priate, the discuss how their common unhappiness can be traced back to the li- mitations imposed by the school space. Another famous example of the fort- ress as a machine for the production of unhappiness is the dark Welton Acade- my of Dead poets society (Weir, 1990) – a de-politicized version of its almost identical counterpart of If . Here, the space is totally regimented and unmo- difiable, formatted through policies of access and surveillance: there are only functional spaces, and even the pupil rooms are identical. The only space for an authentic construction of the self is carved outside of the school, in a cave in the woods. Hero teacher John Keating attempts to renegotiate the rigidity of the spaces: his „spatial pedagogy” entails such things as changes in the pupil perspective (by standing on the teacher table) and the use of outdoor spaces for lessons. However, enthusiastic students mistake Keating’s renegotiation with a full spatial transformation (e.g. by publicly requesting female access to the boarding school). This sets off a chain of reaction which destroys both Ke- ating and the pupils (who, however, leave the schools with a greater aware- ness).

Even when presented as positive, the rigidity of the fortress can be exposed to the infiltration of evil in its interstices. The „juvenile delinquent” genre, very popular in the 1950s and 1960s, offers good examples of this: in movies such as High School Casear di (O'Dale, 1960). Here charismatic student Matt runs a whole organized crime operation in an otherwise „rigid” school, by exploit-

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ing spaces and times where the disciplinary look of the institution is absent.

Nostalgia for the fortress can be seen in such texts as the television series Lit- tle House in the Prairie (1977 - 1982). Here, in a school that significantly co- incides with the church, generations of female teachers maintain spatial immo- bility and tight regulation Fellman (2008). In the series finale (the TV Movie The Last Goodbye) the whole town is blown up except for the school/church, which remains as a testament to the „lost community” values. Another popular television series of the same period, Happy Days (1974 - 1984), shows a simi- lar dynamic. As Leopard (2007) remarks, the series reinvents nostalgically the 1950s school space denying the contamination by juvenile delinquency which cinema had so much stressed. Similar traces of nostalgia can be found also in Italian productions. Two-part television movie Un Anno Di Scuola (Giraldi, 1977) is set in a Trieste school in 1913. The school is a nourishing womb for students’ intellectual progress and sentimental education, as well as represent- ing a mediation ground for the opposite ideologies of the various characters.

THE RUINS

Opposite the fortress we find the space fo the ruins. It is a rigid space because it is beyond any possibility of transformation, unable to retain sense and often functionality. The marks of ruins in audiovisual are two: on the one hand the compromised appearance of the physical space (with structural deficiencies, degradation and graffiti) and the equivalence of school space and external spa- ce. School becomes a space of passage, unable to regulate behavior and attitu- des of its users. „Teachers” and „Students” are presented as mere conventions: the two groups face off as equals. Here, therefore, personal desires, narratives and actions are not only central, but by and large the only elements present.

Most of Italian cinema features this space since the 1990s. Successful Italian comedy La Scuola (Lucchetti, 1995) features one of the most popular examples of this. In a key scene, hero professor Vivaldi exists the classroom through a window to rescue a female pupil from the car of a young delinquent, bringing her back into the school. Vivaldi’s classroom represents a paradigm of the ru- ins: it is full of „profane” symbols (i.e. symbols alien to the institutional con-

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text, such as rock band posters) and it features no regularity in the disposition of bodies (students sit in groups, sometimes with their back at the professor, of- ten in loose positions). In the final scene, the school library crumbles, marking the definitive failure of the institution.

The ruins represent a stock setting in contemporary Italian cinema. We find it in again, for example, in Io Speriamo Che Me La Cavo (Wertmuller, 1989), Classe Mista 3A (Moccia, 1999) (where the profane symbol is a gigantic gra- ffiti on the classroom wall screaming "Hey Teachers Leave Those Kids Alo- ne") and in Mai + Come Prima (Campiotti, 2005). In all these spaces no trans- formation is possible: teachers can only remain faithful to in their function in- side and outside the space of the school, at great personal cost. Italian cinema identifies the main cause of the destruction in this equivalence between inside and outside, allowing the outside behaviors, motives and desires to flood the school space rendering it dysfunctional.

American audiovisual narratives do not feature the ruins as much: here the transformation/redemption of the space is always possible – which is our third quadrant, that of the frontier.

LA FRONTIERA: RISCRITTURE POSSIBILI

The space of the school frontier looks initially analogous to that of the ruins, but with a key difference: the eventual transformation from an outside agent. Its paradigm is Blackboard Jungle (Brooks, 1955), a movie which heralds a representation of American inner city schools as totally destabilized spaces, where violence is always a possibility. New professor Richard Dadier’s ar- rival at the North Manual High School is textbook Western cinema: the pro- fessor gets off the train and enters the frontier, where he is a stranger. Rusty school gates parallel those of a saloon; the same violent chaos reigns on eit- her side of them.The school space is here unable to segment anything: it is a part of a territory - the inner city – where „other” logics and practices are sov- ereign. After some doubts, Dadier re-articulates his teaching methods to fit the territory, in a progression that leads to a climax where the teacher physically fights the leaders of student delinquents and, having defeated them, takes them

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to the principal office, re-establishing hierarchies. Brooks movie explores the notion that to defeat the equiparation between inside and outside, the institu- tion must temporarily assume the „outside” codes and practices precisely in order to recover the ability of the school to delimitate its own space.

Other movies radicalize the assumption. Class of 1984 (Lester, 1982) opens with statistics about school violence to anchor the movie to „reality”. Here, the Lincoln Heights school where young music professor Norris begins to te- ach is leaning towards ruin, but is not completely compromised yet. Graffiti are there, but spaces maintain functionality. Technological surveillance (clo- sed-circuit cameras and metal detectors) are shown as unable to maintain dis- cipline (a notion that the sequel Class of 1999 will further explore, as we will see). A white-supremacist gang lead by rich bourgeois Peter Stegman beco- mes the main antagonist of Norris, who opposes it to preserve "the good kids" who, in his words "are the majority". Violence escalates quickly, culminating in the rape of Norris’ wife by the gang, which ignites the final battle. The school space becomes a battlefield, as Norris kills his opponents one by one by using the elements of the chemistry schools, the technology schools and so on. The threatened space becomes the agent of its own disinfection - a disinfe- ction that employs the codes of public execution (quartering, staking). In the final scene, Norris hangs Stegman in the middle of school concert. Norris does not do anything particular education-wise; his positive role is purely that of the avenging angel eliminating the infection.

The teacher in the frontier school basically disinfects the space from an alien presence. Chennault (2008) suggests this „alien” character relies mostly on et- hnic connotation (where a „white male” teacher opposes students belonging to ethnic minorities). Sometimes the warlike character of the spatial transforma- tion is made explicit, and the soldier and the teacher become one. Military know-how becomes the key to successful spatial transformation: this is the ca- se of former marine LouAnn Johnson in Dangerous Minds (Smith, 1995). Ho- wever, the most clear example is given by the „Substitute” saga, composed by The Substitute (Mandel, 1996), The Substitute 2: School's Out (Pearl, 1998), The Substitute 3: Winner Takes All (Pearl, 1999) e The Substitute 4: Failure Is Not An Option (Pearl, 2001). Here Carl/Karl Thomason, a former mercenary infiltrates inner city schools with purposes of vengeance (in the first two mov-

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ies) or investigation (the other two movies). His military methods transform a devastated space through a rigid discipline enforced through violence ("I don’t want disorder in my classroom" states Thomason before beating a student in front of his classmates), by regulating pupils’ body disposition and posture: for example, he imposes a univocal relationship between desk and pupil. The order is maintained through surveillance with immediate physical sanction of transgressions. Finally, the teacher takes back the space at gunpoint, remov- ing infections along with parts of the school space and complicities in the teaching body.

While dominant in American cinema, traces of the frontier can be found also in Italian cinema. However, the „Italian frontier” possesses peculiar features. First of all, it appears to transform much more the teacher than the students; moreover, whereas American cinema hinges conflict on racial tensions, Italian movies mostly use politics with the same function. Finally, all transformations are temporary here. In the comedy L'Uccello Migratore (Steno, 1972), weak Sicilian teacher Andrea is catapulted in a „problematic” roman school, where political conflict is strong. After an initial conflict, Andrea ends up at the head of the student protestors, leading them in an occupation of the school. Yet the transformation of the school space is only temporary, as repression will revert the situation to the previous state (and Andrea will end up teaching to Mafiosi in prison). In C-movies such as the crass comedy Tutti a Squola (Pingitore, 1978) these notions assumes a much more reactionary character. Professor Pip- po Bottini suffers continuous abuses in a high school where political conflict represents the soil where criminality (especially the trade of narcotics) grows justified. The principal office is represented as a trench, complete with bar- bed wire separating the principal from what he himself calls „the enemy”. The equivalence of „outside and „inside” is already dominant: during a scho- ol meeting, teachers, parents and students accuse each other of the and start a brawl: but the flick of a switch transforms the meeting hall into a disco, and all conflicts are resolved in dancing. Moreover, Pippo will finally beco- me closer to the students when, after being arrested and having served time, he will be celebrated precisely because of being a criminal in a great party (again dominated by disco music) on the school grounds. While there is still a glimmer of sardonic hope in these movies, total devastation is right around

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the corner: and indeed, after the 1980s temporary frontiers will leave the way to ruins.

THE LIBERATION

The last typology of school space is the Liberation, or the school transformed by the hero/outsider towards a de-structuration. In a specular opposite to the frontier space, victory coincides here with an a conquest (and not a restora- tion) of the Fortress which overcomes the rigidity of school space and broad- ens the agency of the actors inside of it.

A chief example is represented by television drama Diario di un Maestro (de Seta 1973) is the first Italian production to adress this dynamic in a realistic context. Shot through a realist aesthetic, its four episodes are set in a poor Ro- me neighborhood’s elementary school. Teacher d’Angelo arrives from Naples, and the clash with the sociocultural context (marked by dropouts, poverty and domestic violence) drives him to search for an innovative pedagogy (what he calls a „school adhering to life”). Like John Keating’s seventeen years after, d’Angelo’s pedagogy moves from a radical transformation of the Fortress spa- ce. First of all, he steps down his teachers’ desk (which is then transformed in- to a bookshelf) thus placing himself at the same level of his pupils. He proce- eds by enacting the equivalence between outside and inside, by taking his pu- pils to the countryside. He then renegotiates the classroom space by joining isolated desks and placing pupils’ works on the walls to create an immersive learning environment. The principal attempts to restore the previous order, by having the pupils sit orderly and behaving with „silence and deference”. This ignites the open conflict between teacher and principal, which ends with the latter exiling himself and finally returning after having found new motiva- tions. Diario di un Maestro stages processes which are the polar opposite of its American counterparts. What makes dysfunctional the „roman frontier” is not the absence of institutional processes, but their uselessness within a social context featuring intense class struggle. The final outcome is however the sa- me: anomy leading to explicit violence. Re-ordering is here de-structuring (but not destroying) and not re-structuring the school space. This notion returns in several other Italian movies: in popular comedy Paolo Barca Maestro Ele-

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mentare Praticamente Nudista (Mogherini, 1975) the rigid space of a Sicil- ian elementary school is totally (and unwillingly) de-structured by the inter- vention of a naïve Milanese teacher. Barca begins by moving the lessons out- side the classroom, in the splendid gardens of the school, where he adopts a much friendlier teaching style including notions of sex education. A clear me- taphor of the instances of sexual liberation, Barca’s approach gets him into trouble with the pupils’ parents, before being saved by an unexpectedly prog- ressive principal.

In American cinema, the de-structuration also entails explicit violence. A chief example is the sequel of Class of 1984, Class of 1999 (Lester, 1989). The new sociocultural milieu is evident: Class of 1999 is dominated by post-atomic cy- berpunk aesthetics, and is politically informed by the new fear of the organi- zed youth gang as the foremost urban problem (See Bulman 2004 and Hage- dorn 2008). In the movie the whole of the United States have reverted to the frontier state, and entire regions under gang control. Cody, leader of one of those gangs, gets out of juvenile prison and goes back to public school. Under the influence of evil Megatech Corporation, the school has secretly replaced three teachers with military robots. While initially successful in restoring the Fortress, the three cyborgs end up radicalizing the project starting to kill „pro- blematic” students and, eventually, the principal himself. In the final act, Cody gets the rival gangs together and leads an armed Liberation against the cy- borgs, which concludes with the total destruction of the schools. As in Class of 1984, the specificities of the school space are used by the hero against the enemy, with the difference those spaces are eventually destroyed. In Class of 1999 we can see a double spatial transformation. The first is the disciplinary transformation enacted by the institutions, aimed at rebuilding the fortress from the ruins; however this transformation does not solve the problems but renders the space further dysfunctional, and is again transformed by a radical de-structuring which, literally, burns it to the ground. Again, the movie con- cludes with a collective orgy of violence and a cathartic final image (fire). Li- ke the re-structuring, also the de-structuring, in American productions, passes through bloody ancestral sacrificial codes.

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CONCLUSIONS

The taxonomy we propose allows some interesting differences to emerge be- tween the Italian and American imaginaries of educational spaces. The two imaginary diverge mostly for the lack in the former of the „frontier” space and of the „ruins” in the latter. After having been relatively close in the postwar period (with the „positive fortress” image), starting from the 1970s the two imaginaries started to diverge, with the Frontier and the Ruin becoming domi- nant respectively in American and Italian cinema and television starting from the 1980s. While in the American imaginary the negativity is due to an unjust appropriation of the school space by an alien other, which merely requires appropriate strategies, in the Italian imaginary the space is characterized by structural disfunctionality and anomy which are beyond any institutional re- covery: only on the individual plan can any success (if temporary) be seen.

An hypothesis can be put forward for this. European cinema and television have never disavowed the critical deconstruction of the „fortress/castle” mo- del, whereas their American counterparts have prudently and safely located the fortress/castle in an imagined past. This deconstruction is based upon the equivalence between inside and outside spaces (a relatively recent work like the Classe Mista 3A still calls for „teaching life” as the „true calling” of the educational system). At the same time, this same equivalence informs the rep- resentation of the school as a space unable to contain anything. If American cinema can afford to invoke the Fortress in showing strong narratives of spa- tial transformation based on the powerful myth of the frontier, which allows a punctual collective catharsis, Italian representations of school appear to con- tinuously go back to the ruins image.

As mentioned, a very much needed research effort could examine how those representations of space have informed and have been informed by the con- crete spatial settings and practices of real educational spaces, by observing, for example, the spatial policies of schools, their layouts and the spatial practices enacted within it by the various social actors throughout the decades.

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REFERENCES

1. Aitken, S. (1994). Putting children in their place. Washington, DC: Association of American 2. Geographers. 3. Bauer, D. M. (1998). Indecent proposals: Teachers in the movies. College Eng- lish, 60(3), 301-317. 4. Beyerbach, B. (2005) The Social Foundation Classroom: Themes In Sixty Years Of Teachers In Film: Fast Times, Dangerous Minds, Stand On Me Educational Studies, Vol. 37, Iss. 3. 5. Brittenham, R. (2005) "Goodbye, Mr. Hip": Radical Teaching in 1960s Televi- sion, College English, 68, 149-167. 6. Bulman R. C. (2002) Teachers in the 'Hood: Hollywood's Middle-Class Fantasy. The Urban Review 34, 3, 251-276, DOI: 10.1023/A:1020655307664 7. Bulman, R. C. (2005) Hollywood goes to high school : cinema, schools, and american culture, Worth Publishers, New York. 8. Collins, D., & Coleman, T. (2008). Social geographies of education: Looking within, and beyond, school boundaries. Geography Compass, 2(1), 281-299. 9. Dalton, M. M. (1995). The hollywood curriculum: Who is the ‘good’teacher? Curriculum Studies, 3(1), 23-44. 10. Dalton, M. M. (2010). The hollywood curriculum: Teachers in the movies Peter Lang. 11. Foucault, M. (1977). Discipline and punish: the birth of the prison. New York: Pantheon Books. 12. Gallagher, M. (2006). Spaces of participation and inclusion. Children, Young People and Social Inclusion: Participation for What, , 159-178. 13. Grant, P. A. (2002). Using popular films to challenge preservice teachers’ beliefs about teaching in urban schools. Urban Education, 37(1), 77-95. 14. Hagedorn, J. M. (2008) A World of Gangs: Armed Young Men and Gangsta Cul- ture, University of Minnesota Press, Minneapolis. 15. Krenichyn, K. (1999). Coded and contested spaces in a new york city high school. Embodied Geographies: Spaces, Bodies and Rites of Passage, 2, 43. 16. Lefebvre, H. (1991). The production of space Blackwell Oxford. 17. McCullick, B., Belcher, D., Hardin, B., & Hardin, M. (2003). Butches, bullies and buffoons: Images of physical education teachers in the movies. Sport, Educa- tion and Society, 8(1), 3-16. 18. Paechter, C. (2002). Educating the other: Gender, power and schooling Routledge.

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19. Tarantino, M., & Tosoni, S. (2013). Media and the social production of urban space: Towards an integrated approach to the controversial nature of urban space. 20. Tosoni, S., & Tarantino, M. (2013). Media territories and urban conflict exploring symbolic tactics and audience activities in the conflict over paolo sarpi, milan. In- ternational Communication Gazette, 75(5-6), 573-594. 21. Trier, J. D. (2001). The cinematic representation of the personal and professional lives of teachers. Teacher Education Quarterly, 28(3), 127-142.

MOVIES AND TELEVISION

Anderson, L. (1968) If Brooks, R. (1955). Blackboard Jungle. Hughes, J. (1985) The Breakfast club. Koster, H. (1955) Good Morning, Miss Dove. Luchetti, D. (1995) La scuola. Lester, M.L. (1982) Class of 1984 - Classe 1984. Lester, M. L. (1989) Class of 1999 - Classe 1999. Mattòli, M. (1956) I giorni più belli. Mandel, R. (1996) The Substitute. Mattoli, M. (1955) Le diciottenni. Moccia, F. (1996) Classe mista 3° A. Morgherini, F. (1975) Paolo Barca maestro elementare praticamente nudista. O'Dale, I. (1960) High School Cesar. Pearl, S. (1998) The Substitute 2: School's Out. Pearl, S. (1999) The Substitute 3: Winner Takes All. Pearl, S. (2001) The Substitute 4: Failure Is Not An Option. Pingitore, P. (1977) Tutti a squola. Razotos, S. (1994) Class of 1999 2 - The Subsitute. Smith, J.N. (1995) Dangerous Minds. Steno (1972) L'Uccello migratore. Weir, P. (1989) Dead poets society. Wertmüller, L. (1989) Io speriamo che me la cavo.

TV SERIES

D’Alessandro, A. (1969-1970), Ciuffettino. De Seta, V. (1973) Diario di un maestro. Wertmüller, L. (1964) Il giornalino di Gian Burrasca

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Various (1974 - 1982) Little House in the Prairie - La casa nella prateria

Dr Matteo Tarantino - Centre for the Anthropology of Religion and Cultural Change, Catholic University of the Sacred Heart of Milan, Italy e-mail: [email protected]

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Qian GONG

MORAL LEADERS OR MORAL DEGENERATES: MEDIA, TEACHERS, AND THE POLITICS OF REPRESENTATION

INTRODUCTION

Public perceptions of teaching and teachers in a modern society are intrinsi- cally linked to and reflective of, the extent to which education is accorded a privileged place in society and its use as a means of nation-building. An un- derstanding of the ways in which teachers are stitched into different subject positions and the contestations of these multiple constructions in the media, provides insight into the national priorities of the time. This serves to both reflect and constitute a contemporary understanding of power, knowledge, education, and modernity in a given society.

For centuries in Chinese society, schools and universities have remained the core institutions to transmit dominant ideology and have long maintained a symbiotic relation with the nation state. In the socialist era and to a great ex- tent today, teachers are seen as playing a crucial part in this process and are expected to uphold official ideology. The state has been very specific in pre- scribing the ways in which teachers are imagined and promoted, to serve its needs in ideological dominance and national development goals. Socialist heroism entailing sacrifice and dedication to the country are widely promoted to mobilise teachers. In addition, teachers are also expected to fulfil their tradi- tional cultural role as an embodiment of moral excellence for the wider com- munity to emulate.

However, the positioning of teachers as a docile, political subject and moral leader has been increasingly contested in the reforms era when globalisation and marketization have dramatically changed the power structure within Chi- nese society. Since 1985, the state has cut back its funding in public schools from 80 percent to 50 percent or even less (Rosen, 2004). Education has to answer to the call of the state as well as to the market. In fact, money has per-

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vaded throughout the education system (Rosen, 2004). This tendency for commercialization of knowledge has given rise to alternative discursive space where teachers are re-imagined in relation to the state and the public. On one hand it enables teachers to have more professional autonomy and constitutes a liberating force from state control, on the other hand, this newly gained auton- omy is increasingly subordinate to market constraints (Stockman, 2000).

Caught between the state and the market, the constructions of the teacher pro- vides a good case to understand the tension between state subject-making and the alternative brought on by the market economy reforms in China. This ten- sion necessarily manifests itself in the mass media and is complicated by the seemingly unstoppable trend of commercialisation and diversification in both education sectors and the mass media. What further complicates this state vs market scenario is the ambiguous and sometimes shifting position of the intel- lectual elite on a range of social issues including modernization, education and media. In spite of the complexity, one thing which can be said about the con- struction of teaching and teachers is that, the state has played a crucial role in the material reality experienced by teachers, the social imagination of the teacher, and the subjectification of teachers. Given this, how is the identity of the teacher negotiated in the contemporary Chinese society, as represented in both state and commercial media? What is the role of the state in the subject formation of teachers? Has the identity of teachers changed with the advent of the market economy and if yes, how?

In this paper, I will try to provide some answers to these questions by explor- ing the representations of teachers in the state and commercial newspapers. In doing so, I hope to reveal a number of ways in which this tension in past-Mao China is managed and negotiated, thereby shedding some light on the com- plexity and intricacy of a reconstructed social semiotics of power in contem- porary China.

TEACHERS AND METAPHORS: HISTORICAL CONTEXTS

Like many other Asian countries, China has to confront various tensions and transitions, such as global vs. local, modern vs. traditional, tensions between

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politicisation of knowledge and its commodification and tensions between the rich and the poor (Perry & Selden, 2000; Stockman, 2000).

These tensions and contradictions manifest themselves most vividly in the domain of education. Researchers have mentioned for example, that there is a clear tension between the desire for intellectual autonomy and central political control in China, (Turner & Acker, 2002). Tensions also exist between a gen- eral rhetoric about the importance of education on the part of the central gov- ernment and its reluctance to commit financially (Zhang, 2001).

Early Confucian writings have set the aim of education to be both moral and political. A teacher aspiring to be a politician himself, Confucius believed that education plays an essential role not only in cultivating a moral self but also in strengthening the state. According to Zhuang (2002), the importance of educa- tion in nation-building is stated clearly in pre-Confucius classics such as „Col- lections of Treatises on the Rule of the Propriety and Ceremonial Usages”. The chapter on education says that „when he [the ruler] wish to transform the people and to perfect their manners and customs, must he not start from the lessons of the school? …On this account the ancient kings, when establishing states and governing the people, made instruction and schools a primary ob- ject” (Müller, 1885, n.p.). Education is the first and utmost important task for the rulers in building and managing the nation” (.” Teachers therefore natu- rally took on the proselytizing role, an agent responsible for expanding the control of the ruling class and managing state. As a result, a teacher in Chi- nese society embodies the combination of and passivity (Sil- bergeld, 1999).

Following the Confucianist tradition of describing teachers, the Chinese lan- guage offers a rich reservoir of metaphors encapsulating the public perception and expectations of teachers. Popular ones used include „spring silkworm” (chun can), „candle” (la zhu), „rung of human ladder” (ren ti), „paving stone” (pu lu shi), „engineer of human soul” (renlei xinling de gongchengshi), „hardworking gardener” (xinqin de yuanding), „leaves” (lu ye) and „nameless grass or flower” (wuming de xiaocao (hua)) These metaphors bring to the fore the qualities that the public expect from the teachers: ‘self-sacrificing’ ‘unsung heroes’, and ‘a distaste for worldly desires’ and designate an enormous level

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of responsibility, that teachers have to shoulder in their students life develop- ment.

Most of these metaphors are unique to Chinese culture and need to be under- stood in its particular cultural context. The ‘silkworm’ and ‘candle’ meta- phors, for instance, is a citation from a poem „Untitled Poem” written by the famous Tang (618-906) poet Li Shangyin (812-858). The original couplet „spring’s silkworms wind till death their heart’s threads; the wick of the can- dle turns to ash before its tears dry” is a very well-known couplet. Known for metaphorical complexity and subtle allusions, Li’s poem is generally agreed to be about love. The candle metaphor did not become associated with teacher’s image until modern poet and scholar WenYiduo (1899-1946) wrote „Red Candle” in which he expounded on Li’s metaphor to include the idea of the candle burning itself to create brightness for others and exclaimed in the end: „Red Candle/Don’t seek gains/but take infinite pains.” Although Wen’s poem describes, „candle” and „silk worms,” they have both been invoked in the context of teaching to represent the two virtues that teachers must have– in- dustriousness and selfless sacrifice.

Similarly, the „rung of human ladder” and „paving stone” metaphors portray a teacher as an unsung hero. The teacher, unlikely to share honour, power and glory, is nevertheless willing to help another person to rise to success while he himself remains the „grass” and „leaves” that serves as the soil to beautiful flowers. The view that teachers are burdened with heavy social responsibilities is most aptly illustrated in metaphors describing teachers as the „ of human soul” or „gardeners” that are directly responsible for the student’s well-being and character-building.

These metaphors point to the presence of a moral discourse for teachers to follow, which comes from time-honoured beliefs. Culturally, the Confucianist tradition of teaching emphasizes the teachers as experts who were directly responsible for training individuals with „model” behaviour or with knowl- edge and skills for specific uses in society (Turner and Acker, 2002). This reflects a preoccupation with the social and moral elements of the educational program as well as teachers. As a consequence, teachers are not only expected to be moral and caring but also have to have a sense of self-sacrifice when

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there is a gap between what they do and the reward they receive (Tao, 2002).

To this day, Tang literati and educator Han Yu’s article „On Teachers” is a seminal work on a teachers’ role. In this article, Han’s major task is to defend the Confucian orthodox at a time when students did not take teachers very seriously. „A teacher,” said Han (2012, n.p.), „is one who transmits knowl- edge, provides for study and dispels confusion”. If the second and the third are more concerned with the professional side of teaching as a job, the first one is more complicated than simply imparting knowledge and has implicit moral implications. A person who disseminates and expounds on a sage’s doctrine has to be somebody with moral integrity.

Confucian tradition prescribes teachers’ role as setting up models for the moral edification of the students. As the originator of the private education system in China, Confucius set a paragon for teachers of later generation to emulate. One of the important codes of conduct as suggested by Confucius is „yan chuan shen jiao” (teach by precept and personal example) and „wei ren shi biao” (a teacher should set up a good example to his students). The moral self, who comes from the Way of Heaven, is paramount in Confucian value system. What Confucianism seeks to achieve is nothing but „a moral trans- formation of the world, in order to make it universally human”(Bresciani, 2001). Teachers’ moral integrity provides the model for emulation for the students, thus teachers have every reason to improve their moral self and live up to the standards of Confucian junzi (gentlemen).

The junzi embodied all of the traits of the Confucian gentleman. Its sole crite- rion is based on moral achievement. Desire for personal glory is considered counter to the spirit of „shide (teacher’s virtue)”, which counselled humility and forbearance. Disregard for riches was a product of the Confucian disdain for merchants and was demonstrated by magnanimity, or indifference to monetary profit. Self-sacrificing dominates the moral discourse for teachers and is one of the main criteria for excellence. Thus, in many respects the val- ues of the teacher are merely an extension of traditional Chinese morals.

Throughout history, teachers in China are vaguely classified as intellectuals (Anonymous, 2002), who have always been regarded with ambivalence by the rulers, including Mao himself. On the one hand they are perceived as a poten-

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tial threat to the ruling power, but on the other hand, the rulers would use them as think tanks to legitimise and consolidate their rule (Gu, 2001). Under state control, teachers are afforded little intellectual freedom and autonomy. The ruling class often uses education as a tool for realising specific policy aims through conforming curricula content and teaching practices (Turner and Acker, 2002). As a consequence, the teacher’s professional well-being is par- ticularly susceptible to ideological engineering.

Turner and Acker (2002) singled out the close connection of education and politics/governments as a distinctive feature in the context of contemporary Chinese education. They described the explicit linkage between education and accession of political power, influence and social mobility and education re- forms. They then argue that these links can be taken as a barometer for deter- mining wider aspects of the social-political character of Chinese thinking at any one time. The social imaginations of teachers, one of the key players in education, are naturally entwined with ideology and subject to political forces.

For about three decades since the founding of the Republic of China, educa- tion has been the site for political control and ideological struggle. In an over- view of the education history in the first 17 years since the establishment of new China, sociologist and educator Yang Dongping (2003) identifies politi- cisation of education as one of the basic features of education in the early days of the new China. In consolidating the then still vulnerable new regime, edu- cation was used as powerful political apparatus to uproot the legacy of the old society and to provide the citizen with new ideology and political identity.

With the gradual upgrading of class struggle and the continuing politicising of education, the relationships between politics and education and that between the Party and the intellectuals remain a sensitive issue. In fact, intellectuals have been the object of attacks, criticism and reform for nearly every political campaign in the first few decades of the republic. There has been enormous tension between the intellectuals and the mainstream ideology (Yang, 2003). Teachers, traditionally defined as intellectuals, naturally bore the brunt of each ideological cleansing. Political campaigns within schools and universities had been running on frenziedly and non-stop. In the Anti-rightist movement in 1958, 550,000 people, mainly intellectuals, were classified as rightists, ac-

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counting for nearly 10 percent of the educated in the country. Teachers made up of a large part of the denounced. In Henan Province alone, 41,000 were teachers were labelled as rightists, 58% of the total number of rightists in the province (Yang, 2003).

The radical purging of educators introduced in 1958 was taken to its extremity in the „cultural revolution (1966-1976) when the whole education system was disrupted. With further directives from Mao, tens of thousands of teachers, among other intellectuals, were sent to the countryside for ideological re- education. A popular way to address teachers and other educated at that time was „chou lao jiu” – the stinky ninth. Chinese had a categorizing system simi- lar to the Indian caste system by which people were put into nine hierarchical classes based on their social status. Teachers went into the bottom rung with workers and farmers going to the top two.

However, the subject position for teachers is a most complex one and has never been consistent. In competition with the discourse of „teacher the moral model” and „teacher the stinky ninth,” there is also the teacher as the contribu- tor to socialist modernisation cause, the teacher as the conscientious worker who prepares the successors to the cause of revolution. Paralleling the politi- cising of education is the importance of education as a means of nation- building. From the slogan „To save China by developing modern education” at the turn of the 20th century to „strengthen the country with science and technology” in the 1990s, education has been entwined with the Chinese dream of modernisation.

Soon after the Cultural Revolution, the „Four Modernisations” project was again put on the state’s political and economic agenda. Deng Xiaoping pointed out in 1977 that the Four Modernisations (agriculture, industry, na- tional defence, science and technology) would be „empty talk” without devel- opment in education (CPC, 1977). Since then education has been seen as the basis for the technocratic modernisation of the economy. Teachers were hailed under the banner of „revitalise the country with science, technology and edu- cation” (ke jiao xing guo).The popular metaphor refers to the modernisation process as the „new Long March” and teachers form the „shock troupe’ in this long march.

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As part of the attempt to undo damage done to teachers’ professional well- being in the Cultural Revolution, a series of campaigns were launched to re- store teachers’ authority and social status and to encourage teachers’ commit- ment to education. „Respect the teacher” (zun shi) and „Devote to teaching” (ai jiao) became the phrase one would often come across in newspaper head- lines, speeches and articles since March 1977 (Price, 1979). National press started to publish articles on model teachers. However teachers, especially those working in the rural regions, soon found that they could hardly sustain the respect and social status conferred to them when teaching is one of the least paid jobs in the country. In rural areas paying minban teachers (teachers work in schools run by the collectives rather than the state) with IOU cards was quite common. In 1985, the annual income for a university teacher was about 1200 yuan (US$180). Secondary and primary teachers earned even less. The average income for teachers was the lowest among the 12 major profes- sions in the national economy (Xi, 2004).

In fact through the 1980s the meagre remuneration of teachers had been dis- cussed not only in official media but also in popular idioms, best exemplified in rhythmical satirical sayings known as shunkouliu (slippery jingles).

One shunkouliu speaks for underpaid schoolteachers:

„Teachers are like salt Nothing to exalt. You need them but it’s funny, They just aren’t worth your (any) money.” (Link, Madsen and Pickowicz, 2002, p. 106)

Another shunkouliu describes public sentiment by lashing out at corruption in officialdom and classifying citizens into nine classes, in the order of their so- cial and economic prestige, in which it says: „The ninth class are teachers, who can’t tell squid from sea cucumber.” Squids and sea cucumbers are con- sidered expensive delicacies in China and are thus metonymic of luxuries that teachers with scanty income would not be able afford. The press sometimes ran articles contrasting the small, fixed salary of teachers and their supposedly upgraded social status. However, typical with many criticisms of contempo-

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rary social injustices, there was the victim, but not always the responsible agent. The government’s reluctance to commit financially was only implied and seldom touched on openly.

Existing works which study the portrayal of education, mostly within the field of film studies, explore the constructions of teachers’ within these social con- texts and as such, call into question the relationship between education and the economy. For example, a few studies analyse the portrayal of rural education in the film „Not One Less”, a story about a 13-year-old village girl who takes on a job of a substitute teacher in a poverty-stricken area on the condition that one goes missing from the class. Researchers observe that the film obscures the tension between the rich and the poor and overlooks the harsh reality such as teaching as a profession is being poorly paid and valued by resorting to a politics of compassion (Dai, 2000; Liu, 2000; Sun, 2002).

Needless to say, the discourse on teacher’s „dai yu” (remuneration) would not be possible to emerge without the transition from „the politicisation of knowl- edge to its commodification” (Stockman, 2000). For the first time in thou- sands of years, the dominant discourse on teachers as models for emulation of communities was strongly challenged. The „moral teacher” or the „educator of the successors to the socialist cause” is no longer the only discursive parame- ters within which to represent teachers. There are reports on teachers who have „abnormal mentality” and abuse children, teachers who are only keen on publishing and social activities, but not on teaching or teachers (Zheng & Xu, 2004) and teachers who are „only concerned with pursuing their own benefit” (Zhang, 2004).

With the increasing commercialisation of knowledge in the 90s, the contradic- tion has grown all the more intense between the image of the teacher as a „po- litical and moral subject” and the teacher as one who is driven by his/her own material desires and professional goals. With the substantial decrease of gov- ernment funding, schools and universities have to seek funds from increasing tuition fees. As education is still the major means through which people are able to secure high-paying jobs, ambitious parents are often willing to use their power, connections or money to get their children into the good schools and prestigious universities (Rosen, 2004). Money has permeated the educa-

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tion system and has caused corruption that is unprecedented in scale and seri- ousness (Xiao, 2003).Teachers, for once, are reported to engage in activities such as exhorting money from students, taking briberies or making use of the parents’ power. The narrative of teachers trading their characters for money gives the public such a „moral shock” in society that such stories now consti- tute a special category in commercial media’s narration on the spectacle of various corruptions.

SUZHI, THE INTELLECTUAL ELITES, AND THE STATE

From 1980s human „quality” or Suzhi as it is more commonly known, has become a key term in China’s development and modernisation discourse (Anagnost, 2004; Murphy, 2004; Rosen, 2004; Yan, 2003). Suzhi is an all- embracing concept that refers to the innate or acquired physical, intellectual, moral and ideological characteristics of a person (Murphy, 2004). In the state rhetoric the Suzhi of the citizens determines the nation’s future survival and prosperity in the competitive world. The view that the national strength relies on the quality of its citizen is also shared by the elite Chinese intellectuals. Anxiety over the low quality of Chinese people were a hot topic in the 19th century when China first encountered colonial power (Murphy, 2004) and resurfaced again in the debate among intellectuals on the cultural impediments to modernisation in late 1980s (Anagnost, 2004).

Although Suzhi discourse encompasses a range of policy areas such as repro- duction and child-bearing, labour migration and state responsibility in the welfare system, it particularly concerns teachers, as school is seen as playing the vital role to „raise” the quality of the citizen, particularly the backward population in rural areas. The concept „Suzhi education” was raised in mid 1980s and since then has been gradually defined as the governing education policy. The educational reform brings teacher’s Suzhi to the fore. One of the main ideas of the Suzhi education is to change the current emphasis on rote- learning and exam-oriented practices. Teachers are often blamed for changing the students into a „machine” who can only memorise facts but does not pos- sess analytical skills or creativity. The need for teachers to improve their Suzhi is frequently stressed in various government reports and in the press.

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In the Suzhi discourse, teacher’s role lies in transforming the children into modern citizens. In this sense, many of the norms of the ideal teacher in the socialist discourse still apply. Teachers have to perform the roles as an indus- trious worker, a patriotic citizen and a model that embodies the many virtues and someone who have to be responsible for their own self-improvement. Their professional performance is stressed but largely to achieve the state- sanctioned modernisation goal.

THE DISCOURSE OF SACRIFICE: THE STATE, MEDIA, AND THE POLITICS OF INTERPELLATION

Dominant discourses about teacher in China have consistently constructed the model of a sacrificing, active contributor to the socialist cause and a model for the communities across the country to emulate. Idealised representations of teachers who endured hardships because of work commitment appear not only in official newspapers and television, but popular media forms such as films and television drama. In spite of the rapid economic and social transformation occurring in China in the last two decades, the discursive construct of the teacher as the main exemplar of moral and active agent in the modernisation process has remained stable. Newspapers stories on teachers tend to have a romantic or sometimes ethereal tone, presenting teachers to be individuals who are out of touch with the mundane world, oblivious to the needs of pursu- ing material comfort, and endowed with extreme moral discipline.

The state construction of teachers as ethereal moral exemplars and contribu- tors to social collective cause is clearly evidenced in official newspapers such as Guangming Daily. A Party-controlled newspaper targeting middle-class intellectual readership, Guangming Daily has a focus on education, science and technology, medicine and culture. It also caters to elite intelligentsia who may or may not share the understanding of education. The paper carries news and features on education every day. The dual function of Guangming Daily of both delivering the state message and speaking to the specific concerns of the intellectuals, makes the paper a good showcase of the complexities of the power dynamics in the subject-formation of teachers.

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The government attaches great symbolic significance to education, which is evidenced by the fact that each year, a day is allocated to the celebration of the profession. It is one of the three profession-based festivals the government officially recognised, the other two being „Journalist’s Day” and „Nurses Day”. The symbolic high status of the teachers is highlighted in the designa- tion of such an event. The Chinese media, both television and press, usually run week-long campaign to mark these symbolic dates. Teacher’s Day which falls on September 10th recently had its 20th celebration. Editorials expounding the importance of the role of teachers are customarily run on occasions like this by official newspapers. Guangming Daily carried an editorial entitled „Solute to the honorary people’s teacher” on the twentieth anniversary of the Teachers’ Day in 2004. This editorial, like many of the others, serves to ar- ticulate the official view of how teachers should be seen in society. After summarising the improvement of teacher’s social status in the past 20 years, the editorial went on to expound and propagate teacher’s importance in to- day’s world: Then it goes on to say that to further strengthen and improve young people’s ideological and moral education is essential for the Party’s long peaceful reign and for realising China’s modernisation and to ensure the „great revival of the Chinese ethnicity.”

The editorial demonstrates clearly that dramatic change in the political and economic environment inside China does not dilute the significance of educa- tion in political and social control. The ideological imperative outweighs any other consideration of educations. Young people are cast as the future actors in the statist rhetoric and teachers are right at the „ideological front” in China’s striving forward in a world that is described as highly competitive. Teachers are honoured for their contribution to the crucial survival of the na- tion in the world and are also duty-bound in ensuring China’s future as a mod- ern society. The teacher’s role is clearly prescribed and institutionalised - they serve an instrumental function in the end of the Party and state’s exercise of order. They themselves become agents of surveillance for the under-aged. The teachers themselves, however, are only a link in the chain of the rule. The zealous preaching of the importance of teachers by describing the profession as „honorary”, „noble”, as a „mission” has a religious tone to it. We can safely assume that when a profession is hailed in this way, it calls for devotion with-

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out questioning. This, along with the official designation of the „national teachers’ day” could constitute what Anagnost (1994) described as „ceremo- nies of objectification.”

By analysing a news story on the competition for model household status, Anagnost (1994) argues that such ritual ceremonies not only subject everyone to the panoptic gaze of power, but more significantly the bestowal of status honours, through the issuing of ritual marks and public processions, affirms the Party’s power to discriminate between what is good and what is bad. By defining the social respectability of teachers the Party state is able to catego- rise the subjects onto a hierarchical grid for judgement. What is made visible is not only the teacher’s behaviour but more importantly the Party’s authority in defining the universal standard of these behaviours.

The emphasis on morality in the discourse surrounding teachers is clearly shown in the concluding paragraph of the editorial. In summarising, the edito- rial says that to complete the sacred mission of education we need to reinforce the virtue of teachers in order to foster a total commitment to the cause of educating students and respect for their profession. Of utmost importance in teaching profession is not professional competence but moral standard. The call for devotion and appeals for high moral standards thus are everything in the teaching profession.

While the Party’s paternal authority is clearly present in its prescribing teacher’s role and behaviour, it is further demonstrated in its promise to de- liver the goods for the teachers. The last section of the editorial once again reiterates the need to create an environment conducive to teaching, an envi- ronment in which the whole society cares and support education, respect teachers, cares for teacher’s work, study and life and does practical and good things by all possible means for teachers, etc. The editorial does not specify who exactly will act as an agent responsible for ensuring all these to happen, but instead uses an inclusive „we” in its commentary. Vague as it is, it thus becomes very interesting for the reader to ask whom this „we” represent. Judged from the list of things that „we” are expected to do, this pronoun seems to refer to both the Party and the public. In another word, it includes all the rest of the „people” but the teachers. Notice that this is „we” is also pater-

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nal – caring, responsible, nurturing towards the teachers and taking the inter- ests of the whole. It is another way of saying that „we will do what we have to do for you as long as you do what you are expected.”

I will argue that this „we” is precisely „the party writ large, as the unified voice of the people as one” (Anagnost, 1994). Teachers, their role being speci- fied, expectations on them explained, public display of concerns on their be- half expressed, are left to fulfil the expectation in society, with little political agency. I would thus argue that this authoritative endorsement of teachers’ work, the bestowal of status honours to the teaching profession and the exud- ing warmth and care towards teachers are strategies to objectify and politicise teachers and to weave teachers in the nationalist narrative of modernising China. I would demonstrate how this is achieved in the „perennial stories” about teachers in state press such as Guangming Daily.

On the same day that editorial on teachers was published, there is a feature article entitled „the Model of Senior Intellectuals in the New Age” (Cai, Yang, & Zhu, 2004) .It is common practice in Chinese newspaper, especially Party papers, to state certain concepts and policies in the editorial, and then to illus- trate and reinforce these concepts and policies in subsequent news stories and features (Sun, 1996). This feature on a professor is in a way, the Party’s defi- nition of teachers’ subjectivity embodied in flesh, as stated poetically in the beginning of the article: „Chinese intellectuals are a special group. They are noble, countering to setbacks with tolerance. They are gentle, painstakingly maintaining the demeanour of traditional gentry (jun zi). They are steadfast and persevering, undaunted by repeated setbacks. They are optimistic, the greater the adversity, the stronger the will. They regard their academic ethics as more important than their life. They are most afraid of troubling others,” (Cai, Yang, & Zhu, 2004).

What follows is a profile of Ma Zuguang, a professor of Harbin University of Engineering who died in June 2003. As more than a year has lapsed between the publications of the article and the date the person died on, this is not an obituary. We can assume that the profile was specifically written to as the „perfect teacher/intellectual” incarnate. Ma’s life stories personify the quali- ties mentioned in the beginning of the profile: leading a simple, nearly ascetic

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life style, he did not even have a proper cotton-padded mattress. When he was doing research in Germany, he survived on noodles but submitted the 10,000 marks he saved to the Ministry he served in. He stayed up late successively for over 100 days to complete a significant research project in spite of his poor health. He refused to apply for academician after he heard that it was not an entirely corruption-free process. As an academician in laser research, Ma’s contribution in his research and teaching in this area is briefly mentioned. But the focus of this story is obviously on the moral side of him. He was specifi- cally chosen to represent teacher/academics because he is ideologically „sound”. The story quoted Ma saying „I’m not a long candle anymore. I have to burn myself as fully as possible.” Here Ma’s using of the „candle” meta- phor indicates the efficacy of the Party’s social engineering in forming the intellectual’s sense of self.

The moralising discourse of the Party on teachers, however, is not an entire invention of the Party/state. In my view, the Party/state in making the subject of teachers has appropriated a lot of the traditional cultural values and rituals. For example, being an exemplary society, imperial China had the ritual of bestowing a posthumous title on a ruler, a nobleman, or an eminent official or those chosen as the appropriate to the life and moral qualities of the deceased. This particular ritual ensures the public that the righteous and the moral will be rewarded, sooner or later. Therefore, it pays off to be a person of nobility and integrity.

Ma’s story also contains propriety that is deeply rooted in Chinese tradition of intellectual nobility. Although Confucians holds a practical and worldly view towards civil service, this tendency of reclusion, of distaining fame and for- tune has been encouraged as inseparable and complementary virtue to public servants. The discursive construction of intellectuals as aloof from material pursuits (qing gao) has been stable in Chinese intellectual history. „Qing gao” has become a defining feature of scholars including teachers. Writer Lu Wenfu has a short story entitled „Qing Gao.” Not surprisingly the protagonist is a teacher.

The traditional „virtue” of „qing gao” continued in the Party’s narrative about teachers. The story mentioned above dutifully provides several examples to

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show Ma’s integrity: Ma often insisted on signing his name in the last place in jointly published papers or even insisted on completely taking his name out; To the young academics, he would rather serve as a „human ladder,” giving them guidance and support; When he heard that there was people who paid to have their journal published, he was so angry that he was swearing.

Ma’s integrity, however, is not discussed in the context of self-reliant scholar but a communist - it was emphasised in the Ma’s own words that „as a com- munist I do not need special treatment” when he refused to move into a more spacious state-allocated apartment. This is rather extraordinary as since 1980s, there has been a discursive attention to the „ethics of the intellectuals” and complicity with authority – in this case the political authority, Party leader- ship, and the central political systemic power, is considered problematic (Dai, 2000). Teachers seem to be excluded in this evaluation of intellectual integ- rity. They were placed within the state’s political academic. Submission to the power of the state and conformity with the values propagated by the state are regarded as natural for teachers.

Like most other intellectual communities, teachers are completely reliant on state’s system for a long time. But teachers’ moral imperatives and other vir- tues are particularly relevant in the state’s modernisation narration. Teachers have occupied special position in a society where social control is largely reli- ant on exemplary norms. Bakken (2000) reasons from Foucauldian discipli- nary theory that the idea of model emulation was of utmost importance in Chinese philosophy. Even though there are signs that the power of the exem- plary is withering, exemplary model is still influential. Bakken (2000) further argues that there is a tendency of „traditionalisation” of model charisma, dem- onstrated in the reintroduction of ancient myth and in the nostalgia for tradi- tional figures of authority such as the family and the teacher. Class teacher has been seen as the crucial figure in moral education and can be described as the „spiritual entrepreneur.”

Teachers are not only an important link in the chain, in safeguarding the moral and ideological norms that are carried forward, they themselves serve as ex- emplary models that are emulated by not only students but the whole society. It is not surprising that the single, big event to celebrate the „Teacher’s Day”

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this year is to hold the national conference on teachers virtue (shi de) in Bei- jing. Stories on teachers extolling on teacher’s virtues regularly appear in state newspapers. The state media often adopt a romanticised, almost lyrical style in describing the teachers’ impassioned devotion to the educational cause and how this altruism and sensibility bring changes to the education. The profiles on teachers are almost always emotionally charged.

A survey of the profiles in Guangming Daily reveals a lyricism in writings on teachers. A profile (Chen, Liu, & Bai, 2004, p.9) on a hard-working professor Sheng Peilin who treats the students as his own children has a title „Others have millions worth of fortune; I have three thousands of ‘peaches and plums.’” „Peaches and plums” is a lyrical analogy of disciples and students of a teacher, who is compared as a successful „gardener.” The image of a selfless and elitist teacher is achieved through an antithesis of a nameless „other” that cherishes material gains. Not only the stock metaphor „candle” metaphor is routinely invoked in the story, but it also quoted a poetic line from writer Ba Jin to describe Sheng’s selfless devotion and modesty: „I would rather be transformed into soil, to be kept in people’s warm foot marks,” (Chen, Liu, & Bai, 2004, p.9).

THE SCANDALISED TEACHER: THE MEDIA, THE MARKET, AND THE COM- PETING DISCOURSE

Even though the widespread ritualistic extolling of teacher’s moral excellence is prevalent in state media, the discourse of the nobility that has surrounded teachers is challenged in the commercial media. On the one hand, stories of virtuous and exemplary teachers represent the grand narratives of society and have to be propagated in the state media; on the other hand, grand narratives are losing their appeal among readers. For the readership-conscious commer- cial media, one thing is clear: stories parading models simply will not sell. Not only that, to maintain social orders through exemplary models has an inborn risk – it is vulnerable to resistance and cynicism. Teachers constantly receive ‘bad press’ in the commercial media, not in spite of, but precisely because of, the excessively moralising in the state media. Cynicism toward models was made public in a well-known incident in 1988 when a group of model educa-

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tors and youth representatives met a group of young people in southern China’s Shekou city. During that tour, the issue of the credibility of the mod- els was raised by the youths and exemplary model was criticised by the young people as „hypocritical.” Later that year, a satirical film „The Trouble- Shooters” (Wang, 1988) was screened. With a script based on the novel writ- ten by popular iconoclastic writer Wang Shuo, the film meaningfully included a professor of moral ethics who could not resist the temptation and punctually turns up for a „date” with a young girl on the street, whom he hinted to a young man to chat up for him.

The overwhelming positive representation of teachers in state media gives the commercial or semi-commercial media the chance to provide alternative rep- resentations hitherto hidden from public view. Furthermore, I would argue that the commercial media, in response to the growing cynicism toward ex- emplary models in the ruins of Chinese socialism, bank on the monolithic portrayal of the teachers in the state media. In other words, although sex, vio- lence, and crime sell well in contemporary China as in the West (Sun, 2004), it is all the more appealing if all these are about the all-good and all-moral teachers.

The image of teachers in commercial media regularly is often that of moral outrage. Teachers are portrayed as physically abusive towards students, mole- sting young children, visiting prostitutes or stooping to anything to get money. Li Yanling (2004) did a survey and identified the five categories of images appearing in the popular media: teacher the reprimanding instructor; teacher the wealth-accumulator; teacher implementing corporal punishment; teacher the pervert and teacher the sex-offender. The force of market plays the most important role in motivating the last four type of portrayal rather than the con- scious subversion of the state discourse for the sake of resisting the dominant discourse. It is the intention to „consume” teachers more than anything else.

CONCLUSION

The ways in which the teacher and teaching are constructed in China are vari- ous, complex, and subject to the historical, social and political circumstances

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in which teachers find themselves in. From the exemplary moral model for emulation by the community in the imperial times to „niu gui she shen” (mon- sters and demons) in the 1960s; from the intellectual aloof from material pur- suits to the angry fighter for wage increase; from the conscientious socialist worker to the „stinky ninth”, the analysis of the discourse on teachers reveals a figure woven in the tangled web of politics, culture and ideology. The repre- sentation strategies of teachers thus reveal the tensions and complicities be- tween the state, the market, and the intellectual elite.

Teachers play a crucial role in the state’s effort to ensure social control and ideological domination. They are not only instrumental in administering the transmission of ideology, but their body also serve as a charismatic moral figure for the whole society to emulate. Because of this, the teachers are sub- ject to strict discipline. Discourse on teachers represent the grand narratives of the society and have remained unchanged for decades. Harmony, stability, cohesion, constancy, sacrifice, control of self, and attachment to the group, all the story-lines for the exemplary narrative (Bakken, 2000), are evoked in the narratives on teachers. The narration on teachers is rooted in the culture. He/she is the mythical „intellectual” who naturally distains material gains and fame. On the other hand, he is ready to sacrifice himself for the collective goal of the society. Redeploying the narratives of the past enhances the Party’s legitimacy and power in parading the virtues of teachers.

A teacher is paradoxically an authoritative figure and a subject of blind obedi- ence in contemporary society. Teachers have a childlike relationship to „adult” authority. The Party’s power is made visible in its authority to confer honours to teachers and in its paternal gesture to take care of teachers on be- half of the people.

Displaying teacher’s virtues (shi de) to the greater public is a discursive strat- egy of state subject making. In this hegemonic representation, teachers as a subject have little agency, but to embrace his/her mission wholeheartedly.

While the state media construct a politicised sage for teachers, commercialised press provide an alternative image of teacher. The representation of commer- cial media operates on the need of „selling” the stories to the readers. The commercial press contradict the exemplary moral model discourse by portray-

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ing teachers as capable of selfish, immoral or inhuman behaviour. This contes- tation of the official discourse is a conscious act to dismantle the propaganda or to resist the Party’s subject making of teachers. Rather, it capitalises on the monolithic propagation of teachers’ image to create shocking and sensations, thus selling the story more successfully. Consequently, the alternative dis- course on teachers in the commercial media does not subvert the official dis- course. It is exploitative and does not grant agency to teachers. Neither the „sage” discourse nor the „demon” one is empowering.

Between the „sage” and „demon” discourses, discussions of teacher’s role in education that advances peace, freedom and social justice have yet to enter the public discursive space. Equally conspicuously missing is the perspectives on the profession of teaching which shed light on the ways in which changed political and social relations impact on the subject formations of teachers as individual. The concern of the intellectual elite on the professionalization of teacher’s workforce, for example, signals a growing sense of self wary of state discipline, but such voices have so far been largely co-opted by the state. Just like the traditional virtue of self-discipline and industriousness could be used by the state in interpellating teachers into state-subjects, the intellectual elite discourse is often usurped by the state. The call for professionalism, for ex- ample, often emerges in the state’s „Suzhi” discourse. Teachers are called on to undertake professional training to raise their own „quality” in order to transform children into proper citizens or to justify their increased pay and upgraded social status.

But resistance is not entirely hidden from view. Film director Chen Kaige’s movie „King of the children” (Ah, 1987) reflects an effort on the part of the intellectual elite to undermine the state-defined subjectivity of teachers. The film tells a story about a young man who teaches independence to his students in a village in the turmoil years of „Cultural Revolution.” The protagonist Lao Gar is a youth sent down to a remote village in southwest China teach a group of rural children. Resisting playing the docile and authoritarian role expected of a teacher, he refuses to lead his students to read and memorise political text and asks them to write their own ideas. Lao Gar’s quest of a self free from political and authoritarian constraints provides an example of resistance to the state’s definition of teachers as a docile subject. Resistance to the discursive

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regimes of representations of both the state and market may also be identified in another discursive site – the trade-based journals, magazines and interviews with teachers. Further research may do well to examine the range of positions on and assess the impact of, teaching and the teacher in these publications.

REFERENCES

1. Ah C. (Writer) and K. Chen (Director) 1987. King of Children (haizi wang). Xi’an, China. 2. Anagnost A. 1994. The politicized body. In Body, Subject and Power in China. Zito A. and T. Barlow (ed). Chicago, US: Press. 3. Anagnost A. 2004. The corporeal politics of quality (Suzhi). Public Culture 16(2): 189-208. 4. Anonymous 2002. Are Teachers intellectuals? October 22nd. China Education Gazette. p. 4. 5. Bakken B. 2000. The exemplary society: human improvement, social control, and the dangers of modernity in China. New York, US: Oxford University Press. 6. Bresciani U. 2001. Reinventing Confucianism: The New Confucian Movement. Taipei, Taiwan: Ricci Institute. 7. Cai C., G. Yang and W. Zhu 2004. Xin shiqi gaoji zhishifenzi de kaimo (A model for senior intellectuals in the new era: a profile on Ma Zuguang, the academician of China Academy of Sciences and Professor of Harbin University of Industry). September 10th. Guangming Daily. http://www.gmw.cn/01gmrb/2004- 09/10/content_97370.htm. (accessed January 30, 2014). 8. Chen F., M. Liu and J. Bai 2004. Ren you jia cai wan guan, wo you tao li san qian (Others have millions worth of fortune; I have three thousands of peaches and plums). February 12th. Guangming Daily. p.9. 9. Communist Party of China (CPC) 1977. The Eleventh National Congress of The Communist Party of China (Documents). Peking: Foreign Languages Press. 10. Dai J. 2000. Sceneries in the fog. Beijing, China: Beijing University Press. 11. Gu M. 2001. Education in China and abroad: perspectives from a lifetime in comparative education. Hong Kong, China: Comparative Education Research Centre, the University of Hong Kong. 12. Hallam J. 2000. Nursing the image: media, culture and professional identity. London, UK: Routledge. 13. Han Y. 2012. On Teaching. http://eastasiastudent.net/china/classical/han-yu-shi- shuo-i. (accessed January 30, 2014). 14. Li Y. 2004. Deconstructing and demonising-the image of the teacher in popular

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media. http://www.culstudies.com/rendanews/displaynews.sp?id=4303. (accessed June 15, 2005). 15. Link P. R.P. Madsen and P. Pickowicz (ed). 2002. Popular China: - unofficial culture in a globalising society. Lanham, Maryland: Rowman and Littlefield. 16. Liu J. 2000. Inspirations from clay pots and iron pots. Readings 258 (September): 72-80. 17. Müller F.M. (ed). 1885. The Sacred Books of China. The Texts of Confucianism, Part IV. http://oll.libertyfund.org/?option=com_staticxt&staticfile=show.php%3Ftitle=201 4&chapter=140332&layout=html&Itemid=27. (accessed January 29, 2014). 18. Murphy R. 2004. Turning peasants into modern Chinese citizens: "Population Quality" discourse, demographic transition and primary education. China Quar- terley 177:(March) 1-20. 19. Perry E.J. and M. Selden (ed). 2000. Chinese society: Change, conflict and resis- tance. London, UK: Routledge. 20. Price R. 1979. Education in Modern China. London, UK: Routledge and Kegan Paul. 21. Rosen S. 2004. The victory of materialism: aspirations to join China's urban mon- eyed classes and the commercialization of education. The China Journal 51(January): 27-51. 22. Silbergeld J. 1999. China into film: frames of reference in contemporary Chinese cinema. London, UK: Beaktion Books Ltd. 23. Stockman N. 2000. Understanding Chinese Society. Cambridge, UK: Polity Press. 24. Sun W. 1996. Reading the Other: Narrative constructions of Japan in the Austra- lian and Chinese Press. Sydney, Australia: University of Western Sydney. 25. Sun W. 2002. Leaving China: - Media, migration and transnational imagination. Lanham, Maryland: Rowman and Littlefield. 26. Sun W. 2004. Indoctrination, fetishization and compassion: media constructions of the migrant woman. In On the move: women in rural-to-urban migration in contemporary china. New York, US: Columbia University Press. pp. 109-128. 27. Tao S. 2002. On teacher's professional ethics. July 13th. China Educational Ga- zette. p. 3. 28. Turner Y. and A. Acker 2002. Education in the new China: shaping ideas at work. Hampshire, UK: Ashgate Publishing limited. 29. Wang S. (Writer) and J. Mi (Director) 1988. Trouble-shooters (wan zhu). Beijing, China. 30. Werner J. 2004. State subject making and womanhood’s in the Red River Delta

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of Vietnam. Asian Studies Review 28 (June): 115-131. 31. Xi Y. 2004. Ershinian gongzi zengzhang zhishao shi bei, jiaoshi shouru chaoguo bailing (Teacher's salary increases by 10 times, surpassing white collar profes- sionals). http://www.ce.cn/cysc/cysczh/200409/09/t20040909_1715694.shtml. (accessed November 22, 2004). 32. Xiao X. 2003. Criticism on the education policy from the basics: a critical reflec- tion of education in the 90's. http://www.usc.cuhk.edu.hk/wk_wzdetails.ask?id= 2297. (accessed September 1, 2013). 33. Yan H. 2003. Neoliberal governmentality and newhumanism: Organizing suzhi/value flow through labour recruitment networks. Cultural Anthropology 18(4): 493. 34. Yang D. 2003. The basic features of the 17 year education in new China. http://www.usc.cuhk.edu.hk/wk_wzdetails.asp?id=2919. (accessed 31 August, 2004). 35. Zhang K. 2004. Why are teachers only concerned with "their own benefits?" February 5th. Guang Ming Daily. p. 9. 36. Zhang X. 2001. A Film Director's Criticism of Reform in China: a close reading of Zhang Yimou's Not One Less. China Information 15(2): 131-139. 37. Zheng J. and W. Xu 2004. High reward for school teacher causes controversy. February 28th. Guang Ming Daily. p.5. 38. Zhuang S. 2002. Distribution based on productive factors: its theoretic and realis- tic basis. Jiangsu Radio and Television University Journal 200301: 70-73.

Dr Qian Gong - School of Education, Curtin University, Australia email: [email protected]

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Yuan GAO Jeffrey KENWORTHY Peter NEWMAN Philip WEBSTER

ANALYSIS OF THE COMPETITIVE CAPACITY OF SIX PROVINCES IN CENTRAL CHINA: TOWARDS „CENTRAL RISE”

INTRODUCTION

In the process of global economic development, economic globalization is ac- companied by regional integration. Regions have gradually become the growth poles and supporting points of wealth creation nationwide. Since the European Economic Community was created in 1958, the European Union and other mature political and economic zones have been formed, which pro- mote coordinated development regionally and internationally. In China, from the ‘Promoting Coordinated Development of Regional Economy’ proposed by the 16th National Congress of the Communist Party of China (CPC) in 2002 to the ‘Recommendations for the Eleventh Five-year Plan’ which was issued by the CPC Central Committee and passed in the Fifth Plenary Session of the 16th Central Committee in 2005, it is now clearly demonstrated that regions in Chi- na have already become the new units for promoting overall national competi- tiveness.

In the 1980s, strategies for developing the Coastal Regions were adopted and these shifted the national centre of economic development to the south-eastern coastal area. The West Region Development Strategies launched in 1999 have given priority to the western regions to some extent. Since the Revitalization of the Northeast Old Industrial Base, proposed in the 16th National Congress of the CPC in 2002, the economic development of north-eastern China has be- en greatly boosted. However, the economies of landlocked provinces have be- en in a state of stagnation due to the lack of policy support, namely "Central

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Downfall". The previous privileged development strategies broke links betwe- en eastern, middle and western areas of China, which has seriously hindered integrated development at the national level. In order to turn the current situa- tion around, central governments have decided to implement the "Central Ri- se" strategy, which facilitates China’s graduated, and coordinated regional de- velopment.

In March 2004, the then Prime Minister Jiabao Wen definitively put forward the „Central Rise” idea in the government work report for the first time, and in the same year the "Central Rise" strategy was officially proposed in the Fourth Plenary Session of the 16th Central Committee. The midlands area includes Shanxi Province (Jin), Anhui Province (Wan), Jiangxi Province (Gan), Henan Province (Yu), Hubei Province (E), and Hunan Province (Xiang). Taiyuan, Hefei, Nanchang, Zhengzhou, Wuhan and Changsha are their capital cities respectively. The six provinces are located in the hinterland of China, with an area of 1,970,000 square kilometres, occupying 20% of the entire national land area. In addition, this area housed around 28.1% of national population and contributed approximately 19% to the national GDP (Gross Domestic Product) in 2004. As the base of grain production and raw materials supply in China, these provinces have rich mineral resources, convenient transportation links which extend in all directions nationwide, and they contain profound cu- ltural heritages. The spatial differentiation of provincial resources and the co- mplementarity of interior industrial structure are fundamental to the coordina- ted development among these six provinces.

Figure 1: Map of Six Provinces in central China

Source: Own Graphic

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Research pertaining to the competitiveness of these six provinces in central China has been conducted from different perspectives, including overall com- petitiveness (Zhong, Peng and Peng, 2003) provincial competitiveness (Li, Li and Gao, 2007), capital city competiveness (Yang and Fang, 2007; Ni, 2006) and competitiveness of urban agglomerations (Zhu and Tong, 2010). The ex- isting research outcomes undoubtedly examine the development situation of central China to some degree. However, analyses concerning variations in competitiveness since the implementation of the „Central Rise” strategy at provincial and urban levels, will provide a more comprehensive and dynamic understanding.

DEFINITION OF COMPETITIVENESS

Since Adam Smith introduced the competitive principles into economics, re- lated theories have become the interest of research both nationally and interna- tionally. However, the focus is basically on national competitiveness, macro- scopically (Lodge and Vogel, 1987; Hämäläinen, 2003; Snieška and Drakšaitė, 2007) and urban competitiveness, microscopically (Kresel and Singh, 1995; Webster and Muller, 2000; Begg, 2002; Buck et al., 2005). There is not enough attention paid to provincial or regional competitiveness, which is now a major contributor to competitive capacity both at national and urban levels in many countries.

National competitiveness is defined as the ability to create national wealth based on the incorporation of inherent resources with acquired production activities, while at the same time considering the capacity of that country to consistently increase its economic growth rate and improve its living quality (Dong-Sung and Hwy-Chang, 2005). Since 1989, joint efforts by the IMD and WEF have been made to enrich and develop notions, indicators and ap- proaches to national competitiveness. The Global Competitiveness Report (Lopez-claros, 2005), which was issued by the IMD and WEF in 1994, re- stated that nationwide competitiveness refers to the ability of a country to produce more prosperity in comparison with rivals in the global market (Ge,

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Liu and Fu, 1995).

Michael E. Porter, an American economist, put forward the Competitive Ad- vantage Theory based on systematic research outcomes, which include Com- petitive Strategy (Porter, 1980), The Competitive Advantage (Porter, 1985) and The Competitive Advantage of Nations (Porter, 1998). These studies are generally conducted from the national perspective. However, Porter claimed that results relating to national competitive advantage could also be applied into sub-areas, namely regions and cities, which are more appropriate units. Webster and Muller (2000) defined urban competitiveness as the competence of urban regions to yield superior goods and services to other cities.

When it comes to provincial competitiveness, nationally-documented research is now available in China (Xu, 2007). Ni (2006) has determined that provin- cial competitiveness in China is commonly recognised as the integrated ability of cities within a province (refers to the special spatial and economic region being assessed), to bring about economic growth, social development and human well-being enhancement. The extent of provincial competitiveness is affected by provincial political, economic, social and other driving factors (Li, 2011).

ESTABLISHMENT OF INDICATORS AND ASSESSMENT

Establishing the System of Indicators

Indicators do not only contain components or processes to reflect the status of systems, but also provide feedbacks to various target groups for decision- making (Huang, Wong and Chen, 1998). The proposed system of indices in this paper, which are derived from previous outcomes and distinct features in China, includes twenty-eight indicators to assess the status of development in different provinces and different periods (Table 1).

Table 1: System of Indicators for Assessing Regional Competitiveness

X1 Gross Regional Product (100 million Yuan)

X2 Growth Rate of Gross Regional Product (%)

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X3 Gross Regional Product per capita (Yuan)

X4 Income per capita (Yuan)

X5 Fiscal Revenue (10,000 Yuan)

X6 Household Savings Deposit (100 million Yuan)

X7 Total Investment in Social Fixed Assets (10,000 Yuan)

X8 Total Investment of Foreign Funded Enterprises (100 million USD)

X9 Total Value of Imports and Exports (10,000 USD)

X10 Transition Value in Technical Market (10,000 Yuan)

X11 Proportion of Gross Regional Product by Secondary Industry (%)

X12 Proportion of Gross Regional Product by Tertiary Industry (%)

X13 Proportion of Employed Persons by Secondary Industry (%)

X14 Proportion of Employed Persons by Tertiary Industry (%)

X15 Employment Rate (%)

X16 Number of Theatres Number of Licensed (Assistant) Doctors in Health Care Institutions per X 17 1,000 Persons (Person)

X18 Number of Undergraduate Enrolments (Person)

X19 Number of Books in Public Library per 100 persons

X20 Popularization Rate of Mobile Phones (sets/100 persons)

X21 Number of Vehicles under Operation (unit) 2 X22 Area of Paved Roads per capita (m )

X23 Percentage of Greenery Coverage in Built-up Area (%) Output Value of Products Made from Utilization of Waste Gas, Water and X 24 Solid Wastes (10,000 Yuan)

X25 Percentage of Industrial Effluents Emissions in Line with Standard (%)

X26 Percentage of Industrial SO2 Emissions in Line with Standard (%)

X27 Treatment Rate of Consumption Wastes (%)

X28 Percentage of Disposed Domestic Sewage (%)

Source: China Statistical Yearbook (NBS 2005, 2011) China City Statistical Yearbook (Wang and Chen 2005; Chen 2011)

Evaluating Method

Data for the established indicators was collected from the China Statistical Yearbook (NBS 2005, 2011), China City Statistical Yearbook (Wang and Chen, 2005; Chen, 2011). and other published documents or websites. Then

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the correlation matrix, which is calculated through the statistics application SPSS17.0, reflects the obvious relevance among selected indicators, namely they need to be simplified and sorted because of the multi-collinearity. KMO and Bartlett’s Test of Sphericity was also carried out to test the feasibility of the Factor Analysis (FA), which is employed here to assess provincial com- petitiveness.

These indicators are made dimensionless based on their Z-Score. On the basis of Principal Component Analysis (PCA), three common factors are extracted whose cumulative contributions to variance are more than 85%. According to the factor loading matrix, indicators are categorized into three types, namely economic performance, social performance and environmental performance (Table 2).

Table 2: Analysis of Common Factors Common Factors Explained Indicators

F1 (Economic Performance) X1, X2, X3, X5, X6, X7, X8, X9, X11, X12

F2 (Social Performance) X4, X10, X13, X14, X15, X16, X17, X18, X19, X20, X22

F3 (Environmental Performance) X21, X23, X24, X25, X26, X27, X28

Source: Own Indicator Groups

In terms of economic performance, the indicators of Gross Regional Product, Fiscal Revenue, Total Investment in Social Fixed Assets, Household Savings Deposit, Total Investment of Foreign Funded Enterprises and Total Value of Imports and Exports, are included in the category of „economic scale” for demonstrating the size of the economy locally, nationally and internationally. The proportions of Gross Regional Product by Secondary and Tertiary Indus- try are chosen to indicate the degree of optimization of the industrial structure. Growth rate of Gross Regional Product and Gross Regional Product per capita show the comparative efficiency of the local economy.

The dimension of social performance consists of eleven indicators which rep- resent the living quality of urban residents (Income per capita), employment structure (Employment Rate, Proportion of Employed Persons by Secondary Industry and Tertiary Industry), health care condition (Number of Li- censed/Assistant Doctors in Health Care Institutions per 1,000 Persons), scien-

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tific and technology education (Number of Undergraduate Enrolments and Transition Value in Technical Market), communication facilities (Populariza- tion Rate of Mobile Phones), infrastructure (Area of Paved Roads per capita) and public recreation (Number of Theatres; Number of Books in Public Li- brary per 100 persons).

As to environmental performance, which is not only the prerequisite for exter- nal investment and internal living quality (Xu, 2007), but also the basic sup- port for the sustainable development of economy and society, there are seven indicators for denoting the greenery coverage, public transport, and the treat- ment and utilization of industrial and domestic wastes.

The total value for each province is calculated according to the formula:

F=W1F1+W2F2+...+WmFm Where:

Wi represents the weight of each principal component; and

Fi represents principal component. A negative value implies that the competitiveness of the targeted province is below the average.

Factor Analysis (FA) is carried out for the dataset of the six provinces of cen- tral China shown in Figure 1 for the years 2004 and 2010. After that, the changes of total competitiveness and the three key dimensions of Economic Performance, Social Performance and Environmental Performance in the provinces are explored. Finally, the evaluating method is repeated for the capi- tal cities of each province in 2004 and 2010 in order to help show the contri- butions of these capital cities to the competitiveness of each of the provinces.

QUANTITATIVE AND QUALITATIVE ANALYSIS

The SPSS17.0 (Factor Analysis Method) is utilized for data processing to quantitatively calculate the provincial and urban competitiveness for the years 2004 and 2010. The paper then explores the critical issue of the variations in competitiveness at a provincial level (Table 3) and an urban level (Table 4)

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since the „Central Rise” strategy was implemented.

Table 3: Provincial Competitiveness of the Six Provinces in central China in 2004 and 2010

Provincial Economic Social Environmental Province Competitiveness Performance Performance Performance 2004 2010 2004 2010 2004 2010 2004 2010 Shanxi -0.69 0.01 0.03 -0.73 -0.8 0.44 -1.13 -0.6 Anhui -0.23 -0.14 -0.31 -0.17 -0.26 -0.34 0.09 -0.46 Jiangxi -0.5 -0.88 -0.64 -0.67 -0.51 -0.4 0.37 0.59 Henan 0.77 0.21 1.21 0.59 0.5 -0.09 0.43 -0.46 Hubei 0.52 0.68 0.09 0.69 0.14 0.86 0.55 0.17 Hunan 0.12 0.12* -0.37 0.28 0.93 -0.46 -0.32 0.77

Note: The exact competitiveness of Hunan in 2004 and 2010 is 0.11673 and 0.12048.

Source: Own Data Compiled Using SPSS17.0

Table 4: Urban Competitiveness of the Capital Cities of the Six Provinces in central China in 2004 and 2010

Urban Economic Social Environmental Capital Competitiveness Performance Performance Performance 2004 2010 2004 2010 2004 2010 2004 2010 Taiyuan -0.36 -0.12 -0.29 -0.21 -0.38 -0.21 0.11 -0.41 Hefei -0.65 -0.28 -1.05 -0.32 -0.5 -0.35 0.67 0.13 Nanchang -0.47 -0.62 -0.52 -0.71 -0.54 -0.63 0.3 0.67 Zhengzhou -0.14 -0.26 0.78 -0.03 -0.11 -0.18 -0.12 -0.92 Wuhan 1.28 1.16 1.29 1.2 1.21 1.26 -1.27 -0.08 Changsha 0.34 0.12 -0.21 0.07 0.32 0.12 0.31 0.62

Source: Own Data Compiled Using SPSS17.0

ANALYSIS AT THE PROVINCIAL LEVEL

At the provincial level, it is clearly shown in Table 3 that there are remarkable improvements in overall provincial competitiveness in Shanxi (101%), Anhui (39%), Hubei (31%) and Hunan (3.2%), while the provincial competitiveness

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has reduced by 66% and 73% in Jiangxi and Henan respectively. It appears therefore that the dominant effect of the „Central Rise” strategy and related polices in these six provinces is positive. Four out of the six provinces have improved their competitive strength in the span of six years. However, the extent of progress made in the four improved provinces is considerably differ- ent, while of course two provinces appear to have gone backwards under the same central government strategy. Fundamental reasons for these varied de- velopments in the six provinces, all subject to the same strategic support, are now explored from economic, social and environmental perspectives.

Figure 2: Provincial Competitiveness in 2004 and 2010

1

0,5 2004 0 2010 -0,5

-1

Source: Own Graphic Using Excel and Table 3 Data

Analysis of Economic Performance

There is an identical trend between total competitiveness and economic per- formance in Anhui, Jiangxi, Henan, Hubei and Hunan (both indices move in the same direction, either up or down) whereas the reverse is true in Shanxi where overall competitiveness has risen but economic performance has de- clined significantly. In fact, half the provinces have performed negatively in economy from the year 2004 to 2010, but most striking, is the more than 25 times reduction in economic wellbeing in Shanxi, despite an overall rise in provincial competitiveness, based on very much improved social and envi- ronmental performance. In Shanxi the absolute values of the economic scale variables have mostly remained at the same comparative ranking among the six provinces during the selected six years, while the indicator „Household Savings Deposit” has even moved up one place to third in 2010. In the mean-

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time, however, all the indicators reflecting economic structure and efficiency in Shanxi have reduced to some extent. The ranking of „Growth Rate of Gross Regional Product” in particular has plummeted from the top position to fifth amongst the six provinces. The findings can also be applied within the other provinces, which are not only improved but also diminished in economic per- formance.

When the indicator „Growth Rate of Gross Regional Products” is extracted to examine the relationship with economic performance, it can be concluded that there is a marked positive correlation between the trend of gross regional products and the changed economic enhancement. Notably, the degree of op- timal industrial structure has played an accelerated role in developing this tendency. The higher the proportion of tertiary industry within the gross re- gional product, the more progress in the economy that has been made than in other provinces in which there are similar improvements in overall provincial competitiveness. The indicator „Growth Rate of Gross Regional Products” is easily accessible, however, excessive attention is paid in China to improving and maintaining a high growth rate for this factor and this, it is claimed, has led to „GDPism” in China (Mou, 2009). In other words, local governments are overly concerned about economic quantity rather than its quality. They have become aficionados of blind investment in some industries, which can pro- mote a surge in the local economy, but this is on the back of heavy environ- mental and social costs (e.g. the „Three High Industries”: High Polluting, High Energy-wasting and High Emissions).

Analysis of Social Performance

Half the provinces in central China have obtained benefits in social perform- ance, although to different extents. About five times greater improvement have been acquired in Hubei, followed by Shanxi (155%) and Jiangxi (22%), while the ability to make residential life more convenient and varied has been weakened in Henan, Hunan and Anhui. Undoubtedly, personal income, as the simplest indicator for demonstrating the life quality of residents, has increased markedly in absolute values in each province (around four times). However, there are some noticeable variations in provincial ranking as well, particularly

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in Anhui, which has surged from the lowest to the highest during six years. Taking Shanxi as an example, although the economy has dropped at an amaz- ing rate, its total competitiveness has doubled, to which its improved social performance has contributed greatly. What therefore are the driving forces in boosting the community? Based on comparing the 2004 and 2010 data of all social indicators, it is found that the structure of employment, information and public services (recreation and medical care) have outweighed the others indi- cators of social performance. Significantly, the proportion of employment in tertiary industry affects social progress more than the ratio of the workforce in secondary industry. This finding was also present in the case of Henan, which has always been the leader in central China, but now Hubei has become the new leader under the national strategy. Likewise, the amount of transition value in the technical market, which signifies the provincial ability to apply research findings into industrial production, also significantly accelerates so- cial progress.

Analysis of Environmental Performance

Environmental performance in Hunan has been improved so that it now ranks first compared to fifth in 2004, followed by Jiangxi and Hubei, which has dropped from the first position in the year of 2004. Henan and Anhui, which have even fallen below the regional average in 2010, experienced a drastic decline in environmental performance. Although there is around a 47% in- crease in environmental performance in Shanxi, it has remained last on this factor both in 2004 and 2010. When examining the individual indicators of environmental performance, it is found that the level of public transport (re- flected by the number of public transport vehicles) and utilization of the main three wastes (waste gas, wastewater and solid waste) greatly determines the degree of environmental improvements.

The important effect of public transport on the environment has gradually been recognized since the 1960s. Ieda (2010) argues that private vehicles should be subordinate to mass transit in future urban transport planning. Tran- sit-oriented development (TOD) not only helps to create urban wealth, but it also reduces environmental vulnerability due to acute car dependence (New-

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man, 2012). Among the six provinces in the middle part of China, the number of public transport vehicles in Hunan is nearly twice as many as it is in

Shanxi, which is the area with the worst SO2 pollution (MA, 2013). Conse- quently, building good public transport systems is a promising solution to alleviate SO2 emissions and environmental pollution based on reducing auto- mobile dependence (Newman, Beatley and Boyer, 2009).

It is found that there is no significant difference between the provinces in greenery coverage and household and industrial refuse disposal, which have all been at a relatively high level of development in urban China (China Green Development Forum, 2010). However, there is a dramatic gap in the extent of utilization of the three waste streams throughout China. This can also be veri- fied among these six central provinces. In 2004, the value of products that are made from wastes in Hubei, which ranked as the top, was far ahead of Hunan. However, the situation changed tremendously six years later. Hunan, which has placed emphasis on the development of the Recycling Economy (RE), has obtained an encouraging return. It is ranked the best province for the amount of output from the recycled use of wastes, and even doubles the recycled use output of Shanxi.

ANALYSIS AT THE URBAN LEVEL

Figure 3 presents the results of the trend in urban competitiveness in the six provinces.

Figure 3: Urban Competitiveness in 2004 and 2010

Changsha Wuhan Zhengzhou 2010 Nanchang 2004 Hefei Taiyuan

-1 -0,5 0 0,5 1 1,5

Source: Own Graphic Using Excel and Table 4 Data

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The competitiveness of Changsha and Wuhan, which have overridden the other four capital cities both in 2004 and 2010, both still remain above aver- age, although they have experienced drops of 65% and 9% respectively. The findings in Table 4, are worthy of further inspection. Among the capital cities in which there are inferior competitive capacities in the year 2004, Zhengzhou has an overall decline, both in total and in the three individual dimensions, with the largest declines occurring in overall urban competitiveness and envi- ronmental performance. Furthermore, Taiyuan and Hefei are the only two cities where there are 67% and 57% advances in the entire competitiveness. However, they are also the only two cities that have declined in environmental performance, besides Zhengzhou, suggesting that this rise in overall competi- tiveness has been to some extent at the expense of the environment.

CONCLUSIONS

The period between 2004 and 2010 has seen the national competitiveness of China increase dramatically in world rankings, from 46th in 2004 up to 27th in 2010 (Lopez-claros, 2005; Sala-i-Martin et al., 2010). China, which has been the second largest economy after the United States since 2010 (Wang and Zhang, 2011), has experienced tremendous economic growth, social progress and environmental improvement. However, imbalanced development among different regions in China is, to some degree, an obstacle for integrated devel- opment nationwide. The „Central Rise” strategy undoubtedly has contributed to alleviating the gap between central regions and other parts of China. Six provinces in central China, which had all edged themselves into the „Trillion- aire Club1” by 2011, have a higher growth rate in Gross Regional Product than the national average. Additionally, the State Council has issued a series of supportive policies, which include Several Opinions on Promotion to Central Rise Strategy (Gazette of the State Council of the People’s Republic of China, 2006) and Several Opinions on Vigorously Enforcing the Promotion to Cen- tral Rise Strategy (Gazette of the State Council of the People’s Republic of China, 2012), for the purpose of stabilizing present achievements and acceler-

1 This refers to the provinces in China (except Hong Kong, Macao and Taiwan) where the Gross Domestic Product has reached or exceeded one trillion Chinese dollars.

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ating future growth.

This paper has appraised the competitive capacity of these six provinces at both provincial and urban levels from economic, social and environmental perspectives. It has quantitatively examined provinces and their capitals, which have enhanced their competitive edge under the „Central Rise” Strat- egy, as well as others, which have not. Qualitative analysis of the incentives and barriers to different changes among the six provinces has also been con- ducted. Conclusions from the findings of the study and for promoting inte- grated development of these central regions can thus be drawn as follows.

Hubei has become the new leader of central China by replacing Henan in terms of overall competitiveness. There is a total decline in economic, social and environmental performance in Henan and the competitive capacity of society and environment has even deteriorated beneath the regional average. However, progress in the dimensions of economy and society in Hubei has been made at the expense of the environment.

It is clear that the array of adopted policies under the „Central Rise” strategy have boosted development in central regions to some degree. However, it also seems apparent that supportive measures tailored to each province are required to formulate and enforce this trend. In the meantime, the ascendency of Hubei in competitiveness within central China should be brought into full play in producing a new paradigm about the rational utilization of policies and also in promoting cooperation with other neighbouring provinces.

The findings of this paper also show that the growth rate of Gross Regional Product has played a determining role in measuring the provincial potential for economic growth in the short run. In order to avoid the negative conse- quences resulting from recklessly expanded local economies, the long-term strategy is to achieve an optimized and upgraded industrial structure. Accord- ingly, cooperation between industries and institutes should be strengthened for improving the local capacity for independent innovation, which is essential to High-tech industries. Compared with traditional pollution, High-Tech Pollu- tion, which refers to the new kind of environmental damages from High-tech industry, should be solved based on the vigorous development of a Recycling Economy.

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Transport is regarded as one of the vital components for enhancing environ- mental competitiveness. Transit-Oriented Development (TOD) is a universally accepted approach to alleviate and repair automobile-dependent cities in the coming uncertain future. The daily demand for trips in the central part of China, which is the most populous region, is huge. TOD should be based on the preferential development of rail transit, which can best meet maximum public demand for mobility, but with minimal environmental cost. Besides improving mass transit systems inside cities, the six provinces should develop intercity and interprovincial bus systems, which can provide higher transport capacity and more convenient and punctual transport services between differ- ent cities and provinces.

Importance should also be attached to strengthening the competitive capacity of provincial capitals, which have a major role in provincial competitiveness. For instance, Wuhan has always stayed on the peak, while Zhengzhou has dropped to below the regional average. The trend of changes in provincial competitiveness is consistent with that of capital competitiveness. Provincial capitals with more political, economic and cultural advantages also have an exemplary and guiding effect for other cities throughout the various provinces.

Most significantly from this analysis, coordinated development in a regional context needs to be taken into consideration so as to avoid duplication, which easily results in excess capacity in certain fields and virulent and unnecessary competition. The strong similarity of geographical conditions, natural re- sources and industrial structure in central China has caused repetitive manu- facturing. The Central Plains Economic Region (CPER), which has been ap- proved by the State Council in 2012, covers Henan, Shanxi, Anhui and other provinces. Another new strategy which contains Hubei, Hunan and Shanxi was put forward by Hubei afterwards in 2012. They aim to achieve a win-win situation instead of zero-sum game through integrated development regionally and even nationally. This is an important subject facing the six provinces in the central part of China.

Promoting the midlands region is not only an issue for the development of the central provinces themselves, but also critical for the enhancement of national competitiveness. Only if these six provinces of central China can become the

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solid junction of the East and the West parts of China, can an overall equilib- rium and integrated structure be achieved, which will help China realise the strategic goal of national modernization.

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Yuan Gao - Curtin University Sustainability Policy Institute, Australia e-mail: [email protected]

Prof. Jeffrey Kenworthy – Curtin University Sustainability Policy Institute, Austra- lia

Prof. Peter Newman – Curtin University Sustainability Policy Institute, Australia

Philip Webster - Research Assistant, Curtin University Sustainability Policy Insti- tute, Australia

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Emma GARAVAGLIA Rosangela LODIGIANI

ACTIVE WELFARE STATE AND ACTIVE AGEING. INERTIA, INNOVATIONS AND PARADOXES OF THE ITALIAN CASE

INTRODUCTION.

Population ageing is challenging the labour market dynamics, the welfare system sustainability, and the equality among generations in most European countries. To face these challenges the road map proposed by the European Union with the Lisbon Agenda in 2000 and confirmed by the new EU Strategy 2020 set different complementary goals, consistent with the „active welfare state paradigm” prevailing in European social policy debates, at least since the launch of the European Employment Strategy in 1997. While different mod- els of active ageing have taken shape across Europe, mostly revealing their path dependency form the different welfare cultures and institutional contexts, Italy has hardly started to follow the European recommendations, even if the population ageing process is particularly severe in this country.

After defining the theoretical framework and commenting recent research findings, the paper investigates both the inertial forces that have restrained the development of the Italian active ageing strategy and the innovative attempts that are ongoing, in the light of the feature of the Italian activation model. For this purpose, the paper is organised as follows: section 2 reflects on the link between active welfare state main features and the need to manage the popula- tion ageing process consequences. Section 3 describes the main activation ageing models and strategies in Europe. Section 4 gives an overview of the Italian attempts to address the challenges posed by the demographic ageing process, trying to understand the reasons why Italy has not been a first mover and the consequences of this, in particular applying the concepts of path de- pendency and path departure in social policy. The conclusion remarks give

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hints for comparative researches focusing on active ageing strategies and pol- icy choices in countries that, as Italy, have been late in dealing with the ageing issues, in particular from the labour market activation perspective.

THE ACTIVE WELFARE STATE AT THE TEST-BED OF AGEING POPULATION

Over the last two decades, and especially with the European Employment Strategy (1997) and the Lisbon Agenda (2000), the European welfare states have experienced an innovation process focused on the concept of activation of social protection systems and individualization of social and labour market policies. As well known, the activation paradigm have turned the logic of pas- sive intervention at the base of the Keynesian-Fordist welfare state: from a source of passive protection, the welfare state has become promoter of activa- tion and individualized programs and services, aimed at empowering indi- viduals when facing risks and needs throughout the life course, firstly increas- ing their employability. On the one hand, income subsidies have become more selective and integrated with mandatory activation programs. On the other hand, new kinds of activation policies and services have been implemented (lifelong learning and retraining, job placement assistance, employment incen- tives, counseling, etc.). In this perspective, welfare-to-work policies seek to combat the long-term welfare dependency by supporting the beneficiaries to regain self-sufficiency, especially through human capital investments and labour market participation. To escape the „inactivity trap”, the access to benefits should be subject to the beneficiaries’ active job search and commit- ment in (re)integration programs. As a consequence, the subjective responsi- bility to one’s own (un)employment and employability becomes higher. In this way the concept of „active citizenship” is linked with the employment condi- tion (Barbier 2004, 2006; Borghi, van Berkel 2007; Hvinden 2000)1.

As shown by many international comparative studies, the aim of activating the welfare state has been reached in many diversified ways at European level.

1 As far as active citizenship is connected to labor market participation, it turns out to be conceived not as a status, guaranteeing certain rights, safety and protection networks and benefits (as well as duties and responsibilities), but as a contract, where access to those rights is subject to (the availability to) employment. In this sense, we can say that a process of re-commodification is taking place.

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The concept of activation itself appears as an "umbrella concept" without an unambiguous interpretation. The isomorphic patterns of change, promoted by the European guidelines, have left room for the definition of different activa- tion models consistent with the features of each country welfare system. For this reason, we can consider the strategy of activation as a "trend of reform" that is realized in different forms in different contexts (Barbier and Knut, 2010). These diversified ways reveal to be at least in part path dependent, not only according to the welfare capitalism regimes classified in the literature (e.g., the classification by EspingAndersen, 1999) but also to the political, institutional, cultural history of each country.

As well known, this trend of reform has started by following two distinct ap- proaches: the social democratic one (Scandinavian), and the liberal one (An- glosaxon), in turn differently transposed at the national and even local levels (Barbier 2006). The two models can be distinguished according to: 1) the way in which they interpret the welfare activation (in a more inclusive way or in a more efficiency-driven way); 2) the way in which they consider the welfare state (as a social investment or as a cost to be reduced); 3) the way in which they consider the beneficiaries (enhancing their possibilities of choice and autonomy or regulating their behavior with forms of neo-paternalism). In brief, we call the first one "social investment model" (or "learnfare") and the second "work first model" (or „workfare”) (Lodigiani 2008). Even though other models have emerged over time – and, as a result, new attempts to build complex typologies have been made by scholars (Serrano Pascual 2007, Bonoli 2010) – their lateness in emerging has marked the course of their im- plementation, being always influenced by the just-mentioned ones, which continue to represent the reference models.

In addition, the more the logic of the activation has spread, the more it has been put into question the link between the activation patterns and the welfare capitalism regimes, not only because of spurious relationships between the two, but also because the heuristic value of the second is increasingly chal- lenged. This is mainly due to the new countries joining the EU (very different and difficult to be clustered) and the processes of rescaling social policies and their governance systems, which produce a spatial reconfiguration of the wel- fare system (Ferrera 2005). Moreover, the construction of typologies refers to

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the idea of "frozen welfare status quo" (to quote Hemerijck 2008) without any focus on the process of change over time. As Bonoli (2007) has pointed out, "time matters": not only the welfare systems evolve over time, but also to some extent, they follow the same path of development when they face similar problems and put in place similar institutional solutions.

So, the theories develop along a continuum that ranges between two poles, not completely the opposite. The one highlights national differences and how activation strategies are path dependent, not only because they follow different ways of implementations that are historically conditioned (Pierson 2004), but also because they are embedded in the societal context of the welfare culture (Pfau-Effinger 2005). The other one underlines the path of convergence to- wards the same goals of reform that is supported by the process of „transna- tional social learning”, also fostered by the EU through the OMC (de la Porte, Pochet 2002).

Given these premises generally describing why and how the idea of active welfare state has emerged and different activation models have developed, our aim is focusing on a much more specific topic that links the activation issues with one of the most crucial challenges the EU societies are facing: the demo- graphic ageing process. In our hypothesis, in fact, we could consider the ob- jective of activating older workers a test-bed for the active welfare regimes, and a fruitful perspective from which to compare the specificities of national activation models, even in the framework of reform guidelines that lead to convergence.

The starting point to reflect on this topic is the analysis of some demographic data and projection. A steady increase in life expectancy across the EU during the last century has led to higher longevity; while from the 1970s onward, the EU has experienced falling fertility rates. These two trends are at the basis of the demographic ageing process, defined as the growth in the absolute number and in the relative importance of the elderly on the total population. Eurostat population projections (Eurostat 2010, 2012) show that the number of people aged over 65 years will increase by about two million persons per annum in the coming decades. According to Eurostat (2012), there will be less than two people of working age (15 to 64 years) for every older person aged 65 or more

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in the EU-27 by 2060; today the ratio is of almost four to one. The worrisome situation concerns Italy: the percentage of people over 65 is expected to be about 22 in 2015 and about 32 in 2060, with an expected old dependency ratio of 56.3% in 2060 and an increase of 25.6 percentage points.

The population ageing process inevitably exerts pressures on the sustainability of the social systems and on the labour market dynamic. The matter has been at the core of the public discussion in Europe over the last twenty years and the 2012 has been the European Year of Active Ageing and Solidarity be- tween Generations. The EU Social Agenda (Lisbon 2000) and the new EU Strategy for Growth (2020) have drawn a road map to deal with the demo- graphic ageing process and the demographic change focused on the principle of activation and on the concept of active ageing.

The active ageing concept is broad and multidimensional and there have been many contributions to its definition over time, from many international or- ganizations. It is defined most broadly by the OECD which understands it as „the capacity of people, as they grow older, to lead productive lives in society and the economy. This means that they can make flexible choices on the way they spend time over life – in learning, in work, in leisure and in care-giving” (OECD 1998). From a different perspective, the definition of the World Health Organisation (WHO 2002) puts the emphasis on the quality of life: „Active ageing is the process of optimising opportunities for health, participa- tion and security in order to enhance the quality of life as people age”. In some way synthesizing the previous two, the European Commission defines active ageing as „a coherent strategy to make ageing well possible in ageing societies”, that is intended as „lifelong learning, working longer, retiring later and more gradually, being active after retirement and engaging in capacity enhancing and health sustaining activities” (European Commission 2002). In particular, the EC focuses on the need for prolonged economic activity achieved by increasing the number of years in employment, postponed retire- ment and inclusion in socially productive activities such as voluntary work or providing post-retirement care (Jolanta Perek-Białas, Anna Ruzik, Lucie Vi- dovićová 2006, Calzabini, Lucciarini 2011).

So, although the concept of active ageing is multidimensional in itself and it

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refers to the general improvement in individual chances of well-being (health, safety and protection, participation, inclusion, autonomy, and self-sufficien- cy), the labour market participation represents the most crucial dimension. The issue of generational turnover – that will become a problem in few years – and the need for maintaining high levels of skills and competences in order to support the competitiveness of firms and productive systems are two of the key matters why there is a strong claim towards the activation of the older workers (Cedefop 2010). Furthermore, due to the improved living condition and well-being in old age, there is an increased number of persons who want to remain active in the labour market for longer. As pointed out by EC and OECD, work participation is the primary source of individual well-being and social inclusion, at the same time, work represents the most effective contribu- tion of people to the objectives of collective well-being and sustainable devel- opment (Marcaletti 2011). Hence, there is a need for acting in particular to- wards three interrelated directions: promoting a longer worklife in order to expand the workforce base (first of all, through the pension reform, as most of the European countries have done, starting from the 90s); promoting more inclusive workplaces for workers of all ages and better working conditions for older workers through age management policies and practices; enhancing lifelong learning in order to improve the quality of work, individuals’ employ- ability, and the opportunity to develop new skills throughout the life course but also in order to support individuals’ empowerment and motivation at work.

Even if the activation of older workers is considered as a key objective today, within broader strategies addressed to face the challenges of the demographic ageing process, there are many different ways (models) to reach the same objective. As already commented, the same is for activation models: as the process of activation of the welfare state and of individualization of social and labour policies are part of the same paradigm that could results in different activation models, the active participation of older people into the labour mar- ket is a unique objective reachable by following different paths,. Given these theoretical premises, in the following paragraph we analyze the way in which different active ageing strategies have emerged across Europe. We point out the factors that have influenced the emerging of path dependent or path depar-

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ture choices – compared to the welfare models of the countries – in this field, the role of the time when governments have started to deal with the ageing issues and the power of EU agencies and transnational learning processes in influencing the single country models. We start from the evidences of a recent research focused on active ageing strategies and active welfare regimes in Europe2.

ACTIVE AGEING, ACTIVATION MODELS AND STRATEGIES

Welfare state institutions articulate social policy problems through specific choices in terms of social risks definition, social risks protection, policy in- struments. The demographic ageing process is not a social policy problem in itself but the increasing proportion of older persons on the total population in absolute terms and compared to the proportion of people potentially active into the labour market, as above commented, exerts a certain pressure on the complex functioning of the social system. The different institutional and cul- tural contexts in which the same social processes take place determine, on the one hand, the degree of influence of the processes on the functioning of the social systems and, on the other hand, the answers that are put in place to face the challenges. To say that, for what concerns our specific focus, different welfare models determine different degree of influence of the demographic ageing process on the social system and the kind of active ageing strategies put in place (Ney 2004). Many sociological life-course studies have under- lined the interrelations among regime-specific configurations of welfare state and production system, individual characteristics and the nature and timing of employment transitions experienced by older workers. They analyse the whole set of policies that potentially influence late-career patterns and retirement

2 The paper is based on some of the results from the research project „Nuovi legami tra la- voro, istruzione e sviluppo negli active welfare regimes europei. L’ageing society come banco di prova” carried out by WWELL Research Center (Department of Sociology, Uni- versità Cattolica of Milan). The project addressed to analyse the interrelations between Life- long Learning, employment of older individuals and activations policies in Europe. For this purpose, it has analysed and compared through desk analysis (demographic, occupational and social policy expenses data) and national case studies (desk analysis and semi- structured interviews) five countries, representing different active welfare models: Finland, the UK, France, Poland and Italy. For more information about the research see Garavaglia and Lodigiani 2012.

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behaviours to understand the results in terms of degree of inclusion of older workers in the labour market and to different degrees of protection of older workers from work-related risks deriving from the globalization process. At the base of these researches, there is the classification of the EU countries according to the combination of institutional variables defining different wel- fare (Esping-Andersen 1999; Ferrera 1996; Mills & Blossfeld 2005) and pro- ductive regimes (Hall & Soskice 2001; Soskice 1999): starting from these classifications, different activation strategies addressed to older individuals are identified. In most of the cases, the strategies reflect the features of the active welfare model of each country (Hofäcker 2010). In these studies, the focus is on the link between the institutional setting and the individual employment choices. In our paper, the focus is on the macro level: on the link between the active welfare model in general and the active ageing strategy. In particular, we are interested in understanding in which measure the active ageing policies and strategies are path dependent or path departure (also considering that the EU guidelines and the processes of transnational social learning could/our could not have determined a forced departure in some countries). From this perspective, the main theoretical references consist of those studies that have made an attempt to identify different active ageing regimes or to point out which are the features of the active ageing strategies and policies in different welfare state regimes as classified by the literature (Ney 2004). The choice of which countries to be included in our research is based on these classification. However, as the active welfare state models (see §. 2.), also the active ageing models are loosely and not linearly connected with the welfare regimes.

In this sense, the analysis of active ageing policies in the five countries in- cluded in our research has shown at a first glance contradictory results: on the one hand the convergence towards the „full employment model” fostered by the EU and so the transposing of the European guidelines; on the other hand the emergence of different models, with typical features, in each country. To be more specific: in some cases, as Finland and the UK (and France with some specificities; see Garavaglia, Lodigiani 2012), active ageing national strategies seem to adapt the EU guidelines to their institutional and cultural conditions and so the policies put in place seem to be strictly path dependent (and even capable to influence the European framework). We consider first the Finnish

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case. Finland is one of the European countries with the longest tradition in the field of active ageing policies, so that the model developed in the country is well known and prevalent in Europe (Marcaletti 2011). What distinguishes the Finnish strategy is the focus on occupational health and wellbeing at work, to be promoted in order to maintain people at work for longer. Health and well- being at work represent the condition sine qua non for a positive organiza- tional climate and a good productivity at work. The final goal is to keep older workers included into the labour market by measuring and sustaining their workability. The concept of workability, and the tools of the workability model have been developed by the Finnish Institute of Occupational Health (FIOH) since the 80s, when the government put the institute in charge of de- veloping a broad research programme on the ageing workforce. The workabil- ity model has resulted from this programme and it consists of a comprehen- sive methodology to measure the work ability but also to prevent disabilities at work through age management practices (Ilmarinen 2006). It is applied to analyze the worker condition within the working context in terms of balance between personal resources and work demand: the basic idea is that each worker is more motivated, productive and healthy if there are the best possible conditions of work, in the light of the ageing process. This has also positive results for employers because sick leave and sickness presence costs are re- duced. So, coherently with the Nordic welfare regime (Esping-Andersen 1999) Finland has adopted the full occupation perspective since the beginning when facing the challenges of the demographic ageing. But, in particular, the government has focused on the consequences of the ageing process on occu- pational health problems and on the well-being at work in order to promote the inclusion of older individuals into the labour market.

Looking at the UK, another of the first movers in this field, we find the same coherence between the approach adopted to promote active ageing and the features of the liberal welfare regimes (Esping-Andersen 1999). In countries classified under the liberal regime, the so-called residual welfare state and pension system, on the one hand, transform demographic ageing into poverty and entitlement issues and focus on the removal of barriers that prevent from the participation in social life (Ney 2004), on the other hand tend to incentive older individuals to stay longer into the labour market (Hofäcker 2010). Simi-

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larly, the unregulated labour market could allow more flexibility but it also increases the redundancy risks for older workers. Active aging policies in the UK are characterized by a multidimensional perspective on activation3. Hence the centrality – in addition to the measures to promote employment of older workers and the awareness of companies, and in addition to the pension sys- tem reform – of devices to enhance the active participation in different field, first of all the informal care work. Certainly, in a scenario of strong reduction of public funding and explicit request to citizens for contributing to the pro- duction of local welfare through volunteering (as stated by the Prime Minister Cameron with the Big Society project), employment is fundamental to support individual and collective wellbeing. As for the workforce in general as consid- ering older people, reducing welfare dependency and promoting „sustainable employment” remains the main source of protection against poverty. From this perspective, despite the emphasis on the importance interpretation of acti- vation in old age out of the labor market, promoting older workers employ- ment is a priority. This objective has been pursued through different kinds of measures aimed at combating age discrimination and reducing unemployment, by following the "workfare" logic. In a frame of well-defined guidelines and initiatives, the UK active ageing strategy encourages (and it supports, also with economic incentives) the responsibility of individual workers (with re- spect to the choice of remaining active in the labor market, participating in training and being active in the community), and of employers (regarding the possibility to train their employees and to implement age management strate- gies).

Moving from the „first movers” to the „late movers”, with respect to the active ageing goals, Italy and Poland reveal some common traits: both the countries have started quite late in dealing with the ageing issues, without developing comprehensive national strategies of interventions. In the following para-

3 Two key documents are at the base of the active ageing strategy in the UK are: Opportunity Age: meeting the challenges of aging in the 21st Century (2005) and Building a society for all ages (2009). The first one articulates the goal of active aging in three directions: em- ployment, activation, empowerment of people over 50. It is immediately clear that active aging is not interpreted only as a prolonged working career but it also concerns the in- volvement of older people in and communities, as well as the possibility for con- trolling the own life in order to be full and active citizens. The second one resumes and up- dates the previous strategy, emphasizing the multidimensional nature of activation in older age, so that it is not considered solely from the economic and employment perspectives.

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graph, we focus on the Italian case, pointing out in the final remark the re- search evidences that could be useful in looking at similar cases such as Po- land or other EU countries.

THE ITALIAN WAY TO ACTIVE AGEING

Italy is classified by the literature on welfare/productive regimes among the southern European countries that embody the Mediterranean variant of the conservative-corporatist model. On the one hand, the country shows some similarities with the conservative regime in terms of regulated insider-outsider labour market and welfare system based on the male breadwinner family (Blossfeld 2003). As a result, it has an occupational, corporatist and familist structure; it is unbalanced with regard to both the protections of different so- cial risks and groups, and the different social functions. It is oversized in the social security sector, undersized in the unemployment, poverty, family and social exclusion functions; and it hardly meets the new social needs, in par- ticular of younger, older workers and women (Natali 2009). Moreover, as most of the southern-EU countries, Italy has an underdeveloped, or at least fragmented activation policy system (Gualmini, Rizza 2011).

All these features certainly influence the activation policy and measures ad- dressed to older individual: in fact, the characteristics of the Italian welfare and productive regimes has led to classify the country among those cases of institutional settings not valorizing the older workforce but supporting early exit from the labour market (Hofäcker 2010). If this has been true for decades (and also today we lack a comprehensive strategy), today at least something is changing in a different direction: if the lateness of Italy in dealing with the ageing issue can be considered path dependent, some of the recent policy choices seem to switch to path departure. Despite the country represents one of the most critical cases of population ageing in Europe and, according to population projections, the situation will get worse in the future as above commented, no official definition of the elderly and of the older labour force exists today. „Conventionally, the older labour force is composed of people aged either over 50, or between 55 and 64, while individuals over 65 (some- times over 60 in the case of women) belong to the elderly general population.

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Most policy measures targeted at mature workers set a threshold at the age of 50” (Ciccarone 2012: 2).

However, if we look at the policies implemented, it emerges the intention to put in place preventive actions. Indeed, in some cases the age threshold for older workers is over45 or over 50 (Isfol 2011). To the lack of an official defi- nition of the elderly population and of the older workforce corresponds the lack of a comprehensive and coherent national strategy to promote active age- ing. The discussion about the ageing issues has been, since the beginning of the 1990s, mainly focused on pensions and social security systems reforms because of the urgent need for ensuring the financial sustainability of the so- cial security system and an equal distribution of resources among generations. So, the main focus has been on social security interventions and not on effec- tive strategies for the activation of the older cohorts.

Stepping backward in the Italian economic and industrial history, it is possible to find the origins of the actual institutional landscape in which the political debate and the policy choices (or it would be better to say the lack of political debate and policy choices) concerning the promotion of active ageing are based. Particularly, we should go to the construction of social security rights, together with the separation established between the working world and the world of retirement which has been defined within the development of the Fordist production system during the last century. „Conflicts, claims and at- tainments in the world of labour have given rise to a formidable system of social guarantees and rights benefiting adult salaried workers stably employed on the labour market. Given the characteristics of this social construction, however, the portions of the population located furthest on the margins of the labour market, and therefore the social security system, were long excluded, for the most part: temporary or unregistered workers, women and the young and the aged in the grey areas between employment, unemployment and inac- tivity. The result was a clear-cut distinction between the working world and the world of pensions, especially in the strong sector of salaried employment” (IRPPS-CNR 2004: 56).

The problem of an high percentage of inactive older individuals started to be clear during the 1980s when a lot of company restructuring processes took

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place according to the model young in-old out, so with an intensive use of early retirement schemes and the exclusion of large shares of older workers from the labour market. Together with the frequent recourse to early retire- ment as a socially acceptable solution to deal with economic constraints, the old-age pension has been another typical institute of the Italian context: they have contributed over the time to the spreading of a specific attitude toward the older workers at political and societal level. For years the main concern of policy makers and social parts has been to find the most socially acceptable ways to support companies during periods of financial difficulties and these ways have been identified, as already commented, in the exclusion of the older workers from the labour market in order to create vacancies for the youngest.

Given this context, in the last years can be found some signals of renewed awareness of the ageing matter that anyway has resulted in policy debates focused on the pension reform. All the political debate around the ageing is- sues has concentrated on the need for raising the retirement age with no enough attention to the need for a more complex new regulatory system of the labour market. From the very start-up of the active ageing discussion in Italy a contradiction has emerged: on the one hand experts have always advocated the reform of the pension system for prolonging the work career while on the other hand within the company systems a 50 years old worker is considered a deadweight to be excluded in order to save costs. In this framework, raising the retirement age without acting towards a more complex new regulation of the labour market can result not in more work but in more unemployment (Mirabile 2009). The paradoxes of this approach have clearly emerged in the last years. The economic crises has made more and more difficult to combine the objective of prolonging work careers and the one of managing, in a flexi- ble way, the older workers within work organisations.

As said before, from 1990 and for twenty years the political debate on active ageing in Italy has been dominated by the need for reforming the pension sys- tem in order to ensure the long-term financial sustainability of the social secu- rity system. During this period, six reforms have been introduced, the last one in December 2011 (the so called Fornero reform). The Fornero reform con- firmed what has been stated with the 2010 budget law in order to equalize the retirement age for men and women up to 66. Moreover, the reform has estab-

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lished the shift to a notional-defined contribution model which regard to all the workers and has limited the access to early retirement which is possible (with reduced benefits) after accumulating 41 years of social contributions for women, or 42 years for men.

A part from the pension system reform, policies addressed to promote active ageing in Italy are very rare (Ciccarone 2012). In any case, it is possible to identify some labour market policy measures addressed to older workers within the broader reforms of the labour market of the 1990s and 2000s, act- ing on two main sides: the radical innovation of the structure and of the man- agement of employment services and the introduction of new flexible em- ployment contracts.

On the first side, functions and objectives of the new employment services system have been defined by the renewal of the old placement services and by introducing private employment services in order to improve the demand- supply match and to enhance active labour market policies offer. In this per- spective, the renewed public employment services set specific measures to promote over 45 years workers’ employment and employability.

For what concerns labour market flexibility, the reform process started in 1997 with the Treu package (Law 196/1997) that introduced new flexible employment contracts (e.g temporary jobs), specifically addressed to women and young workers entering the labour market but that were fully extended to older workers by 2000. The process went on with the Biagi Law in 2003 (Law 30/2003) that introduced new flexible contractual typologies (e.g. staff leas- ing, job on call) and employment opportunities (like deregulation of part time work). The Law established that individuals over 50 years are included among the disadvantaged workers, so that they can benefit from incentives through the Work Placement Contract. The main aim of the contract is to support peo- ple who encounter specific difficulties in entering the labour market through an individualized project. Moreover the contract, that can have a duration from 9 to 36 months, provides financial incentives for companies that hire disadvantaged workers. Regarding older workers, the measure introduced economic incentives for companies and the possibility to hire unemployed over 45 by signing „discontinuous” employment contracts (while for workers

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over 50 there are the same incentives as those for other disadvantaged groups). Following the chronological order, in 2005, even if without implementing specific initiatives, the Italian Parliament set the strategic guidelines for the development of policy measures addressed to activating the older workforce into the labour market. The main trajectories identified are: the reform of the training offer, the development of flexible retirement schemes, the promotion of services of placement offered by the Employment Centres, and the inter- vention within the work organizations in order to create more inclusive work- ing contexts (Mirabile 2009). In 2007, the budget law (Law 296/2006) intro- duced a specific measure addressed to older workers „aiming at supporting the creation of new jobs and reducing exits from the labour market. This measure (called the Solidarity agreement between generations) allows for the trans- formation of contracts of workers over 55 from full time to part-time while also bringing in at the same time part-time contracts for people under 25, or people less than 30 if they have a university degree” (Ciccarone 2012: 5). However, the measure has not been implemented. A similar proposal (named Generational relay) has been launched in 2012, with the primary objective of reducing youth unemployment that has rapidly raised during the years of cri- ses. At the moment some regional pilot experiences are taking place.

Maintaining our focus on recent years, with the budget law 2010, some others measures addressed to older workers at risk of exclusion from the labour mar- ket have been introduced. Among the most relevant: financial incentives for employer who hire unemployed workers aged over 50; financial incentives to cover contributions until the legal age for retirement addressed to workers (with 35 years of contributions) who are willing to accept a job implying a salary reduction up to the 20% less; extension of the number of companies that could benefit from measures of income supports for their employees; financial incentives for private job centres for placing disadvantaged workers (Isfol 2011).

At last, it is important to consider that „at the national level, employment poli- cies in favor of adult workers are fairly rare and not adjusted within a compre- hensive framework. However many Regions have enacted their own laws and regulations. For example, seven Regions have drafted regional laws to support employment within broader active ageing strategy and for the re-placement of

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older workers. There are many agreements between Regions and INPS (the National Agency for Social Protection) to experiment forms of flexible work for older workers in seasonal jobs (as regulated by the Ministerial Decree 12 March 2008); incentives for adult workers (in Friuli, Puglia and Toscana Re- gions), and a Framework Contract Agreement to recognise social benefits for older workers (Basilicata Region)” (Corsi, Lodovici 2010: 73). Furthermore, some other Regions have took part in the European Equal Age Management project (for example Veneto Region), involving social partners and local companies to identify best practices on age management and arise social awareness around ageing challenges (Eurofund 2007b). Remaining at the local level, it is also important to take into account what has been developed by big companies or territorial networks of Smes: often these are not formalized age management practices resulted from contingent urgencies or problems to be solved, than from the awareness about the demographic transformation of the workforce.

Other initiatives, indirectly addressed to older workers are linked to the meas- ures introduced to contrast the effects of the economic crisis broke out in 2008 („anti-crises package”, Law 2/2009”). The crisis has challenged the occupa- tional condition of different groups of workers and among them also of the older ones. In fact, on the one hand, the older workers in Italy represent a sort of privileged group that is highly protected through labour market supports, but on the other hand, the old age and the obsolescence of skills and qualifica- tion expose them to a higher level of frailty and, when excluded, to greater difficulties in entering again the labour market. The Italian anti-crises package has introduced measures to contrast the occupational crisis through two main arrangements: by supporting companies that innovate processes, mainly by sustaining outplacement and redeployment process (this form of support has safeguarded a lot of older workers); by integrating and balancing the passive labour market measures with active labour market policies, primarily training initiatives to prevent from human capital depletion. Thanks to the contribution of ESF funds, mandatory activation programmes and additional shock absorb- ers have been introduced, all of them linked to the principle of conditionality. These measures, implemented especially to sustain the low protected seg- ments of the labour market (young people, women, atypical workers) have

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reached also those workers in the second half of their career (Isfol 2012).

THE ITALIAN CASE BETWEEN PATH DEPENDENCY AND PATH DEPARTURE

The Italian Government approach in dealing with the population ageing proc- ess is lacking of a coherent and complex vision and is leaving many uncov- ered aspects. Certainly, unlike what happened in the 1990s, the most recent interventions to reform of the pension system, in particular, and to reform the system of employment services and regulation of the labour market promote with more decision the „labor market activation” (Mirabile 2009). Neverthe- less, the ageing issue has struggled to take off in the public and political de- bate. Especially, the most difficult matter to be asserted in Italy is the impor- tance of putting in place a complete action plan, without considering that just raising the retirement age could be decisive. By adopting the neo-institutional perspective to analyse the Italian situation are still recognizable some resis- tances – by both the labour offer and demand as by policy makers and social parts – to valorize the older workforce.

Indeed, the Italian lateness in activating the older workers within the labour market is due to the intensive use of early-retirement schemes in the last dec- ades. As already commented this that has led to the legitimation of these de- vices (by the side of the labour demand) as socially acceptable solutions to deal with economic and occupational constraints, and to expectations for early-retirement (by the labour supply side). The system of social guarantees provided for those who are employed on permanent contracts, as most of the workers in the second half of their career, has meant that it was not immedi- ately clear the risk to that, due to age and to the gradual skills and qualification obsolescence, these workers may be exposed. If the relative (comparing with youth) resilience of employment rates for age groups 45-54 and 55-64 during the crisis demonstrates that they are a more protected segment of the labor force, without specific investment in human capital retraining and motivation, the mere prolonging of the working experience can result in a failure. But also considering the case of those excluded from the labour market at old age, the non-investing approach risks to lead to deactivation.

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The Italian welfare system main features above highlighted (the occupational, corporatist and familist structure and the fragmented system of protection and activation) have encouraged the emergence of barriers between insiders and outsiders and between generations, in addition to an unequal division of la- bour between men and women at all ages, but particularly among mature peo- ple. The result is a twofold paradox: 1) the very high youth unemployment rate (increased in the recent years of crisis) tends to obscure the issue of older workers and to raise contrasts between old and young generations; 2) the ab- sence of incentives for older people (both subjectively and from the surround- ing family and societal conditions) to stay longer in the labor market discour- ages the prolongation of work careers, especially for women. Indeed, they have an active (and fundamental) role in informal caregiving for/within their family and, up today, they are one of the most important resources for young parents in search of balancing work and family responsibilities. This aspect enhances the perception (at least in the collective imaginary and cultural background) of the issue of activating older individuals in the labour market as less urgent in Italy. But, this also shows that an effective strategy of active ageing promotion should not be limited only to training or em- ployment policies, but it is rather related to the complex structure of the welfare system and to the labour market regulation.

Hence, if compared to the other countries and considered the demographic situation in the country, the lateness of Italy in defining a comprehensive strategy is in some way surprising. It is easier to be explained if we think of the Italian welfare capitalism model, with its specific productive, institutional, societal and cultural regulation framework.

As we said, „time matters” (Bonoli 2007) and in recent years also Italy has started to develop a strategy for the older workers’ activation in the labour market. The first important signal is given by the recent reform of the pension system that led Italy to establish the highest legal retirement age in Europe and that in some way could be considered as a path departure choice. This reform represents the last step of a long path, but it also promote a radical change of the retirement system, drastically reducing the early retirement schemes. The shift to the contribution system and the raise of the legal retirement age indi-

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cate that Italy has transposed the EU guidelines, at least the ones linked to public expenditure reduction imposed by the fiscal compact. But, on the other hand, as just said, there is the need for the reform process affecting not only the pension system but also its social consequences and the labour market regulatory framework, fallowing the already started path of innovation of ac- tive and passive policies.

The public and political attention on the rapidly ageing population matter has finally raised the awareness about its most challenging implications. However, the centrality attributed to the economic sustainability of the pension system and to the rapid increase of youth unemployment, risks to distort the perspec- tive from which the question is considered. Therefore, the most significant challenge the governance of a fragmented system, which is typically inno- vated from the bottom. From this perspective, regional policies and local measures directly promoted by companies o through national, local or com- pany collective bargaining processes represent factors that push innovation: so they need to be valorised and coordinated to disseminate best practices in the country.

CLOSING REMARKS

As we commented alongside the paper, our research has highlighted a direct relation between the moment in which countries have started to face the age- ing issues and the level of development and consolidation of their active age- ing strategies. According to this perspective, the delay (and the lack of coher- ence and complexity) of the Italian approach is at least partially due to the fact that it has been just in the last years that Italy has begun to systematically deal with the ageing matter. However, the welfare system in general and the policy regime matters too. In particular, these factors influence the approach and the core of the activation strategy focused on older individuals. What is most in- teresting to note is that the two factors – time and path dependency – are strongly interrelated in influencing the development of the activation models. The comparison among cases in which the active ageing strategies have a longer history and those in which the active ageing strategies are relatively young, shows how transnational social learning processes reduce, over the

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time, the legacies of the welfare systems.

Thinking of Finland: a pioneer in addressing the issue of aging, it has planned its strategy on the cornerstones of its welfare system. The goal of full em- ployment of older people is here pursued by promoting individual well-being (health, motivation, ability to work) and the quality of working conditions (tasks, places, times, ...). With this pioneering approach, it has influenced the international debate, also bringing innovative hints within the European insti- tutional approach. We state the same with regard to the UK. Clearly, the Brit- ish active ageing model reflects the European guidelines. The efforts made to break down age discrimination (in and out of the labor market) is combined with the emphasis on older workers’ activation in the labour market and the promotion of their active citizenship in the broader social context. In many ways, the European strategy owns a lot to the experience of these two coun- tries. The Italian case is different: here the emerging active ageing national policies appear to sign, at least in part, a departure from the policy path usu- ally followed.

Our hypothesis is that in some way the lateness of Italy justifies the lacks of the Italian approach; moreover, this lateness leaves room for innovative solu- tions, path departure, also due to the constraints imposed and to the influences exerted by an already consolidated European strategy.

In short, those countries that have been first movers in terms of policy devel- opment to promote the activation of older people have adopted measures that mainly reflect the typical features of their welfare model and have been in some way able to influence the EU debate and orientation on these issues. While those countries that have been late in dealing with the ageing issues have in same cases directly transposed the EU indications, so resulting in pol- icy choices that could be seen as a „forced” path departure.

The analysis of the Polish case (not deepen in this paper but part of the re- search the paper is based on) could support this hypothesis: even if its popula- tion is quite young, Poland has started to acknowledge the urgency of the demographic ageing trend in the last years. So, in order to confirm our hy- pothesis, we need to deepen our study, in particular, in a comparative perspec- tive and including multiple level of analysis. The final goal would be to test to

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what extent the '"time effect" allows "late movers" to benefit from the proc- esses of transnational learning or to verify if it simply reduces the room for acting because there are priorities/intervention methods already recognised as effective at international level and imposed on the basis of external constraints (e.g. occupation benchmark). But, not only the level of policies is relevant in a comparative perspective. There is also that of the individual careers, with par- ticular regard to gender differences, and that of age management models and tools applied in companies. These are many different faces of the same ques- tion, that need to be considered all together in order to produce results that help to deal with a matter that involve many subjects, many actors, many lev- els.

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9. European Commission – DG Research (2005), Eu research on social sciences and humanities. Overcoming the barriers and sizing the opportunities for active age- ing policies in Europe. Activeage Final Report 10. European Commission (2002), Europe's response to world ageing. Promoting economic and social progress in an ageing world. Contribution of the European Commission to the 2nd World Assembly on Ageing, COM (2002) 143 final. http://europa.eu/scadplus/leg/en/cha/c11910.htm 11. Ferrera M., 2005, The Boundaries of Welfare: European integration and the New Spatial Politics of social protection, Oxford, Oxford University Press. 12. Garavaglia E., Lodigiani R. (2012), Active welfare regimes and Ageing Society: new challenges for LLL as a tool for active citizenship, paper presented at the In- ternational Conference „Cross-disciplinary Perspectives on Welfare State Devel- opment”, Odense, 14-16 June. 13. Gualmini E., Rizza R., (2001), Attivazione, occupabilità e nuovi orientamenti nelle politiche del lavoro: il caso italiano e tedesco a confronto, Stato e mercato, 92: 195-221. 14. Hall P. A., Soskice D. (2001), An introduction to varieties of capitalism, Hall P. A., Soskice D. (eds), Varieties of capitalism: the institutional foundations of comparative advantage, Oxford: Oxford University Press. 15. Hemerijck A., (2008), L’imperativo del developmental welfare per l’Europa, La Rivista delle Politiche Sociali, 1, pp. 57-91. 16. Hofäcker D. (2010), Older Workers in a Globalizing World. An International Comparison of Retirement and Late-Career Patterns in Western Industrialized Countries, Edward Elgar Publishing 17. Hvinden B. (2000), Politiche attive del lavoro: la forza delle idee…e quella dei numeri, Biblioteca della libertà, n. 158, pp. 53-74. 18. Ilmarinen J. (2006), Towards a longer worklife. Ageing and the quality of work- life in the European Union, Helsinki: Finnish Institute of Occupational Health, Ministry of Social Affairs and Health 19. IRPPS-CNR (2004), Active Ageing In Europe: Methods, Policies, and Institu- tions – Country Report, Italy, The ACTIVAGE Project, HPSE-CT-2002-00102. 20. Isfol (2012), L’anno europeo dell’invecchiamento attivo e della solidarietà tra le generazioni: spunti di riflessione, Isfol Working Paper: 1, Roma. 21. Isfol (2011), Le azioni locali a supporto del prolungamento della vita attiva, I libri del Fondo Sociale Europeo (159), Roma. 22. Lodigiani R. (2011), Welfare attivo. Apprendimento continuo e nuove politiche del lavoro in Europa, Erikson, Trento. 23. Marcaletti F. (2011), L’età, in Zanfrini L., a cura di, Sociologia delle differenze e

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delle disuguaglianze, Milano: Zanichelli: 97-116. 24. Mirabile M. L. (2009), Vita attiva? I „giovani anziani” fra insicurezza e parteci- pazione, Studi & Ricerche, IRES, Ediesse, Roma. 25. Mills M., Blossfeld H.-P. (2005), Globalization, uncertainty and the early life course. A theoretical framework, in: H.-P. Blossfeld, E. Klijzing, M.Mills and K. Kurz (eds.), Globalization, uncertainty and youth in society, London et al.: Routledge. 26. Natali D., (2009) The Italian Welfare State (still) in Transition: the progressive recalibration of social programmes and greater flexibility of labour market poli- cies in Schubert, K., Hegelich, S.and Bazant, U., (eds.), The Handbook of Euro- pean Welfare States, Routledge, pp.277-293, Londra. 27. Oecd (1998), Maintaining Prosperity in an Ageing Society, Paris: Oecd. 28. Oecd (2006), Live Longer, Work Longer, Paris: Oecd. 29. Pfau-Effinger, B. 2005. Culture and Welfare State Policies: Reflections on a Complex Interrelation. Journal of Social Policy XXXIV, 1: 1-18. 30. Pierson, P. 2004. Politics in time: History, Institutions, and Social Analysis. Princeton: Princeton University Press. 31. Serrano Pascual, A. (2007), Activation Regimes in Europe: A Clustering Exer- cise. In Serrano Pascual, A. and Magnusson, L. (eds) Reshaping Welfare States and Activation Regimes in Europe, Peter Lang, Bruxelles. 32. Soskice D. (1999), Divergent production regimes: coordinated and uncoordinated market economies in the 1980s and 1990s, in Kitschelt H., Lange P., Marks G., Stephens J. D (eds), Continuity and Change in Contemporary Capitalism, Cam- bridge: Cambridge University Press. 33. WHO (2002), Active Ageing: a policy framework, 2nd UN Assembly on Ageing, Madrid, April 2002. http://whqlibdoc.who.int/hq/2002/WHO_NMH_NPH_02.8. pdf .

Dr Rosangela Lodigiani - assistant professor of Human capital policies and associ- ated researcher at the Department of Sociology of Uni- versita Cattolica del Sacro Cuore of Milan, Italy; mem- ber of the steering board of WWELL (Welfare, Work, Enterprise, Lifelong Learning) Research Centre based at the same university e-mail: [email protected]

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Emma Garavaglia - PhD candidate in Organisational and Managerial Sciences, Uni- versita Cattolica del Sacro Cuore of Milan, Italy; collaborator at WWELL (Welfare, Work, Enterprise, Lifelong Learning) Re- search Centre, based at the Department of Sociology of Univer- sita Cattolica of Milan, and junior reasearcher at Fondazione ISTUD business school e-mail: [email protected] .

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Varia: Management VII. And Logistics

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Eugeniusz NOWAK Logistics of crisis situations provides theoretical solutions conducive to the shaping, monitoring and controlling of the supply and service processes per- formed in the logistics chains organized for affected population.

LOGISTICS AND LOGISTIC MANAGEMENT IN CRISIS SITUATIONS

LOGISTICS AND LOGISTIC SUPPORT IN CRISIS SITUATIONS

Logistics of crisis situations is a new scientific specialization. Its precursors were: the military logistics which had its origins in the US Navy at the turn of the XIX and XX centuries (forerunners: A.T.Mahan, G.C.Thorpe, H.E.Eccles) and civilian logistics which saw its first successes in the late 50's and 60's of the XX century (forerunners: O. Morgestern, American Marketing Association, Council of Logistics Management). On the contrary logistics of crisis situations arose at the turn of the XX and XXI centuries. Logistics (both military and ci- vilian) owed and still owes its success primarily to a high standard of tasks completion for the recipient. These standards generally are presented in the form of 4 x "R" (sometimes this is also 5 x "R" or even a 7 x "R"), which stands for "right" time, "right" quality, "proper" amount and "right” place (also "ap- propriate" costs, " appropriate" gains, "proper" condition) of supplies delivery and logistic services for the supported entity. In the armed forces, where the military logistics functions, the recipients (of supply and logistic services) are fighting troops (military units). In the economy, where the civilian logistics functions, recipients of supplies and logistic services are customers operating in the open market. On the contrary, in crisis situations, where the logistics of crisis situations functions, customer (of supply and logistic services) is primar- ily an affected population.

The optimization of logistic tasks completion process for the benefit of their customers is determined by an effort to meet strict conditions and specific crite-

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ria. In the military logistics, for which the priority are troops executing the main task, usually they are: providing full satisfaction of the fighting troops logistical needs, the place and time of logistical tasks completion. In the civilian logistics they are mainly: striving to serve all customers, ensuring high standards of cus- tomer service, minimizing logistic costs and ensuring a high business profit. On the contrary, the logistics of crisis situations is aimed at all victims and satisfy- ing their basic logistic needs in the shortest possible time.

Fig.1. Criteria for the logistics operations optimization

Satisfying the basic logistic needs of the population

CIVILIAN LOGISTICS OF MILITARY LOGISTICS CRISIS SITUATIONS LOGISTICS

All customers All victims Troops completing the main task

Customer service Satisfying the basic logistic needs of the Full satisfying the standards logistic needs of population troops

Logistic costs Places Places

Enterprise profit Time Timet

Source: Own elaboration.

Logistics of crisis situations (treated as a scientific specialization1) provides theoretical solutions conducive to the shaping, monitoring and controlling of the supply and service processes performed in the logistics chains organized for affected population. Through the integration and (harmoniza- tion) of logistic activities, strictly necessary supplies and logistic services reach all the affected at the right time, in the right places, in appropriate quantities and of appropriate quality.

Logistics of crisis situations is focused on: all victims, saving lives and health of the wounded and sick, satisfaction basic logistic needs of affected popula- tion, providing (ensuring) supplies, logistic and medical services to all in need

1 The author adopted the following hierarchical classification of scientific concepts: the highest is the "scientific domain" in which there are distinguished "scientific disciplines" which in turn are divided into "scientific specializations".

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as well as minimizing the time of logistic tasks execution.

Fig. 2. Aspects of the logistics of crisis situations perception

CRISIS MANAGEMENT MILTARY Civilian logistics LOGISTICS P R E C U R S O R S

LOGISTICS OF CRISIS SITUATION

ASPECTS OF THE LOGISTICS PERCEPTION Functional Objective Valuation

Management in- cluding: strategy formulation, plan- Control flow of Effective logistic ning, organizing, supplies, services support orient- initiating and and information ed to all victims controlling

Source: Own elaboration.

The leitmotiv of logistics activities undertaken in crisis situations is to reach all the victims with the necessary procurement and logistic services as quickly as possible. The size of strictly necessary supplies and the range of logistic ser- vices may be set up by the minimum standards because the nature of these ac- tivities is to ensure that all the victims will survive. The priorities of supply provision are: drinking water, food, clothing and energy (electricity and heat), whereas in logistic services - medical (life- and health-saving activities), evacuation services, economic and domestic services (preparing meals, baking bread, accommodation, commercial services, etc.).

Table 1. Sample daily supply standards, which can be used in crisis situations

Average Acceptable On. Supplies u.o.m. demand minimum supply Remarks Drinking 1 litre 3,0 0,5-1,5 Minimum standards for sup- water plies used for the first days of a 2500,0- crisis (usually no longer than 3 2 Food kcal 500,0-900,0 3000,0 days).

Source: Own elaboration.

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Logistical support of the affected people in crisis situations is a realization fun- ction of perceived logistics of crisis situations. It covers the provision of vital supplies as well as logistic and medical services. It is organized by logistic sup- port groups and groups of health care and social-life support2 in crisis ma- nagement teams (CMT). It is carried out by forces and resources (logistics) which are at the disposal of those teams.3 It includes: drinking water supply, economic and livelihood services, medical services and the evacuation organi- zation if necessary for the people and their property, cultural goods, etc.4

The mission of the affected population logistic support in crisis situations is an aspiration for reaching all the victims with the logistics help in the shortest pos- sible time. Its essence is a provision of strictly needed (at least the minimum) amount of supplies and logistics services including basic medical assistance.

Bearing in mind the factors determining the organization and implementation of logistics support for the affected by crisis population it is not hard to see that it is organized on thes basis of specific (special) principles. They are: quick help the wounded and sick and create conditions for a survival of all the affected pe- ople, the collection and protection of supplies reserves, rationing of supplies and logistics services, priorities of supplies delivery and specialistic as well as economic and living services, specific character of „logistic product”5, use of local infrastructure (logistic) resources, logistical support by an overriding pu- blic authorities, logistical cooperation with neighbors, exploitation of personal and property benefits and the principle of effectiveness.6

Quick help the wounded and sick means that the time is the primary determi- nant of success in saving their lives and health. However assurance of survival conditions for all the victims indicates that in extreme cases the minimum sup- ply standard could be applied.

2 Taking into consideration the need for integration of logistics activities the author knowingly classifies groups of health care and social-life support to the logistics domain, despite the fact that health service is an independent organization. 3 Crisis Management Teams are organized at all levels of public administration. 4 E. Nowak, Logistyka w sytuacjach kryzysowych, Edition II improved and expanded, Pub. AON, Warszawa 2009, p.20. 5 Logistics product is a collection of wishes and expectations of the customer (recipient) to the supply or services delivery, particularly their form and quality that can be implemented in ac- cordance with the requirements only in the logistics system. 6 E. Nowak, op. cit., p. 16.

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Collection and protection of supplies stocks is a standard undertaking. They constantly accompany each logistics operation. Inventories of supplies are col- lected on the basis of forecasts. The purpose of protection of stocks is to pre- vent uncontrolled distribution and theft.

Rationing of supplies and logistics services takes place under conditions of scarcity, and ensures delivery of supplies and services for all affected people (beneficients).

Priorities of supply and logistics services delivery (the author has in mind their establishment) are a necessity in crisis situations. Apply if the logistical support cannot simultaneously reach all the affected. Moreover in most cases urgency of logistical assistance to affected individuals (a group of people) is different.

The specificity of the " logistics product” in crisis situations should be treated as a preparation for delivery of supplies and logistics services organization for the affected population with regard to existing conditions due to the danger. For example during floods tere is a need of food products waterproof packaging.

Local infrastructure resources (logistic) in crisis situations have a priority. They are local supply warehouses, repair shops, transportation companies, ca- tering and hotels as well as various objects (eg. buildings which can be used to accommodate evacuated people).

Logistical support conducted by the parent public administration bodies cre- ates the possibility of reducing the size of own logistic potential which is pre- pared for the time of crisis. Normally, this potential is calculated according to the medium needs so that costs of logistical preparation are reduced. Logistical support conducted by the parent bodies takes place only when there is a shor- tage of own sourcing and service capabilities.

Logistical interaction with neighbors is a routine "sacred tradition" undertak- ing. Neighbors are always the closest partner. They can arrange the necessary logistical support in a short time (according to the principle of reciprocity).

Personal and material services are essential in the implementation of logistic support of affected population in emergency situations. It results from the fact that most of projects (tasks) implemented in their scope are associated with the deliveries of supplies and logistic services.

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The principle of effectiveness prefers the use of owned forces and resources (in this case the logistic potential) to ensure the best (successful) execution of the task. It indicates that the decision verification in crisis according to economic aspects (financial costs) is not a priority condition. It is allowed to use more expensive solutions provided that they allow to save lives and health of more affected people than with other solutions.

PROPERTIES OF CRISIS MANAGEMENT AND LOGISTICS MANAGEMENT IN CRISIS SITUATIONS

Crisis management - the management of the organization (system) under pres- sure, implemented to deal with tense situations, which task is a preparation and an acting aimed at preventing, counteraction and responding in the event of the organization (system) instability and restoring its normal functions. In its per- ception in the safety aspect should be highlighted that it is: an integral part of organizational management; domain of security management in general, inclu- ding national security; management of the organization under pressure in a state of risk; solving tense situation and the counteraction against escalation trouble- some phenomenas. It consists in: reducing tensions and preventing conflicts or difficult non-conflict situations, restoring or maintaining the normal state des- pite the occurrence of the crisis symptoms. In the course of crisis management marginal and doubtful problems are rejected and then delegated to organiza- tions not involved in the crisis.

The process of crisis management is understood as a decision-making cycle, including decision-making phases, stages and activities associated with the acquisition, processing and use of information, as a result of which a decision is made, a concept elaborated, developed a crisis management plan and tasks for the executive entities (units) being in the disposal of the administration body. Decision-making cycle of crisis management team runs in four basic, merging and interpenetrating each other phases of decision-making: determining the position, planning, setting tasks and controling.

Decision-making phase "determining the position" is a continuous process of acquiring, collecting, sorting and processing all kinds of information regarding

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the state of owned forces and resources, the sources and nature of the threat and the conditions for prevention, rescue and recovery. This phase is designed to prepare for the voivode (foreman, mayor) a clear and transparent picture of the situation on the basis of which the situation can be assessed, tasks analyzed, variants of action developed, decision made, plan specified, a crisis manage- ment plan corrected, tasks set and their completion monitored.

Decision-making phase "planning" includes four successive stages which are: assessment of the crisis, decision making and concept specification, developing of a crisis management plan7 and directive documents (regulations, decrees, administrative decisions) for the subordinate executive entities (units).

Fig.3. The process of crisis management

Population Neighboring Complex and detached and NGOs Superior body administrative units administration

TASKS Orientation in the situation

Determining the position Reports Requests,

reports Planning

CRISIS

Reports MANAGEMENT Control TEAM

Setting tasks

regulations, decrees, administrative decisions

Preparation decrees Executive entities determining the position

Source: Zarządzanie kryzysowe w sytuacjach zagrożeń niemilitarnych, [red.] E. Nowak, Pub. AON, Warszawa 2007, p.114.

7 In fact usually this will be a correction of an owned crisis management plan.

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Fig.4. Arrangement of crisis management team decision-making cycle

Reports DETERMINING THE POSITION

PLANNING

Assessment of the crisis

Task analysis D E A Operational informing C C I T S Evaluation of factors affecting the tasks com- I pletion and development of variants of action I V O I Coordination briefing *) N S T E T I Variants of action consideration M X A E A E G S K Variants of action comparison C E I U N S Decision briefing T G I Decision making and SPECIFICATION OF VOIVODE (foreman, mayor) CONCEPT V P E H Crisis management plan correction A E S Development of regulations, N E decrees, administrative decisions T S I SETTING TASKS T I Issue of regulations, decrees, administrative decisions E S CONTROLING

*) The number of seats and objectives of the coordination briefings defines a crisis management team leader LO Management including: strategy formulation, planning, organizingControl flow of supplies, services and information Decision-ON,making Warszawa phase 2007, „setting s. tasks” ensures bringing to executors the tasks resulting from approved concept of activities. It is widely recognized that the best way to set tasks is to bring them personally to chiefs (commanders) of su- bordinate services, inspections and guards by the voivode (foreman, mayor). Setting tasks verbally or by using technical means of communication must be confirmed by written directive document and recorded in the Activities Register of the crisis management center.

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Decision-making phase "controling" is intended to test the effects of phases of "planning" and "setting tasks" and the way they are implemented in life. Its results provide a basis for updating the available data about the situation and completion of crisis response tasks. The conclusions obtained from the control allow the crisis management team to take action to correct the discrepancies between the actual and planned state. The logistics management in the system (eg. organization) is aimed at causing the increase in efficiency of operation and the strengthening of its position in the surrounding environment. This is achieved by shortening the period of de- livering supplies and services to customers, optimizing supply inventories, in- creasing the efficiency of use of existing potential (eg. forces and logistical resources), reduce logistical costs, etc. The logistics management in crisis situations, according to prof. Eugeniusz Nowak, includes: the formulation of strategy, planning, initiating and steering as well as monitoring of the implementation process of logistics tasks and the necessary information exchange from the points of origin (from suppliers) to the reception points (the affected) in order to save their lives and health and provide the necessary conditions for survival8. Logistics strategy of supplies and logistics services delivery to the affected po- pulation in crisis situations is expressed in the mission and purpose of the ac- tion. The mission is to save lives and health of the wounded and sick and to provide all people in need conditions necessary for the survival of the crisis while the goal is to organize the delivery of vital supplies as well as logistics and medical services. Logistical planning of the delivery of supplies and logistics services for the af- fected is determined by: minimizing the time of the supply and logistics servi- ces delivery, including medical services, to all the affected; aiming at ensuring at least the minimum level of essential supplies and services delivery as well as economic and living services; optimal exploiting the logistics potential; orga- nization of collaboration (integration) between the entities (units) performing logistics and medical tasks; an aspiration, if possible, to reduce the financial

8 W. Nowak, E. Nowak, Podstawy logistyki w sytuacjach kryzysowych z elementami zarzadzania logistycznego, Pub. SWSPiZ, Łódź – Warszawa 2009, p.126.

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costs of logistics undertakings.

Initiation and then steering of logistic activities includes undertakings related to the preparation and implementation of supplies delivery and the provision of logistics and medical services for the affected population as well as aspiration to ensure continuity and improvement of this process.

Controling of logistics operations aims at comparing the results of actions un- dertaken by units (entities) performing logistical and medical tasks with devel- oped logistics plans, in order to undertake a systematic assessment of their im- plementation. If there are any deviations, necessary modifications (correc-tions) are introduced.

The logistics management in crisis situations is one of the main problems of crisis management. Its executors are logistics groups of CMT (logistics support as well as health care and social-life support). Operational function of this man- agement results from the need of integration and coordination of the process of supplies stockpiling and preparing them for shipment (transport) and distribu- tion as well as preparation of services capacity and its control during the provi- sion of logistic and medical assistance for affected people.

Logistic management is carried out in all four phases of crisis management, na- mely: a prevention phase, a preparation phase, a response phase and a recovery phase. In the prevention phase it consists in the prediction of the logistic situ- ation, identifying potential sources of supply and service (the provision of spe- cialized and economic and living services), balancing available resources with the forecast logistical needs of the affected population and planning of logistics tasks arising from the potential crisis risks. In the preparation phase the proce- dures of supplies delivery and provision of logistics and medical services for the affected population are planned as well as the actions related to the prepa- ration of logistics and medical capacity (resources) are taken.

In the response phase medical aid is rendered the wounded and sick, delivery of supplies to the affected population are organized and the logistical services are provided. Places for a temporary accommodation for the evacuated population are arranged, anti-epidemic and sanitary-hygienic undertakings are carried out and actions related to saving the environment and restoration of critical infras- tructure facilities are taken. In this management phase logistics undertakings

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have an interdisciplinary character. The specificity of logistics management ex- presses itself in the need for coordination of use of available forces and logistic resources being in the possession of public administration, businesses and non- governmental organizations as well as citizens (residents). In the reconstruction phase logistics bodies are involved in estimating damages and losses caused by the crisis; launch logistical assistance programs (individual and collective) for the affected population; organize the delivery of municipal media and critical infrastructure facilities restoring; recreate the logistical and medical resources, etc.

Direct organizers of logistics activities in crisis situations are the experts - spe- cialists of logistics and medical CMT groups. Those experts in logistics groups are specialists for: supplies, economic and domestic services, transport. In the medical groups - experts in: evacuation and treatment, sanitary-hygienic, anti- epidemic, medical equipment and medicaments (drugs) matters as well as spe- cialists in social and living conditions matters.

Table 2. The contents of logistics management in crisis situations

Crisis manage- Content of logistics management ment phase Predicting the logistics situation, including medical one. PREVENTION Identification of supply sources and service potential. PHASE Balancing of logistic resources. The verification and planning of logistics tasks. Creation of organizational and technical conditions for logistics PREPARATION management. PHASE Creation of the conditions for the logistics tasks completion. Training and improvement of logistical tasks executors. Organization of : medical assistance to the affected, the evacuation of the affected population and property from danger areas, econo- RESPONSE mic, living conditions and specific services for the affected popu- lation, a temporary accommodation, sanitary-higienic and anti-epi- PHASE demic undertakings in danger areas and places of temporary ac- commodation, psychological care, rescue and evacuation of animals from danger areas. Logistics experts participation in damages and losses evaluation. Launching of programs of individual and collective aid for the RECOVERY affected population. PHASE Participation in restoring of public services including the provision of municipal media.

Source: Own elaboration.

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LITERATURE OF SUBJECT:

1. E. Nowak, Logistyka w sytuacjach kryzysowych, Edition II improved and expan- ded, Pub. AON, Warszawa 2009. 2. Zarządzanie kryzysowe w sytuacjach zagrożeń niemilitarnych, [red.] E. Nowak, Pub. AON, Warszawa 2007. 3. W. Nowak, E. Nowak, Podstawy logistyki w sytuacjach kryzysowych z elementami zarządzania logistycznego, Pub. SWSPiZ, Łódź - Warszawa 2009. 4. K. Ficoń, Procesy logistyczne w przedsiębiorstwie, Pub. Impuls Plus Consulting, Gdynia 2001.

Prof. Eng. Eugeniusz Nowak - Institute of Logistics, National Defence University, Poland e-mail: [email protected]

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Marek KUBIŃSKI

THE CONDITIONING ASPECTS OF CONDUCTING MILI- TARY ACTIVITIES IN BUILT-UP AREA CONDITIONS

By the year 2050, seventy percent of the world's population will live in urban areas. If there is an armed conflict, urban areas are expected to be the future battlefield and combat in urban areas cannot be avoided. What is new is that urban areas and urban populations have grown significantly during the late twentieth century and have begun to exert a much greater influence on military operations.

This presentation provides commanders and civilian population with a discus- sion of the principles of urban operations and tactics, techniques, and proce- dures for fighting in urban areas.

INTRODUCTION

Urban operations are not new to the Army. Throughout history, the Army has fought an enemy on urban terrain. What is new is that urban areas and urban populations have grown significantly during the late twentieth century and have begun to exert a much greater influence on military operations. The worldwide shift from a rural to an urban society and in the case of an armed conflict, the requirement to transition from combat to stability and support operations have affected the Army's structure and procedures1.

This paper provides the background information that facilitates the understand- ing of some aspects related to conducting military activities in built-up areas.

DEFINITIONS

1 US Army Science Board, Final Report of the Army Science Board Ad Hoc Group of Military Operations in Built-Up Areas (MOBA) (Washington, D. C.: Office of the Assistant Secretary of the Army [RDA], January 1979.

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Below are presented some terms specific to urban operation.

Urban Operations (UO) are operations planned and conducted in an area of operations that includes one or more urban areas. An urban area consists of a topographical complex where man-made construction or high population den- sity is the dominant feature2. UO usually occur when: An urban area cannot be bypassed. The urban area is key (or decisive) in setting and or shaping the conditions for current or future operations. An urban area is between two natural obstacles and cannot be bypassed. The urban area is in the path of a general advance and cannot be surrounded or bypassed. Political or humanitarian concerns require the control of an urban area or necessitate operations within it.

Urban Combat - These offensive and defensive operations are the part of UO that include a high density of Infantry-specific tasks. Urban combat operations are conducted to defeat an enemy on urban terrain who may be intermingled with noncombatants. Because of this intermingling, and the necessity to limit collateral damage, the rules of engagement (ROE) and the restrictions placed on the use of combat power may be more restrictive than under other combat con- ditions3.

URBAN BATTLE SPACE

An urban area is a concentration of structures, facilities, and people that form the economic and cultural focus for the surrounding area4. Operations are af- fected by all five categories of urban areas. Cities, metropolises, and megalo- polises with associated urban sprawl cover hundreds of square kilometers. Villages (population of 3,000 inhabitants or less). Towns (population of over 3,000 to 100,000 inhabitants and not part of a

2 Roger J. Spiller, Sharp corners: urban operations at century's end, U.S. Army Command and General Staff College Press, Fort Leavenworth, Kansas. 3 Combined arms operations in urban terrain, Field Manual No. 3-06.11 Headquarters Depart- ment of the Army Washington, DC, 28 February 2002. 4 Doctrine for Joint Urban Operations, Joint Publication 3-06, 16 September 2002, p. II-6.

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major urban complex). City (population over 100,000 to 1 million inhabitants). Metropolis (population over 1 million to 10 million inhabitants). 5 Megalopolis (population over 10 million inhabitants) .

Urban areas mainly consist of man-made features such as buildings that provide cover and concealment, limit fields of observation and fire, and block move- ment of forces, especially mechanized or armored forces. Thick-walled build- ings provide ready-made, fortified positions. Another important aspect is that urban areas complicate, confuse and degrade the commander's ability to iden- tify and control his forces. All these factors will influence the urban battle space.

Commanders and leaders can enhance situational understanding by maintaining a clear understanding of their urban battle space (Figure 1) which includes:

Figure 1. Urban battle space

Urban Airspace. Airspace provides a rapid avenue of approach into an urban area. While aviation assets are unaffected by obstacles such as rub-

5 Ibidem, p. I-2.

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ble, vehicles, or constructed barriers, they must consider power lines, tow- ers and sign poles. Therefore task force reconnaissance elements have to locate, identify, and report these obstacles to allow for improved flight planning. Supersurface (Tops of Buildings). The term "supersurface" refers only to the top, roof, or apex of a structure. These areas can provide cover and con- cealment, limit or enhance observation and fields of fire, and, depending on the situation, enhance, restrict, canalize, or block movement. Supersurface areas can also provide concealed positions for snipers, automatic weapons, light and medium antitank weapons, and man-portable air defense systems. In many cases, they enable top-down attacks against the weakest points of armored vehicles and unsuspecting aircraft. Intrasurface (Interior of Buildings). The intrasurface refers to the floors within the structural framework—the area from the surface level (ground) up to, but not including, the structure's permanent roof or apex. Intense combat engagements often occur in this intrasurface area, which is also known for its widely diverse and complex nature. The intrasurface of a building greatly limits what can be accomplished by reconnaissance and surveillance systems, but, at the same time, enhances cover and conceal- ment. Additionally, the intrasurface areas provide mobility corridors within and between structures at upper levels for both friendly and enemy forces. Intrasurface areas may also provide concealed locations for snipers, auto- matic weapons, light and medium antitank weapons, and man-portable air defense systems. In many cases, they enable top-down attacks against the weakest points of armored vehicles and unsuspecting aircraft. Surface (Ground, Street, and Water Level). Streets are usually avenues of approach. Streets and open areas provide a rapid approach for ground movement in urban terrain. Units moving along streets can be canalized by buildings and have little space for maneuver, while approaching across large open areas such as parks and parking areas. Streets also expose forces to observation and engagement by enemy elements. Obstacles on streets in towns are usually more effective than those on roads in open terrain since they are more difficult to bypass. Subsurface (Underwater and Subterranean). Common subsurface areas,

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which include subways, sewers, public utility systems, and cellars, can be used as avenues of movement for dismounted elements. Both attacker and defender can use subterranean routes to outflank or turn the opposition, or to conduct infiltration, ambushes and counterattacks. Subsurface systems in some urban areas are easily overlooked but can be important to the out- come of operations.

CHARACTERISTICS OF URBAN OPERATIONS

Due to political and societal changes that have taken place in the late twentieth century, advances in technology, and the Army's growing role in maintaining regional stability, UO are conducted across the full spectrum of offense, de- fense, stability, and support. The full spectrum of UO will affect how units must plan and execute their assigned missions. The enemy's actions signifi- cantly affect the conditions of UO, which may transition from one condition to another rapidly. Units may be conducting operations under different conditions at two locations at the same time. The following definitions of the three general conditions of UO provide clarity, focus, and a mental framework for command- ers and leaders conducting tactical planning for UO6. Urban Operations Under Surgical Conditions. This condition is the least destructive and most tightly focused of all the conditions of UO. Operations conducted under surgical conditions include special-purpose raids, small precision strikes, or small-scale personnel seizures or arrests, focused psy- chological or civil affairs operations, or recovery operations. They may closely resemble police operations by special weapons and tactics (special teams). They may even involve cooperation between military or police forces and host nation police. Though conventional units may not be di- rectly involved in the actual operation, they may support it by isolating the area or providing security or crowd control. Urban Operations Under Precision Conditions. Under precision condi- tions, either the threat is thoroughly mixed with noncombatants or political

6 Combined arms operations in urban terrain, Field Manual No. 3-06.11 Headquarters Depart- ment of the Army Washington, DC, 28 February 2002.

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considerations require the use of combat power to be significantly more re- strictive than UO under high-intensity conditions. Infantry units must rou- tinely expect to operate under precision conditions, especially during stabil- ity and support operations. Urban Operations Under High-Intensity Conditions. These conditions include combat actions against a determined enemy occupying prepared positions or conducting planned attacks. UO under high-intensity condi- tions require the coordinated application of the full combat power of the joint combined arms team. Infantry units must be prepared at all times to conduct violent combat under conditions of high-intensity UO. Stability Operations and Support Operations. The Army has further categorized military operations other than war (MOOTW) as stability and support operations. Units conduct these operations, which are normally short of actual combat, to support national policy. Recent examples include famine relief operations in Mogadishu, Somalia; evacuation of noncombat- in Monrovia, Liberia; and peace enforcement in Bosnia. Confusion and Crossover Between Conditions. As in Mogadishu, many types of operations may occur at the same time and certain types of opera- tions can easily be transformed into others by enemy actions. The specific type of conditions may not have much meaning to the individual soldier, but the ROE must be understood and adhered to by all.

The military units do not normally operate independently while conducting UO. The battalions to which they are assigned will face a number of challenges dur- ing the planning and execution of UO. The most likely challenges that units will face are discussed below. Symmetrical and Asymmetrical Threats. In addition to being required to face symmetrical threats, the military forces must be prepared to face threats of an asymmetrical nature7. Symmetrical threats are generally "linear" in nature and include those threats that specifically confront the land force's combat power and capa-

7 See: Roger J. Spiller, Sharp corners: urban operations at century's end, U.S. Army Com- mand and General Staff College Press, Fort Leavenworth, Kansas. Lloyd Matthews, ed., Challenging the United States Symmetrically and Asymmetrically: Can America be Defeated? (Carlisle Barracks, PA: US Army War College, 1998).

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bilities. Asymmetrical threats may use the civilian population and infrastructure to shield their capabilities from fires. Asymmetric threats may also attack the military forces and civilian population with weapons of mass destruction (WMD). Asymmetrical threats are most likely to be based in urban areas to take advantage of the density of civilian population and infrastructure. Ex- amples of asymmetrical threats include terrorist attacks; to include guerilla warfare; and environmental attacks. Minimization of Collateral Damage and Noncombatant Casualties. A condition that commanders and leaders will be required to confront during urban operations will be minimizing collateral damage and noncombatant casualties. This will have to be balanced with mission accomplishment and the requirement to provide force protection. Commanders must be aware of the ROE and be prepared to request modifications when the tactical situa- tion requires them. Changes in ROE must be rapidly disseminated through- out the military forces. Commanders and leaders must ensure that changes to the ROE are clearly understood by all soldiers within the military com- ponent. Quick Transition from Stability or Support Operations to Combat Operations and Back8. Commanders and leaders must ensure that contin- gencies are planned to transition quickly from stability and support to com- bat operations and vice-versa. An escalation to combat is a clear indicator that the stability or support operation failed. Units must always retain the ability to conduct offensive and defensive operations. Preserving the ability to transition allows units to maintain while providing force pro- tection. Subordinate commanders and leaders must be fully trained to rec- ognize activities that would initiate this transition.

Many characteristics separate UO from other environments. Technological advantages are often not very useful during UO9. Air power may not be of any assistance to an Infantry force fighting from buildings. An adept enemy will use the technique of "hugging" military forces to deny them use of their over-

8 Doctrine for Joint Urban Operations, Joint Publication 3-06, 16 September 2002, p. II-13. 9 Military Operations on Urbanized Terrain (MOUT), FM 90-10, Chapter 1.

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whelming firepower. The training and equipment for the fight against a mobile, armored threat may not necessarily be of much use in urban areas. Urban com- bat is primarily a small unit Infantry fight, requiring significant numbers of Infantry to accomplish the mission; however, combined arms must support the Infantry. Urban combat is characterized by moment-to-moment decisions by individual soldiers, which demonstrates the importance of ROE training. Com- manders and leaders should facilitate this fight by anticipating what subordi- nates will need to accomplish the mission. Unit goals must be speed, precision, and minimization of soldiers in close combat with the enemy. The greatest threats might be snipers, grenade launchers, booby traps, and rocket-propelled grenades. Soldiers can expect booby traps on doorways and windows and on entrances to underground passageways. Small-Unit Battles. Units fighting in urban areas often become isolated or feel like they are isolated, making combat a series of small-unit battles. Soldiers and squad or team leaders must have the initiative, skill, and cour- age to accomplish their missions while isolated from their parent units. While the defense of an urban area can be conducted effectively with rela- tively small numbers of troops, the troop density required for an attack in urban areas may be greater than for an attack in open terrain. Individual soldiers must be trained and psychologically ready for this type of opera- tion.

Urban operations require centralized planning and decentralized execution. Therefore, effective vertical and horizontal communications are critical. Leaders must trust their subordinates' initiative and skill, which can only occur through training. The state of a unit's training and cohesion are vital, decisive factors in the execution of operations in urban areas.

Noncombatants. Urban areas, by their very nature, are population centers. Noncombatants will be present and will affect both friendly and threat courses of action across the spectrum of UO. Besides the local inhabitants, refugees, governmental and NGOs, and the international media are likely to be present. For example, during the fighting in Grozny, 150,000 refugees were added to a prefight population of 450,000. There were 50,000 civilian casualties during the fight. Units must be prepared to deal with all catego- ries of noncombatants

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Increased Casualties. More casualties occur because of shattered glass, falling debris, rubble, ricochets, urban fires, and falls from heights. Diffi- culty in maintaining situational awareness also contributes to this problem because of increased risks of fratricide. Stress-related casualties and non- battle injuries resulting from illnesses or environmental hazards, such as contaminated water, toxic industrial materials, and so forth, also increase the number of casualties.

Three-Dimensional Terrain. Friendly and threat forces will conduct op- erations in a three-dimensional battle space. Engagements can occur on the surface, above the surface, or below the surface of the urban area. Addi- tionally, engagements can occur inside and outside of buildings. Multistory buildings will present the additional possibility of different floors within the same structure being controlled by either friendly or threat forces.

Need for Combined Arms. While UO historically have consisted of a high density of Infantry-specific tasks, UO conducted purely by Infantry units have proven to be unsound. Properly tasked-organized combined arms teams consisting primarily of Infantry, engineers, and armor supported by other combat and support assets have proven to be more successful both in the offense and defense. The same concept is true for stability and support operations, when the main effort may not necessarily consist of combat units.

DEFENSIVE CONSIDERATIONS

Reasons for defending urban areas

The worldwide increase in urban sprawl has made it virtually impossible for forces conducting operations to avoid cities and towns. For various reasons, these areas must be defended10 (Figure 2).

Figure 2. Defence in the buil-up area

10 An Infantryman's Guide to Combat in Built-Up Areas, Field Manual 90-10-1, Headquarters Department of The Army, Washington, DC 12 May 1993, Chapter 4, p. 4-1.

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Certain urban areas contain strategic industrial, transportation, or economic complexes that must be defended. Capitals and cultural centers may be de- fended for strictly psychological or national morale purposes even when they do not offer a tactical advantage to the defender. Because of the sprawl of such areas, significant combat power is required for their defense. The decision to defend these complexes is made by political authorities or the theater commander. The defenders' need to shift and concentrate combat power, and to move large amounts of supplies over a wide battle area may require retention of vital transportation centers. Since most transportation centers serve large areas, the commander must defend the urban area to control such centers.

Reasons for not defending urban areas

Reasons for not defending urban areas include the following11. The location of the urban area does not support the overall defensive plan. If the urban area is too far forward or back in a unit's defensive sector, is isolated, or is not astride an enemy's expected avenue of approach, the commander may choose not to defend it. Some urban areas, mainly smaller ones, are bypassed by main road and highway systems.

11 Ibidem, Chapter 4, p. 4-2.

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Structures within the urban area do not adequately protect the defenders. Extensive areas of lightly built or flammable structures offer little protec- tion. Urban areas near flammable or hazardous industrial areas, such as re- fineries or chemical plants, should not be defended because of increased danger of fire to the defenders. The urban area has cultural, religious, or historical significance. The area may have been declared an "open city" in which case, by international law, it is demilitarized and must be neither defended nor attacked. The attacking force must assume civil administrative control and treat the civilians as noncombatants in an occupied country. The defender must immediately evacuate and cannot arm the civilian population. A city can be declared open only before it is attacked. The presence of large numbers of noncom- batants, hospitals, or wounded personnel may also affect the commander's decision not to defend an urban area.

Offensive considerations

Urban combat imposes a number of demands that are different from other field conditions such as combined arms integration, fires, maneuver, and use of spe- cial equipment (Figure 3).

Figure 3. Offensive operation in the buil-up area

As with all offensive operations, the commander must retain the ability to fix the enemy and maneuver against them. Unlike open terrain, units cannot ma- neuver quickly, even when mounted. Missions are more methodical. Military

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forces must be prepared to operate independently or within a joint task force. The commanders and their subordinates must also be prepared to conduct dif- ferent missions simultaneously. For example, a battalion may establish check- points in one section of a city and clear enemy in another section simultane- ously.

Reasons for attacking urban areas

Reasons for attacking urban areas include the following12: The results of the commander and staff's estimate may preclude bypassing as an option. The mission itself may dictate an attack of an urban area. Cities control key routes of commerce and provide a tactical advantage to the commander who controls them. Control of features, such as bridges, railways, and road networks, can have a significant impact on future opera- tions. The requirement for a logistics base, especially a port or airfield, may play a pivotal role during a campaign. The political importance of some urban areas may justify the use of time and resources to liberate it. Capturing the city could deal the threat of a de- cisive psychological blow and/or lift the moral of the people within the city.

Reasons for not attacking urban areas

Conversely, reasons for not attacking urban areas include the following13: The commander may decide to bypass if he determines no substantial threat exists in the urban area that could interdict his unit's ability to accomplish its mission. The commander's intent may dictate speed as essential to the mission. During the estimate process, the commander and staff may realize a suffi- cient force is not available to seize and clear the urban area, or enough forces are available to accomplish the mission but cannot be logistically supported. If the tactical situation allows, the commander should avoid at- tacks on urban areas.

12 Ibidem, Chapter 3, p. 3-1. 13 Ibidem, Chapter 3, p. 3-2.

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The urban area may be declared an open city to prevent civilian casualties or to preserve cultural or historical sites. An open city, by the law of land warfare, is a city that cannot be defended or attacked.

NONCOMBATANTS

Unless combat has been taking place in an urban area for an extended period of time, units will encounter large numbers of noncombatants. Noncombatants may be encountered during offensive operations as a result of clearing build- ings and city blocks or when preparing for defensive operations. The nature of stability and support operations will most likely result in having to deal with noncombatants. Units will have to know whether to expect noncombatants to be friendly, neutral, or hostile and know how to deal with them. Handling non- combatants can be as simple as moving them out of immediate harm's way or as complicated as noncombatant evacuation operations (NEO). Combatants are uniformed enemy forces and other individuals who take an active part in the hostilities in a way that poses a direct threat to personnel. Noncombatants are civilians in the area of operations who are not armed and are not taking an active part in the hostilities in a way that poses a di- rect threat to personnel14. Noncombatants can include refugees, local in- habitants affected by operations, civilian personnel belonging to govern- mental agencies, civilian personnel from NGOs, and media personnel. Mili- tary chaplains, medical personnel, prisoners of war, and the wounded and sick are also noncombatants. A prisoner of war (POW) is an individual, such as a member of the armed forces or militia, a person who accompanies the armed forces without being a member, or other category of person defined in the Geneva Convention Relative to the Treatment of Prisoners of War, who has fallen into the power of the enemy. A detained person is any individual who is in custody for committing hos- tile acts against US forces or committing serious criminal acts. Dislocated Civilian. This is a broad term that includes a displaced person, an evacuee.

14 Doctrine for Joint Urban Operations, Joint Publication 3-06, 16 September 2002, p. IV-8.

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CONCLUSION

In summary, what can we conclude from all this? First, it’s clear that there will be a higher likelihood of conducting urban operations due to increased global urbanization. Second, we know that urban operations will be more complicated. Full spectrum operations will have to be conducted. Transitions will need to be planned taking into account very complicated human factors. Third, we will need to leverage military doctrine with the new technology that is being developed which will enhance situational understanding and provide nonlethal options. Improvements are being made in the areas of command, control, communications, computers, intelligence, surveillance, and reconnaissance. Fourth, the need for combined arms will always exist. The army is address- ing this with its transformation efforts. Fifth, tactical situations can have strategic implications as we have seen in Somalia and the Balkans. Soldiers and leaders will have to be trained to ac- complish their missions in a very demanding environment. Last, but certainly not least, the army must always be prepared to conduct the close, tough fight and until technology provides other answers, soldiers on the ground will bear the brunt of the fight.

SELECTIVE BIBLIOGRAPHY:

1. An Infantryman's Guide to Combat in Built-Up Areas, Field Manual 90-10-1, Headquarters Department of The Army, Washington, DC 12 May 1993. 2. Combined arms operations in urban terrain, Field Manual No. 3-06.11 Headquar- ters Department of the Army Washington, DC, 28 February 2002. 3. Doctrine for Joint Urban Operations, Joint Publication 3-06, 16 September 2002. 4. Lloyd Matthews, ed., Challenging the United States Symmetrically and Asymmet- rically: Can America be Defeated? (Carlisle Barracks, PA: US Army War Col- lege, 1998). 5. Military Operations on Urbanized Terrain (MOUT), FM 90-10. 6. Spiller Roger J., Sharp corners: urban operations at century's end, U.S. Army Command 7. and General Staff College Press, Fort Leavenworth, Kansas.

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8. US Army Science Board, Final Report of the Army Science Board Ad Hoc Group of Military Operations in Built-Up Areas (MOBA) (Washington, D. C.: Office of the Assistant Secretary of the Army [RDA], January 1979.

Dr Marek Kubiński - Faculty of Management and Command, National Defence Uni- versity, Poland e-mail: [email protected]

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