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Verbs and the History of Bantu Languages Near the Serengeti

November 10, 2016
By 19668

It is said that there are more than 6,000 languages spoken today in the world. The majority of them are so-called minority languages and are endangered. Timothy Roth, a 2014 Sylff fellow of the University of Helsinki, conducted fieldwork in Tanzania to examine four Mara Bantu languages—so-called minority languages—using an SRA award. His article, explaining the findings from his fieldwork, highlights the importance of “minority” languages.

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Mara Region, Tanzania

Mara Region, Tanzania

The Mara Region of Tanzania is home to over 20 different language varieties in an area the size of the US state of Delaware.Mara is situated between Lake Victoria to the west and Serengeti National Park to the east, with the nation of Kenya just to the north. As one might assume, the sheer density of languages and dialects in the region is quite remarkable. Although there are several Nilotic languages in the region, most of the varieties belong to the Bantu language family.

The area around Lake Victoria is extremely important for reconstructing the history of the Bantu peoples, specifically concerning the general routes taken across sub-Saharan Africa during what is called the “Bantu migration.” There is consensus among scholars that the Bantu migration took place several thousand years ago from what is now Cameroon.ii What is in dispute among historians (and researchers from other disciplines) is the direction(s) in which the early Bantu communities moved. One major hypothesis places early Bantu communities to the west of Lake Victoria as the result of a primary migration from Cameroon. Some of these early Bantu communities would have soon spread to the east side of the lake. This hypothesis happens to correspond well with the paleoecological and archaeological evidence.iii

Acacia savanna inside Serengeti National Park, about 90 km from Musoma.

Acacia savanna inside Serengeti National Park, about 90 km from Musoma.

Many of the languages in Mara are endangered to varying degrees and are linguistically underdescribed. There are many language endangerment issues here in terms of the need for language documentation, legitimacy, and the dynamic effects that language development and mother-tongue education can have on the communities themselves. There is an innate value to minority languages whereby language and cultural preservation result in a “mental” or “intellectual” wealth that belongs to humanity.iv

Hale says, “At this point in the history of linguistics, at least, each language offering testimony for linguistic theory brings something important, and heretofore not known or not yet integrated into the theory. In many cases, data from a ‘new’ language forces changes in the developing theory, and in some cases, linguistic diversity sets an entirely new agenda.”v

Thus, any additional linguistic understanding of the Mara languages could have ramifications not only for Bantu migration hypotheses but also for the advancement of current linguistic theory.

My research concerns four of these Mara Bantu languages: Ikoma, Nata, Isenye, and Ngoreme. These languages are closely related and form a subgroup called Western Serengeti. I am working on multiple languages rather than just one because the density of Bantu languages in the Mara region provides a unique opportunity to compare closely related languages. My research is focused on verbs, specifically the grammatical markers that encode tense, aspect, modality, and evidentiality (TAME). In Bantu languages—and many other languages around the world—differences in pitch can change the meaning of words and can also apply to these grammatical TAME markers; this concept is called “grammatical tone” and is a crucial part of any analysis of the verbal system. I am comparing the function and meaning of the TAME markers in Western Serengeti in order to understand how they developed and what that reveals about the history of these languages. As far as methodology is concerned, a focus on function and meaning (and not just forms) makes it necessary to combine any elicitation with the collection of natural texts.

View of Lake Victoria from Makoko, just outside of Musoma.

View of Lake Victoria from Makoko, just outside of Musoma.

For the first phase of my research, I went to Musoma, Tanzania, in October 2014 as a Sylff fellow and collected initial data from each of the languages. This initial data mostly consisted of elicitation from lists of words and sentences but also included audio recordings of stories and conversations. Because the TAME systems were underdescribed, I needed to cast a wide net to see what I would find. (Bantu languages are known for having intricate TAME systems.vi) The first phase was certainly a success, as I was able to figure out the general pattern of how the present-day TAME systems are organized. Surprisingly, I found that the systems are organized primarily around aspect (perfective versus imperfective) and not tense. This type of organization is more like some of the non-Bantu Niger-Congo languages of West Africa.vii

These surprising facets of the initial research made the second phase that much more important, as I had many remaining questions as a result. For example:

• If the systems are organized around aspect, how do speakers choose a particular aspect to communicate past, present, or future? Is it merely whether the event is viewed as complete or incomplete?

• Do the semantics of the verbs themselves (lexical aspect) influence the selection of certain grammatical aspects? Are there any restrictions on which verbs can take which grammatical aspects?

• Quite a bit of overlap exists in some of the aspects that cover (what would be) the immediate past and present. Does modality play any role in distinguishing between these?

Ikoma language informants working on text transcription.

Ikoma language informants working on text transcription.

With the SRA grant, I traveled again to Tanzania in June 2016 for the second phase of fieldwork. I worked on my research for two weeks at the SIL International Uganda-Tanzania Branch regional headquarters in Musoma. I brought in two mother-tongue speakers per language group as language informants for two to four days each and used Swahili to talk with them about their language(s) and conduct the research. Part of the research included transcription of previous audio data as well as word-for-word translation into Swahili. Additional research elements included further elicitation and recording (for lexical aspect and grammatical tone).

With the research that the SRA grant allowed me to undertake, not only did I gain some answers regarding the first two questions above, but the major finding came in relation to the third question: in three of the languages—Ikoma, Nata, and Isenye—the morpheme -Vká- combines inceptive aspect with what is called witness/non-witness evidentiality. Although not modality per se as initially expected, evidentiality is the “grammatical marking of information source.”viii In Ikoma, Nata, and Isenye the inceptive is used if the report comes from a witness to the event, while the perfective is used if the report comes from a non-witness to the event. Evidentiality has not been described for many African languages and is definitely an emerging area for research.

In addition, evidentiality has a clear relationship with episodic memory, or “the memory of past events that have been personally experienced and is thus based on sensory information.”ix

Tense and aspect also have clear relationships with storytelling and, more generally, how events are conceptualized by speakers. Using the cognitive linguistic concept of construal, for instance, tense and aspect can be explored in terms of how speakers perceive themselves and time in relation to events. The construals “ᴛɪᴍᴇ is a ᴘᴀᴛʜ” and “ᴛɪᴍᴇ is a sᴛʀᴇᴀᴍ” form the backbone for these relationships. In a ᴘᴀᴛʜ construal, the speaker views himself as moving while time remains unmoving. In a sᴛʀᴇᴀᴍ construal, however, time is moving and either the speaker or the event are seen as moving along with it.x
Remember that the systems in the Western Serengeti varieties are organized primarily around aspect without nearly as many tense distinctions as other Bantu languages. Aspect “denotes a particular temporal phase of the narrated event as the focal frame for viewing the event.”xi Think of different aspects in this sense as different video cameras set up around an event with one capturing the beginning, one the end, one the whole thing, and so forth. In Ngoreme, for example, there are at least four ways of communicating the “present tense” as shown immediately below. The underlined portions of the italicized Ngoreme verbs are the parts of the words that make their meanings different.

Ngoreme (Roth fieldnotes 2014, 2016)
a. Progressive
    nkohíka bhaaní
b. Perfective
    mbahíkire c. Imperfective
    mbarahíka
d. Inceptive
    bhaakáhika
“They [the tourists] (arrive, are arriving) [at the top of the mountain].”

If we begin to think about aspect in relation to the many verb forms involved in constructing a narrative, we can see how there are a multitude of choices available for the speakers of these languages to frame the story, and the events within that story. In analyzing narrative discourse, there is some scaffolding available to the speaker with some aspects used for foreground material (sequence of events) and others for background (e.g., flashbacks).xii But in Western Serengeti these choices can also be affected by formal versus informal register considerations (e.g., Biblical text versus a folktale or story told over lunch).xiii In Storytelling and the Sciences of Mind, Herman says that there is an “inextricable interconnection between narrating and perspective taking” and, further, that “storytelling acts are grounded in the perceptual-conceptual abilities of embodied human minds.”xiv Why then do speakers make the choices they do, and what does that tell us about the human mind and cognition? I hope that my research may help to widen our understanding of what is possible in terms of cognition and memory, storytelling, and the conceptualization of events.

Not only does my research play a role in these types of questions, but it also has implications across several academic disciplines in addition to linguistics (e.g., history, sociology, and archaeology). Specifically, I hope my investigation will, in coming from a linguistic perspective, build on the research of Jan Bender Shetler who has written two integral sociohistorical works on the ethnic groups in Mara, Telling Our Own Stories and Imagining Serengeti. The former is mostly a collection and analysis of oral histories from several ethnic groups in Mara, including origin stories. The latter focuses on spaces and landscape memory and draws on multidisciplinary evidence (including archaeology) to support the argument that the Western Serengeti peoples have deep historical roots in the Serengeti land itself. Comparative tense/aspect research here should shed further light on where these groups originally came from, how they are related to one another and to other Bantu languages in Tanzania, historical movements, and possible contact with Nilotic and Cushitic peoples. Like fingerprints, the somewhat unique set of similarities and differences in the tense/aspect paradigms may in this way allow for an advancement in our understanding of the sociohistory of these ethnic groups.

Finally, as I mentioned briefly above, my research also has a part to play regarding the innate value of minority languages. Even though minority languages in Tanzania are often treated as lesser, by doing linguistic research in these languages we are able to treat what is inherently valuable as worthy of study and with proper respect. My research and subsequent dissertation allow for additional features of these languages to not only be documented but also be shared with the academic community worldwide. This material includes recorded stories and conversations, transcriptions of those recordings, and their Swahili and English translations. This fits right in with the ethos of the Helsinki Area and Language Studies (HALS) initiative at the University of Helsinki, not to mention the language development work that SIL is doing in the area: developing orthographies, providing literacy programs, translation, and increasing language vitality in the process.



iHill, Dustin, Anna-Lena Lindfors, Louise Nagler, Mark Woodward, and Richard Yalonde. 2007. A sociolinguistic survey of the Bantu languages in Mara Region, Tanzania. Unpublished ms. Dar es Salaam, Tanzania: SIL.
iiPakendorf, B., K. Bostoen, and C. de Filippo. 2011. Molecular perspectives on the Bantu expansion: A synthesis. Language Dynamics and Change 1: pp. 50–88.
iiiNurse, Derek. 1999. Towards a Historical Classification of East African Bantu Languages.”In Hombert, Jean-Marie and Larry M. Hyman (eds.), Bantu Historical Linguistics: Theoretical and Empirical Perspectives, pp. 1–41. Stanford: CSLI. p. 9.
iv Hale, Ken. 1998. “On endangered languages and the importance of linguistic diversity.” In Grenoble, Lenore A. and Lindsay J. Whaley (eds.), Endangered languages: Current issues and future prospects, Cambridge: Cambridge University Press. p. 193.
vIbid. p. 194.
vi Botne, Robert and Tiffany L. Kershner. 2008. Tense and aspect in cognitive space: On the organization of tense/aspect systems in Bantu languages and beyond. Cognitive Linguistics 19 (2): pp. 145–218. p. 146. The E is left out here because African languages are not known for having evidentiality (see Aikhenvald 2004: p. 291).
vii Nurse, Derek. 2008. Tense and aspect in Bantu. Oxford: Oxford University Press. p. 281.
viii Aikhenvald, Alexandra Y. 2004. Evidentiality. Oxford: Oxford University Press. p. 392.
ixDahl, Ӧsten. 2011. The structure of human memory and tense-aspect-mood-evidentiality (TAME). Abstract. Website: http://www.mpi.nl/events/mpi-colloquium-series/mpi-colloquium-series-2011/osten-dahl-february-15
xBotne and Kershner 2008: pp. 147–50.
xiIbid. p. 171.
xiiNicolle, Steve. 2015. Comparative Study of Eastern Bantu Narrative Texts. SIL Electronic Working Papers 2015_003.  Website: http://www.sil.org/resources/publications/entry/61479. pp. 36ff.
xiiiIbid. p. 45.
xiv Herman, David. 2013. Storytelling and the Sciences of Mind. Cambridge: The MIT Press. p. 169.

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Training for the Best and Brightest Students on Leadership and Character Building in Rwanda

July 28, 2016
By 19603

Chika Ezeanya, a Sylff fellow from Howard University in the United States, initiated and implemented a two-day “Workshop on Character Building and Preparing Young Rwandans for Leadership towards Societal Advancement” in May 2016 in Kigali, Rwanda, with the support of an SLI grant. The following article is her reflection on the workshop. The successful workshop greatly contributed to nurturing leadership in young Rwandans who will be leaders of the community, the country, and the world in the near future.

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Motivation behind the Workshop

The organizer, Ms. Chika Ezeanya, presents with passion at the workshop on character building and leadership development in Kigali, Rwanda.

The organizer, Ms. Chika Ezeanya, presents with passion at the workshop on character building and leadership development in Kigali, Rwanda.

On May 25 and 26, 2016, the University of Rwanda College of Business and Economics gathered 30 of its brightest 300-level male and female students (according to GPA) at Nobleza Hotel in Kicukiro for a two-day intensive workshop on leadership and character building for societal advancement. The workshop was supported by a Sylff Leadership Initiatives grant.

The motivation behind the workshop is that the burden of national advancement rests on the shoulders of young people below the age of 25, who comprise 67% of Rwanda’s population. The main objective of the leadership training was to introduce young Rwandans with leadership potential to the need for building character toward effective leadership. The overall aim is to prepare these promising young people to become well-developed individuals and citizens and ensure that Rwanda as a nation is able to leverage its human resources to meet its economic growth and social advancement goals at all levels.

What Lacks in Rwanda

Education has been established as a veritable tool for training young people so that they will be equipped to hold leadership positions across sectors as older adults. Not many young Rwandans, however, are able to complete secondary education. According to the World Bank, Rwanda’s secondary school gross enrollment rate stood at 33% in 2013. Even for the few Rwandans who are able to study up to the university level, the curricula are lacking in leadership training modules. Training on leadership therefore needs to be given to selected Western-educated and not-so-educated young people with leadership potential in Rwanda.

Rwandan students at the workshop.

Rwandan students at the workshop.

The leadership training endeavored to instruct young Rwandans with leadership potential on the concept of effective leadership and its role in ensuring economic growth and social advancement at all administrative levels. It is hoped that beneficiaries will be more capable of effectively discharging their present duties as youth leaders, in addition to being prepared for higher leadership responsibilities as older adults in Rwanda.

Since the genocide, the government of Rwanda has placed emphasis on preventing a reoccurrence and has instituted several strategies for ensuring economic growth and social cohesion. Much has been achieved through numerous successful education policies, poverty alleviation programs, and agricultural and rural development projects. But these strategies lack adequate programs aimed at training the minds of young Rwandans on the need to imbibe certain character and behavioral traits necessary for effective leadership, which can firmly place the country on the path to economic growth and social advancement.

At the Workshop

Two international facilitators from the United States and Nigeria were present at the workshop to introduce certain concepts to participants and to assist them in individually and collectively thinking and working through the concepts over the course of two days. One local facilitator was also available.

Topics discussed during the workshop included “Character building as a prerequisite for societal advancement” and “Purpose-driven living, values, and principles: establishing a connection,” presented by Olumide Omojuyigbe from Nigeria, and “From self-leadership to leading others” and “Ethics and leadership,” presented by Edozie Esiobu. Meanwhile, Dr. Chika Ezeanya-Esiobu presented three courses including “Aligning personal goals with community development goals” and “Trust and economic development—a nexus.”

Also present during the workshop were three representatives from Sylff who traveled all the way from Tokyo, Japan, to show support for the workshop. Mari Suzuki, who is Sylff director for leadership development, gave a speech on the vision of Sylff and the importance of workshops of this nature to the organization. Keita Sugai, a Sylff program officer, gave the closing speech and also presented certificates of participation to all participants. Ms. Aya Oyamada, also a program officer, was at hand to ensure the success of the event. The three representatives also met with Professor Nelson Ijumba, the Deputy Vice Chancellor of Academic Affairs and Research, who was acting on behalf of the Vice Chancellor Professor Phil Cotton, and with the Principal of the College of Business and Economics, Professor Satya Murty. During the meeting, areas for further collaboration between the University of Rwanda and Sylff were explored.

Feedback from the Participants

The audience participated actively in the question-and-answer segments as well as in the breakout sessions, where they were divided into groups and given questions to tackle related to the topics of the day. In an anonymous questionnaire at the end of the training sessions, student participants indicated their happiness and satisfaction with the workshop, citing the knowledge they had gained, and expressed their hope of forming an association across the University of Rwanda to promote the truths they had learned from the workshop. Most participants noted that they were being trained on character building for the first time ever and stated that they left the training on the final day with a transformed mindset.

A group photo of Mr. Edozie Esiobu, one of the speakers, Mr. Keita Sugai, Program Officer for Leadership Development for the Tokyo Foundation, and all participants, taken after the workshop.

A group photo of Mr. Edozie Esiobu, one of the speakers, Mr. Keita Sugai, Program Officer for Leadership Development for the Tokyo Foundation, and all participants, taken after the workshop.

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The Refugee Crisis on the Borders of Europe and the Role of the Czech Republic

May 16, 2016
By null

Věra Honusková and Martin Faix, Sylff fellows from Charles University in Prague, initiated and implemented a conference titled “Refugee Crisis on the Borders of Europe and the Role of the Czech Republic” in November 2015 with the support of a Sylff Leadership Initiatives (SLI) grant. The following article is their reflection on the conference. Having been written in December 2015, it does not take into account events that have transpired since that time. Although the nature of the problem is such that it is greatly affected by ongoing events, the article is nonetheless valuable as it deals with the fundamental aspects of the issue.

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Background

In an unprecedented migration crisis, we are currently facing the largest inflow of people into Europe in many decades. Hundreds of thousands of people are arriving on the shores of Greece and other states, many of whom are trying to reach Germany or Sweden. Europe is acting relatively slowly, and its proposals are not always welcomed by all.

The Czech Republic is neither a state on the external border of the European Union nor a transit or destination country for high numbers of migrants and refugees. The country is small, with only 10 million people, and relatively homogenous. There are approximately 450,000 foreigners in the Czech Republic, including several thousand refugees. The number of international protection (asylum) seekers has been very small thus far—only several hundred people yearly. The numbers are increasing now—still slowly, but the massive influx will impact the country without fail.

Within the EU, the Czech Republic often finds itself in the opposition. The EU, for instance, proposed a plan to “redistribute” migrants and refugees from those countries that have received too many (on the basis of EU asylum laws, mainly Dublin Regulation III) to other countries. The Czech Republic was one of four countries to oppose the plan.

Shifting Attitudes in Czech Society

This negative attitude toward the migrant and refugee issue is not only a matter of the Czech government’s position in the EU. The migrant—and especially refugee—issue has grown into a highly controversial one discussed at all levels of society.

Symptomatic of the debate is a surprising lack of awareness and understanding of the legal underpinnings of the current migrant issue, such as international and European legal obligations of the Czech Republic. This has resulted in resolutely foreigner-unfriendly positions on the issue, which have gained popular support and which, in the long run, have the potential to lead to a xenophobic atmosphere in Czech society. Such tendencies can be seen in the statements of political decision-makers, such as members of government, the office of the president, and parliament, and representatives of political parties. Moreover, they are widely shared by the public.

The language used in the speeches of politicians, in debates in the media, and on social networks has directly corresponded with the rise in xenophobic and anti-democratic sentiments. Heated debates arose in spring 2015, and people marched with model gallows for “traitors”—those who do not oppose refugees—at demonstrations held in June.

Law as a Corrective of the Views of Society

As academics and lawyers, we felt obliged to raise our voice and to speak about the obligations that the Czech Republic holds toward those in need of protection. While the law does not require states to accept all refugees, it still prescribes certain responsibilities toward them.

Furthermore, we live in the cradle of human rights. As such, we must stay human and strive to find solutions to help those in need. Perhaps they should live in countries neighboring their own, or perhaps in Europe, if only temporarily. But we need to talk about all this, about the role of international and European law in the refugee and migrant issue, about the question of a humanitarian approach to the issue, about how the negative attitude of policymakers toward refugees and migrants influences society. We believed that laying out the legal basis for the current debate may help to cultivate the debate, to calm the passions, and to help those in responsible positions to come up with a vision and possible solutions.

We therefore decided to work with the idea of a conference, and we sincerely thank the Tokyo Foundation for believing in our proposal.

The Conference

The conference “The Refugee Crisis on the Borders of Europe and the Role of the Czech Republic” took place on November 12, 2015, on the premises of the Charles University Faculty of Law. There were more than 150 participants, including those from politics, the media, government ministries, and NGOs, as well as students. Among the speakers at the conference were three international speakers who are well-known specialists on refugee law and are also involved in public debate on the issue. There were guests from the judiciary and from the Office of the Czech Ombudsperson, as well as speakers from academia representing different views.

The program of the conference consisted of three parts. The first part focused on legal and institutional foundations and introduced the legal basis for the debate with an overview of current hot topics. The second was aimed at giving a wider perspective by presenting the philosophical and sociological aspects of the issue and the human rights view. The third part sought possible legal answers to the mass influx of migrants and refugees, attempting to show the perspectives of EU law and the law in the Czech Republic.

The speakers presented many interesting facts, arguments, and possible solutions. They had different opinions, some very much in favor of human rights and others more traditional. But they all presented their views with arguments, and the debate was highly sophisticated. The conference provided a solid basis for understanding the role of law in the current situation, and some possible solutions were also discussed.

Impact of the Project

Several speakers mentioned the possibility of temporary protection. The idea seems very worthy of debate; it shows us that there are more approaches that we could take toward the current mass influx. As was also mentioned in the conference, we need to fight the smugglers, help people stay in countries near their countries of origin, and help solve the situation in their home countries by diplomatic means. But we can also offer homes to refugees, even if temporarily. One of the reasons for xenophobic reactions is the fear that an indefinite number of refugees and migrants will come into Europe and stay there for good. The law has a response to such situations as well, which those who are afraid may find acceptable.

The audience of the conference took active part in the debate. Many people told us or wrote us later that they found the conference to be very meaningful, and we daresay that it fulfilled its aims. Attendees had the opportunity to get an overall legal picture of the issues that are currently being debated. But those who were there are not the only ones to benefit from the conference; video recordings of the proceedings are available on the Prague faculty’s website for streaming.

*The report of the same conference by the Tokyo Foundation is available at https://www.sylff.org/16764.

 

Věra Honusková received a two-year Sylff fellowship in 2007–8 at Charles University. The fellowship enabled her to conduct research abroad and use it to finish her PhD thesis on the interpretation of the definition of a refugee. She is now a senior lecturer in public international law at the Faculty of Law, Charles University. Her areas of interest include migration, refugee law, and human rights. She is also a member of the Odysseus Network.

Martin Faix received a Sylff fellowship in 2009 at Charles University in Prague, Czech Republic, while conducting PhD studies in public international law. He is a senior lecturer in public international law at Palacký University in Olomouc and at Charles University. His areas of interest include human rights, international organizations, and use of force.

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Toward an Understanding of the Medieval Mediterranean World

April 15, 2016
By 19620

Gregory Williams received a two-year Sylff fellowship at the American University in Cairo for the academic years 2011-2012. He has been conducting a series of archaeological excavations in Aswan, Egypt, using an SRA grant. In this article, he argues that archaeological findings from the medieval Mediterranean world are often ignored, and suggests that the region’s Fhistory has much to teach today’s world about living in harmony and appreciating diverse cultures and religions.

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Map of Medieval Egypt and Nubia.

Map of Medieval Egypt and Nubia.

Since 1996, when Samuel Huntington first popularized the term “clash of civilizations,” much of our contemporary understanding of Islam and the Muslim world has centered on a dichotomous relationship between East and West. The international media ―and to some degree the academic community as well― has wholeheartedly accepted this ideology despite its inherently flawed nature. The acceptance of the idea that current political conflicts run along the religious and ideological lines of Islam and Western society greatly underrepresents the importance of historical and cultural factors when trying to understand and resolve those conflicts.

As a Sylff fellow I studied in Cairo, Egypt, and as a PhD student I was fortunate enough to receive a Sylff Research Abroad (SRA) award to continue my field research in Aswan, Egypt. During this time spent in the Middle East I was struck by what seems to be a major lack of understanding of premodern history among today’s policymakers, journalists, and pundits. The medieval history of the Mediterranean, which often helps to explain the diversity of cultures and languages in this part of the world, is often completely ignored. It is hard to read a newspaper, watch the news, or discuss political events without thinking in terms of Islam versus Christianity or East versus West. However, many historians have argued convincingly that Islam and Christianity developed as sibling traditions, with much more in common than we often appreciate or acknowledge. The Mediterranean region should be understood as a single, inter-cultural sphere.

View of the Nile at Aswan.

View of the Nile at Aswan.

Archeology is a field that can make important contributions to our knowledge of daily life and the history of Muslim, Christian, and Jewish communities in the Mediterranean region. Unfortunately, for most of this discipline’s history, projects have focused on the ancient past, and artifacts from the more recent past have often been ignored—or even removed and destroyed! How can we build a more comprehensive historical and cultural understanding of our recent and medieval past? This effort must begin by making focused, concerted efforts at important multiethnic and multireligious archaeological sites where a more nuanced understanding of the relationship between different ethnic groups and religious communities can be conceived. The SRA award has allowed me to make a start on this kind of study in Aswan, Egypt, a site with a unique setting on the historical border between Christian and Muslim lands in Africa.

Hybrid material culture in the ninth to tenth century CE.

Hybrid material culture in the 9th-10th Century CE.

Fortunately, recent archaeological excavations in Aswan, run jointly by the Swiss Institute for Architectural and Archaeological Research on Ancient Egypt and the Egyptian Ministry of State for Antiquities, have presented a unique opportunity to explore this premodern past. Most previous excavation work in Egypt has disregarded the country’s medieval remains in search of its pharaonic past. In Aswan, the medieval city is treated as an important part of understanding Egypt’s history. While many cities and towns in Europe and the United States employ archaeologists to check that a new construction project will not destroy important cultural remains, this practice has only recently been introduced in Egypt. European and Egyptian archaeologists are working together on joint excavations to protect the city’s cultural heritage in spite of the illegal building and looting practices that sometimes plague Egyptian cities, and the results have made important contributions to our understanding of all periods of Egypt’s history.

During the ninth and tenth centuries CE, Aswan was home to various Arab tribal families, Coptic Christians, and Beja nomadic groups from the Eastern desert. Legal documents discovered elsewhere in Egypt in synagogue storerooms known as geniza suggest that a Jewish population also existed there for some time as well. Today, Aswan continues to be an important center for both Christians and Shi’a Muslims, although the vast majority of Egypt’s population is Sunni. The first cataract of the Nile became a major trading location for goods between Muslim Egypt and Christian Nubia. During this time, pilgrims passed through Aswan on their way to and from Mecca and Medina for the annual hajj, and merchants profited from the products of the Wadi al-‘Allaqi gold mines just to the southeast. Artifacts from excavations in Aswan have begun to highlight these kinds of interactions and the movement of peoples and products that were occurring inside and outside the Islamic world.

Mausoleums in the Aswan Cemetery.

Mausoleums in the Aswan Cemetery.

In other words, Aswan was a highly diverse and “international” center in the medieval period. But this history is disregarded, as so often with medieval history in Egypt, as not ancient enough for the archaeologist and too long ago for the modern-day political scientist or economist. The reality is that these displays of multiculturalism and tolerance are important examples of how people can live together and have done so in the past. We can continue to treat people of other ethnicities and religions as coming from another civilization, or we can look to the not so distant past for a reminder of how “civilization” in the Mediterranean often meant complex, hybrid societies where people of different faiths lived together. Of course this coexistence was not always peaceful and without conflict. But unless we begin to incorporate cultural studies of the past into our modern conceptualizations of social conflict, we will be missing a very important piece of our shared human history.

It is easy to simply follow the national, institutional, and ideological lines that direct academic research in so many areas today. I believe that it is more important, though, to ask questions that transcend these dividing lines and investigate largely unexplored areas, such as the interaction between Muslim and Christian communities in North Africa and the Middle East. Perhaps by contributing to a more complete view of our history and the way in which people of different faiths and ethnicities interacted and lived together in the medieval world, research of this kind will give our current debates on the so-called “clash of civilizations” a much needed pause for reconsideration.

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Anti-immigrant Policies in Arizona and Their Impact on Mexican Families

March 23, 2016
By 19613

As media coverage of the 2016 US presidential election has shown, recent terrorist attacks and the ongoing influx of immigrants into Europe have caused an increase in xenophobia and related phenomena.

Eduardo Torre-Cantalapiedra, a Sylff fellow at El Colegio de México, used an SRA grant to research the impact on Mexican immigrants of the highly controversial anti-immigrant laws passed in Arizona in 2010. Can enforcing immigration laws decrease the number of undocumented immigrants? Should the living conditions of undocumented immigrants be ignored because their stay is illegal? This article reveals the true difficulties they face, as experienced by the immigrants themselves.

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Introduction

In recent years, Arizona has passed some of the harshest anti-immigrant policies in the United States. The Republican Party has adhered strictly to its doctrine of “attrition through enforcement,” and Democrats have done little to stop them. This policy has caused serious damage to Mexican families and to the population in general in that state, (My own estimates based on the American Community Survey suggest that there were approximately 248,000 Mexican households in Arizona in 2010). The doctrine is based on the idea of making everyday life for undocumented migrants so difficult that they will be motivated to go back to their countries of origin. In response to Arizona's anti-immigrant policies and the hostile environment they have generated, Mexican families have developed a set of strategies to make the difficulties more bearable. Some families have also decided to migrate from Arizona to other parts of the United States.

Fieldwork Evidence

Sheriff Joe Arpaio in front of the federal courts in Phoenix.

Sheriff Joe Arpaio in front of the federal courts in Phoenix.

The fieldwork I carried out in Phoenix, Arizona, has allowed me to make a diagnosis of the situation. I now have a clearer idea of the problems that these anti-immigration policies have caused for Mexican families and for the social environment in Arizona. The main results of my fieldwork will be incorporated into the central chapters of my dissertation. My basic finding is that these state policies have not achieved the goal of making immigrants "without papers" leave the state. However, they have meant the systematic violation of civil rights of the migrant families. The police have been one of the largest sources of abuses and violations. US District Judge G. Murray Snow issued a sweeping decision finding that that Sheriff Joe Arpaio and his agency (Maricopa County Sheriff’s Office) had relied on racial profiling and illegal detentions to target Latinos during immigration sweeps and traffic stops (ACLU, 2015). Most of the people I interviewed told me they had been stopped while driving simply because of their skin color and physical appearance. Most had been subjected to heavy fines or had had their vehicles confiscated for a month. Several were subjected to deportation proceedings, even though they had never been convicted of any crime.

Undocumented migrant workers have also been pushed into the informal economy and have been forced to take increasingly precarious jobs. Manuel1 preferred to work as a day laborer rather than work without papers because he was afraid of being accused of identity theft if he used another person’s social security number. José was fired from the restaurant where he worked when the chef started to use the E-Verify system. (Arizona has required that most employers use the E-Verify system to verify the migration status of employees since 2007.) Because of this same system he could not find a new job in another restaurant. He now spends his time cleaning yards and does not earn enough money to support his family. Ramón spent two years unemployed, occasionally working small jobs for friends and acquaintances to get by.

In addition, family members are often afraid to contact the police to report crimes—even when they witness felonies, of which in many cases they are also victims. Marta's car was stolen in front of her house, but she never ventured to report the crime to the police. Manuel, an undocumented immigrant, was too afraid to go to the police to report an attempted rape of his daughter (still a minor) for fear that the police would ask about his immigration status. He was finally able to report the incident to the police with the support of a family member who is a US citizen.

Mural showing a Latina student, Phoenix.

Mural showing a Latina student, Phoenix.

The entire state has been affected by the implementation of the anti-immigrant policies. Underutilization of labor, strengthening of racist and xenophobic groups, the breakdown of the social fabric and severe economic losses are just some of the major problems that these policies against undocumented immigrants have caused.

Young people have also been affected by anti-immigrant policies. One law decided that undocumented immigrants must pay out-of-state tuition for their education. Some of the students I interviewed told me they were finding it very difficult to continue their studies because the tuition had increased by 300%. Others had already given up their studies. Only when President Barack Obama approved a new policy that deferred action for certain undocumented young people who came to the United States as children did some of them decide to continue their studies.

Protest against anti-immigrant policies, Phoenix, April 23th 2015

Protest against anti-immigrant policies, Phoenix, April 23, 2015.

My study also documented the adaptation and mobility strategies that families have developed to deal with the anti-immigrant policies in Arizona. These strategies have included staying away form public spaces to avoid the risk of deportation, using members with some kind of legal status to attain certain benefits, seeking measures that allow them to circumvent the prohibitions on driving and working in the state, and others. María was so afraid of being deported and separated from her family that for many months she refused to leave her house except when it was absolutely necessary. Some families decided to emigrate from Arizona to other part of the United States. Some of those who had emigrated told me that enforcement of immigration laws by police in other states is different: they do not stop your car in the street simply because you look Latino. Interstate migration of foreign-born migrants is therefore not motivated only by social networks and economic issues. The varying immigration policies of different states provide another powerful incentive for some families to move.

New Policies

To reverse these adverse effects, changes on two levels are necessary. The first step must be to get rid of all laws based on the doctrine of “attrition through enforcement.” The economic boycott, international and domestic pressure, protests against the unconstitutionality of these laws, and other measures, have been partially effective in fighting these laws in the medium and long term. While many local migration initiatives have been repealed, many remain in force today and continue to damage Mexican migrant families in the state. Second, the continuing daily struggle of families against the anti-immigrant policies is essential. Although this struggle stands a good chance of reversing the current policy framework in the long run, it is also needed as a means of empowering migrant families through information about their rights and participation in social movements and organizations that fight for the civil rights of migrants, regardless of their legal status in the United States. We must not forget that “undocumented” status does not mean that migrants have no rights according to United States laws. Among other constitutional rights, for example, an immigrant has the right to due process when he or she is arrested. An immigrant can be indemnified if he or she is a victim of a crime. Undocumented migrant children (K-12 or less) have the right to attend school according to the Supreme Court.

The logo of the Comités de defensa del Barrio.

The logo of the Comités de defensa del Barrio.

During my stay in Phoenix I had the opportunity to participate in activities organized by the Barrio Defense Committees (Comités de defensa del Barrio, or CDB for short). I was able to observe the important work being done by this and similar organizations in mitigating the adverse effects of the policies against migrants "without papers" and their families. CDBs are a genuinely grassroots movement that emerged in response to the attack against resident Mexican families represented by the 2010 Support Our Law Enforcement and Safe Neighborhoods Act, or Arizona SB 1070. The ongoing hard work of the CDB has allowed many Mexican families to move out of a position of isolated defense to take actions in defense of their rights along with other family units. As its members argue: Unity is strength ("la unión hace la fuerza").

In short, I am hopeful that the fieldwork I conducted with the support of Sylff Research Abroad will produce valuable information for policymaking in both Mexico and Arizona that will serve to defend the civil rights of Mexican families in Arizona and improve their living conditions, and to repair the broken social fabric by allowing closer links between Mexican and American families who live in the state.

References:
American Civil Liberties Union (March, 2015). Ortega Melendres, et al. V. Arpaio, et al. Retrieved from https://www.aclu.org/cases/ortega-melendres-et-al-v-arpaio-et-al


1Names have been changed to preserve the anonymity of the people interviewed.

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Internet Policymaking and the Case of Brazil’s Marco Civil

March 7, 2016
By 19622

Guy Hoskins, a Sylff fellow at York University, traveled to Brazil to study the implications of a new civil law on Internet freedoms with huge implications for privacy, freedom of expression, and network neutrality for Internet users around the world.

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When the revelations made by former US government contractor Edward Snowden emerged regarding his country’s practice of dragnet surveillance of global digital communications, the repercussions were manifold. Some of the consequences, such as diplomatic tensions and a heightened public awareness of data privacy issues, could have been foreseen. Others, however, were much less predictable. One such outlier was the passing into law in Brazil of a bill called the Marco Civil da Internet (the Civil Framework for the Internet) enshrining a substantive set of civil rights for the country’s more than 100 million Internet users, built upon the three pillars of privacy, freedom of expression, and network neutrality. Having been subject to abandoned votes on 29 separate occasions in the country’s lower chamber, the success of this partially crowdsourced, multi-stakeholder policy document was far from assured. The public and executive outrage generated by news of the National Security Agency’s practice of intercepting sensitive Brazilian communications proved to be the tipping point. President Dilma Rousseff signed the bill into law on April 24, 2014.1

Within a global media environment marked by almost daily stories of government infiltration of digital communications, threats against the neutrality of the Internet by telecommunications companies seeking to impose a tiered system, and state and corporate suffocation of freedom of expression online, it is little wonder that a bill of online civil rights in one of the most populous countries on earth should attract the interest of the world. That story, at least for English-speaking audiences, has yet to be fully told. It is the purpose of my doctoral dissertation to address that shortfall. By undertaking a detailed analysis of the development of this world-first bill of rights for Internet users, my hope is that a viable framework can be developed for other countries to follow and to safeguard an Internet legislated according to civic logic. It is not enough to hold aloft the bill itself and point only to the provisions contained therein. In isolation they cannot provide a cogent and replicable model for the rest of the world if the means of their resolution are not properly chronicled and understood.

With an undergraduate degree in Latin American studies, fluency in Portuguese, and experience living and working in the region, I had always attempted to integrate developments in Latin America into my graduate research in communication studies. So when I first read reports about the Marco Civil at the outset of my doctoral studies, it was immediately clear that this would make an excellent object of study. I first traveled to Brazil in March 2014 on a preliminary fact-finding mission while the Marco Civil was still in development. I had the immense good fortune not only to establish a network of contacts among civil society organizations that were promoting the bill but also to be granted access to the Brazilian Congress on the evening of March 25, 2014, to bear witness to the historic successful vote.

Buoyed by these experiences, and with financial assistance from SRA, I planned a period of formal field research in Brazil to coincide with the one-year anniversary of that first vote in March 2015. My primary objective was to interview some of the main protagonists who had participated in the open contribution phase of the bill’s development initiated by the Ministry of Justice. These people represented some of the major stakeholders in the Brazilian Internet, including telecommunications corporations, government bureaucrats, members of Congress, civil society leaders, traditional media companies, and web service companies. In gathering firsthand testimony from these individuals, I sought to discover how different groups of social actors were guided by particular logics with regard to the future direction of the Internet—profit, state security, surveillance, civic engagement, innovation, etc.—and how these were tied to the social values of privacy, freedom of expression, and economic freedom that ultimately form the technical and legal operating environment of a national Internet.

Network neutrality has received much media and public attention in recent months as the subject of major regulatory decisions in the United States, India, and the European Union, as well as of course in Brazil. It was fascinating to observe how what might appear at first glance to be a rather arcane technical premise—that all the data that flows on the Internet must be treated equally without any attempt by network administrators to allow data from certain sources to travel faster than any other—was articulated and interpreted by the different stakeholders in the Marco Civil case.

Traditional media companies, dominated in Brazil by the ubiquitous Globo Group, saw net neutrality as a means to ensure mass access to their commercial content. Web companies interpreted it as a safeguard for innovative new online services. Telecommunications companies opposed it on the grounds that it would stifle the potential for new business models. Civil society organizations generally viewed the legislation as essential to both consumers’ rights to digital services and citizens’ rights to freedom of knowledge. Identifying and charting these diverse interpretations of one element of the technical architecture of the Internet can allow us to better understand why these details are so fiercely contested and to appreciate the deeply social process that underpins these apparently neutral technological considerations.

Another essential facet of the Marco Civil process that I was able to appreciate much better after speaking with my interviewees was the way in which the object of the policymaking process—the Internet itself—had influenced how the various groups were able to “operationalize” their agendas or logics. The Brazilian government’s use of an online consultation forum opened the bill to large-scale public scrutiny and input. This made the legislative project much more democratically legitimate—a fact that helped considerably to overcome partisan opposition in Congress. Civil society groups took advantage of the same mechanism to raise public awareness of the substantive issues under discussion while the telecommunications companies, with no little irony, were the group most disadvantaged by the transparency and ready coalition-building facilitated by the Internet and continued to pursue their traditional tactics of backroom lobbying rather than exposing rational arguments to the oxygen of (online) publicity.

I am now in the early phases of data analysis as I translate, transcribe, and codify the hours of interview footage I gathered during my fieldwork in Brazil. As I work, I seek the insights that will allow me to portray as accurately as possible how, in spite of a concentration of forces applying logics of profit and control online, “another Internet is possible” (Franklin, 20132)—one premised on safeguarding freedom of expression, data privacy, and network neutrality.


1http://www.newscientist.com/article/dn25467-brazils-internet-gets-groundbreaking-bill-of-rights.html
2Franklin, M.I. (2013) Digital Dilemmas: Power, Resistance and the Internet, Oxford: Oxford University Press.

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Chinese Investment in Central and Eastern Europe

February 25, 2016
By 19675

Ágnes Szunomár, a 2015 Sylff fellow at the Hungarian Academy of Sciences, summarizes her research on the recent trend of Chinese investment in Central and Eastern Europe. In her article, she describes how it differs from investments by other Asian and European countries.

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Introduction

Chinese outward foreign direct investment (OFDI) is one of the most spectacular developments in recent international economics in terms of its rapid growth, geographical range, and takeovers of established Western brands. Chinese firms mainly invest in Asia, Latin America, and Africa, where they search for markets and natural resources. They have also been active in the developed economies of Western Europe and the United States, however, that offer markets for Chinese products and assets that Chinese firms lack, such as advanced technologies, managerial knowledge, and distribution networks. Chinese firms are also increasingly investing in Central and Eastern European countries (CEECs). These investments are quite a new phenomenon and still constitute a small share of China’s total foreign direct investment (FDI) in Europe (10%), but since 2006 we have seen a growing influx of Chinese investments into the region, which is expected to increase further in the future (see the figure below).

The aim of my research was to analyse the motivations and location determinants of Chinese FDI in the largest recipient countries within the CEECs, with a special focus on the role and impact of host country macroeconomic and institutional factors.

Background

China’s rise is often compared to the postwar “Asian Miracle” of its neighbors. An analysis of the internationalization experiences of Japanese, Korean, and Chinese companies reveals several common features as well as some differences. One of the main common characteristics shared by all three is the creation and support of the so-called national champions, that is, domestically based companies that have become leading competitors in the global market. In fact, during their developmental period, both the Japanese and Korean governments gave strong state financial support to their companies in order to protect and promote them as well as to strengthen them for international competition. China has followed this example in subsidizing domestic industries and supporting their overseas activities, for example in the form of government funding for OFDI.

Although the CEECs differ in many respects, they do have some features in common as possible locations for East Asian investors. Their economies have been in the process of catching up over the last decades, defined mainly by European powers. FDI has played a key role in their restructuring. Investment from East Asian countries in the CEECs began as early as the 1990s (with a Japanese Suzuki factory in Hungary).

In the past decade most of these countries became increasingly interested in boosting trade and attracting investments from East Asian economies. The global economic and financial crisis of 2008 intensified these ambitions. The largest recipient countries of East Asian investments within the CEECs are Hungary, Poland, the Czech Republic, and Slovakia. Around 90% of foreign investments in the four countries are from Europe, with an average of only 7.4% of FDI from other countries, mainly from the USA, South Korea, Japan, and China.

Utility of the Research

Typically, the international literature examines the motivations of Chinese OFDI on a global basis, and most previous studies have focused on China's growing investments in the developing world. Studies dealing with the characteristics and motivations of Chinese FDI in Europe rarely deal with the Central and Eastern European region. Although significant research has been done on FDI flows to the CEEC region, most of these studies do not include Chinese investments. The literature is thus incomplete, and detailed description and analysis of this issue is lacking. The primary aim of this research was therefore to complement the literature.

Besides complementing the literature, my results also have an inherent message for CEEC corporate decision makers and policy makers. For the CEECs, the Chinese relationship is increasingly a priority, especially since the economic and financial crisis of 2008. Most countries in the region see a closer relationship with emerging economies such as China as a promising way of recovering from the recession. The further development of corporate or government strategies in this regard may be supported by the results of this research.

Methodology

Given the broad concept and geographical scope of Central and Eastern Europe, instead of focusing on the relations of all the region’s countries with the main East Asian investors, the research concentrates on a fair sample of CEEC countries: the Czech Republic, Hungary, Poland, and Slovakia. These countries were selected in consideration of their size, reflecting their proximity, growing business ties, and geographic location, as well as their political and economic relations with China. The Czech Republic, Hungary, Poland, and Slovakia are the most developed and most important players in the CEEC region and are members of the Visegrad Group as well as the EU and the Schengen Area.

At the beginning of the research I reviewed theories and literature on FDI location determinants with a special focus on FDI determinants in the CEECs. The next step was to analyze the changing patterns and motivations of Chinese and other East Asian OFDI as I tried to find similarities and differences between the characteristics and motivations of Chinese, Japanese, and South Korean FDI in the CEECs. In addition, I provided a detailed description of the impact of both macroeconomic and institutional factors based on case studies and interviews with East Asian firms established in the CEECs.

To continue this research in the near future I also prepared an online opinion survey on East Asian companies' investment patterns, which will be sent out to several Chinese, Japanese, and South Korean companies operating in the CEECs to collect more information on their activities, motivations, and strategies.

Research Results

My investigation into the motivations of Chinese OFDI in the CEECs shows that Chinese investors mostly search for markets (market-seeking investment). Investors are attracted by the relatively low labor costs, skilled workforce, and market potential. EU membership allows Chinese investors to avoid trade barriers, and the countries serve as an assembly base due to the relatively low labor costs (efficiency-seeking investment). However, in parallel with the increasing number of mergers and acquisitions in the region, strategic asset-seeking motives have become more important for Chinese companies in recent years. Chinese investments are also motivated by the search for brands, new technologies, or market niches that they can fill in European markets. For example, in early 2012 Liugong Machinerys acquired Huta Stalowa Wola’s construction equipment division and its distribution subsidiary, Dressta. Secondly, in 2013 China’s Tri Ring Group Corporation acquired Polish Fabryka Łożysk Tocznych (the biggest Chinese investment in Poland so far), a producer of bearings for the automotive sector.

Chinese investment has flowed mostly into manufacturing (assembly), but over time services has attracted more and more investment as well. For example Hungary and Poland are home to branches of the Bank of China and the Industrial and Commercial Bank of China, as well as offices of some of the largest law offices in China (Yingke Law Firm and Dacheng Law Offices). Regarding the Chinese entry mode, there are examples of greenfield or quasi-greenfield investments (Huawei, ZTE, Lenovo), as well as mergers and acquisitions (Wanhua) and joint ventures (Orient Solar, BBCA).

Having examined the CEEC-East Asian economic ties, my conclusion is that while Japan and South Korea previously had larger roles, China has increasingly come to the fore in recent years. Analyzing the difference in motivations before and after the global economic and financial crisis suggests that although the crisis did not have a direct impact on East Asian investments in the CEECs, there was an indirect impact since it was in the aftermath of the crisis that the CEECs started to search for new opportunities to help them recover from the recession. For example, Hungary's “Opening to the East” policy was initiated after (and partly as a result of) the crisis, but the crisis also made Poland look eastward. China took these opportunities and has increased sectoral representation of Chinese firms in the CEECs in recent years.

The results of my research suggest that the characteristics, motivations, and location determinants of Chinese investments in the CEECs differ somewhat from Western as well as other East Asian investors’ motivations. While macroeconomic factors, such as labour costs, market size, and corporate taxes, had and continue to have a decisive role in selecting FDI locations for investors from other countries, Chinese firms seem to attach greater importance to institutional factors. Country-level institutional factors that impact Chinese companies’ location choice within the CEECs seem to be the size of the ethnic Chinese population, as well as investment, privatization and public procurement opportunities, but also good political relations between the host country and China. One example is Hisense’s explanation of the decision to invest in Hungary. Besides traditional economic factors, this decision was apparently motivated by the “good diplomatic, economic, trade, and educational relations with China, the sizable local Chinese population, Chinese trade and commercial networks, and associations already formed.” Another example is the Nuctech company, which established its subsidiary in Poland in 2004 and participated in public procurement.

My research also suggests that the CEEC region is not homogeneous and that there are differences in the economic relations between the CEEC countries and China. Moreover, the CEECs often view each other as competitors rather than working together to achieve shared goals (that is, to attract more Chinese investment). This is unfortunate, since according to the literature on the perceptions of the CEEC region among Chinese, many Chinese business investors consider the region to be a unified bloc.

Conclusion

To conclude, I found that:
(1) The role of Chinese investments within the CEE region increased significantly after the crisis, and investment from China will be increasingly important for the countries of the region in the future, as the Chinese share of total inward FDI in the CEECs increases.
(2) Chinese investments in the CEECs differ somewhat from other countries’ investments in the region in terms of motives, which in the Chinese case are driven by both political and economic factors.
(3) The level and warmth of political relations with the host country have an increasingly important influence on Chinese companies’ investments in the region. And (4) the CEE region tends to be seen more as a unified block than as a group of countries by the Chinese. Greater cooperation among the CEECs might therefore help to increase the chances for successful economic relations with China.

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[Report] The Refugee Crisis in Europe and the Role of the Czech Republic

February 10, 2016
By null

Martin Faix and Věra Honusková, Sylff fellows from Charles University in Prague, organized a conference on the migrant and refugee crisis in Europe that was supported by an SLI grant. Tokyo Foundation director Mari Suzuki and program officer Keita Sugai attended the conference as observers. The following is a report by Keita Sugai.

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Introduction

The migrant and refugee crisis in Europe has the potential to precipitate social and geopolitical changes that could prompt the European Union to thoroughly reexamine its border policy from political, pragmatic, and humanitarian perspectives. Today, news of refugees fleeing from war-torn, failed states or oppressive dictatorships reaches readers around the world every day, and the issue has elicited both sympathy and hostility toward the migrants within the EU. While EU ministers voted for a plan to relocate 120,000 migrants and refugees in September 2015, central European countries, including Romania, Hungary, the Czech Republic, and Slovakia, voted against the plan. The issue has been highly divisive.

In an attempt to gain a fuller understanding of this issue through objective, impartial discussion, Sylff fellows Martin Faix and Věra Honusková organized a one-day conference in Prague—supported by a Sylff Leadership Initiatives (SLI) grant—that focused on the legal dimensions of the debate. As an observer at the conference, I became acutely aware that the legal foundations of the refugee issue were often completely overlooked in the discussions intended to consider and articulate the plight of the refugees.

The SLI-funded conference on the “Refugee Crisis on the Borders of Europe and the Role of the Czech Republic” was held on November 12, 2015, at Charles University in Prague, from whose Faculty of Law both Faix and Honusková received their PhDs. The fellows have profound legal knowledge of refugee-related issues, with Honusková having substantial practical experience through her career at an NGO and in academia.

In this report, I will first provide background information and then summarize the main arguments for the legal foundations of this issue, along with other topics covered at the forum. I will also share my observations on how the two Sylff fellows succeeded in fulfilling the purposes of the conference.

Background Information

Věra Honusková

Věra Honusková

In my conversations with the fellows, I learned that the refugee issue has been politicized in their country and that attempts to stir up public sentiment have resulted in strong anti-refugee opinions and policies. When the number of refugees entering the EU increased dramatically in spring 2015, discussions oriented toward accepting them were difficult to initiate because the political environment was very negative. This was challenged by humanitarian groups on several occasions, and a groundswell of sympathy emerged when the photo of a Syrian boy found dead on the southern Turkish coastline caught worldwide attention. Arguments were made calling for a more flexible policy, and stakeholders became more willing to listen to different viewpoints.

Dr. Martin Faix

Dr. Martin Faix

Faix and Honusková carefully timed the conference to coincide with this shifting mood. Their primary objective was to examine the legal foundations of the refugee issue, and waiting until November was quite fortuitous, as policy stakeholders became more interested in different perspectives and were in need of objective policymaking guidelines.

They were successful in laying out the legal foundations in the presence of diverse stakeholders: Speakers included academics from the Czech Republic, Belgium, Hungary, and Austria; administrators from the Czech Ministry of the Interior and the Office of the Public Defender of Rights; and a judge from the Czech Constitutional Court. Their presentations stimulated intense debate, which, as planned, sometimes became very heated. Audience members included academics from domestic and other EU universities, Czech public officials and administrators, and media personnel. This diversity of participants enabled information to be conveyed from a broad spectrum of viewpoints and facilitated multifaceted discussions.

Legal Foundations

This report will not delve into the technical details of the debate, and I will only provide the essence of the legal foundations presented and discussed during the conference.

Schengen Agreement and Dublin Regulation

Legally speaking, the refugee crisis has seriously diluted the effectiveness of two important EU agreements signed by most member states. One is the Schengen Agreement, which abolished internal border controls to allow individuals to move freely within the Schengen Area. In response to the massive influx of migrants, however, some countries closed their borders to prevent their entry. These countries point to national security concerns. Many experts believe that the Schengen Agreement is no longer working and that it needs to be reconsidered.

The other is the Dublin Regulation, under which almost all migrants seeking asylum in the EU must apply to the first country of entrance—which then is responsible for reviewing the application. This convention is being questioned from the viewpoint of practicability, as it forces coastal states like Italy and Greece to be inundated with applications. Germany’s announcement in August 2015 that it will accept applications from Syrians who had neither applied for refugee status nor had their applications reviewed was seen as the moment that made states give up on the strict enforcement of the Dublin Regulation.

It is important to note, though, that the massive scale of the migration in 2015 was totally unforeseen by these two agreements. This is not to say that they are flawed but that emergency, intervention measures are needed.

Convention on Refugees

The 1951 Geneva Convention relating to the Status of Refugees is a UN multilateral treaty that contains a definition of a refugee, the rights of individuals granted asylum, and the responsibilities of nations granting asylum.

According to the definition that was amended in a 1967 protocol, a refugee is a person who is outside the country of his/her nationality and is unable or unwilling to return owing to a “well-founded fear of being persecuted for reasons of race, religion, nationality, membership of a particular social group or political opinion.” Refugees are protected by the principle of “non-refoulement,” or forcible return, which the parties to the convention must observe. It is a safeguard to prevent refugees from being returned against their will to territories where their life or freedom could be threatened.

The speakers talked of the convention as something like a Magna Carta, serving as the basis of all other legal documents on the rights and entitled protections of refugees.

European Union Law

Article 67 of European Union law (Consolidated versions of the Treaty on European Union and the Treaty on the Functioning of the European Union) states: “[The Union] shall ensure the absence of internal border controls for persons and shall frame a common policy on asylum, immigration and external border control, based on solidarity between Member States.” Article 77, meanwhile, states: “The Union shall develop a policy with a view to: (a) ensuring the absence of any controls on persons, whatever their nationality, when crossing internal borders; . . . [and] (c) the gradual introduction of an integrated management system for external borders.” And Article 78 states: “The Union shall develop a common policy on asylum, subsidiary protection and temporary protection with a view to offering appropriate status to any third-country national requiring international protection and ensuring compliance with the principle of non-refoulement.”

The provisions concerning asylum for refugees thus reaffirm the Refugee Convention’s protocol regarding the rights of refugees and responsibilities of member states. It is notable that EU law upholds a “common policy” on the protection of refugees. This is a strong argument for EU member states to undertake necessary measures collectively, especially if the Schengen and Dublin agreements are not fulfilling their originally envisioned common policy goals.

What emerged from the conference was a message that member states are required, under the Geneva Convention and EU law, to provide relief measures for refugees to some extent but that they can fulfill those requirements in a number of ways. There is a need to respond to the humanitarian crisis, but states do not necessarily have to allow all people who come to Europe’s shores to settle in the EU. The issue is made more legally complicated by the fact that many of those entering Europe are not refugees in the conventional sense. The most difficult and controversial aspects of the issue are how the legal foundations should be applied in enabling practical policy measures when political interests and orientations dictate a different response. EU member states were divided over their policy choices, as the actual number of migrants in 2015 far exceeded levels envisioned under the current policy framework.

Many of the EU members opposed to allowing the entry of refugees, including the Czech Republic, pointed to national security concerns. The tone of the debate was dominated by a sense of crisis, and political emotions ran high, fostering negative views toward the acceptance of refugees.

The conference highlighted the point, though, that EU member states cannot avoid their responsibilities. The fellows explained to me that many participating political and government officials, as well as the mass media, came away from the conference with a heightened interest in the legal dimensions of the issue. There is no doubt a need to keep political emotions in check and encourage more objective discussions; this conference could be the first step toward that goal.

The fellows were thus very careful about downplaying the influence of emotion and creating an environment conducive to objective, sober debate. For example, speakers were discouraged from using visual images of refugees, particularly of children, which could trigger a sympathetic, humanitarian response.

Other Issues

These discussions raised more fundamental questions about the nature and role of the European Union. The EU was established to consolidate certain functions of national governments and promote solidarity. Member states must act as one on a broad range of policy issues. The refugee crisis alone will not erode the EU’s spirit of solidarity, which is required in addressing the many challenges it faces, including financial crises, economic stagnation and unemployment, conflict with Russia over Ukraine, and Britain’s possible withdrawal. But a critical mistake in a key policy area could produce seeds of fragmentation. The fact that the conference addressed the refugee problem with reference to fundamental aspects of the EU was an excellent idea.

Another insight into the fundamental aspects of the refugee crisis was gained through the introduction of historical documents from about a hundred year ago, which showed that sovereign states did not have a key role in maintaining migrant controls. Culture was, in some ways, a bigger factor in human mobility, not only leading to a reexamination of the status quo but also prompting major changes. Adapting to changing circumstances enabled cultures to grow stronger, thereby facilitating their continued and sustainable development. Discussions of the refugee crisis thus shed new light on the fundamental role and historical significance of the EU process.

Conclusion

The Sylff Leadership Initiatives program is intended to support fellows wishing to address socially relevant issues. Honusková and Faix were well aware of the aims of SLI and had a shared interest in taking an objective look at the influx of migrants into Europe. Their efforts to promote thorough debate from a legal point of view—whose importance had often been overlooked—contributed to the success of the conference. Honusková and Faix are both experts on the legal aspects of the refugee issue; the two worked effectively as a team, with Honusková taking the lead in shaping the substance of the discussions, while Faix was mainly responsible for administrative matters.

There was no time to bask in the afterglow of their success, however. On November 13, 2015, only one day after the conference, terrorists launched coordinated attacks in Paris that killed over a hundred people. This tragedy has negatively impacted on efforts to protect and accept refugees, making it all the more imperative to promote levelheaded, legally grounded debate. I have invited Faix and Honusková to write about the conference and the refugee crisis in their own words in a forthcoming Voices article.

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[Report] An Initiative to Nurture Young Musicians in Lithuania

January 25, 2016
By null

A national music festival to promote the training of young Lithuanian musicians was organized by Dalia Dedinskaite and Gleb Pysniak, Sylff fellows who attended the University of Music and Performing Arts Vienna. Called Ars Lituanica, the forum was held between December 3 and 7, 2014, at Balys Dvarionis Music School in the Lithuanian capital of Vilnius as a Sylff Leadership Initiatives (SLI) project.

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Young Lithuanian musicians have considerable trouble acquiring high-quality music instruments that will allow them to adequately improve their skills. Violinist Dalia Dedinskaite and cellist Gleb Pysniak were no exceptions, who faced this difficulty when they moved from their native Lithuania to Vienna to receive professional music training. Prices for fine European instruments start at around 10,000 euros for violins 18,000 euros for cellos. These are far too high for many Lithuanians, whose average monthly salary is just 531 euros, according to official government statistics.

Dedinskaite and Pysniak were able to overcome this challenge thanks to their professors’ support and their own determined efforts, but the experience left a deep impression, making them realize the acute need to help young musicians in their own country. It was through this experience that the idea for Ars Lituanica—a national forum and competition for violinists and cellists—was conceived. The idea eventually came to life through their strong initiative, passion for music, and love for their country.

Dedinskaite, left, and Pysniak

Dedinskaite, left, and Pysniak

They first succeeded in gaining the cooperation of famous and acknowledged craftsmen of stringed instruments—Wolfram Ries of Germany and Valdas Stravinskas of Lithuania—who agreed to lend their instruments as competition prizes and for exhibition during the forum. They also secured the patronage of President Dalia Grybauskaitė of Lithuania, who sent a message of encouragement to forum participants. They also gained the support of the Lithuanian Council for Culture, the Ministry of Culture of the Republic of Lithuania, and a number of private businesses. Thanks to these efforts, the forum attracted many outstanding young Lithuanian musicians and the interest of a broad segment of the general public.

The main aim of the forum was to draw the attention of young musicians—along with their teachers and parents—to the importance of musical instruments in the development of their skills and to give the best young Lithuanian musicians the opportunity to use world-class stringed instruments and to perform at concerts in Lithuania.

National Competition

The highlight of the four-day forum was a national violin and cello competition, in which the winners were given the privilege of using top-quality violins and cellos for one year. In the first round, held on December 4 and 5, 18 musicians competed in two age categories, and in the final round on December 7, eight finalists competed for a chance to use the four valuable instruments.

In the 14–17 age group, the winners were awarded the use of a violin and cello made by Lithuanian luthier Valdas Stravinskas. The violin is valued at approximately 5,800 euros and the cello at 10,000 euros. The winners in the 18–22 age group were given the opportunity to use a violin and cello made by German luthier Wolfram Ries, valued at 12,000 euros and 22,000 euros, respectively.

The winning contestants also performed at the Kaledinis Vilnius (Christmas in Vilnius) festival at the Vytautas Kasiulis Art Museum.

A Festive Atmosphere

An exhibition of the first modern string instruments in Lithuania was held as a side event, which was full of visitors over all four days. Luthiers were also on hand to speak with students, teachers, and professional musicians; make small adjustments and new bridges for violins and cellos; and rehair bows.

On December 6 luthiers held a workshop on the history of string instruments, answering questions and giving tips on the proper care of their instruments as well as on how musicians can improve their sound and comfort during performances.

Also on December 6 Dedinskaite and Pysniak joined violin virtuoso and professor Christian Altenburger to give masterclasses to competition participants and other young Lithuanian musicians.

The forum concluded on December 7 with a concert by the competition winners and an awards ceremony.

Major Impact

Ars Lituanica was a tremendous success. The event attracted great media attention, with over 30 articles appearing in major Lithuanian newspapers. Fellows Dalia Dedinskaite and Gleb Pysniak were interviewed by Lithuanian National Radio, and Lithuanian National Television aired footage of the Kaledinis Vilnius festival concert by the prize winners on the main evening news.

“During the Forum, a very cozy, fancy, festive atmosphere could be felt,” commented Pysniak in an article published by 15min.lt, a popular web-based newspaper in Lithuania. “It is a great pleasure to help young talents to pursue greatness in music by improving their performance technique and playing characteristics. And it is good to know that there are so many gifted and promising musicians in Lithuania.”

In the same article Dedinskaite said she was very happy that renowned violin virtuoso and educator Christian Altenburger visited Lithuania and gave his first concert in the country.

“Young musicians were able to not only learn from Mr. Altenburger’s experience but listen to his music as well,” she noted. “The most important thing is that this project was a success and that four young, talented artists were granted the chance to use top-class instruments. I hope that this event will become an annual tradition.”

Going Forward

Dedinskaite, second from right, and Pysniak, third from right, with the prize winners and juries at the ceremony.

Dedinskaite, second from right, and Pysniak, third from right, with the prize winners and juries at the ceremony.

Pysniak and Dedinskaite are themselves outstanding performers, but they were not satisfied with striving only for personal success. Displaying strong leadership, they sought to make a contribution to raising standards of musical performance in their country in a creative and imaginative manner. Their passion and enthusiasm persuaded government organizations and private businesses to offer their support, significantly enhancing the impact of the event. The Tokyo Foundation hopes that their SLI project will inspire and encourage other fellows with similar aspirations to launch a project aimed at bringing positive changes to society.

We hope that the young musicians who participated in the forum will become leaders of the classical music scene, emerging as role models for the next generation of young artists in Lithuania and around the world.

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Rising India: When and How?

December 10, 2015
By null

Joyashree Roy, the Sylff Programme Director at Jadavpur University since 2003, is researching multidisciplinary approaches to understanding developmental and climate challenges, and is among the network of scientists who shared in the 2007 Nobel Peace Prize awarded to the IPCC (Intergovernmental Panel on Climate Change). She provides an Indian perspective on climate challenges.

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I often hear debates about how India might rise over the course of the next two and half decades, by which time the country’s population growth will be peaking. Should India reinvent the wheel of progress or should it try to catch up? Thirty percent of human settlements in India have already followed the path of progress that has proved successful in improving individual quality of life and are on the way to adopting solutions for improving social and environmental quality. So the real question is about the remaining 70% of settlements, where people do not have adequate access to basic necessities like energy for cooking, lighting, cooling and heating, safe drinking water, sanitation and hygiene, shelter from natural calamities, access to good healthcare service, sufficient skills to participate in mainstream discourse, and so on.

Through hard work, knowledge, wisdom and scientific endeavour, humanity has made tremendous progress over the past centuries in its ability to take care of personal hygiene, health, and to protect the social and natural environment. India is already on that pathway. There is no reason why the Indian population in poor settlements will not rise, taking advantage of the proven knowledge embedded in advanced technology, infrastructure design, and the energy service supply. If we talk of equality and justice there can be no denial of progress for the rest of India, given that no difference exists in human aspiration levels. The faster we move to bridge the gap, the faster peace and harmony will arrive, along with a society that can wisely deliver environmental good. Urban green spaces, urban agriculture, and urban biodiversity are boosting the growth of a new service sector.

Millions must bathe and cook in villages with no private water access arrangements and no modern fuel and technology access due to supply constraints and poverty.

Millions must bathe and cook in villages with no private water access arrangements and no modern fuel and technology access due to supply constraints and poverty.

Political arguments and scientific literature focused exclusively on rather simplistic interdependencies like “poverty as a driver of environmental degradation” or “indoor air pollution and rural women’s health” have failed to achieve more than incremental changes over the past three or four decades. Besides some fuel subsidy programs, these political arguments could generate some philanthropic extensions, NGO activities with government support for improved cooking stove programs involving the public distribution system, and some solar lantern distribution systems, in addition now to some solar-based micro grid system demonstration projects. But no transformative change can yet be seen. The debate has been rejuvenated in the context of “energy poverty and climate change.” Now is the time for questioning the past experiments that have involved a confused search for unknown alternative growth paths which are sometimes questionable from the point of view of both efficiency and justice.

How can India deny what we know to be the most efficient examples of land use patterns in human settlement design, in which a strip of road provides space for multiple basic service delivery infrastructure, including water supply pipelines, transport and mobility, telecommunications, drainage and sewerage, a grid-based electric supply, T&D network, street lighting, and avenue plantation? How can we not keep options for vertical and horizontal living patterns for Indians, while the rest of the world is enjoying these options and not discarding them?

Typical drinking water access technology requires no electricity, but it can often deliver arsenic-laced water leading to health hazards for millions of people in Rural Bengal (Roy and Das , 2015).

Typical drinking water access technology requires no electricity, but it can often deliver arsenic-laced water leading to health hazards for millions of people in Rural Bengal (Roy and Das , 2015).

Today there is no mystery about how to effectively purify water for safe drinking. Nevertheless, people still die of water-borne diseases in 70% of settlements in India. Lack of an adequate power supply is the major reason for a lack of safe water. How can there be any debate about extending the grid to supply power to all settlements? Why should there be policies or actions taken in favor of not extending the grid-based electric supply over larger parts of India in the name of a dream of an alternative developmental trajectory? This dream involves solar lanterns, solar power–based domestic lighting systems and micro grids, but does not lead anywhere except back to the initial state of affairs. Such experiments may have satisfied some philanthropists and enriched solar technology research outcomes. But ultimately their main result has been to delay progress in the quality of life of those communities by two or three decades.

Today, when frustration is leading to social conflicts over lack of access to basic facilities and competition for better facilities in local communities, the first step to be adopted is the establishment of grid power connectivity. It is grossly wrong to say that Indians need three bulbs to light their houses and no more, on the assumption that their aspiration levels are low. Do Indians have to consume less as latecomers in development while food waste is a way of life in many rich communities and countries? These are questions of justice.

It is easy to see that lack of adequate infrastructure kills aspiration. Potatoes, tomatoes, garlic, onions, and other vegetables and fruits are left to rot in many villages because of a lack of cold storage facilities. Food-processing industries are not able to move to the point of produce because of lack of adequate power connections. Life therefore remains stuck at subsistence level, and the day ends with sunset. This has nothing to do with aspiration levels. Hot summer days of 40 degrees Celsius and 98% humidity take a toll on life and labor productivity. It is not that simple Indians do not want air-conditioned spaces. Nor can any ethical consideration be put forward to say that Indians should not aspire to have space cooling as they become affluent enough to afford it, on the grounds that it will mean increased global warming. These are the minimum aspirations for good living and for productive thinking.

It was proved fifty years ago how India can achieve food security using modern tools and techniques and scientific research. Today, thanks to improved irrigation facilities and advanced agricultural equipment, India produces no fewer than a dozen top-quality varieties of rice, cereals, mangos, and so on. If strategically managed, these resources would be able not only to feed India’s own population but also to feed large parts of the rest of the world. The much-bruited adverse impact on soil quality and water table levels are misrepresentations of the environmental concerns: they result from a lack of investment in environmental resources management and in managing these resources. Experiences in the field give grounds for hope, when orchards are seen replacing paddy cultivation in some of the degraded lands of Punjab, drip irrigation is replacing flooded irrigation, and vegetables and horticulture are bringing in more cash and adding diversity to dietary habits.

As a result of anticipated high power needs over the next twenty years, even coal use will not peak within the next decade. Even if the most ambitious targets are met and coal use declines dramatically by 2050, coal capacity will still be at 2012 levels. Carbon capture and storage technology will need serious consideration if the capacity needs to be decarbonised at that time. Solar and wind power are increasing and together are expected to account for almost 40% of total electricity generation capacity in 25 years’ time. But it will be difficult to close the door on other non-carbon power sources like nuclear and hydro once the total generation capacity reaches levels six times higher than at present. These growth rates are merely those required for providing universal access to a decent life and are far removed from a lifestyle that would change dietary habits, currently based on locally grown agricultural produce and low per capita meat consumption (approximately 5 kg per capita a year, compared to 120 kg in the United States and 80 kg in Germany).

India’s energy-intensive industries are almost on a par with the best technologies globally. Technological advancement promises to deliver efficiency and justice simultaneously. Energy-efficient home appliances can deliver the same service level for millions more with the same energy supply, and perhaps without increasing total energy use. All the air conditioners in India today can be given a five-star rating. So there is no reason why India should not succeed in bringing its masses through the mainstream developmental pathway. The work of delivering universal human wellbeing (better shelter, better workplaces, a healthier environment, and so on) should not only be maintained but pursued with all vigour. It is now or never.

India cannot afford to miss out on the demographic dividend. The youth of the country needs to innovate the path toward their future wellbeing using modern science. If humanity is to live in peace and harmony—the two best indicators of human wellbeing—let’s not delay India’s progress in the name of experimenting with romantic ideas of alternative development models or “degrowth.”

Let us remind ourselves of what India has achieved so far, even after following global developmental trends. India’s total electricity generation equals that of Russia today and is at the same level as China in 1994. Less than 10% of urban households own a car; car-sharing is a lifestyle in India, 42% still use a bicycle, motorized two-wheelers are used by 35% of urban households, per capita CO2 emissions are less than 2 metric tons, compared to 17 MT in the United States, 7 MT in the EU, and 6.7 MT in China. Industries have begun to adopt cleaner production to maintain global competitiveness. Whereas the industrial output growth rate in the 1970s was roughly equal to the energy demand growth rate, in the current decade technology growth has decoupled activity growth and energy demand growth to such an extent that a five-fold increase in energy growth can now produce twenty-fold activity growth thanks to energy-saving technology.

From an Indian perspective, growth now, with the adoption of increasingly advanced technology, means progress and justice for the masses. The search for alternative development models should and will continue, given human curiosity and imagination. But experimenting with India would be equivalent to “development delayed is development denied.” How can we ask the poor of India not to aspire for better food, better hygiene, and better health? Who has given the privileged few the right to deny them these options?

Joyashree Roy is an ICSSR National Fellow, Professor of Economics, Coordinator, Global Change Programme, JU-Sylff Programme Director, Jadavpur University. This text was originally written for the German magazine welt-sichten, and was published in German in the September issue.