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Analytic Note: The Revolutionary Guards connect the Iran-Iraq War to Iran’s contemporary security situation in the way they narrate the history of the conflict. They began issuing publications on the war in 1981, and have steadily produced new material since then. The monographs published during the war focused on promoting the political and social issues that were important to the Guards. Several periodicals documented the progress of the war, relevant political developments, and information on Iranian martyrs. The IRGC publications produced after 1988 include studies of the war’s causes and effects, its phases, its impact on Iranian cities, and the roles of the participants. Several IRGC organizations, including its political, education, and propaganda departments, produce publications on the war. Imam Husayn University, founded by the IRGC in 1986, publishes a journal on defense policy that often includes articles about the conflict. The Center for War Studies and Research (now called the Center for Holy Defense Documentation and Research), which the IRGC established after the war to produce analytical studies and general-use reference works about the conflict, is responsible for many other publications. All together, the Revolutionary Guards have published numerous periodicals and more than one hundred books on the subject.

Source Excerpt: This quote from a study published by the Center for War Studies and Research demonstrates well how the IRGC views the war: جنگ ایران و عراق پیوندی تنگاتنگ با انقلاب اسلامی دارد به گونهای که بدون درک درست آن، نمیتوان به تحلیلی فراگیر از انقلاب اسلامی دست یافت. همچنین این پدیده به دلیل تأثیرات و پیآمدهای فراوانش، دست کم تا چند دهه آینده، بر همه موضوعات مربوط به سیاست داخلی و خارجی جمهوری اسلامی ایران مؤثر خواهد بود.

Source Excerpt Translation: “The Iran-Iraq war is linked closely to the Islamic Revolution, so without a correct understanding of [the war], it is impossible to understand the Islamic Revolution. This [war], because of its vast impact and outcomes, will affect every issue of internal and foreign policy of the Islamic Republic of Iran for at least the next several decades.”

Link: https://www.belfercenter.org/sites/default/files/files/publication/samuel_perceptions.pdf <br> Permanent link: https://perma.cc/TT3M-Y2SF <br>

Full Citations: Tajzīyah va Taḥlīl-i Jang-i Īrān va ‘Irāq Jild-i 1: Rīshah’hā-yi Tahājum (Analysis of the Iran-Iraq War, Vol. 1: Roots of Invasion), 2nd ed. (Markaz-i Muṭāla‘āt va Taḥqīqāt-i Jang (Center for War Studies and Research), 1380/2001-02), 15.

Description of IRGC sources from Annie Tracy Samuel, “Perceptions and Narratives of Security: The Iranian Revolutionary Guards Corps and the Iran-Iraq War,” International Security Program Discussion Paper 2012-06 (Cambridge, Mass.: Belfer Center for Science and International Affairs, John F. Kennedy School of Government, Harvard University, 2012),

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Analytic Note: Another significant element of the global imbalance during the war, according to Iran, was the difficulty Iran had accessing weapons and other materiel during the conflict. The implications of that difficulty for Iran’s national security strategies today are clear: Since the war Iran has remained determined to prevent that problem from arising again. The primary way it has done so is by developing indigenous weapons capabilities in order to lessen its reliance on other countries in supplying its arms needs.

Source Excerpt 1: با مقایسه وضعیت ایران و عراق از نظر تأمین سلاح و تجهیز نیروهای نظامی، ایران با مشکلات داخلی و بینالمللی شدیدتری مواجه بود. کمبود منابع مالی ناشی از تحریمهای بینالمللی و حمله عراق به مراکز اقتصادی و تأسیسات نفتی و صنعتی کشور، توان اقتصادی ایران را در تخصیص منابع ارزی به نیازهای جنگی بهحصوص تأمین تسلیحات و تجهیزات، با محدودیت شدیدی مواجه کرده بود. در عرصه بینالمللی فشار و محدودیت بر ایران برای تهیه جنگافزارها بهمراتب شدیدتر بود. در ماجرای سفر مک فارلین به تهران – که به رسوایی دولت ریگان در ادعای مبارزه با تروریسم، تلاش برای تحریم تسلیحاتی ایران و حمایت همهجانبه از اعراب انجامید – اعتبار امریکا در منطقه و جهان بهشدت آسیب دید و فشار این کشور بر ایران و حمایت آشکارتر از عراق و کشورهای منطقه ابعاد جدیدتری یافت.

Source Excerpt Translation 1: “Comparing the situations of Iran and Iraq in terms of securing arms and equipping [their] armed forces, Iran was confronted with more severe internal and international problems. The lack of funds due to the international embargoes and Iraqi attacks on the country’s economic centers and oil and industrial facilities, placed severe restrictions on Iran’s economic strength/ability in allocating financial resources/foreign exchange reserves to its war needs and especially in procuring arms and equipment. In the international arena the constraints and restrictions in procuring arms even greater. In MacFarlane’s adventure to Tehran – which led to a scandal for the Reagan administration which claimed to combat terrorism, endeavor to embargo Iranian arms, and fully support the Arabs – severely harmed America’s credibility in the region and the world and its pressure on Iran and more open support for Iraq and the states of the region took on newer dimensions.” (32)

Source Excerpt 2: اما عراق در خریدهای تسلیحاتی خود با هیچ کدام از موانع و مشکلات ایران به این شدت روبهرو نبود. عراق نیز همانند ایران ناگزیر بود که بیشتر درآمدهای خود را صرف هزینههای جنگ کند. لیکن بر خلاف ایران نه تنها با تحریمی روبهرو نبود بلکه از کمک قابل توجهی نیز بهره میبرد. کشورهای عرب منطقه از هیچگوره کمک نظامی، تسلیحاتی، مالی، اقتصادی و حمایتهای سیاسی و تبلیغاتی به عراق دریغ نمیکردند. سلاحها، تجهیزات و اوازم خریداری شده عراق با استفاده از کشتیها و بندرهای کویت، عربستان و اردن حمل و به وسیله کامیون به عراق منتقل میشد.

Source Excerpt Translation 2: “In purchasing its weapons Iraq in no way faced the obstacles and problems that Iran intensely/severely did. Like Iran it was inevitable that most of Iraq’s income would be spent on the costs of the war. But in contrast to Iran, Iraq not only did not face an embargo but it also benefitted from considerable assistance. The Arab states of the region did not deny Iraq any kind of military, arms, financial, or economic aid or political and propaganda support. Weapons, equipment, and necessities purchased by Iraq were transported to Iraq by using the ships and ports of Kuwait, Saudi Arabia, and Jordan and transferred to Iraq by truck.”

Full Citation: Rūzshumār-i Jang-i Īrān va ‘Irāq, Jild-i 47: Ākharīn Talāsh’hā dar Junūb [Chronology of the Iran-Iraq War, Vol. 47: Last Struggles in the South] (Markaz-i Muṭāla‘āt va Taḥqīqāt-i Jang [Center for War Studies and Research],1381/2002-2003), 32-33.

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Analytic Note: We noted in the article that, according to Akbar Etemad, the founder of the Iranian nuclear program under the Shah, the Islamic Republic resumed the program under Rafsanjani’s presidency, which began in the summer of 1989. However, other accounts of Iran’s nuclear efforts indicate that it was during the war and Khamenei’s, not Rafsanjani’s, presidency, that Tehran resumed the program. Available sources suggest that the latter account is more likely to be accurate. We did not discuss this point in the article, but wanted to address it here and to note that, despite the discrepancy, Etemad’s insights remain very valuable given his involvement in Iran’s nuclear program. The following excerpt is the full section on that issue from the interview with him conducted over the phone on June 10, 2014, followed by the Iran’s Primer’s account of Iran’s nuclear progress in the mid-1980s.

Source Excerpt 1: Q: So, you started working on the nuclear program and then the revolution happened and changed everything. At first, the revolutionaries decided to halt the nuclear program because they thought it was yet another western imposition. But then, the program was resumed in the 1980s. At that point, you were no longer formally involved in the program, but did you have any contact with decision-makers at that point? Can you describe what was going on in Tehran, what the new leadership was thinking about the nuclear program?

A: The first few years, the AEOI was destroyed. The theory, at that point, like many other things at that time, was that the United States had imposed nuclear energy on us. This was until Rafsanjani’s presidency. He was the one who made the decision to resume the program. I was in France. For years, they wanted to negotiate with me to go back. But I didn’t want to. I didn’t think working in Iran would be possible. I didn’t go. The first person they picked for the organization was someone who didn’t even know anything about the atom. They went and bought centrifuges from Pakistan, and tried to enrich Uranium.

Source Excerpt 2: Q: Iran obviously claims that it’s never gone after nuclear weapons, just energy. Based on the communications you had with them at the time, what is your assessment of that?

A: From the beginning, they wanted to have all the options. And they were right. I’ll tell you why I say this. The reason is that they only went after enrichment. Nothing else, just enrichment.

Source Excerpt 3: According to the Iran Primer’s account, however, A 2009 internal IAEA working document reports that in April 1984, then President Ali Khamenei announced to top Iranian officials that Khomeini had decided to launch a nuclear weapons program as the only way to secure the Islamic Revolution from the schemes of its enemies, especially the United States and Israel.

Iran began developing a gas centrifuge program in 1985, according to IAEA reports but realized that it needed foreign assistance to make progress on centrifuges. Iranians visited potential suppliers abroad in order to acquire and learn how to operate key centrifuge equipment. In 1987, Iran acquired key components from the A.Q. Khan network, a rogue nuclear supply network operating out of Pakistan’s state-run nuclear weapons program. The components included: • A starter kit for a gas centrifuge plant • A set of technical drawings for a P-1 (Pakistani) centrifuge • Samples of centrifuge components • And instructions for enriching uranium to weapon-grade levels. (Weapon-grade uranium is the most desirable highly enriched uranium for fission nuclear weapons and is over 90 percent enriched.)

Full Citation: David Albright and Andrea Stricker, “Iran Nuclear Program,” The Iran Primer (2010/ Updated in 2015), http://iranprimer.usip.org/resource/irans-nuclear-program <br> Permanent link: https://perma.cc/E3F4-A7DS <br>

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Source Excerpt: در مجموع گسترش جنگ در خلیج فارس و خطرات ناشی از آن به حضور و همکاری نظامی گسترده شرق و غرب با سه نوع نظام و ایدئولوژی متعارض: کمونیستی در شوروی، سرمایهداری در غرب و سنتی پادشاهی در کشورهای منطقه، انجامید. آنها از انقلاب اسلامی و گسترش آن احساس خطر می کردند. حضور گستردۀ نظامی آنها در منطقه که هر روز بر میزان آن افزوده میشود، عملاً جبهۀ جدیدی برای جمهوری اسلامی در مرزهای آبی جنوب به وجود آورد؛ جبهای که توانایی نظامی آن را تجزیه و درآمدهای ارزی و اقتصادی کشور را به طور کامل تهدید می کرد. توان نظامی و وضعیت اقتصادی و موقعیت بینالمللی ایران به هیچ وجه قابل مقایسه با عراق نبود. در یک طرف همۀ قدرتهای بزرگ جهان قرار داشت و در سوی دیگر جمهوری اسلامی ایران. چنین وضعیتی در منطقۀ خلیج فارس، روند تحولات جبهه و جنگ را تحت تأثیر قرار داد و در نهایت به تصمیمات جدیدی در چگونگی تداوم و پایان جنگ منجر شد.

Source Excerpt Translation: “Overall the spread of the war in the Persian Gulf and the dangers stemming from it were the result of the presence and extensive military cooperation of east and west [and] three competing systems and ideologies: communism in the USSR, capitalism in the west, and traditional monarchism in the regional states. They were [all] alarmed by the Islamic Revolution and its spread. In practice, their military presence in the region, which increased in scale every day, brought about a new front for the Islamic Republic on the southern maritime borders; a front that divided its military power and completely threatened the state’s currency and economic revenue. Iran’s military power, economic situation, and international position were in no way comparable to Iraq[’s]. On one side were all the world’s major powers and on the other [was] the Islamic Republic of Iran. Such a situation in the Persian Gulf affected developments on the front and in the war and ultimately resulted in new decisions in the manner of continuing and ending the war.”

Full Citation: Rūzshumār-i Jang-i Īrān va ‘Irāq, Jild-i 51: Jang-i Maḥdūd-i Īrān va Amrīkā dar Khalīj-i Fārs [Chronology of the Iran-Iraq War, Vol. 51: Limited War of Iran and America in the Persian Gulf] (Markaz-i Muṭāla‘āt va Taḥqīqāt-i Jang [Center for War Studies and Research], 1387/2008-09), 35-36.

The fifty-first volume of the War Chronology series emphasizes how the continuation of the war and its spread into the Persian Gulf had the effect of uniting countries with very different “systems and ideologies.”

<br> Analytic Note: In an earlier version of the article, we had a longer description and analysis of the notion of “resistance economy” presented by Khamenei. We cut those sections given the space constraints. The following is the full paragraph on resistance economy: Meeting Iran’s practical needs is not limited to the technological and military realms and extends also to the country’s economy. While believing that their country should be able to meet its basic needs, the Iranian public and many within the regime also recognize that closing it off is also not viable. These conflicting views have been reconciled somewhat easily through efforts to develop what has been termed a “resistance economy.”

In Khamenei’s words, resistance economy is “an economy that is resilient,” immune to sanctions and fluctuations in the world economy, and can withstand U.S. “provocations.” Ultimately, the narrative of “resistance economy” is largely built around sanctions resulting from the nuclear crisis but borrows language, themes, and ideas from the lesson of distrust learned from the war. Today, it serves to rally the nation around the regime’s more conservative elements’ inward-looking policies of self-reliance and to alleviate concerns stemming from the lack of trust in the future of the JCPOA process.

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Analytic Note: By its nature the nuclear nonproliferation regime is based and depends on international law and order—on the efficacy, reliability, and equity of international institutions like the United Nations and, to a lesser extent, of individual and groups of countries operating in those systems. For Iran, the failure of the United Nations (and of individual countries) to operate according to those standards during the Iran-Iraq War has made it question the organization’s ability to do so more generally. The twentieth volume of the War Chronology highlights how Iran’s distrust of the United Nations, which was generated by the international community’s behavior in the first weeks of the war and the failure to recognize and punish Iraq as the instigator of the conflict, was a critical factor leading to Iran’s controversial decision to invade Iraq in 1982. The sections from that volume quoted in the article demonstrate that Iran’s apprehension regarding the ability of the United Nations to act equitably and to protect its vital interests, which has been a key challenge in reaching a nuclear deal, is grounded in its wartime experience.

Source Excerpt 1: “Iraq’s aggression against Iran was completely unquestionable, but the UNSC’s first reaction on 23 September 1980 (1 Mehr 1359), one day after the beginning of the war, in an official statement (which does not have much legal value) avoided ‘holding Iraq as the aggressor’ against Iran and [only] noted the ‘situation’! The council did not even deem ‘armed conflict’ on the borders of the two states as a ‘violation of peace’ [or] a ‘threat against peace.’ … In this way the SC actually disregarded chapter 8 of its charter that [called for] ‘action in cases that threaten peace, violate peace, and acts of aggression.’”

Source Translation 1: با این که تجاوز عراق به ایران کاملاً محرز بود اما شورای امنیت سازمان ملل در اولین واکنش خود در ۲۳ سپتامبر ۱۹۸۰ (۱ مهر ۱۳۵۹) یعنی یک روز پس از آغاز جنگ، در بیانیهای رسمی (که از نظر حقوقی ارزش چندانی ندارد) از 'احراز تجاوز' عراق به ایران خودداری کرد و از آن با عنوان 'وضعیت' یاد کرد! شورا حتی 'درگیری مسلحانه' در مرزهای دو کشور را در حد 'نقض صلح' و 'تهدید علیه صلح' هم ندانست. ... به این ترتیب شورای امنیت عملاً مواد فصل هفتم منشور یعنی 'اقدام در موارد تهدید علیه صلح، نقض صلح و اعمال تجاوز' را نادیده گرفت.

Source Excerpt 2: “As stated in the provisions of the Resolution [479], which did not mention Iraq’s aggression and/or its violation of Iran’s territorial integrity, the ceasefire proposals did not discuss [that] explicitly [either] and did not request Iraq’s aggressor forces to withdraw from the occupied territories. This Resolution only requested that Iran and Iraq avoid more use of force and indeed the implication was that Iraq’s aggressor army [could] still hold the occupied areas and Iranian forces could not carry out operations to recover its own occupied territories! In addition, the SC in Resolution 479, like its statement of September 23, considered the war a ‘situation between Iran and Iraq’ and by defining the Iran-Iraq War a ‘situation,’ deemed it a case that might lead to international friction and/or discord, not one where international friction and/or discord [already] existed. Therefore existing realities/facts were ignored.”

Source Translation 2: چنان که از مفاد قطع نامه برمیآید، اشارهای به تجاوز عراق و یا نقض تمامیت ارضی ایران نشده، پیشنهاد آتش بس به صراحت مطرح نیست و از نیروهای متجاوز عراق خواسته نشده است که سرزمینهای اشغالی را ترک کنند. در این قطع نامه تنها از ایران و عراق خواسته شد که از استفاده بیشتر از زور خودداری کنند که در واقع مفهوم آن چنین است که ارتش متجاوز عراق همچنان مناطق اشغالی را در اختیار داشته باشد و نیروهای ایران برای بازپس گیری سرزمینهای اشغالی خود عملیاتی انجام ندهند! علاوه بر این، شورای امنیت در قطع نامه ۴۷۹ نیز همچون بیانیه ۲۳ سپتامبر، جنگ را با عنوان 'وضعیت میان ایران و عراق' مورد بررسی قرار داد و با اطلاق 'وضعیت' به جنگ ایران و عراق، آن را حالتی دانست که ممکن است به اصطکاک بینالمللی و یا اختلاف منجر شود نه حالتی که در آن، اصطکاک بینالمللی و یا اختلاف وجود دارد. بنابراین واقعیتهای موجود را نادیده گرفته بود.

Link: The UN statement and UNSC resolution to which the volume refers in this quote can be found at: http://www.un.org/en/ga/search/view_doc.asp?symbol=S/RES/479(1980) <br> Permanent link: https://perma.cc/8K43-DW6R <br>

Full Citation: Rūzshumār-i Jang-i Īrān va ‘Irāq, Jild-i 20: ‘Abūr az Marz; Ta’qīb-i Mutajāviz bā ‘Amalīyyāt-i Ramażān [Chronology of the Iran-Iraq War, Vol. 20: Crossing the Border; Pursuing the Aggressor in the Ramazan Operations] (Markaz-i Muṭāla‘āt va Taḥqīqāt-i Jang [Center for War Studies and Research], 1381/2002-03), 20-21.

<br> This is an Annotation for Transparent Inquiry project, published by the Qualitative Data Repository.

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<font>The Data Overview discusses project context, data generation and analysis, and logic of annotation.</font> </br/>

Please cite as:

Tabatabai, Ariane M.; Tracy Samuel, Annie. 2019. "Data for: What the Iran-Iraq War tells us about the future of the Iran nuclear deal". Qualitative Data Repository. https://doi.org/10.5064/F6IOMX5S.

Additional documentation can be found on QDR.

Learn more about ATI here.

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Analytic Note: While USAID produced regular reports, evaluations, and other program-related materials, State Department programs were more opaque. Reports were not published with the same regularity and when they were they were far less likely to be made publicly available. Fortunately, these program have been subject to contemporary oversight from sources such as SIGAR that help facilitate process tracing based research.

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Analytic Note: All interviews were conducted on the basis of strict anonymity, which interviewees viewed as an essential precondition to a more expansive and forthright interview. At the same time, recognizing that anonymity also raises concerns regarding sourcing in no instance has a claim been accepted based on an anonymous interview that has not been collaborated by another functionally independent source.

These interviews, both of which focused on US efforts to engage with non-state justice, were conducted on February 9 and February 12, 2014 respectively in Kabul. Both participants worked directly with the programs in question and confirmed the existence of this dynamic based on their work outside Kabul.

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Analytic Note: This Skype interview occurred on June 26, 2015. The conversation with an international rule of law professional based in Kabul who worked with the Ministry of Justice and other state and international actors regarding potential state regulations of the non-state justice sector. Our discussion focused primarily on the history of state attempts to regulate non-state justice in the post-Taliban era and the future prospects of regulation.

Full citation: Author Skype interview with international rule-of-law professional in Afghanistan, 2015.

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Analytic Note: The U.S. Mission Afghanistan’s Performance Managing Plan articulated the consensus priorities, strategies, and activities of U.S. involvement in Afghanistan from 2011-2015. It was approved by all the relevant agencies in 2010.<br> More generally, this article draws extensively on materials produced by implementers, donors, and government agencies. These documents are important as they can illuminate their respective strategies, activities and goals. Moreover, they reflect assumptions regarding causal mechanisms as well as the link between their activities and desired change. These materials articulate clear views on the motivations of key actors and institutions, which can then be subject to investigation. International actors seeking to promote the rule of law are quite forthright about their specific objectives (though not necessarily their motivations). This makes it possible to trace the evolution of rule of law efforts over time and how actors responded, or failed to respond, to unfolding events, as well as to critically examine the ends pursued and means selected.

Data Sources:

https://data.qdr.syr.edu/file.xhtml?fileId=15326

Full Citation: U.S. Mission Afghanistan, “U.S. Foreign Assistance for Afghanistan: Post Performance Management Plan 2011–2015” (Kabul: U.S. Mission Afghanistan, 2010), p. 9

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Analytic Note: USAID programs required quarterly and occasionally even monthly reports. USAID reports are generally, though not always available through the Development Experience Clearing House (https://dec.usaid.gov/dec/home/Default.aspx). <br> Permanent link: https://perma.cc/D9JU-DT6F <br>

Source Note: Unfortunately, there is a typographical error in the article footnote. The document should be from 2007 not 2006. The objectives are boilerplate text that appear consistently across reports.

Data Sources:

https://data.qdr.syr.edu/file.xhtml?fileId=15334

Full citation: Checchi and Company Consulting, “Contract No. Dfd-1-00-04-00170-00: Twelfth Quarterly Performance Monitoring Report for the Period July 1 to September 30, 2007” (Kabul: USAID, 2006), p. 3

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Analytic Note: The National Security Strategy of the United States is produced periodically by the executive branch. It outlines what the administration believes are the most significant threats facing the United States and how they plan to address those challenges.

Data Sources:

https://data.qdr.syr.edu/file.xhtml?fileId=15327

https://data.qdr.syr.edu/file.xhtml?fileId=15328

https://data.qdr.syr.edu/file.xhtml?fileId=15329

Full citations: George W. Bush, “The National Security Strategy of the United States of America” (Washington, D.C.: Execuitive Office of the President, 2002); George W. Bush, “The National Security Strategy of the United States of America” (Washington, D.C.: Executive Office of the President, 2006); and Barack Obama, “National Security Strategy” (Washington, D.C.: Executive Office of the President, 2010).

<br> Data Source:

https://data.qdr.syr.edu/file.xhtml?fileId=15330

Full citation: U.S. Government Accountability Office, “Afghanistan: Key Oversight Issues” (Washington, D.C.: U.S. Government Accountability Office, 2013), pp. 25–26.

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Data Source: https://data.qdr.syr.edu/file.xhtml?fileId=15332

Full citation: USAID, “USAID/Afghanistan Strategic Plan, 2005–2010” (Washington, D.C.: USAID, 2005); and U.S. Mission Afghanistan, “U.S. Foreign Assistance for Afghanistan.”

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Data Sources:

https://data.qdr.syr.edu/file.xhtml?fileId=15331

Full citation: Constitution of the Islamic Republic of Afghanistan, Art. 116.

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Data Sources:

https://data.qdr.syr.edu/file.xhtml?fileId=15338

Full citation: “Annex A: Scope of Work,” in Denis Dunn, Don Chisholm, and Edgar Mason, “Assessment: Afghanistan Rule of Law Stabilization Program (Informal Component)—Final Report” (Kabul: USAID, 2011), p. 35.

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Analytic Note: While SIGAR has been the subject of some criticism for its emphasis on failed and under performing projects, it was a vital source of information about rule of law programs. This is especially true for non-USAID projects which generally provided for less stringent reporting requirements and less public access to the documents that are produced.

Data Sources:

https://data.qdr.syr.edu/file.xhtml?fileId=15333

Full citation: All figures for comprehensive program costs were taken from SIGAR, “SIGAR 15-68 Audit Report: Rule of Law in Afghanistan—U.S. Agencies Lack a Strategy and Cannot Fully Determine the Effectiveness of Programs Costing More Than $1 Billion” (Washington, D.C.: SIGAR, 2015).

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Data Sources:

https://data.qdr.syr.edu/file.xhtml?fileId=15335

Full citation: Checchi and Company Consulting, “Final Report of the Afghanistan Rule of Law Project” (Kabul: USAID, 2009), p. 3.

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Data Sources:

https://data.qdr.syr.edu/file.xhtml?fileId=15336

Full citation: Checchi and Company Consulting, “Contract No. Dfd-1-00-04-00170-00: Eighteenth Quarterly Performance Monitoring Report for the Period January 1 to March 31, 2009” (Kabul: USAID, 2009), p. 25.

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Data Sources:

https://data.qdr.syr.edu/file.xhtml?fileId=15337

Full citation: Tetra Tech DPK, “Afghanistan Rule of Law Stabilization Program (Formal Component): Performance Monitoring Plan July 2012 to January 2014” (Kabul: USAID, 2012), p. 1.

<br>

Data Sources:

https://data.qdr.syr.edu/file.xhtml?fileId=15339

https://data.qdr.syr.edu/file.xhtml?fileId=15340

Full citation: The program also undertook activities to promote gender equality and other social goals. See Jack Leeth, Terence Hoverter, and Aman Tajali, “Rule of Law Stabilization—Formal Sector Component Program Evaluation” (Kabul: USAID, 2012), p. 1; and Tetra Tech DPK, “Rule of Law Stabilization (Formal Component): Final Report” (Kabul: USAID, 2014).

<br>

Data Source:

https://data.qdr.syr.edu/file.xhtml?fileId=15341

Full citation: Checchi and Company Consulting, “Monthly Report, January 2014 Rule of Law Stabilization Program—Informal Component (RLS-I); Contract Number: Aid-306-C-12-00013” (Kabul: USAID, 2014), p. 1.

<br>

Data Source:

https://data.qdr.syr.edu/file.xhtml?fileId=15342

Full citation: Checchi and Company Consulting, “RLS-I Impact Evaluation Report, July 2012” (Kabul: USAID, 2012), p. 1.

<br>

Analytic Note: The shift of the component one programming to IDLO was rather controversial as there were claims that its monitoring and reporting practices were deeply flawed. The State Department, however, strongly denied those claims. https://2009-2017.state.gov/p/sca/rls/214289.htm <br> Permanent link: https://perma.cc/3PXE-P4AJ <br>

<br>

Data Sources:

https://data.qdr.syr.edu/file.xhtml?fileId=15343

https://data.qdr.syr.edu/file.xhtml?fileId=15344

Full citation: Checchi and Company Consulting, “Final Evaluation Report: Rule of Law Stabilization Program—Informal Component” (Kabul: USAID, 2014); and Samuel Schueth, Shahla Naim, and Haroon Rasheed, “Performance Evaluation of the Rule of Law Stablization—Informal Component Program” (Kabul: USAID, 2014).

<br>

Data Source: https://data.qdr.syr.edu/file.xhtml?fileId=15347

Full Citation: SIGAR, “January 2015: Quarterly Report to the United States Congress” (Washington, D.C.: SIGAR, 2015), p. 137.

<br>

Data Source: https://data.qdr.syr.edu/file.xhtml?fileId=15348

Full Citation: SIGAR, “SIGAR 14-26 Audit Report: Support for Afghanistan’s Justice Sector—State Department Programs Need Better Management and Stronger Oversight” (Washington, D.C.: SIGAR, 2014); and SIGAR, “SIGAR 15-68 Audit Report.”

<br>

Analytic Note: DOD produced large, comprehensive bi-annual reports to Congress that discussed a wide range of DOD activities not just ROLFF-A.

Data Source: https://data.qdr.syr.edu/file.xhtml?fileId=15349

Full Citation: U.S. Department of Defense, “Report on Progress toward Security and Stability in Afghanistan/United States Plan for Sustaining the Afghan National Security Forces: April 2012” (Washington, D.C.: U.S. Department of Defense, 2012), p. 75.

<br>

Data Source: https://data.qdr.syr.edu/file.xhtml?fileId=15345

Full citation: U.S. Senate Foreign Relations Committee, “Evaluating U.S. Foreign Assistance to Afghanistan: A Majority Staff Report” (Washington, D.C.: Government Printing Office, 2011), p. 38.

<br>

Analytic Note: SIGAR produced a wide range of written products, including thematic reports on US aid, such as the report on rule of law assistance, financial audits, and general periodic reports to Congress.

Data source: https://data.qdr.syr.edu/file.xhtml?fileId=15346

Full citation: SIGAR, “SIGAR 15-22 Financial Audit: Department of State’s Afghanistan Justice Sector Support Program—Audit of Costs Incurred by Pacific Architects and Engineers, Inc.” (Washington, D.C.: SIGAR, 2014), p. 2.

<br>

Data Source: https://data.qdr.syr.edu/file.xhtml?fileId=15351 Full Citation: Stanley McChrystal, “Commander’s Initial Assessment” (Kabul: International Security Assistance Force, 2009), sec. 2, p. 14.

<br>

Data Source:

https://data.qdr.syr.edu/file.xhtml?fileId=15354

Full citation: Liana S. Wyler and Kenneth Katzman, “Afghanistan: U.S. Rule of Law and Justice Sector Assistance” (Washington, D.C.: Congressional Research Service, 2010), p. 27.

<br>

Data Source: https://data.qdr.syr.edu/file.xhtml?fileId=15350

Full Citation: U.S. Department of Defense, “Report on Progress toward Security and Stability in Afghanistan: December 2012” (Washington, D.C.: U.S. Department of Defense, 2012), p. 113.

<br>

Data Source:

https://data.qdr.syr.edu/file.xhtml?fileId=15352

Full citation: Office of the Special Representative for Afghanistan and Pakistan, “Afghanistan and Pakistan Regional Stabilization Strategy” (Washington, D.C.: U.S. State Department, 2010), p. ii.

<br>

Data Source:

https://data.qdr.syr.edu/file.xhtml?fileId=15355

Full citation: Ministry of Justice, “Draft National Policy on Relations between the Formal Justice System and Dispute Resolution Councils” (Kabul: Islamic Republic of Afghanistan, 2009), p. 3.

<br>

Data Source:

https://data.qdr.syr.edu/file.xhtml?fileId=15353

Full citation: My focus is on the joint plan, as it had explicit unified approval. For similar plans, see U.S. Department of Defense and U.S. Department of State, “United States Government Integrated Civilian-Military Campaign Plan for Support to Afghanistan” (Kabul: U.S. Department of Defense and U.S. Department of State, 2009); and Office of the Special Representative for Afghanistan and Pakistan, “Afghanistan and Pakistan Regional Stabilization Strategy.”

<br>

Data Source:

https://data.qdr.syr.edu/file.xhtml?fileId=15356

Full citation: Ministry of Justice, “Draft Law on Dispute Resolution Shuras and Jirgas” (Kabul: Islamic Republic of Afghanistan, 2010).

<br>

Data Source:

https://data.qdr.syr.edu/file.xhtml?fileId=15357

Full citation: USAID, “Request for Proposals: Adalat Program” (Washington, D.C.: USAID, 2015), p. 9.

<br>

Data Source:

https://data.qdr.syr.edu/file.xhtml?fileId=15358

Full citation: U.S. State Department Office of the Inspector General, “Report of Inspection: Rule-of-Law Programs in Afghanistan” (Washington, D.C.: U.S. State Department, 2008), p. 23.

</a> <br> This is an Annotation for Transparent Inquiry project, published by the Qualitative Data Repository.

<br/>

<font>The Data Overview discusses project context, data generation and analysis, and logic of annotation.</font>

<br/> Please cite as:

Swenson, Geoffrey. 2019. "Data for: Why efforts to promote the rule of law in Afghanistan failed". Qualitative Data Repository. https://doi.org/10.5064/F6TZYR0Y

Learn more about ATI here.

<br>

Analytic Note: A quick comparison of the message and language used in the banners these two campaigns use to define the area or the houses where members of the PCSJA and the ATCC live (note that even if the ATCC has an "area of influence", they do not delineate a given area off limits for armed groups), not only shows their different take on denunciation, but also reflects well how these two campaigns differ in terms of their degree of confrontation.

Follow the link to see a picture of the banners.

Data Sources: <br> Source 1: https://doi.org/10.5064/F6Z5A2A7/TXOLAY <br> Source 2: https://doi.org/10.5064/F6Z5A2A7/6EOF27 <br>

Source Excerpt:

PCSJA banner: <br>

The community voluntarily commits to:

• participate in community work
• reject injustice and impunity
• not participate, directly or indirectly, in the war
• not carry weapons
• not provide information to any of the sides
• not consume alcohol

ATCC banner: <br>

Our contribution is to peace!<br> "With us, do not count for war"<br> Here we are ATCC, Please do not insist<br> Live in peace, become ATCC<br>

<br>

Analytic Note: These written documents allowed me to cross-check the information I had collected via testimonies. While these sources surely have their own biases, the fact that they were produced (more or less) at the time of the events helps to counterbalance some of the main weaknesses of interviews, especially when researching events that took place many years ago: problems of memory and/or the deliberate reconstruction of events in ways that suit present interests.

Data Source: To my best knowledge, these documents are not in digital form. However, they can be accessed in the "Centro de Documentación" of CINEP in Bogotá, Colombia. I also accessed some documentation in the private library of a former Mayor of Apartadó in Bogotá. * I am very grateful to this person for giving me access to her rich documents.

<br>

Analytic Note: The fact that one organizer recognized explicitly that they adopted some repertoires of action from past activities organized by the Church and provides concrete examples constitutes a very strong pieces of evidence. Unless one would have reasons to believe that this informant had incentives to misrepresent the role of the Church in the process (enhancing it), this could constitute a "smoking gun" piece of evidence. I can't think of any reasons why she would misrepresent the role of the Church in light of the present context in which she operates, but of course memory is imperfect and can play tricks.

<br>

Analytical Note: The fact that they "came" to the case already with these ideas provides further evidence of the Independent nature of the effect of ideas on the process.

Data Source: for this discussion, see Jacobs, 2014.

<br>

Analytic Note: The fact that some organizers (not just participants) had been active in activities organized by the Church constitutes an additional "straw in the wind" piece of evidence for the argument. However, the fact that this was long before the emergence of Joppaz, provides a stronger piece of evidence as it gives an indication of the potential independence of the effect of ideas. Organizers came to Joppaz having being exposed already to the normative ideas of the Church, making it plausible that they envisioned Joppaz and gave it form with that ideational content in mind.

<br>

Analytic Note: Having leaders explicitly recognizing that their experience in previous collective action -- which involved a clear ideological and oppositional content -- played a role in their efforts to give shape to the PCSJA, constitutes a "smoking gun" test. In fact, this was what I reported as the strongest possible evidence for this part of the argument before conducting the interviews. As noted before, my expectation was that the chances of finding this evidence were very low, which provides additional weight to it.

Data Sources: Interviews ID 11,March 2014; ID 36, May 2014; ID 51, July 2015.

<br>

Analytic Note: The fact that repertoires (and frames) of nonviolence explicitly embraced and promoted by the Church, and that were not originally conceived or considered by organizers and leaders, were eventually adopted for the campaign provides strong support for the argument. While we cannot build a counter-factual scenario within the case in which the Church and this ideational content was absent, this variation over time helps us approximate that scenario, providing additional evidence to the argument.

<br>

Analytic Note: If evidence of the Church (or other actors, such as these faith-based NGOs) being present and supporting the process constitute "straw in the wind" pieces of evidence, actively providing guidance and training villagers constitutes stronger evidence. The absence of these trainings would not constitute grounds for ruling out the effect of these organizations, but having evidence that they did so provides strong evidence in favor of the argument.

<br>

Analytic Note: This reading of the past provides support to my argument in that it shows that an organizational past, with a clear ideational content, was kept alive in the case of the PCSJA (and not in Joppaz) and was readily available to inform new experiences of collective action. The link, however, is still indirect and/or incomplete: being available does not necessarily mean that it will be or was activated. This evidence could be taken as a "loop" test, as evidence of its absence (i.e., indications of not being available -- as in the case of Joppaz) almost fully eliminates the possibility of past experiences informing future ones. However, what makes this particular piece of evidence of special value is the fact that the chances of observing (in this case, hearing) this was very low, as villagers had enduring reasons to not recognize these links, as it can clearly lead to stigmatization. In fact, most of the evidence in this regard came only after various encounters with the same respondents and, in some occasions, off the record.

Data Source: Field Notes, July 2015. Interviews ID. 36, May 2014; ID. 51, July 2015; ID. 125, September 2015.

<br>

Analytic Note: Even if indirectly, this supports my argument. However, what gives evidentiary weight to these testimonies is the fact that they come from the people that (a) know more about this experience; and (b) I expected it the least. That is, some of those who were actively involved in the movement.

<br>

Analytic Note: I conducted two separate waves of extensive fieldwork in 2014 and 2015 (with short follow-up visits). In each wave, I visited each community multiple times and interviewed some key informants more than once. This set up allowed me to build a stronger rapport with members of the communities I was studying, something that I strongly believe improved the quality of my data. While it is hard to test whether this is the case in a controlled way, I was able to get a sense of the "effects" of this strategy by comparing the data from first and subsequent interviews with the same person. During the second or third time I met with a given informant, interviewees used to naturally go beyond the standard narrative of what happened that I commonly got in my first interactions. Moreover, informants tended to be more open to discuss details and nuances of the process (rather than sticking to the best-known and commonly less contested key moments of the process). This also made it easier for both to discuss sensitive issues. For the argument advanced in this paper, this was central, as it was thanks to this procedure that I learned, for example, that some community leaders seriously considered a violent response and perceived that they had the material and nonmaterial means to do so.

Data Source: Due to security and ethical considerations, I do not share transcripts of my interviews. Not only the fact that the conflict in Colombia is ongoing implies that my respondents can face serious risks, but not sharing information is also part of the agreement I reached with all my interviewees when we discussed the terms of their participation in my project. For a more detailed description of my fieldwork and interviewing techniques, see Masullo 2017a. For a reflection on the advantages of interviewing respondents more than once in a similar context, see Fujii 2009. For a reflection of the advantages of returning several times to the same field-sites, see Wood 2003.

<br>

Analytic Note: The set of cases explored in this paper was purposively selected from a larger pool of cases that is part of a larger project on civilian noncooperation in civil war. The cases selected for the larger project include both positive and negative cases, matched in pairs in light of similarity on civil war conditions and community social structure, maximized by geographical proximity. The three cases explored in this paper are all positive cases; that is, instances of noncooperation. They were selected on the dependent variable to make sure that they exhibited the variation in the level of confrontation that is being analyzed in this paper. This strategy of case selection is appropriate for the aim of this paper, which is precisely explain variation in the form of noncooperation. A random case selection strategy would have hardly yielded the variation needed to empirically explore the question about the determinants of difference in form.

Data Source: for the larger project, see Masullo 2017a. For the typology, see Masullo 2017a and 2017b.

<br>

Analytic Note: It is worth noting that, despite how close it sounds to the language of my arguments and labels, the choice of words by my interviewee was not prompted by the question that I asked. In fact, this came up in a "free" description of the campaign following a "grand tour", open question that I commonly use to start the conversation with my informants.

Data Source: Interview ID 77, August 2015. For the use of "grand tour" questions in interviewing, see Weiss 1994.

<br>

Analytic Note: The evidence that I collected from demobilized members of non-state armed groups and the forces of the state suggests that some mid-range commanders (mainly of FARC) and members of the Army were somehow aware that some civilians were discussing with the Church possible responses to the situation and that the Church was ready to support the community. However, nothing in the evidence that I collected suggests that they did know something about the content of these responses, let alone of who were those civilians taking the lead in organizing the Peace Community. Besides mid-range commanders, I found no evidence suggesting that rank-and-file fighters were aware of this. This supports the claim that the campaign came largely as a surprise and was largely mounted unilaterally.

These Field Notes comes from unrecorded conversations I had with demobilized members of non-state armed groups (mostly FARC) and the military that operated in the area. While I had very much present my interview guide when having these conversation, on the petition of some of my interlocutors these conversations are not considered formal interviews and, therefore, I treat and reference the data differently.

Data Source: Field Notes, May 2014; June 2015.

<br>

Analytic Note: Evidence that the Church did support civilians in the process is a first order condition for the argument that the Church transmitted normative content to the campaign.. However, as such, it only constitutes a "straw in the wind" piece of evidence, as in order to make the argument that this normative content had an impact on the form the campaign took, we would have to see more than just the presence of the Church in the process. In addition, as these normative content can come from a source different from the Church, not passing this “test” would not constitute enough grounds for rejecting the claim – as it would be the case with a hoop test.

Data Source: For "straw in the wind", “hoop” and other types of evidence tests, see van Evera 1997 and Collier 2011.

<br>

Analytic Note: My data suggest that “rank-and-file” participants in the campaign, relative to organizers, were less aware of the "noncooperation" (and thus, oppositional) nature of what they were doing. I only found evidence that few participants were cognizant of this and was not able to identify any clear pattern indicating who was aware and who was not, let alone if (non)awarness shaped participation decisions. However, when it comes to organizers, evidence is clear in showing that they were aware of the nature of what they were doing and that refusing to cooperate was a central objective of the whole campaign. Organizers highlighted in different ways that this was what they were looking after, as they were particularly concerned about armed groups -- especially the paramilitaries – using the school to recruit new members. For the argument advanced here, the fact that organizers were more aware that “rank-and-file” participants is more relevant, as it is organizers (and leaders) who have more leeway to shape the form of a campaign.

Data Source: Interviews with organizers, where this is particularly clear, include ID. 77, August 2015; ID. 79, August 2015; ID. 82, September 2015; ID. 85, September 2015.

<br>

Analytic Note: This constitutes a stronger piece of evidence for the argument, as it clearly goes beyond the mere fact of the Church being present. This taps into the transmission of ideational and normative content that is, in fact, consistent with the outcome that we observe. This can be an be considered a "loop" piece of evidence. Failing to find any evidence going beyond precense of the Church and indicating that there was in fact some sort of transmission of ideational content, would have severely weaken my argument.

<br>

Analytic Note: I take the fact that a central leader in the process openly recognized that they were not sure about the specific form the campaign would take, and that they reached the Church specifically for advice on this, as a particularly strong piece of evidence. It clearly goes beyond a "straw in the wind", but I still don't take it as having passed a "smoking gun". For the latter, as in the case of Joppaz, I expected leadership to tell me explicitly that they adopted repertories from the Church. Nevertheless, this can constitute a "loop" test, in that it reveals that there was indeed "room" for the ideational content of the Church to have an effect. Without this "room", the effect would have been impossible and I this would have strongly weakened my argument.

<br>

Analytic Note: The fact that also non-Catholics highlighted this aspect constitutes a stronger piece of evidence. If all the evidence for this argument would come from Catholics one could reasonably think that this sector of the population had incentives (or just an unconscious inclination) to overstate the role of the Church in this process. Before collecting data, I had a stable expectation that I were to evidence support this argument it was going to be among Catholic respondents. The fact that I also found evidence for it among non-Catholics adds extra confidence.

<br>

Analytic Note: The fact that the Church had already promoted a Peace Community elsewhere (and in the same region) and that the same frame was adopted by the PCSJA is a good indication that the Church played a role in shaping the form of the campaign. The fact that the same person from the Church was present in both instances provides additional evidentiary weight to this piece of evidence, as it eliminates the possibility that this was a coincidence.

<br>

Analytic Note: This constitutes direct evidence for an important psrt of the argument: exposure to oppositional ideologies via participation in previous experiences of collective action. Moreover, it is particularly telling as it explicitly refers to leaders, who are those who had more leeway to imprint some ideational content on the process. The job that this particular informant held at the time of the events, provides unique weight to the testimony. In our interview -- although off the record -- he provided concrete names and roles. By interviewing leaders of the area and building "community leader profiles", I was able to verify an important part of this information. For security reasons --and primarily because my interviewee asked me to not record this -- I do not report specific names or roles.

Data Source: Interview ID. 9, March 2014; Field Notes, July 2015.

<br>

Analytic Note: Ibid. Here the link might be even stronger, as it does not refer to a neighboring community, but to the same one only some months before the formation of the PCSJA. This can in fact be considered passing a “smoking gun” test, as the piece of evidence is not necessarily needed for the argument to hold, but having it strongly supports the argument and weakens alternative explanations.

<br>

Analytic Note: As in the case of Joppaz, I am inclined to take this as a "smoking gun" test for the argument. To be sure, not finding this evidence would have not been grounds to rule out the hypothesis. However, before data collection, when thinking in terms of what should I observe (or, in this case, hear) for me to be confident that external actors had an effect on this choice, I reported having someone that was present in the early stages of mobilization explicitly noting that armed resistance was not considered or nonviolent methods were chosen because of the participation of the Church and or CINEP/CIJP in the process. This was exactly what I heard from (only) a few respondents. However, the fact that these testimonies do not come from any of the main leaders of the process makes this piece of evidence slightly less strong.

Data Source: Authors' Field Notes, March 2014.

<br>

Analytic Note: These written sources are of great value, as they allowed me to cross-check the information that I got via testimonies. As these articles were produced as the events unfolded, they help counter balance some of the main weaknesses of interviews: problems of memory and/or the reconstruction of events in light of present interests. This is not to say that media reports are unbiased sources. The key point here is that both sources do not share the same limitations or potential biases and, therefore, are good for cross-checking and cross-validating.

Data Source: I accessed these articles from a private, local archive that a resident of San Carlos keeps in his/her house in the municipal center. This person collected a large number of press articles reporting violent events in the municipality and, more generally, events related to protest and social unrest. I am aware that the incomplete (and skewed) nature of this archive does not allow for making inferences from the information contained in the articles. Note, however, that this is not the use I make of these information here.

<br>

Analytic Note: The fact that Adventists and non-Adventists recognize this provides additional value to this type of evidence. While I expected to see Adventists highlighting the role of their Church in the process, I did not expect the same from non-Adventist. There are four different churches in La India, with the Adventist being the largest and most active. While respondents provided examples of how their own Church was important in the creation of the ATCC, the only Church whose role was mentioned by other than its own followers was the Adventist Church.

Data Source: Interviews ID. 21, 24 & 25, May 2014; ID 64 & 64, August 2015.

<br>

Analytic Note: The idea of armed resistance was considered and explicitly proposed (at least to other community leaders, like Julio and David) by Josué. Josué is considered the most influential leader of La India in general and the ATCC in particular (in fact, he served as its first President until the day he was assassinated by the paramilitaries) by pretty much every person I spoke to in the area. This fact strongly suggests that, unlike the other two cases, the ATCC did seriously consider armed resistance. Thus, we can consider La India a “hard case” for the argument advanced in this section. If normative commitments "can make it in La India, they can make it anywhere", to paraphrase Jack Levy's "Sinatra inference".

Data Source: Interview ID. 24. May 2014. The reference to the "Sinatra Inference" comes from Levy, 2008.

<br>

Data Source: https://doi.org/10.5064/F630E3UT/XWX19P

<br>

Data Source: https://doi.org/10.5064/F630E3UT/XWX19P

<br>

Analytic Note: Of the 270 articles included in the Bronx news archive for the 2008-2015 period, 70 articles (25.9%) mention children, 9 articles (3.3%) mention sexual exploitation of children, and 24 (8.9%) mention the words “right” (derecho) or “rights” (derechos) in reference to citizens within the Bronx.

Data Source 1 (Figure 4): https://doi.org/10.5064/F630E3UT/M888VG

Data Source 2 (Figure 5): https://doi.org/10.5064/F630E3UT/SVY8NR

Data Source 3 (News Archive): https://doi.org/10.5064/F630E3UT/XWX19P

<br>

Analytic Note: I chose to compare the entire year of 2015—the year prior to the start of Peñalosa’s mayoral term—with the period from Peñalosa’s inauguration (January 1, 2016) to the day before the intervention in the Bronx (May 27, 2016). These 2016 dates reflect the agenda-setting process leading up to the intervention. May 28, 2016 is the date of the intervention, and media coverage on that date shifts to focus on the impact of the intervention, rather than the definition of the problem. 12 days after the intervention, critical media coverage emerges in the news archive, marking a shift to a new period of the policy process. To assess the pre-Peñalosa period, I focus on 2015 alone in this table rather than extending to previous years, given that the security situation in 2015 and 2016 were roughly comparable. Please see the file for the Bronx news archive to evaluate trends over time in media coverage.

Data Source: https://doi.org/10.5064/F630E3UT/XWX19P

<br>

Source Excerpt: <br> Parces Activist: Para nosotros sí, o sea, fue un tema que nos ayudó a posicionarnos en la gente y obviamente fue un tema que nos ayudó a crecer. PARCES pasó de ser una organización pequeña, sin fondos en el que la gente trabajaba por amor al arte, a conseguir fondos de miles de dólares anuales por estas luchas no. Y por esta idea de demostrar cómo el Estado en este caso con un discurso de defensa de derechos humanos estaba también violando esos mismos derechos, pero otras poblaciones que pueden ser consideradas un poco más, que son poblaciones marginalizados y puede entenderse que son menos importantes. Pero claro sí fue un discurso que aparte lo ayudó a crecer un montón.

AUTHOR: ¿Con financiamiento de Open Society?

Parces Activist: Que yo me acuerde sí de financiamiento grande en la Open Society que nos estaba financiando de base.

<br>

Analytic Note: An activist from Parces explained the situation facing homeless people in the canal using the hypothetical first person—while noting at the end that she has these insights because she spent a night in the canal herself.

Source Excerpt: Yo estoy metida en un hueco, porque el caño es un hueco. Consumiendo droga, muchos durmiendo de pronto. Llegan y me encierran con gases lacrimógenos. Porque lo que hacen es tirar gases lacrimógenos, los aportonaban y lógicamente cuando ellos trataban de salir les empezaban a dar bolillo, a golpear. Lógicamente yo me voy a saltar. Y me vuelvo loco o loca. Y eso es lo que mostraban los medios. El habitante de calle. Pero nunca mostraban el por qué el habitante de calle era así. Nunca mostraban cuando la policía llegaba a tirarles gases lacrimógenos, a golpearlos, a agredirlos. Eso nunca lo mostró los medios. Y gracias a eso pues PARCES logró pues ver, mostrar esas violaciones que se cometían. Nosotros una noche dormimos en el caño.

Source Excerpt Translation: So I am stuck in a hole, because the canal is a hole. Some people are doing drugs, some are sleeping. Suddenly, they [the police] arrive and surround us with tear gas. Because what they do is throw tear gas, and trap us there. And logically, when they [homeless people] tried to leave, they would get punched, beaten up. Logically, I started to jump. I went crazy. And this is what the media showed: the enraged homeless person. But they never showed why the homeless person acted this way. They never showed it when the police would come and throw tear gas, hit them, assault them, that was never shown by the media. And thankfully PARCES succeeded in showing these violations that were perpetrated. One night we went and slept in the canal.

<br>

Source Excerpt: “La acción de intervención del Bronx, eso ya coge y coloca el tema, ¿sí? Una cosa que la gente no veía, cuando se toca el Bronx, entonces ya la cosa se hace visible.”

<br>

Analytic Note: In an interview with the Coordinator of anti-sexual exploitation programs at IDIPRON, the Bogotá agency that works with street-connected youth, described the chaos that IDIPRON faced the morning of the intervention.

Source Excerpt: <br> IDIPRON Coordinator: Nosotros nos enteramos el día de la intervención. […] [the director of IDIPRON] dijo ese día “Venga o sea, nosotros vamos atender todo.” No estábamos preparados para que… de un momento a otro abran todas las casas. Porque eso era una locura. […] Donde llegamos a las casas, 2000 personas o sea, no podíamos caminar. Nos tocó… como somos entidad Distrital, toda la contratación se hace mediante contratación pública y requiere de tiempos, es decir, si yo necesito comprar unas hojas, yo necesito hacer un proceso de contratación. S sea, el instituto no puede llegar y decir “Yo tengo 1000 pesos, voy a la tienda y le compro al de la tienda”. No, tiene que concursar, tú sabes cómo se maneja acá. Tú tienes que concursar, te ganas el concurso. Que ahí es donde entra la corrupción de por medio porque les dan contratos ¿sí?... Pero se supone que es un concurso público y transparente. Entonces, cuando pasó lo del Bronx nosotros tuvimos que, o sea necesitábamos camas, más comida, una casa, o sea… muchas cosas más.

AUTHOR: Como papel higiénico… cositas así.

IDIPRON Coordinator: Shampoo, cepillos de dientes, ropa, pijamas, zapatos… y nos tocó llegar a empezar a con… a contratar rápidamente… o sea eso fue una locura.

AUTHOR: Sí, me imagino.

IDIPRON Coordinator: Entonces claro, se pudo haber… claro… nosotros dijimos como “Uh qué pasó”, pero respondimos, o sea, pudimos dar respuesta porque en bodega habían cosas, porque… ¿sí? Pudimos dar respuesta. Entonces eso primero. Nos enteramos unas horas antes, o sea, como “En una hora el Bronx se va a acabar, prepárense”. Y nosotros…

AUTHOR: Sí… Entonces [the director of IDIPRON] no estaba involucrado como… en la operación…

IDIPRON Coordinator: De seguridad, nada… Él se enteró una hora antes, de que el… de que fuera el operativo. Es decir, como “Padre, en una hora se acaba el Bronx y usted va a tener miles de habitantes de calle en sus casas, por favor prepárese” Eso fue como, que escribió… eso fue un fin de semana y escribió como por el mensaje de…

AUTHOR: Como a las 4 de la mañana.

IDIPRON Coordinator: Sí, el mensaje de directivos se escribió como “Por favor todos alerta en una hora hay un…” Ah no, aparte le dijeron “No puedes decir que hay operativo” o sea, “No digas nada” Porque se podía tirar todo y eran 3000 hombres preparados para entrar a una zona, o sea, se podía… ellos dicen como “Campanear” y se dañaba. Entonces claro ellos después se ubicaron nosotros no podíamos decirle a nadie porque era un operativo secreto; si contábamos se nos tiraban todo. Entonces nosotros como… bueno pues… entonces le dijeron a Wilfredo “No diga nada” él lo que nos escribió fue como…

AUTHOR: Pero todos estaban durmiendo.

IDIPRON Coordinator: No pues igual en IDIPRON, yo trabajo 24/7 o sea, hay noches donde, mira empiezan el operativo a las 10 yo termino a las 5 de la mañana y a las 7 tengo que volver. O sea, es una locura, es un trabajo muy fuerte. Entonces, claro, Wilfredo escribió como “Por favor todos pendientes que va a haber…” No dijo que un operativo, pero… “Va a haber una contingencia en la calle y pues de pronto van a llegar más personas” Ah bueno pues con razón… normal. Ah listo vale. Entonces él sí empezó “Preparen la casa de Oasis, por favor pongan más camas…” Pero cálmese, o sea, no ha pasado nada… ¡Ja!

Source Excerpt Translation:<br> IDIPRON Coordinator: We learned about it the day of the intervention. […] [the director of IDIPRON] said that day, "Come on, we are going to take care of everything.” We were not prepared for that... from one moment to the next, to open all the houses [shelters]. Because that was crazy. […] Where we arrived at the houses, there were 2000 people, we could not walk. We had to... since we are a state agency, all hiring is done through public procurement and requires time. So, if I need to buy some sheets, I need to do a procurement process. The shelter cannot arrive and say “I have 1000 pesos, I’ll go to the store and buy it from the store.” No, you have to compete for the contract, you know how it goes. You have to compete for the contract, you win the contract. That's where the corruption comes in because they get contracts, right? But it's supposed to be a public and transparent contest. Then, when the Bronx happened, we had to… so, we needed beds, more food, a house, that is... many more things.

AUTHOR: Things like toilet paper, little things like that.

IDIPRON Coordinator: Shampoo, toothbrushes, clothes, pajamas, shoes. And we had to begin to contract out very quickly. It was totally crazy.

AUTHOR: Yes, I imagine.

IDIPRON Coordinator: So of course… we said, “Uh, what happened?” but we responded, we were able to respond because we had some things in storage, right? So we were able to respond. So, that is the first thing. We learned about it a few hours before, like “In an hour, the Bronx is going to end, get ready.” And we…

AUTHOR: Yes, so then [the director of IDIPRON] was not involved in the operation?

IDIPRON Coordinator: In the security part, no. He learned about it one hour before the operation. That is to say, like, “Father, in one hour the Bronx is going to end, and you will have thousands of homeless people in your shelters, please get ready.” It was like, they wrote… it was a weekend and they wrote by message…

AUTHOR: At like, 4 in the morning.

IDIPRON Coordinator: Yes, the message giving directives was written as “Please, everyone be on alert that in one hour there will be…” Oh, no, they said “You cannot say that there is an operation.” That is, don’t say anything, because you could throw everything away and there were 3000 men prepared to enter the area. That is, you could say “ding” and it would harm the operation. So, of course after they located us, we couldn’t say anything to anyone because it was a secret operation. If we told, they would throw everything at us. And then we… well… then they said to Wilfredo “Don’t say anything” and he wrote to us

AUTHOR: But everyone was sleeping…

IDIPRON Coordinator: It’s not like that at IDIPRON, I work 24/7. That is, there are nights in which, look, they start the intervention at 10 and I finish at 5 in the morning and at 7 I have to return. It’s crazy, it’s a very tough job. So, of course, Wilfredo wrote like, “Please, everyone be prepared, there will be…” He didn’t say an operation, but… “There will be a contingency in the street and therefore more people will arrive.” Ah, that makes sense, that’s normal. Ready, ok. And then he began, “Prepare the shelter Oasis, please put out more beds….” But calmly, as if nothing was happening. Ha!

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Source Excerpt: For example, the coordinator on anti-sexual exploitation programs at IDIPRON explained that the youth agency has worked with the media to raise awareness of the sexual exploitation of children and adolescents, as she explains in this quote:

"We worked together with different entities to begin to make the problem more visible, and we have advanced in gaining attention. […] We have had to work together with El Tiempo and El Espectador, like “Come and we will tell you the truth about what exploitation is really like.” Well, in terms of communication, the media plays a fundamental role in this issue."

Later, this informant explained how they had helped set up a segment for television about girls in their group-homes who had been commercially sexually exploited in the Bronx. She also was very persistent in encouraging me to speak with these girls myself, and seemed disappointed when I declined her offer due to a lack of IRB approval to speak with minors in a situation of vulnerability.

Source Excerpt in the original Spanish: "Nos articulamos como en diferentes entes para empezar a visibilizar el problema, y hemos avanzado en atención. […] Nosotros nos hemos tenido que articular con El Tiempo, El Espectador, como “Venga y hablemos de verdad qué es explotación.” […] Pero entonces en temas de comunicación es cómo los medios de comunicación en este tema hacen un papel fundamental."

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Extended interview quote with Sebastián Pavía, Director de Seguridad, Secretaría Distrital de Seguridad de Bogotá, Skype, June 28, 2018

Source Excerpt: Entonces cuando el alcalde Enrique Peñalosa llega a la alcaldía, claramente se envía el mensaje de que hay que ser más contundente en el control de ciertos escenarios donde hasta la fecha habían ocurrido un montón de situaciones sociales, políticas, económicas, legales e ilegales que permitían que se crearan unos territorios bastante complejos de abordar. […] Entonces esta administración, el mensaje claro es: no hay territorios vedados y por supuesto que esto está muy relacionado también con la política macro del alcalde mayor Enrique Peñalosa, quien en su pasado ya había intervenido el Cartucho, y ahora intervino el Bronx, porque son zonas tan en el centro de la ciudad, zonas que tienen un potencial importe también en términos de renovación urbana que por supuesto para el alcalde también eso es una prioridad.

Source Excerpt Translation: So when Mayor Enrique Peñalosa became mayor, of course he sent the message that we have to be more forceful in controlling certain situations in which, up until then, had experienced a ton of social, political, economic, legal and illegal situations that turned them into territories that became very complex to address. […] So for this administration, the clear message is: there are no territories that are foresaken. And so of course this is very related to the larger set of policies of Mayor Enrique Peñalosa, who in the past had intervened in El Cartucho, and now has intervened in the Bronx, because those are zones in the center of the city that have such potential importance as well in terms of urban renovation, which of course is a priority for this mayor.

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Source Excerpt 1: The Manager for Interinstitutional Affairs for Bogotá and Cundinamarca for FENALCO (the Colombian merchants’ association), explained that the Bronx intervention had a negative impact on merchants in the city center, and they reached out to FENALCO to apply pressure on the government to keep homeless people out of their neighborhoods:

"The issue of having homeless people concentrated [in the Bronx] was a way to contain them and have them there consuming [drugs], interacting with each other, in their world and in their perspective. When the Bronx intervention happens and Mayor Peñalosa has with this idea of renewal and improvement, he himself counted on his team from the social part of the District [government], the Secretariat of Social Integration etc., to offer [the homeless people] processes of reincorporation, improvement, etc., etc., but not everyone accepted it. When many of [the homeless people] were dispersed in this way to other places, there began to be generated not only perception of insecurity, because where there is a homeless person, citizens believe that it is dangerous, that there is risk, that they are going to steal from us, that the homeless person that is drugged will attack, steal, affect their environment. Then our merchants were affected, from the Bronx, going from La Estanzuela sector to nearby sectors. And they started to generate aggressive reactions against the merchants, trying to express their frustration/disagreement [with the invasion of the Bronx], because they did not do so against the mayor or against the authorities, but rather they took it out on the merchants. So many traders had to close, they weren’t able to attend to their business for days. And from our position in Fenalco, we started to tell the authorities: “Look, although it is true that we agree with the intervention because it was important, that the crimes and the whole world of things criminals who were there was terrible, but it is also true that we had to have oversight of the mayor because it is a city intervention.” We talked with the merchants, we told them, “Look: we are going to carry out actions to mitigate things, to put police officers there, to increase security, to go to dialogue with the leaders and people representing the homeless people, and we will start to negotiate so that the homeless people do not attack the merchants.” […] And so we set up working groups, groups for dialogue with the Secretariat of Social Integration, Police, Security, and merchants. And gradually we tried to get the homeless people to move away from there so that the merchants could… Then the relocation happened, in negotiation, the homeless people were relocated to the caño (canal). […] So what we have done from our position in Fenalco is first to try to support the authorities, because obviously it is necessary to maintain order, control over the issue of crimes as serious as human trafficking, kidnapping, the exploitation of children, drugs. Because behind the vulnerability, it is true, of homeless people, there are also a number of crimes that accompany them."

Source Excerpt 1 in the original Spanish: "El tema de tener los habitantes de calle concentrados era una manera de contenerlos y tenerlos pues allí consumiendo, interactuando, en su mundo y en su perspectiva. Cuando viene la intervención del Bronx y viene el alcalde Peñalosa con esa idea de renovación y mejoramiento, él mismo contó su equipo de la parte social del distrito, la Secretaría Social y de integración etc., a ofrecerles esos procesos de reincorporación, de mejoramiento, etc., etc., pero no todos lo aceptaron. Al dispersarse muchos de ellos así por otros lados, empezó a generarse no solamente percepción de inseguridad, porque donde hay habitante de calle la ciudadanía cree que es peligroso, que hay riesgo, que nos van a robar, que el habitante de calle bajo los efectos de las sustancias psicoactivas agreda, robe, hacen afectación en su entorno. Entonces nuestros comerciantes se vieron afectados, entonces del Bronx saliendo al sector de la Estanzuela a sectores cercanos allí y empezaron a generar también reacciones agresivas contra los comerciantes tratando de una manera manifestar su inconformidad, pues no lo hicieron contra el alcalde o contra las autoridades sino la emprendieron contra los comerciantes. Entonces muchos comerciantes tuvieron que cerrar, tuvieron que por días no atender sus negocios y empezamos nosotros desde Fenalco a decirle a las autoridades: Vea, si bien es cierto estamos de acuerdo con la intervención porque era importante, los delitos y todo el mundo de cosas delincuenciales que se veían allí era terrible, pero también es cierto que teníamos que acompañar al alcalde porque es una intervención de ciudad. Hablamos con los comerciantes les dijimos mire: vamos a hacer acciones de mitigación, poner policías, poner seguridad, ir a diálogo con los líderes, personas representativas de los habitantes de calle y empezar a hacer negociaciones para que los habitantes de calle no agredieran a los comerciantes. […] Entonces se hicieron mesas de trabajo, se hicieron mesas de diálogo con la Secretaría de Integración, con la Secretaría, policía, seguridad y comerciantes y empezó pues a gradualmente tratar de que los habitantes de calle se desplazaran de allí para que estos comerciantes pues... Al irse relocalizando haciéndose pues, en la negociación los habitantes de calle se fueron relocalizando mucho más abajo sobre un caño. […] Entonces lo que hemos hecho desde Fenalco es tratar primero de apoyar a las autoridades porque evidentemente es necesario mantener un orden, un control frente al tema de delitos tan graves como el tráfico de personas, el tema de secuestros, el tema de explotación infantil, el tema de estupefacientes, porque detrás, si bien es cierto, de una vulnerabilidad, el habitante de calle es una cantidad de delitos conexos que circulan en su alrededor."

Source Excerpt 2: Likewise, the Bogotá Chamber of Commerce (Cámara de Comercio de Bogotá) became involved in advocating for merchants after the Bronx invasion. The Director of Public Management for the Chamber of Commerce, recalled in an interview:

"There was a very strong initial confrontation suddenly after [the Bronx intervention], and it was all that, that displacement of that population [of homeless people] to the traditional commercial zones of the city. And then the merchants began there to protest to us, to business associations and to the Chamber of Commerce: “And what are you going to do??” And there I think it is important to recognize a bit, the proactive position that the business owners took. There was a very hard reaction, which to take [the homeless out] from these neighborhoods in the most brutal way possible. But there were also some business owners who began to say, “No, this is the time to improve our business and improve public spaces, to the State to come and do an intervention in the area.” And that was the processes that we in the Chamber of Commerce began to work on: having job fairs—in other words, an institutional presence in that part of Voto Nacional [the neighborhood that includes the Bronx and surrounding zones]."

Source Excerpt 2 in the original Spanish: "Hubo una confrontación inicial muy fuerte que de pronto ustedes también la siguieron, y fue todo ese, ese desplazamiento de esa población por zonas comerciales tradicionales de la ciudad. Y entonces los comerciantes empezaron ahí sí a manifestarse con nosotros, con los gremios, y la Cámara de Comercio, “¿y ustedes qué van a hacer??” Y ahí yo creo que es importante reconocer un poco la, la posición proactiva que tomaron los empresarios. Hubo una durísima reacción, que era que al día siguiente los sacaban de la manera más brutal de sus zonas. Pero hubo también unos empresarios que empezaron a decir “No, este es el momento para mejorar nuestro negocio y mejorar los espacios públicos, llamar al Estado para que venga y haga intervención en la zona.” Y eso fue un poco los procesos que acompañamos nosotros desde la Cámara, y es que hubo ferias empresariales o, presencia institucional en toda esa zona del Voto Nacional."  

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Source Excerpt and Source Excerpt Translation: The Parces report from 2017 includes excerpts from testimonies made by homeless people that were present for the 2016 intervention of the Bronx, including the following:

Testimony of “Sindy” (a ficitious name):

"Horrible, it was horrible. [The police officer] grabbed my hair and dragged me about a block and a half. I was there, I was with the boys, they picked them up and lit them up. So I also wanted to fight for them, I did not want to leave them alone, and the man came and grabbed me by the hair and dragged me, pulled me, because I tried to kick him and punch him. But he is a man and he is a lot stronger than me. The others also saw these actions, and I saw that everyone was burned, others were upset, others were crying, screaming. The pressure was so great that they did not know what to do."

The testimony of “Sindy” in the original Spanish: "Horrible, fue horrible. Me cogió del cabello y me arrastró como cuadra y media. Yo estaba, yo estaba con los muchachos, los cogen y los encienden a bolillo, entonces yo también quería pelear por ellos, yo no quería dejarlos a ellos solos, y el señor llega y me coge del cabello y me arrastra, me jala, que porque si entonces yo trato de darle patadas, puños, pero es un hombre y tiene muchas más fuerzas que yo. Los demás también ven esos actos, y yo veía que todo el mundo estaba, quemados, otros estaban alebrestados, otros lloraban, gritaban o sea era tanta la presión que no, no sabía ni qué hacer.”

Testimony of “Julian” (a fictitious name):

"The day they went into the Bronx? Oh, my god! That day was terrible: tear gas, stun bombs, bully sticks. Everyone went into the truck and we lasted three days in the UPJ [jail holding cell], three days (...) that is usually twenty-four hours. Of course, the other homeless people gave us food (…) That tear gas, man, that made you roll up on the floor, several girls drowned. Yes, also, there were many fights with the policemen that day."

The testimony of “Julian” in the original Spanish: “¿El día que se metieron al Bronx? ¡Uy, dios santo! Ese día fue terrible: gases lacrimógenos, bombas aturdidoras, palo venteado, todos para el camión, duramos tres días en la UPJ, tres días (…) que eso por lo general son veinticuatro horas. Claro que los otros habitantes de la calle nos dieron comida (…), esos gases lacrimógenos, hombre eso lo hacía a uno hasta revolcar en el piso, varias nenas ahogadas; sí, también, pues muchas peleas con los policías ese día.”

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Data Source 1: https://doi.org/10.5064/F630E3UT/UAGNJQ

Data Source 2: https://doi.org/10.5064/F630E3UT/WEZREN

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Source Excerpt: Drawing on participatory action research with girls that have lived and worked in ollas in Bogotá’s center, Amy Ritterbusch provides this vivid description of the dangers of the Bronx for street-connected youth: <br>

"Walking ten blocks south of Santa Fé and winding through the web of wholesale stores surrounding La Mariposa we come to “la L”—also known amongst the girls as el Bronx—located, ironically, behind the national military barracks with full-suited guards in fatigues and armed with rifles and next to a Catholic church… It is the most concentrated and dangerous olla (drug zone) in Bogotá. La L is where La Flaca, a former member of the YPAR [Youth Participatory Action Research] team, permanently disappeared into the depths of Homero (one of the rockolas (juke joints)). La L is where drugs are sold as in fresh produce market… however, this product is not so fresh, and according to urban (and VMC [street-affiliated youth] legend, is also mixed with the ashes of bones of those who did not make it. La L is where Mata's [a member of the Youth Participatory Action Research team] brother often stands next to the graffiti of an oxygen mask and smokes bazuco… it is where babies are born and tossed in the dumpster with the batch of other people who didn’t make it out in time."

One member of Ritterbusch’s youth participatory action research team, Victoria, described the violence she experienced at the hands of the sayayines:

"[The sayayines] beat on me as well for doing glue… because glue is competition for bazuco… it’s no use to them because they lose clients… they take the bottle from you and pour it on your head… one day I was doing glue like that… a salla turned to look and I didn’t notice him… when I did see him he was already onto me… pulls out his piece… and booomm! He whacks me across here [her head] with a pistol butt… then they pulled me into a rockola and hit me with a stick and slapped me in the face."

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Analytic Note and Excerpt: The violence exerted by the sayayines (also known as the salla) included murder, beating people, and threats. One particularly vivid rumor is mentioned frequently by people who have spent time in the Bronx: the claim that the sayayines grind up or incinerate the bones of drug users that have broken the rules, mixing human remains with bazuco for consumption. Ritterbusch mentions this urban legend based on participatory action research with girls that have spent time in the Bronx (Ritterbusch 2013, 88). In an interview, Wilfredo Grajales, the director of IDIPRON—the state agency that works with street-affiliated youth—claimed that he knows that the rumor is true, because he saw it:

"When they were there, they started to say to you: “If you go there, they cut off a finger, they cut off an ear, they cut off a foot.” And I entered one time, for example, and it left a big impact of me when they said that they were smoking that. […] It was a punishment of sayayines: they drug him, they leave him alive, and they amputate part of him. And, they leave another one of them to peel the bone, and in front of him they scrape the bone, scrape the bone, and that can last 2, 3 days, a week for some, and they are bringing everyone to see it. They see him there bleeding, dying. And well, when he dies, they pick up the bone that has remained, they stir it with bazuco, and they smoke it, right? It was a punishment."

Grajales went on to describe this practice not just as one of punishment, but as a means of social control to trap other drug users in the Bronx by cutting off their sense of humanity: “…there is a feeling among them that ‘We are carrying the dead inside of us. We have smoked the dead. What we have done...’ And so that is the first blow, to understand that inside the Bronx there were not only sexual abuses, there were abuses against all kinds of rights.”

Three days after the Grajales interview, on June 16, 2018, I mentioned his account of the rumor to three people at a party: Amy Ritterbusch, a geographer that has done participatory action research with street-connected youth, homeless people, and sex workers in Bogotá’s ollas for 10 years; a friend who worked with the human rights NGO Parces that documented abuses against homeless citizens following the May 2016 intervention and who used to be a sex worker in the Bronx; and a friend who is a social worker with the YMCA in the nearby olla of Santa Fé. All three said that they had heard the rumor of mixing human remains with bazuco many times, but none had actually seen it. They said that they weren’t sure that it was true, but noted that even if it is not true, the existence of the rumor itself served as a sign of the sayayines’ cruelty and the effectiveness of their social control. People believed that the sayayines were capable of carrying out such an act, which further reinforced their hold over drug users in the Bronx.

Source Excerpt (Original Spanish): Cuando ellos están, empiezan a decirle a uno, “Es que, si uno allá hacía, le cortaban un dedo, le cortaban la oreja, le cortaban un pie.” Yo entro en un momento, y por ejemplo me dio mucho impacto uno que me dice que se lo fumaron. […] Era un castigo de sayayines, lo drogan, lo dejan vivo, y lo van amputando. Y, ponen otro a que pele el hueso, y delante de él van raspando el hueso, raspan el hueso, y eso puede durar 2, 3 días, una semana duraron algunos, y van trayendo a todos a que lo vean. Lo vean ahí desangrándose, muriéndose. Y bien, cuando muere, recogen el hueso que ha quedo, lo revuelven con bazuco, y se lo fuman, ¿no? Era un castigo.

[…] Entonces hay una sensación de ellos de “Nosotros cargando muertos. Hemos fumado muertos. Hemos hecho… Entonces esa es el primer golpe como para entender uno que al interior del Bronx hay abusos no solo sexuales. Hay abusos contra todos los derechos.

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Data Source 1: https://doi.org/10.5064/F630E3UT/UAGNJQ

Data Source 2: https://doi.org/10.5064/F630E3UT/WEZREN

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Data Source 1: https://doi.org/10.5064/F630E3UT/UAGNJQ

Data Source 2: https://doi.org/10.5064/F630E3UT/WEZREN

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Source Excerpt: Nosotros con el discurso de crítica al Estado por sus contradicciones PARCES logró posicionarse asistirá audiencias en el Congreso establecer como lazos con congresistas. También pudimos estar mucho en medios. Estamos permanentemente en medios. Participábamos como en ferias internacionales, en congresos internacionales, nos nos invitaban nos financiaban si. O sea, nos hizo crecer como organización.

Source Excerpt Translation: Through our critique of the state for its contradictions, PARCES was able to position itself, to attend congressional meetings, to establish networks with members of Congress. We also got media coverage. We were constantly covered by the media. We participated in international conferences, international fairs—we were invited, and we were funded. In other words, it [the government’s use of a rights framing] helped us grow as an organization.

<br> This is an Annotation for Transparent Inquiry project, published by the Qualitative Data Repository. Please cite as:

Mayka, Lindsay. 2021. "Data for: The Power of Human Rights Frames in Urban Security: Lessons from Bogotá". Qualitative Data Repository. https://doi.org/10.5064/F630E3UT

Additional documentation can be found on QDR.

Learn more about ATI here.

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Analytic Note: According to the 2011 Census of Homeless Citizens by the Bogotá Secretariat of Social Integration, Bogotá has 9614 homeless citizens, with a rate of 12.87 homeless people per 10,000 people in the city. Los Mártires, the locality where the Bronx is located, has a rate of 25.7 homeless people per 10,000 residents. Given the ambulatory nature of homelessness, the Secretariat of Social Integration calculated this rate according to the number of people who spend the night in the zone.

Data Source: https://www.minsalud.gov.co/sites/rid/Lists/BibliotecaDigital/RIDE/INEC/IGUB/censo-habitante-calle-bogota-2011.pdf Permanent link: https://perma.cc/RM7Q-YAFG

Full Citation: Secretaría Distrital de Integración Social, Subdirección para la Adultez. 2012. VI Censo Habitantes de Calle. Bogotá: Secretaría Distrital de Integración Social. pp. 31

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Data Source 1: https://doi.org/10.5064/F630E3UT/QGQIXB

Data Source 2: https://doi.org/10.5064/F630E3UT/GKAVZS

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Analytic Note (Source 1): This tweet was written in response to criticisms made by former mayor and leftist Gustavo Petro, who called the intervention in the Bronx a social cleansing. Mejía responded with a thread, with the first tweet saying “While it makes this man very uncomfortable, homicides among homeless people reduced by more than 60% after the intervention of the Bronx.”

Aunque a este señor le incomode mucho, los homicidios de habitantes de calle disminuyeron más de 60% luego de intervención en el Bronx. pic.twitter.com/6rnPd2vM1A

— Daniel Mejia (@DanielMejiaL) September 9, 2017

Analytic Note (Source 2): Mejía goes on to say: “With the intervention in the Bronx, hundreds of lives were saved among the most vulnerable populations: children, homeless people, women.” He posted data from the Secretariat of Security, which has since been criticized as faulty.

Con la intervención en el Bronx se salvaron cientos de vidas de las poblaciones mas vulnerables: niños, habitantes de calle, mujeres. pic.twitter.com/e7DGtoHEJ3

— Daniel Mejia (@DanielMejiaL) September 9, 2017

Analytic Note (Source 3): Mejía ended by claiming, “With the intervention in the Bronx, we saved the lives of 163 minors. Saving the life of just one would justify [the intervention] @cristinaplazasm”, tagging the former director of the ICBF child-welfare agency.

Con la intervención en el Bronx recuperamos la vida de 163 menores de edad. Salvar la vida de uno sólo ya la justificaba @cristinaplazasm

— Daniel Mejia (@DanielMejiaL) September 9, 2017

Data Sources:<br> Source 1: https://twitter.com/DanielMejiaL/status/906512936176365568 <br> Permanent link: https://perma.cc/F39J-D8X5 <br> Source 2: https://twitter.com/DanielMejiaL/status/906522328993017856 <br> Permanent link: https://perma.cc/A8AS-KL43 <br> Source 3: https://twitter.com/DanielMejiaL/status/906523400050540544 <br> Permanent link: https://perma.cc/FU66-GDNS <br>

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Data Source: https://doi.org/10.5064/F630E3UT/D3BKYX

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Analytic Note: In response to a freedom-of-information request (derecho de petición), the Secretariat of Security explained:

Source Excerpt: Months before the integrated intervention in the Bronx, the Subsecretariat for Coexistence and Citizen Security Affairs from the District Secretariat of Government joined forces with the Attorney General’s Office (Fiscalía General de la Nación), the Ministry of Defense, and the Metropolitan Police of Bogotá to discuss issues related to the information of intelligence and criminal investigation ongoing in this zone of the city, and how their engagement led to the isolation of various vulnerable and exploited populations that did not know their rights, and the establishment of a protocol for the intervention at the operational level, and security in the zone. (Secretaría de Seguridad de Bogotá 2018, 1)

Data Source: https://doi.org/10.5064/F630E3UT/YRBZ4R

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Source Excerpt: From the ICBF response to the derecho de petición, in the original Spanish:

No se puede mencionar a priori la existencia del delito de explotación sexual en los niños, niñas y adolescentes rescatados durante la intervención en el sector del Bronx. […] se consiguió identificar situaciones con características básica estructurales de tipos penales […] es justo decir que en la defensoría de familia se predica de hechos vulneradores de derechos.

No es dable determinar de manera concreta la explotación sexual por parte de este despacho…

Data Source: https://doi.org/10.5064/F630E3UT/ZP2EHX

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Analytic Note: The following video, posted on twitter by Julián Quintana—the head of the special investigation unit of the Fiscalía that took the lead in the intervention—shows the overwhelming presence of security forces during the intervention. Note that it is daylight when this video was filmed, meaning that they were already several hours into the intervention, which began at 4 a.m.

Data Source: https://doi.org/10.5064/F630E3UT/YBHTES

Tweet: https://twitter.com/julianquintanat/status/736523355910766592?ref_src=twsrc%5Etfw%7Ctwcamp%5Etweetembed%7Ctwterm%5E736523355910766592&ref_url=https%3A%2F%2Fwww.semana.com%2Fnacion%2Farticulo%2Fbogota-fiscalia-y-policia-realizaron-operativo-en-bronx%2F475447

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Analytic Note: The following map reveals the small size of the Bronx, as well as its proximity to the centers of power. El Bronx is the city block in red, bordered by the military’s national recruitment center (Batallón de Reculatmiento del Ejército). On this map, Colombia’s Congress is labeled “Capitolio Nacional”, the Palace of Justice (which houses Colombia’s high courts) is “Palacio de Justicia”, the presidential palace is labeled “Casa de Nariño”, and Bogotá City Hall is “Alcaldía Mayor de Bogotá.”

Data Source: https://www.semana.com/nacion/articulo/bronx-bogota-cerca-de-la-casa-de-narino-el-congreso-y-el-palacio-de-justicia/476142 <br> Permanent link: https://perma.cc/Z6KT-7WYN <br>

Full Citation: “Increíble: 800 metros separan el Bronx del centro de poder en Colombia.” Semana. June 2, 2016

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Source Excerpt: An excerpt from the interview, in the original Spanish: “fue una oportunidad como, tener el tiempo de, hacer esas criticas, de empezar a hacer el seguimiento del día a día, de como están vulnerando los derechos de los habitantes de calle, donde el discurso era, también, no solamente los menores, sino también las mafias de microtráfico. Dígame a cuantos vendedores de los grandes. Lógicamente capturaron a los que están dentro de la olla, pero no capturaron a los cabecillas.”

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Extended quote from interview with Sebastián Pavía:

Source Excerpt: No es una intervención necesariamente de seguridad, es una intervención de restablecimiento de Derechos. Porque al final, fue más en términos cuantitativos, por ejemplo los resultados sociales de esto y el número de niños rescatados, el número de habitantes de la calle sacados de ese lugar en el que estaban viviendo una cosa compleja, el número de animales recuperados, el número que podían moverse, eso tienen un impacto mayor. […] Pero el grueso de esto fue un trabajo social. Y es absolutamente claro que desde el principio estuvo visto como una operación de restablecimiento de Derechos y las personas sociales estuvieron allí. Entonces no es una operación en la que se le avisó a la gente: “Tienes que estar ya listo,” porque siempre estuvieron enteradas las cabezas del operativo, ya como se haya manejado internamente las disposición de los recursos pues le compete a cada entidad, pero era una cosa que estaba absolutamente planeada y que tenía sin duda, y perseguía un interés social importante y era… Pues al final, yo creo que la historia irá juzgando pero era una decisión política importante. Y era decir hacia donde debo mirar, y cuáles son las acciones que debo tomar, porque el Bronx al final era una zona que duró doce años funcionando y nunca hubo una intervención del todo integral para terminar un poco las cosas que allí sucedían que poco a poco se fueron sabiendo. Pero era una zona que digamos, un territorio absolutamente complejo en todos los términos sociales y también de seguridad. Entonces yo creo que es una operación con un componente importante de seguridad, pues porque había que llegar con fuerza, había que llegar con un número de policías importante, había que llegar a hacer capturas y desarticulaciones e impedir que se cometieran ciertos delitos en una zona. Pero por supuesto que el impacto social y la magnitud de personas que fueron atendidas ahí yo creo que es algo considerable en términos sociales.

Source Excerpt Translation: It wasn’t necessarily a security intervention. It was an intervention to restore rights. Because in the end, in more quantitative terms—for example, in terms of the social results—for example, the number of children rescued, the number of homeless people taken from this place where they were living in a complex situation, the number of animals recovered, the number that could move, that has a greater impact. [...] But the bulk of this was social work. And it is absolutely clear that from the beginning it was seen as an operation to restore rights and people from social policy agencies were there. So, it was not an operation in which people were warned: “You have to be ready,” because the heads of the operation were always aware… But it was something that was absolutely planned and about which I had no doubt. It pursued an important social interest and was... Well, in the end, I believe that history will be the judge, but it was an important political decision. […] The Bronx was an area that lasted for twelve years and there was never a comprehensive intervention to end what was going on there, things that bit by bit we learned about. But it was an area that was, as we say, an absolutely complex territory in all social terms and also in terms of security. So I think it was an operation with an important security component, because you had to arrive with force, you had to arrive with a large number police, you had to get to catch and dismantle and prevent certain crimes were committed in an area. But of course, the social impact and the magnitude of people who were treated there, in social terms I think it was quite considerable.

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Source Excerpt: Y en ningún momento esta es una intervención contra los habitantes de calle, contra los menores de edad o contra el consumo de drogas, lo hemos repetido hasta el cansancio. Esto no es contra ninguna de estas poblaciones vulnerables. Todo lo contrario: es un operativo para garantizar los derechos de estas poblaciones que estaban siendo explotadas en este lugar de la ciudad. La intervención, lo que hace es restablecer los derechos de los niños, niñas y adolescentes del Instituto Colombiano de Bienestar Familiar, restablecer la presencia institucional, la seguridad y el orden con la retoma y el control territorial de esta zona. Esta zona, como muchos de ustedes saben, estaba completamente controlada por unos ganchos, por unas organizaciones que la Fiscalía tenía toda la investigación en conjunto con inteligencia de la policía y desarticula organizaciones criminales que allí operaban.

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Source Excerpt: Además, por qué si cuando dicen cómo “es que en El Bronx se violan niños” entonces si uno sale a decir algo distinto, como “oiga, pero también hay este otro tipo de cosas”, se vienen contra uno. Es como que “claro, usted permite que violen a los niños, y se permite asesinar mujeres” entonces pues intentamos no, no entrar en esa situación tampoco.

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Analytic Note: During interviews with current and former bureaucrats from the Secretariat of Social Integration (which is responsible for homelessness), politicians, and leaders of the thinktanks Fundación Ideas para la Paz and Bogotá Cómo Vamos, I asked if they knew of any public opinion data that measured the public’s views of homeless people, or their support for different types of homelessness policy. These individuals expressed with certainty that this data did not exist. These individuals confirmed my impression, after living in Bogotá for over a year, that most people saw homeless people as dangerous, disgusting, and a public nuisance—not as rights-bearing citizens. In fact, some of the interview subjects looked at me with incredulity when I asked if perhaps Bogotanos as a whole were growing more receptive to the view that homeless people should be treated as vulnerable populations that were subjects of human rights. Even asking if Bogotanos viewed homeless people with anything other than revulsion was a sign of naivety, a foolish question that would only be asked by an outsider.

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Analytic Note: Bogotá’s Social Integration Secretariat, which is responsible for most services for homeless people, and IDIPRON, the Bogotá agency that works with street-connected youth, were not involved in planning the intervention and found out about it as it was happening. ICBF, the national child protection agency, was somewhat more involved in the planning process. ICBF’s Director, Cristina Plazas Michelsen, was involved in high-level planning meetings, even though few ICBF staff knew about the intervention. However, the idea for the Bronx intervention did not originate from ICBF, and the ICBF took on a less central role in the planning process compared to the role played by security forces. During interviews, bureaucrats that work on the issue of commercial sexual exploitation of children and other experts on the issue described the Bronx intervention as primarily a security intervention, not a child protection operation.

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Source Excerpt: “El director de la Policía Metropolitana de Bogotá, general Édgar Sánchez, señaló que los operativos contra el microtráfico en el Bronx buscan que las organizaciones que comercializan droga no se vuelvan a reasentar en el lugar y también se busca recuperar el espacio público.

‘Los delincuentes persisten en el deseo de generar problemas y nosotros no vamos a permitir que estos lugares vuelvan a tomar fuerza y que estos expendedores de droga se reorganicen’, dijo Sánchez en diálogo con Caracol Radio. El director de la Policía de Bogotá también se refirió a las denuncias con relación a que los habitantes de calle del Bronx se están trasladando a otros lugares de la ciudad. ‘Este es un tema que nos preocupa porque evidentemente se presentan quejas de la ciudadanía donde el mercado se traslada a otros sectores, nosotros venimos monitoreando todos los sectores, sobretodo en Kennedy, sector del Amparo, y algunos barrios de Suba’.”

Source Excerpt Translation: “The director of the Metropolitan Police of Bogotá, General Edgar Sánchez, pointed out that the operations against micro-trafficking in the Bronx aimed to ensure that the organizations that sell drugs do not resettle in the area, and also to recover the public space [from criminal organizations].

‘Criminals persist in their desire to generate problems and we are not going to allow these places to regain strength, and that these drug dealers reorganize,’ Sánchez said in a conversation with Caracol Radio. The director of the Bogotá Police also referred to the allegations that homeless people from the Bronx are moving to other parts of the city. ‘This is an issue that concerns us because there are obviously complaints from citizens where the [drug] market moves to other sectors. We have been monitoring all sectors, especially in Kennedy, the Amparo sector, and some neighborhoods of Suba.’”

Full Citation: “Policía se ha incautado de 12 mil dosis de droga en operativos en Bronx.” El Espectador. February 3, 2014.

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Analytic Note: Sebastián Pavía is the Director of Security in the Bogotá District Secretariat for Security; he was integrally involved in planning the Bronx intervention. In an interview, he explained that it is impossible to fully separate out the goals of fighting crime, protecting citizen rights, and recuperating public space in the Bronx.

Source Excerpt: Entonces particularmente en la calle del Bronx, nos enfrentábamos a este gran escenario y la decisión era ¿Qué vamos a priorizar para poder hacer una intervención? Entonces había una línea de investigación criminal que claramente la lideraban la fiscalía y la policía y es ¿Cuáles son las redes criminales que operan allí y que se deben desarticular dedicadas a distintos delitos como te digo? Por otro lado ¿cuál es la población que está ahí? Y a la cual debemos apuntarle a un tema, que es el tema central de Bronx, y es el restablecimiento de los Derechos. Y en tercer lugar, por supuesto, a recuperar una ocupación indebida y excesiva del espacio público. Entonces te digo estos tres tema porque básicamente alrededor de esos temas está los actores que deberían articularse para dicha intervención. […] Me atrevería a decir que cada uno de esos fenómenos alimentados entre sí. Hay una gran interconexión entre la ocupación del espacio público con otros delitos, como la receptación de autopartes robadas, de celulares. Pero también hay una relación importante con la población que se mueve por el centro, porque alrededor de Los Mártires, en la localidad vecina que es Puente Aranda, es una localidad muy marcada por el reciclaje, por la cantidad de empresas que hay ahí. Es una zona industrial que en el espacio público también dejan un montón de desechos. Por así decirlo, de que hay cosas que no son utilizadas, y llega el habitante de calle que tradicionalmente pasa, recoge, recicla, y evidentemente de eso obtiene también ingresos para luego ir a hacer lo que quiera—y pues, una de esas cosas lamentablemente es el consumo de sustancias psicoactivas.

Source Excerpt Translation: So, particularly in street of the Bronx, we faced this great scenario and the decision was: What are we going to prioritize so we can do an intervention? There was a line of criminal investigation that clearly was led by the Fiscalía and the police, which is: What are the criminal networks that operate there that are dedicated to different crimes that should be dismantled? But on the other hand, what is the population that is there? To which we must point to a theme, which is the central theme of the Bronx: the restoration of rights. And third, of course, to recover public space, which is subject to an undue and excessive occupation [by drug organizations]. I tell you these three issues, because these are the issues around which actors should be brought together for this intervention. [...] I would dare to say that each of those phenomena fed into each other. There is a great intersection between the occupation of public space and other crimes, such as the reception of stolen auto parts and cell phones. But there is also an important relationship with the population that moves through the center, because around Los Mártires, in the neighboring zone that is Puente Aranda, it is an area very marked by recycling due to the number of companies there. I t is an industrial area that also leaves a lot of waste in the public space. That is, that there are things that are not used, and the street dweller who traditionally passes, collects, recycles, and obviously also gets income to go do what he wants—and yes, one of those things [he wants], unfortunately, is the consumption of drugs.

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Analytic Note: In interviews, two former sex workers from the Bronx contested the administration’s depiction of the Bronx as a site of sexual slavery. They did not disagree that sexual exploitation of children and adolescents had ocurred in the Bronx, but argued that it was far less prevalent and sensational than the administration suggested, more frequently taking the form of a teenage girl selling sex for a hit of drugs.

Source Excerpt 1: In the orginal Spanish: “Nunca, o sea, yo no puedo decir que haya visto una casa para niñas o para adolescentes que las obligaban a prostituirse. Normalmente las personas consumidoras después de cierta hora se quedan sin plata, y es fácil ofrecerles plata para que consuman. Entonces era, para las personas que yo conociera era más fácil esperar tipo 10, 11, 12 de la noche a que se quedaran sin plata y decir “bueno, te doy tantas bichas o tanta platita, estás conmigo”. Pero sería yo mentirosa de decirle que yo vi niñas secuestradas. Nunca. Y yo entré en Millonarios, yo entré a Manguera, yo entré al Nacional, y entre a Americano. Le entré al famoso quinto piso que es la casa del terror, y no. Entonces desde mi punto de vista es mentira.”

Source Excerpt 1 Translation: One woman who used to work as a sex worker in the Bronx explained in an interview: “Never. I mean, I cannot say that I have seen a house for young girls or adolescents where they were forced into prostitution. Normally, after a certain hour, [teenage drug] users are left without money, and it is easy to offer them money to consume (drugs). So for the people I knew [in the Bronx], it was easier to wait until 10, 11, 12 at night when they run out of money and say ‘Well, I will give you this much bazuco, or this much money and you sleep with me’. But I would be a liar if I told you that I saw kidnapped girls. Never. I entered Millonarios, I entered Manguera, I entered El Nacional and I entered Americano [all infamous clubs for partying and prostitution in the Bronx that were described by public officials as being the site of sexual slavery]. I also entered the infamous 5th floor, known as the house of terror, and nothing. From my point of view, it is a lie.”

Source Excerpt 2: In the original Spanish: “Como que obligar a una niña ¿sí? Digamos Millonarios, queda como el sitio donde iban las, los menores edad, las chicas y los chicos, como que era el rumbiadero de ellos, como va a decir usted “tienen que acostarse con tal tipo por plata o por drogas” ¿Si? Mis sobrinas, yo tengo sobrinas que por cosas del destino también ejercieron el trabajo sexual, ¿si? […] Ellas me decían “no, nosotros entrabamos a millonarios y nos empepamos, y estamos hasta las 3, 4 de la mañana, pero nunca nadie nos obligó hacer nada.” Eso es una gran mentira.”

Source Excerpt 2 Translation: Another former sex worker with underaged nieces who used to frequent the Bronx agreed, arguing: “What do they mean, forcing a girl [to sell sex for money]? In Millonarios [a major bar in the Bronx where the sex trade happened], which is where minors would go, both boys and girls, which was their party space, how are you going to claim that they have to sleep with that person for money or drugs? My nieces… I have nieces who for various circumstances also performed sex work, ok? […] They would tell me, “No. We would go to Millonarios and get high. We'd be there until 3, 4 am, but nobody ever forced us to do anything.” This is a big lie.”

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Analytic Note: These claims of rights abuses are based on research conducted by the geographer Amy Ritterbusch and the team of Parces, a human-rights NGO. Ritterbusch and the Parces team conducted extensive semi-structured interviews and focus groups with homeless citizens that had experienced or witnessed violence in the canal. Moreover, they spent two nights in the canal (September 6 and 7, 2016), and kept field diaries that recount acts of violence that they personally observed. For example, one team member wrote the following in their field diary from the September 6, 2016 night in the canal:

Source Excerpt Translation: “A policeman took a stick about a meter and a half long and about 30 centimeters in diameter wide and threatened homeless person to return to the canal. He began to chase after [the homeless person], raising his tall stick with his right arm, chasing him even in the middle of Sixth Street while passing cars, putting his life at risk. Finally, the homeless person entered the canal again. (...) Then we saw when another homeless person that came out of the canal, ran across the street to the north and took Carrera (Avenue) 24. A policeman, also with a stick in his hand, ran after chasing him, while two other policemen, in motorcycles, that were on the other corner also started. They went at full speed by the platform [of the Transmilenio transportation system] where we were all standing to pursue him. There were about eight policemen threatening homeless people and hauling them with sticks or with batons. We could see that three policemen had sticks and the others used the baton. [The police officers] were always very violent, hitting the floor or the things they had, breaking [the homeless people’s] pipes and the objects they had with them.”

Source Excerpt in the original Spanish: “…un policía cogía un palo de más o menos un metro y medio de largo y de unos treinta centímetros de diámetro en la punta y amenazaba a un habitante de la calle para que volviera al caño. Comenzó a perseguirlo alzando el palo alto con el brazo derecho, lo persiguió incluso en medio de la calle Sexta mientras pasaban carros, poniendo en riesgo su vida. Finalmente, el habitante de la calle volvió a entrar al caño. (…)Luego vimos cuando a otro habitante de la calle que salió del caño, cruzó corriendo la calle hacia el norte y cogió por la carrera 24, un policía, también con un palo en la mano, salió corriendo detrás a perseguirlo y otros dos policías, en motos, que estaban en la otra esquina también arrancaron y se metieron a toda velocidad por el andén en donde estábamos paradas para perseguirlo. Había unos ocho policías amenazando a los habitantes de la calle y arreándolos con palos o con los bolillos. Pudimos ver que tres policías tenían palos y los demás usaban el bolillo. Fueron siempre muy violentos, golpeando el piso o las cosas que tenían, rompiéndoles las pipas y los objetos que tuvieran con ellos.”

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Source Excerpt: Diez ciudadanos (...) manifestaron que en desarrollo de las acciones de ocupación, sus lugares de residencia fueron allanados y de manera agresiva les apuntaron con armas de fuego, los golpearon, los amenazaron y supuestamente recibieron descargas eléctricas. Aseguran haber sido despojados de sus teléfonos celulares y del dinero en efectivo (...) Advierten los reclamantes que se desconoció la presunción de inocencia y que en ningún momento fueron notificados del procedimiento (...) Otras siete personas (...) expresaron que hubo uso excesivo de la fuerza y que en sus lugares de habitación quedaron sus documentos y pertenencias, sin que hayan podido recuperarlas (...) otros tres ciudadanos (dos mujeres y un hombre), quienes se identificaron como comerciantes en el oficio del reciclaje. Las mujeres aseguran ser madres cabeza de familia, propietarias de una empresa legalmente constituida, registrada en Cámara de Comercio y con empleados a su cargo, ninguno de ellos consumidores de droga (...) dos hermanos que declararon ser propietarios de un inmueble en el sector de “la L”, presentaron el número de matrícula inmobiliaria del predio (...) Añaden en su denuncia que en el inmueble que les pertenece habitan dos personas mayores en calidad de arrendatarios, de quienes suministraron los números de cédula y manifiestan que ante la imposibilidad de entrar y salir del sector, no solamente no han podido ir por sus bienes, sino que además estos dos residentes afrontan dificultades para ingresar alimentos y acceder a sus garantías fundamentales.

Source Excerpt Translation: Ten citizens (...) stated that in the course of occupation actions, their places of residence were searched and they were aggressively targeted with firearms, beaten, threatened and allegedly received electric shocks. They claim to have been stripped of their cell phones and cash (...) Claimants claim that the presumption of innocence was ignored and that at no time were they notified of civil procedures (...) Seven other persons (...)expressed that there was excessive use of force and that their documents and belongings were left in their places of residence, without being able to recover them (...) Three other citizens (two women and one man) identified themselves as merchants in the area of recycling. The women claim to be the head of the family, owners of a legally constituted company, registered in the Chamber of Commerce and with employees under their charge, none of them drug users (...) two brothers who declared to be owners of a property in the sector of "the L", presented the real estate registration number of the property (...) added in their complaint that the property that belongs to them live two elderly people as tenants, who supplied the ID numbers and show that faced with the impossibility of entering and leaving the sector, not only have they not been able to go for their goods, but also these two residents face difficulties in obtaining food and enjoying their fundamental rights.

Data Source: http://www.defensoria.gov.co/es/nube/noticias/5372/Defensor%C3%ADa-acumula-25-quejas-por-posibles-violaciones-a-los-derechos-humanos-durante-intervención-de-autoridades-al-Bronx-Bronx-Defensor%C3%ADa-del-Pueblo-Bogotá-derechos-humanos-Derechos-Humanos.htm

Permanent link: https://perma.cc/4HPJ-WRAB

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Source Excerpt: Daniel Mejía made this comment at a Congressional hearing on the Bronx on June 8, 2016. In the original Spanish: “El principal objetivo de esta operación era restablecer derechos especialmente de los niños, niñas y adolescentes y de los habitantes de calle.”

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Analytic Note: Los Mártires, the small district within the Centro that contains the Bronx, had a murder rate of 78 per 100,000 inhabitants in 2015, compared to a rate of 17.4 per 100,000 inhabitants in Bogotá as a whole. Furthermore, Los Mártires had a rate of violence against children and adolescents of 588.6 per 100,000 inhabitants, compared to 148.1 in all of Bogotá. (Bogotá Cómo Vamos 2016, 11)

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Analytic Note: The neighborhood that I am calling “the Bronx” was called “La L” by those that lived in or frequented it. Nevertheless, in this paper, I refer to the neighborhood as “the Bronx” and not “La L” for two reasons. First, the neighborhood is known as the Bronx to the broader public. Second, this paper analyzes the ways that state actors discuss the neighborhood, and these state actors almost exclusively use the name “the Bronx.” Given that this paper seeks to understand the ways that politicians, bureaucrats, and the media framed the 2016 intervention into this neighborhood, I prioritize the language that these actors use to do so.

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Analytic Note: The cited El Tiempo article explains how the Bronx intervention has resulted in an influx of homeless people into the nearby La Estanzuela neighborhood, which is known for the sale of autoparts. The article recounts:

Source Excerpt: En la calle 7.ª bis, entre carreras 18A y 18B, se ubica el tradicional parque María Eugenia, antes usado por los niños y las familias para entretenerse y jugar. Ahora, sobre todo en la malla que cerca este espacio público en la carrera 18B, se mantienen grupos de hombres y mujeres con costales, chiros y pipas listas para consumir drogas. Al mediodía se cuentan 34 personas tendidas o sentadas allí. El humo, las miradas perdidas y un penetrante olor a orina y excremento obliga a que los transeúntes se tapen la nariz y aceleren el paso. Dos tipos y una mujer (que bien podría ser adolescente) le dan candela a una tapa de gaseosa forrada en papel aluminio: asciende el vaporcillo e inhalan de él. Repiten la acción varias veces, recargando el contenido cada vez que se hace necesario. En los alrededores, la gente trabajadora continúa en sus labores, a pesar de la situación. Tomar una foto para registrar lo que se ve es un riesgo. "Antes, ahí pasaban la noche uno o dos indigentes. Pero ahora se mantiene lleno de esa gente, a toda hora", expone, molesto, el propietario de un taller de filtros y exhostos, diagonal al parque. Hace 19 años trabaja allí. "Los clientes ya no se arriman. Deberían hacer algo con ellos (consumidores), que son personas pero no aportan nada", complementa, al tiempo que dos sujetos pasan por la acera del frente fumándose un 'pucho'. La alerta entre los comerciantes cada vez es mayor y reclaman mayor control de las autoridades. Al pedirles sus nombres para referirlos en esta crónica, la mayoría prefiere reservárselos, pues temen agresiones. La dueña de un almacén de tapetes y lujos para carros es abuela, hace 27 años labora en La Estanzuela y no se guarda la indignación por lo que ha tenido que ver en los últimos días: "Estábamos acostumbrados a ver indigentes y señores de esos que meten vicio, porque pasaban hacia el parque del Tercer Milenio o el 'Bronx', pero se nos vinieron para acá. Los clientes vienen, ven a esta gente ahí tirada y de una vez siguen, qué se van a quedar. Nos tienen perjudicados. Si esto sigue así, nos va a tocar irnos", advierte ella, de 58 años.

Source Excerpt Translation: On 7th street, between Carrera 18A and 18B, there is the traditional Maria Eugenia park, once used by children and families for entertainment and play. Now, especially near the fence that surrounds this public space on Carrera 18B, groups of men and women are there with sacks, chiros, and pipes ready to consume drugs. At noon there are 34 people lying or sitting there. The smoke, the lost looks, and a penetrating smell of urine and excrement forces passers-by to cover their noses and speed up the pace. Two men and a woman (who may well be a teenager) put a candel under a soda can covered in aluminum foil; the vapor rises and they inhale from it. They repeat this action several times, recharging the contents each time as it becomes necessary. In the surrounding areas, working people continue their jobs, despite the situation. Taking a photo of what you see is a risk. “Before, one or two homeless people would spend the night, but now it is full of those people, all the time,” explains the owner of shop for filters and exhausts that is diagnoal to the park, annoyed. He has worked there for 19 years. “Customers no longer approach the shop. They should do something with them (the drug consumers), they are people but they do not contribute anything,” he adds, while two people pass the sidewalk in front smoking a joint. Alarm among merchants is increasing and they demand greater response from the authorities. […] The owner of a store for mats and luxuries for cars is a grandmother. 27 years ago she worked in La Estanzuela she doesn’t hold back her indignation for what she has had to see in recent days: “We were used to seeing homelessness and men of that sort that submit themselves to those vices, because we went to the Third Millennium Park or the Bronx, but then they came here to us. Our clients come, they see these people there, and they keep going—what, are they goign to stay? They [the homeless people and drug users] have harmed us. If it continues like this, it will make us leave,” the 58-year-old warns.

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Smith, Jennifer; Holmes-Elliott. 2018. "Data for: The unstoppable glottal: tracking rapid change in an iconic British variable". Qualitative Data Repository. https://doi.org/10.5064/F6OPE7MJ

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</a> <br> This is an Annotation for Transparent Inquiry project, published by the Qualitative Data Repository.

<br/>

<font>The Data Overview discusses project context, data generation and analysis, and logic of annotation.</font>

Please cite as:

Gans-Morse, Jordan. 2018. "Data for: Demand for law and the security of property rights: The case of Post-soviet Russia". Qualitative Data Repository. https://doi.org/10.5064/F6K6DMCK

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<br>

Analytic Note: Following recording, the interviews were transcribed using Transcriber a free, downloadable program available here: https://sourceforge.net/projects/trans/files/transcriber/The project employed a team of 10 transcribers who were trained in both the program and the Transcription protocol which was developed for the project (see file: Transcription_Protocol_One_Speaker_Two_Dialects.pdf). The transcription protocol was based on the Philadelphia Neighbourhood Corpus protocol (NSF grant 921643 to W. Labov). This protocol was further developed so that transcripts were maximally compatible with the University of Pennsylvania's Forced-Alignment and Vowel-Extraction suite: FAVE-align (http://fave.ling.upenn.edu/downloads/Transcription_guidelines_FAAV.pdf). The protocol used for the One Speaker Two Dialects project was also designed so that the files could be processed by FAVE-Align. We also needed to standardise the dialect forms across the transcripts in order to create a fully searchable text-based corpus. The protocol acted as a dialect dictionary where transcribers could check the orthographic representation of dialect words such as loon (boy), or quine (girl), and this ensured that dialectal transcriptions were consistent across the corpus. The transcription protocol also designates how certain non-verbal but audible elements of conversation should be represented. For instance, laughter is denoted as {LG}, background noise such as a door slamming is {NS}. Also elements that are technically verbal but not intelligible are marked up as {nli} non-lexicalised instance these may be instances where the articulation was a false start, a misstep or just simply unintelligible.

Data Sources: Transcript Donald Audio: https://data.qdr.syr.edu/file.xhtml?fileId=2517

Transcript Donald TRS file: https://data.qdr.syr.edu/file.xhtml?fileId=2518

Transcript Donald Protocol: https://data.qdr.syr.edu/file.xhtml?fileId=2519

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Analytic Note: Buckie is a highly divergent contemporary dialect of Scottish English. Provided here are some audio samples from the interviews taken from across the age range sampled. A written transcript accompanies each sound file.

Data Sources: Longer extract transcripts: https://data.qdr.syr.edu/file.xhtml?fileId=2507

Recording Brett: https://data.qdr.syr.edu/file.xhtml?fileId=4010

Recording Karl: https://data.qdr.syr.edu/file.xhtml?fileId=4011

Recording Meadow: https://data.qdr.syr.edu/file.xhtml?fileId=4012

Recording Natalie: https://data.qdr.syr.edu/file.xhtml?fileId=4013

Recording Owen: https://data.qdr.syr.edu/file.xhtml?fileId=4014

Recording Rose: https://data.qdr.syr.edu/file.xhtml?fileId=4015

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Analytic Note: The key source of data underlying Hendley et al.’s (2000) view that rackets were less pervasive than other scholars believe is in the row labeled “use of private enforcement firms (security firms, collection agencies, mafia, etc.)” in Table 4 on p. 635, which indicates that only 2.76% of firms in the sample reported that their purchasing department had used this strategy to address problems with a supplier. Hendley et al. elaborate in the passage cited below from p. 642. This is one of the few studies of which I am aware that seeks to downplay the role of violent enforcers in 1990s Russia. There are several possibilities that account for the discrepancy between the Hendley et al. findings and the findings of other researchers. One possibility is that studies such as Frye and Zhuravskaya (2000) focus on smaller firms, while Hendley et al. (2000) focus on larger industrial firms. However, another possibility – hinted at in the second sentence of the second paragraph in the source excerpt below – is that for larger firms internal security services and private security firms played a similar role to the role that criminal rackets fulfilled for smaller firms. See footnote 5 of the main article text where I cite Volkov (2002, 143) in support of this interpretation: “The use of force and intimidation to recover debts and settle disputes among businessmen is one of the major activities of criminal groups. Many PPCs [private protection companies] are also involved in this business, using purely criminal methods.”

Source Excerpt: Table 4 shows only a very limited use of private enforcers to encourage contractual compliance, less than 3% of enterprises having used private firms to prevent or resolve problems with suppliers. Further buttressing this interpretation is the fact that only 2.5% of enterprises use private security firms to investigate customers’ ability to pay. If contract enforcement were really the domain of such firms, then it would be unlikely that they would have such a small role in providing information on the probability of contract fulfillment.

To be sure, there are powerful criminal groups in Russia and enterprises are concerned with security. Half of the firms surveyed either have an internal security service that assists in collecting debts and delivering output or have hired an outside security firm to perform these services. These results suggest that security services have the more prosaic mandate of protecting money or property, rather than the task of enforcing contracts through intimidation of trading partners. (Hendley et al. 2000, p. 642)

Data Source: https://data.qdr.syr.edu/file.xhtml?fileId=2653

Full Citation: Hendley, Kathryn, Peter Murrell, and Randi Ryterman. 2000. “Law, Relationships and Private Enforcement: Transactional Strategies of Russian Enterprises.” Europe-Asia Studies 52 (4): 627–56.

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Analytic Note: The claim that fewer than one in eight firms indicated that enforcement concerns motivated their decision not to go to court, despite facing a legal violation, is based off of the bottom row, first column in Table 7 (таблица 7) on p. 234 of Yakovlev (2008). The question at the top of the table reads Почему предприятия не обращались в суд? (Why did enterprises not turn to the court?) and the category in the bottom row reads Не было никакой надежда на исполнение решения суда, даже если бы оно было принято в нашу пользу (There was no hope of enforcing the court’s decision, even if it was in our favor). In the year 2000, just 12% of respondents chose this option. Meanwhile, in 2007 this figure actually rose to 30% -- during a period where firms in fact were becoming more willing to utilize the courts. It should be recognized that this 2007 statistic is not an indication of firms being more concerned about enforcement of decisions in general. It only is a measure of the relative concerns of the minority of firms that chose not to go to court despite facing a legal violation.

Data Source: https://data.qdr.syr.edu/file.xhtml?fileId=2667

Full Citation: Yakovlev, Andrei. 2008. Pravo i Pravoprimenenie v Rossii Glazami Biznesa: Chto Izmenilos za Sem Let [Law and Law Enforcement in Russia through the Eyes of Business: What Changed in the Last Seven Years]. In Pravoprimenenie: Teoriya i Praktika, ed. Yury Tikhomirov. Moscow: Formula Prava, 214– 39.

<br>

Analytic Note: The point of the claim that the number of legal violations reported by firms decreased is to offer evidence that rising caseloads in Russia were due to increased willingness of firms to use formal legal institutions, not to a worsening business environment with rising conflict. This claim is based on table 5 (Таблица 5) on p. 231 of Yakovlev (2008). The upper left cell reads Экономические права и интересы фирмы в предшествующие 2 года (Economic rights and interests of the firm in the preceding 2 years). In the second column from the left labеled Всего (all) for the year 2000, 153 firms did not have their rights violated (не нарушались) while 342 did (нарушались), meaning that 69% of firms in the sample reported a violation. The analogous column for the year 2007 (third column from the right) shows that 255 firms reported a violation while 252 did not; in others less than 50% of the sample faced a violation. These samples do not represent all of Russia and are not panel data, so some caution in interpreting these results is warranted. But the samples include the same 8 regions based on the same sampling strategy in both time periods, with regions chosen to represent different types of regions (e.g., donors and recipients of federal budget funds, regions with more or less conservative economic policies, etc.) (see Yakovlev 2008, 217). Moreover, in the article I draw on other sources, such as my original enterprise survey, to support the claim that firms have become more willing to use legal institutions.

Data Source: https://data.qdr.syr.edu/file.xhtml?fileId=2667

Full Citation: Yakovlev, Andrei. 2008. Pravo i Pravoprimenenie v Rossii Glazami Biznesa: Chto Izmenilos za Sem Let [Law and Law Enforcement in Russia through the Eyes of Business: What Changed in the Last Seven Years]. In Pravoprimenenie: Teoriya i Praktika, ed. Yury Tikhomirov. Moscow: Formula Prava, 214– 39.

</a> <br> This is an Annotation for Transparent Inquiry project, published by the Qualitative Data Repository.

<br/>

<font>The Data Overview discusses project context, data generation and analysis, and logic of annotation.</font>

<br/> Please cite as:

Pierskalla, Jan; De Juan, Alexander . 2018. "Data for: The territorial expansion of the colonial state: Evidence from German East Africa 1890–1909". Qualitative Data Repository. https://doi.org/10.5064/F6IOUEY2

Learn more about ATI here.

<br>

Analytic note: Reisner (1922) and Weber (1976) emphasize French primary schools’ goal to teach children to willingly pay taxes and fight for their country. The development of a strong “French” national identity, they argue, played a key role in convincing future citizens to willingly accept these as their duties.

Source excerpts:

Reisner (1922, 86-87), based on an examination of textbooks commonly used in French primary schools, concludes that “the instruction inevitably leads to an emphasis on the duties of the citizen to his nation. The pupil is never allowed to forget that he is a Frenchman caught up in the net of a competitive national organization which necessarily and in justice makes heavy demands upon his time and his pocketbook and which may, in the last resource, ask him to sacrifice his life for this country. The type of patriotism varies in the various books, but in those which have had the largest popularity as indicated by sales, it is of a warm emotional nature that aims directly at maintaining national feeling at a high pitch. It is very evidently the purpose of this instruction to cause the French boys and girls to realize the necessity for a large and efficient army and navy, for the upkeep of which they must pay taxes, and to make them willing to bear their share of the national burden because they prize their institutions, the language and their traditions—which can be protected only by military force.”

On the goals of primary schools in France, Weber (1976, 332) writes that school “had to teach children national and patriotic sentiments, explain what the state did for them and why it exacted taxes and military service, and show them their true interest in the fatherland. It seems that there was a great deal to do. The theme remained a constant preoccupation of eminent educators.”

Full citations:

Reisner, E. Hartman. 1922. Nationalism and education since 1789: a social and political history of modern education. New York: The Macmillan Company.

Weber, Eugen. 1976. Peasants into Frenchmen: The Modernization of Rural France, 1870-1914. Stanford, California: Stanford University Press.

<br>

Analytic note: In 1763, Frederick II, king of Prussia, signed the General Land-Schul-Reglement of 1763 which, among other things, established compulsory attendance of primary schools for children living in rural areas.

Excerpt:

“General Land-Schul-Reglement. Hecker worked out a school law for the regulation of the country and village schools. It was the first and last law which Prussia has had that touches all sides of the question. It appeared in 1763. We have not space to give the law in its entirety, but we recommend it to those interested, because it points out very clearly the direction which the German elementary school was to take and which it has taken. The topics touched upon by the law were compulsory attendance, school year, school day, school fees, discipline, teachers, course of study, methods, and school supervision and administration. By the new law the principle of compulsory attendance was reasserted, the country schools were taken from under the care of the nobility and put under the protection and supervision of the state; the supervision of the schools was to be exercised as before by the clergy, but in behalf of the state; the whole procedure of instruction was regulated by law, school hours, curricula, and schedules; textbooks had to be approved by the authorities thereafter.” (Alexander 1919, 14).

Full citation:

Alexander, Thomas. 1919. The Prussian elementary schools. New York: The Macmillan company.

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Analytic note:

The French Minister of Education François Guizot, who drafted the 1833 Law of Primary Schooling, emphasized the need for schools to develop individual respect for the rule of law. In Prussia, Johann Felbiger, an education reformer and politician who played a key role in the design of Prussia’s compulsory primary school regulations under Frederick II, also argued that the most important task of schools was to convince students to follow rules.

Source excerpts:

Guizot (1860, 86, emphasis mine): “The attachment of the citizens to the fundamental laws of the state and to the sovereign who is its leader, is the . . . surest safeguard of society, . . . it is the duty as well as the interest of the government to favor and direct its development. . . . When men have learned from childhood to understand the fundamental laws of the country and to respect its sovereign, the sovereign and the laws become a kind of property which is dear to them, and they do not refuse the obligations that it imposes upon them: when the government has taken care to propagate, in favor of national education, . . . the doctrines which suit his nature and his direction, these doctrines soon acquire a power against . . . all seditious attempts. Thus the public mind is formed, thus a true patriotism is maintained, thus fortifying and consolidating societies and thrones.”

Felbiger (cited in Melton (2002, 187): “Human beings are by nature moved by kindness and reason rather than force. Despotic methods will not induce pupils to obey. They must be convinced that it is useful and correct to follow the schoolmaster’s wishes. Only then will they learn to obey even in situations where force is absent. In this way, the schoolmaster accomplishes his most important task: his pupils will observe their duties not only in school, but throughout their lives.”

Full citations:

Guizot, François. 1860. Memoires pour servir a l'histoire de mon temps, T.3. Paris: Michel Levy freres.

Melton, James. 1988. Absolutism and the eighteenth-century origins of compulsory schooling in Prussia and Austria. Cambridge, UK: Cambridge University Press.

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Analytic note: For example, Frederick William III, king of Prussia from 1797 to 1840, while supportive of the provision of primary education for the masses, also warned that primary education must not “educate [the individual] beyond the bounds of [his] social class and vocation … and awaken in him pretensions and needs which his lot in life does not allow him to satisfy” Frederick William III (cited in Reisner 1922, 143-144).

Source excerpt:

Frederick William III (cited in Reisner 1922, 143-144): “It must be granted that popular education is the foundation upon which the welfare of the people must rest. . . . Therefore I have . . . supported it as far as the economic condition of the state allowed . . . I have also had satisfaction in hearing the comparison made between my own land, in which the great majority of the children receive instruction, and other lands of Europe in which no schools whatsoever exist. But just where the educational conditions are most advanced, all kinds of doubts and forebodings force themselves upon me. May one ask himself regarding population education whether or not it has its limits? If it has no bounds, then we are not justified in interfering with, hindering, or restricting its development . . . That, however, I cannot approve without reservations. . . . We do not confer upon the individual or upon society any benefit when we educate him beyond the bounds of this social class and vocation, given him a cultivation which he cannot make use of, and awaken in him pretensions and needs which his lot in life does not allow him to satisfy.”

Reisner (1922, 144): “The old King wished to see his common people happy, but he could not see how they could be happy or the state prosperous unless they remained common people and accepted their position of social inferiority to which their birth had called them.”

Full citation:

Reisner, E. Hartman. 1922. Nationalism and education since 1789: a social and political history of modern education. New York: The Macmillan Company.

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Analytic note:

In Argentina, the historian Juan Carlos Tedesco writes that the goal of primary schooling was, first and foremost, to disseminate certain moral principles that would help promote social order. He cites Sarmiento’s ideas on schooling. Domingo Sarmiento was the politician who most advocated for the creation of a national primary school system throughout the nineteenth century; today, he is regarded as the father of primary education. He was governor of San Juan (1862-1864), Minister of the Interior (1879), Minister of Foreign Affairs and Worship (1879), President (1868-1874), founder of the first state-run Normal School to train primary school teachers, and Superintendent General of Schools during the presidency of Julio Roca, when the 1884 Law of Primary Schooling (the first national law of its kind) was passed (Pigna 2009). Throughout Popular Education, published in 1849, Sarmiento argues that the state must provide primary education to the masses, and that this education must focus primarily on their moral education to get rid of their violent predispositions and criminal behavior.

In Chile, the conservative president Manuel Montt, in his inaugural speech to Congress in 1859, demanded greater effort by the central government to control primary schools as a means to correct the bad manners of the population which, he thought, would help promote social order (Montt 1859, 10).

Translated source excerpts:

Sarmiento [1849] (2011): “The masses are less inclined to respect lives and property when their reasoning capabilities and moral sentiments are not cultivated. For selfish motives, thus, of those who today have greater advantages within society, there must be an effort to temper that existing instinct to destroy.” (Sarmiento 1849, 48). “According to statistical tables published annually by the [French] Ministry of Justice, out of 10,000 individuals accused of committing a crime … 5,641 are completely illiterate. Now, out of 10,000 inhabitants, 4,960 are completely illiterate. … This fact proves that education moralizes the population, as there are relatively more people accused of committing a crime among the illiterate than among those who have received some instruction” (p. 55).

Tedesco (1986, 64): “First and foremost, the diffusion of schooling [in Argentina] was linked to the accomplishment of internal political stability. This is easy to understand if we think about the theories in vogue at the time about the moralizing role of schooling. … It was believed that education, to the degree that it massively diffused certain principles, would effectively contribute to the goal of eliminating pockets of resistance to the central government that remained especially outside Buenos Aires.”

Montt (1859, 10): “A big part of the evils that affect the public order are rooted in ignorance. Extirpating it through a system of common schools that enlightens the masses, corrects their bad habits manners and develops good manners is the most urgent task you can embark on.”

Original source excerpts (in Spanish):

Sarmiento [1849] (2011, 48): “Las masas están menos dispuestas al respeto de las vidas y de las propiedades a medida que su razón y sus sentimientos morales están menos cultivados. Por egoísmo, pues, de los que gozan hoy de mayores ventajas en la asociación debe tratarse cuanto antes de embotar aquel instinto de destrucción.”

Sarmiento [1845] (1964, 55): “Según los cuadros estadísticos publicados anualmente por el ministro de Justicia, sobre 10.000 acusados cuyo grado de instrucción ha sido comprobado, se encuentran 4.359 solamente que saben al menos leer, y 5.641 que son completamente iletrados. Ahora sobre 10.000 habitantes, se encuentran 5.040 que saben leer, y 4.960 completamente iletrados. Hay pues una diferencia de 681, que corresponde a 16% en favor de la parte de población que ha recibido alguna instrucción. En efecto, el número de los que han frecuentado las escuelas se eleva sobre un término medio de 10.000 habitantes a 5.040, mientras que no hay en término medio más que 4.359 entre 10.000 acusados. Este primer hecho prueba que la instrucción moraliza las poblaciones, puesto que hay relativamente más acusados entre la gente iletrada que entre los que han recibido alguna instrucción.”

Tedesco (1986, 64): “En primer lugar, la difusión de la enseñanza estaba ligada al logro de la estabilidad política interna. Esto se comprende fácilmente si se piensa en las teorías en boga en la época acerca del papel moralizador de la enseñanza. “Un pueblo ignorante siempre votará a Rosas,” había sintetizado Sarmiento y, efectivamente, se pensaba que la educación, en la medida que difundiera masivamente ciertos principios, contribuiría con eficacia en la tarea de eliminar los focos de resistencia al gobierno central que permanecían, especialmente, en el interior del país.”

Montt (1859, 10): “Los progresos en la instrucción primaria son más notables. Las escuelas de mejoran en su réjimen i en sus métodos de enseñanza; se estienden las nociones que se dan a los jóvenes i el aprovechamiento es mas pronto i mas seguro. Estos resultados no satisfacen sin embargo las necesidades siempre crecientes en esta materia. La instrucción no puede estar convenientemente difundida i sistemada mientras la lei no haga concurrir a esta obra al Estado con su inspección superior, a las Municipalidades con su dirección inmediata i a los particulares con la parte que en ella deben tomar, i a todos respectivamente con la erogación de fondos que le constituyan una renta especial i permanente. Ninguna materia mas digna de vuestras meditaciones. Gran parte de los males que aquejan a las sociedad i que afectan al órden público, o influyen en la desgracia de los individuos i de las familias, tienen su raíz principal en la ignorancia. Estirparla mediante un buen sistema de educación común que ilustre a las masas, corrija sus malos hábitos i les forme buenas costumbres es la obra mas urjentemente reclamada que podes emprender.”

Full citations:

Montt, Manuel. 1859. “Discurso del Presidente de la Republica en la Apertura del Congreso Nacional de 1859.” In Chile, Documentos Parlamentarios. Discursos de Apertura en las Sesiones del Congreso i Memorias Ministeriales Correspondientes al Segundo Quinquenio de la Administración Montt. Santiago de Chile: Imprenta del Ferrocarril.

Pigna, Felipe. 2009. “Sarmiento entre su civilización y su barbarie”, 265-290. In Los Mitos de la Historia Argentina, vol. 2, written by Felipe Pigna. Buenos Aires: Planeta.

Sarmiento, Domingo F. (1849) 2011. Educacion Popular. La Plata: UNIPE: Editorial Universitaria.

Tedesco, Juan Carlos. 1986. Educacion y sociedad en la Argentina: (1880-1945). Buenos Aires: Ediciones Solar.

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Analytic note: The phrase comes from the education reformer Johann Felbiger, who advised Frederick II on the design of the Prussian system of compulsory primary education. Felbiger argued that the main goal of the primary school curriculum should be to foster “loyalty, obedience, and devotion to the King” (cited in Melton 2002, 186). Orestes Brownson, a radical Democrat leader who in the 1830s was against the Massachusetts Board of Education’s efforts to increase the centralization of schools, criticized the Board for following the Prussian model, arguing that Prussian schools sough to teach the youth “duty to their lord the king” and “to implant despotism in the intellect and heart.” The historian Barkin (1983, 32) notes that historians agree that Prussian education was primarily conceived by autocrats as a mechanism of social control and indoctrination, but argues that, in practice, schools sometimes failed to accomplish autocrats’ goal.

Source excerpts:

Melton (2002, 1856-6): “Felbiger no doubt endeared himself to Frederick and Schlabrendorff by stressing the importance of civil education. Schoolmasters needed to inculcate in their pupils not only a sense of their spiritual duties, but also secular obligations like ‘loyalty, obedience, and devotion to the king.’ Indicative of Feliber’s stress on loyalty and obedience was his 1768 manual for Catholic schoolmasters, which prescribed that pupils memorize the following catechism: … ‘Because all who exercise authority are ordained by God, subjects must be submissive, loyal, and obedient, even to a ruler not of our religion. … To resist authority is to rebel again the divine order.’”

Barkin (1983): “Current scholarship on Prussian education stresses compulsory schooling as a mechanism of social control to indoctrinate children in religion and political submissiveness” (p. 32); however, “the everyday reality of the schools was not necessarily in accord with the wishes of Prussia’s authoritarian leaders” (p. 35).

Brownson (1839, 390): “What, then, does Frederic William allow his dear subjects to be taught? First and foremost, the catechisms of the two established churches, . . . the Lutheran church to the children of Lutherans, and . . . the Catholic church to the children of Catholics. Then they are taught the private and domestic virtues, and their duty to their lord the king. . . The whole system of Prussian education, which is well adapted, in many respects, to form the Prussian youth to the love and practice of the several duties of private and domestic life, is mainly designed to implant despotism in the intellect and the heart, to forestall the craving of freedom, and to make man, born to be free, to stand up a man amongst men in the image of his Maker, contented to be a slave, and a supporter of Absolutism on principle.”

Full citations:

Barkin, Kenneth. 1983. “Social Control and the Volksschule in Vormärz Prussia." Central European History 16(1): 31-52.

Brownson, Orestes Augustus. 1839. The Boston Quarterly Review 1838-1842: 390. Boston: Benjamin H. Greene.

Melton, James. 1988. Absolutism and the eighteenth-century origins of compulsory schooling in Prussia and Austria. Cambridge, UK: Cambridge University Press.

<br>

Analytic notes:

The primacy of moral education in the design of the French primary school system is evidenced in the writings of Francois Guizot, the French Minister of Education who during the July Monarchy drafted the 1833 Loi that established, for the first time, a centrally-controlled system of primary schools, with a centralized curriculum and primary school teachers trained and recruited according to central government directives. The centrality of moral education as a motivation to centralize the control and expand the provision of primary schooling in France is also discussed by Weber (1976). The 1833 Loi is especially important because it was followed by the fastest expansion of primary schooling observed in French history (Grew and Harrigan 1991).

That the Prussian primary school system focused mainly on moral and religious education was perceived to be true among those who admired and those who criticized Prussian schools. Among the admirers was Horace Mann, a U.S. education reformer who played a key role in the development of a system of common schools in Massachusetts during the 1830s and 40s. Mann devoted two of the twelve Annual Reports he wrote as Secretary of the Massachusetts Board of Education entirely to the importance of moral education. He highlighted Prussia as an example of an education system that shapes moral values. The Prussian emphasis on moral and religious education noticed by Mann continued to prevail at the beginning of the 20th century according to Thomas Alexander, a professor at the George Peabody College of Teachers who spent between 1912 and 1913 studying Prussian schools directly as the basis for his book The Prussian Elementary Schools, published in 1919.

Source excerpts:

In an essay discussing the perceived benefits of the 1833 Loi, Guizot (1860) writes: “The state must provide primary education to all families and give it to those who cannot afford it; and in this he does more for the moral life of peoples than he can do for their material condition. This is the true principle on this point, and it was the one adopted by my bill.” (p. 63-64) “Primary education is not a panacea which cures all the moral maladies of the people . . . ; it is a salutary or harmful power according to whether it is well or badly directed and contained within its limits or pushed out of its mission. . . . The law of June 28, 1833, has received various modifications . . .; but all its principles, all its essential dispositions, have remained upright and in force. Founded by this law, primary education is now, among us, a public institution and an acquired fact. There remains, surely, much to be done for the good government of the schools, to make it dominant in their bosom the influences of religion and order, of faith and law, which make both the dignity and the safety of a people.” (p.86)

And continues: “If it is true that the attachment of the citizens to the fundamental laws of the state and to the sovereign who is its leader, is the most energetic power and surest safeguard of society, if it is true that there where this feeling has existed, it has produced miracles, and that its absence has brought about the greatest evils, it is the duty as well as the interest of the government to favor and direct its development. But this feeling can only arise from the concordance of public doctrines and national habits with political institutions, the nature and principles of government. . . . When men have learned from childhood to understand the fundamental laws of the country and to respect its sovereign, the sovereign and the laws become a kind of property which is dear to them, and they do not refuse the obligations that it imposes upon them: when the government has taken care to propagate, in favor of national education, in the relations of religion, morality, politics, etc., the doctrines which suit his nature and his direction, these doctrines soon acquire a power against which come the failures of liberty of mind and all seditious attempts. Thus the public mind is formed, thus a true patriotism is maintained, thus fortifying and consolidating societies and thrones.” (Guizot 1860, 86).

Weber (1976, 329): “Official reports coupled poor education with rude, brutal ways. Where schooling did not take hold, ‘ways are coarse, characters are violent, excitable, and hotheaded, troubles and brawls are frequent.’ The school was supposed to improve manners and customs, and soothe the savage breast. The polite forms it inculcated ‘softened the savagery and harshness natural of peasants.’ Improved behavior and morality would be attributed to the effects of schooling.”

Mann (1844, 22): “If Prussia can pervert the benign influence of education to the support of arbitrary power, we surely can employ them for the support and perpetuation of republican institutions… If a moral power over the understandings and affections of the people may be turned to evil, may it not also be employed for good?”

Alexander (1919, v): “A careful study of the Prussian school system will convince any unbiased reader that the Prussian citizen cannot be free to do and act for himself; that the Prussian is to a large measure enslaved through the medium of his school; that his learning, instead of making him his own master, forges the chain by which he is held in servitude; that the whole scheme of Prussian elementary education is shaped with the express purpose of making ninety-five out of every hundred citizens subservient to the ruling house and to the state.”

In a later chapter that focuses on the curriculum and teaching methods, Alexander refers to the influential ideas of Johann Friedrich Herbart, a German philosopher, psychologist and educator, author of The Moral or Ethical Revelation of the World: The Chief Aim of Education (1804), and Prussian commissioner of education. Alexander (1919, 258) writes that “With Herbart and his followers, the aim and end of instruction was the formation of moral and religious character. It was not Herbart’s intention merely to furnish the child with a definite number of concepts by the form and content of the instruction and subject matter, but rather to shape thereby the will and directly to affect the moral nature and attitude of the child.”

In the conclusion, Alexander (1919, 540) writes: “Chief among the avowed aims of the Volksschule is the formation of moral and religious character. There is no doubt that the reason religion is made one of the chief subjects of instruction in the elementary schools is to teach the lesson of obedience to authority which is the basis of the German state.” And continues, “There are then leaders and followers. The leaders think and do; the followers merely do. The schools are organized for the express purpose of producing just these types . . . They educate the individual for the state; we [Americans] make the state for the individual. The lesson to learn here is this. The German sets definitely his national aims. Those in authority shape every resource to reach that goal. The schools were molded to meet the needs of the state.” (Alexander 1919, 538-39).

Full citations:

Alexander, Thomas. 1919. The Prussian elementary schools. New York: The Macmillan company.

Grew, Raymond, and Patrick J. Harrigan. 1991. School, state, and society: the growth of elementary schooling in nineteenth-century France: a quantitative analysis. Ann Arbor: University of Michigan Press.

Guizot, Francois. 1860. Memoires pour servir a l'histoire de mon temps, T.3. Paris: Michel Levy freres.

Mann, Horace. 1844. Seventh Annual Report on the Board of Education. Boston.

Weber, Eugen. 1976. Peasants into Frenchmen: The Modernization of Rural France, 1870-1914. Stanford, California: Stanford University Press.

<br>

Analytic note: The first US education mission to the USSR emphasizes that Soviet “education is regarded as one of the chief resources and techniques for achieving social, economic, cultural, and scientific objectives in national interest.” The second mission emphasizes the role of education in state-led industrialization, noting that “curriculum and methods have responded primarily to economic requirements of society.”

Source excerpts:

From the introduction of the Report from the first U.S. education mission to the USSR:

“The one fact that most impressed us in the U.S.S.R. was the extent to which the Nation is committed to education as a means of national advancement. In the organization of a planned society in the Soviet Union, education is regarded as one of the chief resources and techniques for achieving social, economic, cultural, and scientific objectives in national interest. Tremendous responsibilities are therefore placed on Soviet schools, and comprehensive support is provided for them” (U.S. DOE 1959, 1).

“In an interview with us, Mr. Afanasenko, the RSFSR Minister of Education, said: “Each pupil should be useful to the State. We do not want young people who are good for nothing.” . . . The primary function of Soviet schools is, then, to train young citizens for maximum service to the State.” (U.S. DOE 1959, 26).

“From infancy, children are taught that the highest good is to serve the State; school children … are taught to identify all good things with the State; on class excursions and tours of museums, shrines, factories, they are taught the history of the revolution and to honor its heroes, underplaying the pre-revolutionary achievements and emphasizing Soviet progress. What we observed of Soviet education gave us the impression that the entire operation was being carried out on a systematically planned basis to achieve Communist objectives” (U.S. DOE 1959, 3).

From the introduction of the Report from the second U.S. education mission to the USSR:

"These aspects were particularly emphasized by the Soviet educational authorities: the basic formation in mathematics, natural sciences, and polytechnic knowledge related to economic production …. From the moment we stepped into the Soviet jet TU-104 in Copenhagen, … we sensed the technological push that later would be evidenced to us in the educational work going on in the Soviet Union.” (U.S. DOE 1960, xiv). “In the school classroom and workshop, in the machine building plant, in the countryside, and wherever we went, we felt the pulse of the Soviet Government’s drive to educate and train a new generation of technically skilled and scientifically literate citizens.” (U.S. DOE 1960, xv)

“In Russia, public school systems are, historically speaking, a recent phenomenon. … Particularly since 1930, a rather phenomenal growth has occurred in educational facilities in the U.S.S.R., moving steadily in the direction of universal, compulsory general education” (U.S. DOE 1960, 1) . “During this period of rapid growth, curriculum and methods have responded primarily to economic requirements of society” (U.S. DOE 1960, 1-2).

Full citations:

U.S. Department of Health, Education, and Welfare. Office of Education. 1959. Soviet Commitment to Education. Report of the First Official U.S. Education Mission to the USSR. Washington, DC: U.S. Government Printing Office.

U.S. Department of Health, Education, and Welfare. Office of Education. 1960. Soviet Education Programs. Washington, DC: U.S. Government Printing Office.

<br>

Analytic note: The Primary Education Act of 1833 (Loi sur l’instruction primaire du 28 juin 1833), known as the Guizot Law (Loi Guizot), is named after Francois Guizot, the Minister of Public Instruction at the time. It establishes the purposes of primary education, organizes its provision, stipulates what will be taught, who can become a teacher, and who will supervise schools on behalf of the state.

Full citation:

France. Loi sur l’instruction primaire – Loi Guizot du 28 juin 1833: https://www.education.gouv.fr/cid101161/loi-sur-l-instruction-primaire-loi-guizot-du-28-juin-1833.html&xtmc=rapport&xtnp=7&xtcr=125

Analytic note:

In the USSR, The Teachers’ Gazette, which was used by the Soviet regime to communicate to teachers how to conduct their work; an article titled “Communist Education” in published in Bolshevik, and Nigel Grant’s book Soviet Education, all discuss the military goals of education. In China, an article in the People’s Daily discussed the role of education in promoting love for the party, the party leadership, and the regime.

Source excerpts:

The Teachers’ Gazette (1946): “Love of country, and mercilessness to the enemy, stubbornness in the overcoming of difficulties, an iron discipline, and love of oppressed peoples, the spirit of adventure and constant striving . . . Such are the qualities which must be inculcated in the schools . . . Consequently, education in school cannot be divorced from life, divorced from the policy of the Soviet state." (cited in US Dept of State 1954, 134).

Bolshevik (1946): "The object of the entire ideological work is to instill in youth the spirit of fidelity to the idea of Communism, unselfish devotion to the Soviet fatherland and readiness to strengthen its military-economic might by every means, and to defend its freedom and independence. The inculcation in the masses of Soviet ideology implies a struggle against the survivals of capitalism in the consciousness of the people and the formation of a new consciousness and of a new Communist morality." (“Communist Education,” published in Bolshevik, cited in US Dept of State 1954, 140).

Grant (1964, 26): “Not only do the Soviet authorities openly declare the political aims of their educational system, they deny emphatically that it could or should be otherwise. From the Soviet standpoint the basic issue is simple, leaving aside the emotional overtones of words ‘indoctrination’ and ‘propaganda’, which they regard as irrelevant. They take the view that education must function according to the needs of society, and that there is by definition a socialist society moving towards communism, a society which needs to train citizens who will all be able – and willing – to continue the job of social transformation.”

People’s Daily: “At present, the communist moral character of our country's children has been greatly raised. Measures should be taken to step up their communist education. They should be educated to love the party, party leadership, the fatherland, socialism, people's communes, the people, labor, science, and public property. In addition, efforts should be continuously made to rid them of the views and methods of bourgeois children's education, which separates them from the proletariat politics, production and reality.” (“Better Fulfil the Training of Communist Successors,” published in People’s Daily, cited in US Dept of State 1962, 59).

Full citations:

Grant, Nigel. 1964. Soviet Education. Middlesex, England: Penguin Books.

United States. Department of State. Division of Research for USSR and Eastern Europe. 1954. Soviet world outlook: a handbook of communist statements. Washington: U.S. Dept. of State.

United States. Department of State. Bureau of Intelligence and Research. 1962. Chinese Communist world outlook: a handbook of Chinese Communist statements, the public record of a militant ideology. Washington: U. S. Government Print Office.

<br>

Analytic note: Frederick II warned that if children learned too much, they would “rush off to the cities and want to become secretaries or clerks, etc”, which was against the King’s wishes. He told his Minister of Education “they must be taught in such a way that they will not run away from the villages but remain there contentedly.”

Source excerpt:

“Frederick the Great, as many of his successors, adopted the policy that it was unwise to educate the lower classes too well, for he felt that it tended to make them dissatisfied with existing conditions. In a letter to Minister von Zedlitz in 1779, he wrote as follows:

‘It is well that the teachers in the countryside instruct the young in religion and morals, and they must not depart from this practice, in order that they may remain content with their religion and not become Catholics. . . Therefore, the teachers must take pains that the people retain their attachment for religion, and educate them far enough that they neither steal nor murder. . . . It is sufficient in the flat country (northern Germany), if the people can read and write a little; for if they know too much, they rush off to the cities and want to become secretaries or clerks, etc. For this reason, we must so arrange the instruction of the youth in the flat country that they learn that which is most necessary for their knowledge, yet they must be taught in such a way that they will not run away from the villages but remain there contentedly. . . . FREDERICK.’ ” (Alexander 1919, 18).

Full citation:

Alexander, Thomas. 1919. The Prussian elementary schools. New York: The Macmillan company.

<br>

Analytic note: An article from the People’s Daily in 1958 links the eradication of illiteracy to the strategic goal of promoting productivity and technical revolution. In 1959, Lu Ting-Yi, who occupied key positions such as Minister of Propaganda and Vice-Premier of the State Council of China, published an article in the Red Flag arguing that “education must be combined with productive labor.” Another article in the People’s Daily in 1959, by Yang Hsiu-Feng, who occupied key positions in the Ministry of Education, the People’s Supreme Court, and the Culture and Education Office, also emphasized education’s role in promoting labor productivity.

Source excerpts:

People’s Daily (1958): “Eradication of illiteracy is a task of strategic significance. Every revolutionary should exert full efforts to fulfill this task, so as to open the way for development of productivity and technical and cultural revolution.” (cited in US Dept of State 1962, 58).

Lu Ting-Yi (1959): “The chief mistakes in our educational work have been the isolation of education from productive labor. . . Education must serve politics, must be combined with productive labor and must be led by the Party—these three things are interrelated.” (“Education Must Be Combined with Productive Labor,” published in Red Flag, cited in US Dept of State 1962, 58).

Yang Hsiu-Feng (1959): “Schools at all levels must list productive labor as a regular subject in their academic plans, and all students must participate in productive labor at the specific time” (People’s Daily, cited in US Dept of State 1962, 59).

Full citation:

United States. Department of State. Bureau of Intelligence and Research. 1962. Chinese Communist world outlook: a handbook of Chinese Communist statements, the public record of a militant ideology. Washington: U. S. Government Print Office.

<br> This is an Annotation for Transparent Inquiry project, published by the Qualitative Data Repository. Please cite as:

Paglayan, Agustina. 2020. "The Non-Democratic Roots of Mass Education: Evidence from 200 Years". Qualitative Data Repository. https://doi.org/10.5064/F6EOZGLB. QDR Main Collection.

Additional documentation can be found on QDR.

Learn more about ATI here.

<br>

Analytic note: Squicciarini and Voigtlander (2016) provide quantitative evidence suggesting that the demand for schooling among the lower classes was low, and that elites’ interest in the provision of primary schooling for the masses was unrelated to their interest in promoting industrialization. Squicciarini and Voigtlander (2015) argue that the expansion of literacy to the masses, or what they term “average human capital,” did not contribute to the period of French industrialization from 1750 to 1850; it was scientific knowledge, acquired by a few at the university level, that did.

Source excerpts:

Squicciarini and Voigtlander (2016): “We document that demand for modernization [and national education] was small among the lower social classes” in pre-revolutionary France and “the local density of knowledge elites [upper-tail human capital] . . . predicts the expansion of schooling in the post-revolutionary period” (p. 10). “Our findings make it unlikely that the presence of knowledge elites had an indirect effect on schooling by raising the skills premium and thereby incentivizing workers to obtain education, or by incentivizing industrialists to augment the supply of schooling” (p. 25).

Squicciarini and Voigtlander (2015, 1825): “While human capital is a strong predictor of economic development today, its importance for the Industrial Revolution has typically been assessed as minor. To resolve this puzzling contrast, we differentiate average human capital (literacy) from upper-tail knowledge. As a proxy for the historical presence of knowledge elites, we use city-level subscriptions to the famous Encyclopédie in mid-18th century France. We show that subscriber density is a strong predictor of city growth after the onset of French industrialization. Alternative measures of development such as soldier height, disposable income, and industrial activity confirm this pattern. Initial literacy levels, on the other hand, are associated with development in the cross-section, but they do not predict growth. Finally, by joining data on British patents with a large French firm survey from the 1840s, we shed light on the mechanism: upper-tail knowledge raised productivity in innovative industrial technology.”

Full citations:

Squicciarini, M.P. and Voigtländer, N. 2015. “Human capital and industrialization: Evidence from the age of enlightenment.” The Quarterly Journal of Economics 130(4): 1825-1883.

Squicciarini, M.P. and Voigtländer, N. 2016. “Knowledge Elites and Modernization: Evidence from Revolutionary France.” Working Paper.

<br>

Analytic note: Squicciarini and Voigtlander (2016) provide quantitative evidence suggesting that the demand for schooling among the lower classes was low, and that elites’ interest in the provision of primary schooling for the masses was unrelated to their interest in promoting industrialization. Squicciarini and Voigtlander (2015) argue that the expansion of literacy to the masses, or what they term “average human capital,” did not contribute to the period of French industrialization from 1750 to 1850; it was scientific knowledge, acquired by a few at the university level, that did.

Source excerpts:

Squicciarini and Voigtlander (2016): “We document that demand for modernization [and national education] was small among the lower social classes” in pre-revolutionary France and “the local density of knowledge elites [upper-tail human capital] . . . predicts the expansion of schooling in the post-revolutionary period” (p. 10). “Our findings make it unlikely that the presence of knowledge elites had an indirect effect on schooling by raising the skills premium and thereby incentivizing workers to obtain education, or by incentivizing industrialists to augment the supply of schooling” (p. 25).

Squicciarini and Voigtlander (2015, 1825): “While human capital is a strong predictor of economic development today, its importance for the Industrial Revolution has typically been assessed as minor. To resolve this puzzling contrast, we differentiate average human capital (literacy) from upper-tail knowledge. As a proxy for the historical presence of knowledge elites, we use city-level subscriptions to the famous Encyclopédie in mid-18th century France. We show that subscriber density is a strong predictor of city growth after the onset of French industrialization. Alternative measures of development such as soldier height, disposable income, and industrial activity confirm this pattern. Initial literacy levels, on the other hand, are associated with development in the cross-section, but they do not predict growth. Finally, by joining data on British patents with a large French firm survey from the 1840s, we shed light on the mechanism: upper-tail knowledge raised productivity in innovative industrial technology.”

Full citations:

Squicciarini, M.P. and Voigtländer, N. 2015. “Human capital and industrialization: Evidence from the age of enlightenment.” The Quarterly Journal of Economics 130(4): 1825-1883.

Squicciarini, M.P. and Voigtländer, N. 2016. “Knowledge Elites and Modernization: Evidence from Revolutionary France.” Working Paper.

<br> This is an Annotation for Transparent Inquiry project, published by the Qualitative Data Repository. Please cite as:

Paglayan, Agustina. 2020. "The Non-Democratic Roots of Mass Education: Evidence from 200 Years". Qualitative Data Repository. https://doi.org/10.5064/F6EOZGLB. QDR Main Collection.

Additional documentation can be found on QDR.

Learn more about ATI here.

<br>

Analytic note: An article from the People’s Daily in 1958 links the eradication of illiteracy to the strategic goal of promoting productivity and technical revolution. In 1959, Lu Ting-Yi, who occupied key positions such as Minister of Propaganda and Vice-Premier of the State Council of China, published an article in the Red Flag arguing that “education must be combined with productive labor.” Another article in the People’s Daily in 1959, by Yang Hsiu-Feng, who occupied key positions in the Ministry of Education, the People’s Supreme Court, and the Culture and Education Office, also emphasized education’s role in promoting labor productivity.

Source excerpts:

People’s Daily (1958): “Eradication of illiteracy is a task of strategic significance. Every revolutionary should exert full efforts to fulfill this task, so as to open the way for development of productivity and technical and cultural revolution.” (cited in US Dept of State 1962, 58).

Lu Ting-Yi (1959): “The chief mistakes in our educational work have been the isolation of education from productive labor. . . Education must serve politics, must be combined with productive labor and must be led by the Party—these three things are interrelated.” (“Education Must Be Combined with Productive Labor,” published in Red Flag, cited in US Dept of State 1962, 58).

Yang Hsiu-Feng (1959): “Schools at all levels must list productive labor as a regular subject in their academic plans, and all students must participate in productive labor at the specific time” (People’s Daily, cited in US Dept of State 1962, 59).

Full citation:

United States. Department of State. Bureau of Intelligence and Research. 1962. Chinese Communist world outlook: a handbook of Chinese Communist statements, the public record of a militant ideology. Washington: U. S. Government Print Office.

<br>

Analytic note: Frederick II warned that if children learned too much, they would “rush off to the cities and want to become secretaries or clerks, etc”, which was against the King’s wishes. He told his Minister of Education “they must be taught in such a way that they will not run away from the villages but remain there contentedly.”

Source excerpt:

“Frederick the Great, as many of his successors, adopted the policy that it was unwise to educate the lower classes too well, for he felt that it tended to make them dissatisfied with existing conditions. In a letter to Minister von Zedlitz in 1779, he wrote as follows:

‘It is well that the teachers in the countryside instruct the young in religion and morals, and they must not depart from this practice, in order that they may remain content with their religion and not become Catholics. . . Therefore, the teachers must take pains that the people retain their attachment for religion, and educate them far enough that they neither steal nor murder. . . . It is sufficient in the flat country (northern Germany), if the people can read and write a little; for if they know too much, they rush off to the cities and want to become secretaries or clerks, etc. For this reason, we must so arrange the instruction of the youth in the flat country that they learn that which is most necessary for their knowledge, yet they must be taught in such a way that they will not run away from the villages but remain there contentedly. . . . FREDERICK.’ ” (Alexander 1919, 18).

Full citation:

Alexander, Thomas. 1919. The Prussian elementary schools. New York: The Macmillan company.

<br>

Analytic note: The Primary Education Act of 1833 (Loi sur l’instruction primaire du 28 juin 1833), known as the Guizot Law (Loi Guizot), is named after Francois Guizot, the Minister of Public Instruction at the time. It establishes the purposes of primary education, organizes its provision, stipulates what will be taught, who can become a teacher, and who will supervise schools on behalf of the state.

Full citation:

France. Loi sur l’instruction primaire – Loi Guizot du 28 juin 1833: https://www.education.gouv.fr/cid101161/loi-sur-l-instruction-primaire-loi-guizot-du-28-juin-1833.html&xtmc=rapport&xtnp=7&xtcr=125

Analytic note:

In the USSR, The Teachers’ Gazette, which was used by the Soviet regime to communicate to teachers how to conduct their work; an article titled “Communist Education” in published in Bolshevik, and Nigel Grant’s book Soviet Education, all discuss the military goals of education. In China, an article in the People’s Daily discussed the role of education in promoting love for the party, the party leadership, and the regime.

Source excerpts:

The Teachers’ Gazette (1946): “Love of country, and mercilessness to the enemy, stubbornness in the overcoming of difficulties, an iron discipline, and love of oppressed peoples, the spirit of adventure and constant striving . . . Such are the qualities which must be inculcated in the schools . . . Consequently, education in school cannot be divorced from life, divorced from the policy of the Soviet state." (cited in US Dept of State 1954, 134).

Bolshevik (1946): "The object of the entire ideological work is to instill in youth the spirit of fidelity to the idea of Communism, unselfish devotion to the Soviet fatherland and readiness to strengthen its military-economic might by every means, and to defend its freedom and independence. The inculcation in the masses of Soviet ideology implies a struggle against the survivals of capitalism in the consciousness of the people and the formation of a new consciousness and of a new Communist morality." (“Communist Education,” published in Bolshevik, cited in US Dept of State 1954, 140).

Grant (1964, 26): “Not only do the Soviet authorities openly declare the political aims of their educational system, they deny emphatically that it could or should be otherwise. From the Soviet standpoint the basic issue is simple, leaving aside the emotional overtones of words ‘indoctrination’ and ‘propaganda’, which they regard as irrelevant. They take the view that education must function according to the needs of society, and that there is by definition a socialist society moving towards communism, a society which needs to train citizens who will all be able – and willing – to continue the job of social transformation.”

People’s Daily: “At present, the communist moral character of our country's children has been greatly raised. Measures should be taken to step up their communist education. They should be educated to love the party, party leadership, the fatherland, socialism, people's communes, the people, labor, science, and public property. In addition, efforts should be continuously made to rid them of the views and methods of bourgeois children's education, which separates them from the proletariat politics, production and reality.” (“Better Fulfil the Training of Communist Successors,” published in People’s Daily, cited in US Dept of State 1962, 59).

Full citations:

Grant, Nigel. 1964. Soviet Education. Middlesex, England: Penguin Books.

United States. Department of State. Division of Research for USSR and Eastern Europe. 1954. Soviet world outlook: a handbook of communist statements. Washington: U.S. Dept. of State.

United States. Department of State. Bureau of Intelligence and Research. 1962. Chinese Communist world outlook: a handbook of Chinese Communist statements, the public record of a militant ideology. Washington: U. S. Government Print Office.

<br>

Analytic note: For example, Frederick William III, king of Prussia from 1797 to 1840, while supportive of the provision of primary education for the masses, also warned that primary education must not “educate [the individual] beyond the bounds of [his] social class and vocation … and awaken in him pretensions and needs which his lot in life does not allow him to satisfy” Frederick William III (cited in Reisner 1922, 143-144).

Source excerpt:

Frederick William III (cited in Reisner 1922, 143-144): “It must be granted that popular education is the foundation upon which the welfare of the people must rest. . . . Therefore I have . . . supported it as far as the economic condition of the state allowed . . . I have also had satisfaction in hearing the comparison made between my own land, in which the great majority of the children receive instruction, and other lands of Europe in which no schools whatsoever exist. But just where the educational conditions are most advanced, all kinds of doubts and forebodings force themselves upon me. May one ask himself regarding population education whether or not it has its limits? If it has no bounds, then we are not justified in interfering with, hindering, or restricting its development . . . That, however, I cannot approve without reservations. . . . We do not confer upon the individual or upon society any benefit when we educate him beyond the bounds of this social class and vocation, given him a cultivation which he cannot make use of, and awaken in him pretensions and needs which his lot in life does not allow him to satisfy.”

Reisner (1922, 144): “The old King wished to see his common people happy, but he could not see how they could be happy or the state prosperous unless they remained common people and accepted their position of social inferiority to which their birth had called them.”

Full citation:

Reisner, E. Hartman. 1922. Nationalism and education since 1789: a social and political history of modern education. New York: The Macmillan Company.

<br>

Analytic note: The first US education mission to the USSR emphasizes that Soviet “education is regarded as one of the chief resources and techniques for achieving social, economic, cultural, and scientific objectives in national interest.” The second mission emphasizes the role of education in state-led industrialization, noting that “curriculum and methods have responded primarily to economic requirements of society.”

Source excerpts:

From the introduction of the Report from the first U.S. education mission to the USSR:

“The one fact that most impressed us in the U.S.S.R. was the extent to which the Nation is committed to education as a means of national advancement. In the organization of a planned society in the Soviet Union, education is regarded as one of the chief resources and techniques for achieving social, economic, cultural, and scientific objectives in national interest. Tremendous responsibilities are therefore placed on Soviet schools, and comprehensive support is provided for them” (U.S. DOE 1959, 1).

“In an interview with us, Mr. Afanasenko, the RSFSR Minister of Education, said: “Each pupil should be useful to the State. We do not want young people who are good for nothing.” . . . The primary function of Soviet schools is, then, to train young citizens for maximum service to the State.” (U.S. DOE 1959, 26).

“From infancy, children are taught that the highest good is to serve the State; school children … are taught to identify all good things with the State; on class excursions and tours of museums, shrines, factories, they are taught the history of the revolution and to honor its heroes, underplaying the pre-revolutionary achievements and emphasizing Soviet progress. What we observed of Soviet education gave us the impression that the entire operation was being carried out on a systematically planned basis to achieve Communist objectives” (U.S. DOE 1959, 3).

From the introduction of the Report from the second U.S. education mission to the USSR:

"These aspects were particularly emphasized by the Soviet educational authorities: the basic formation in mathematics, natural sciences, and polytechnic knowledge related to economic production …. From the moment we stepped into the Soviet jet TU-104 in Copenhagen, … we sensed the technological push that later would be evidenced to us in the educational work going on in the Soviet Union.” (U.S. DOE 1960, xiv). “In the school classroom and workshop, in the machine building plant, in the countryside, and wherever we went, we felt the pulse of the Soviet Government’s drive to educate and train a new generation of technically skilled and scientifically literate citizens.” (U.S. DOE 1960, xv)

“In Russia, public school systems are, historically speaking, a recent phenomenon. … Particularly since 1930, a rather phenomenal growth has occurred in educational facilities in the U.S.S.R., moving steadily in the direction of universal, compulsory general education” (U.S. DOE 1960, 1) . “During this period of rapid growth, curriculum and methods have responded primarily to economic requirements of society” (U.S. DOE 1960, 1-2).

Full citations:

U.S. Department of Health, Education, and Welfare. Office of Education. 1959. Soviet Commitment to Education. Report of the First Official U.S. Education Mission to the USSR. Washington, DC: U.S. Government Printing Office.

U.S. Department of Health, Education, and Welfare. Office of Education. 1960. Soviet Education Programs. Washington, DC: U.S. Government Printing Office.

<br>

Analytic notes:

The primacy of moral education in the design of the French primary school system is evidenced in the writings of Francois Guizot, the French Minister of Education who during the July Monarchy drafted the 1833 Loi that established, for the first time, a centrally-controlled system of primary schools, with a centralized curriculum and primary school teachers trained and recruited according to central government directives. The centrality of moral education as a motivation to centralize the control and expand the provision of primary schooling in France is also discussed by Weber (1976). The 1833 Loi is especially important because it was followed by the fastest expansion of primary schooling observed in French history (Grew and Harrigan 1991).

That the Prussian primary school system focused mainly on moral and religious education was perceived to be true among those who admired and those who criticized Prussian schools. Among the admirers was Horace Mann, a U.S. education reformer who played a key role in the development of a system of common schools in Massachusetts during the 1830s and 40s. Mann devoted two of the twelve Annual Reports he wrote as Secretary of the Massachusetts Board of Education entirely to the importance of moral education. He highlighted Prussia as an example of an education system that shapes moral values. The Prussian emphasis on moral and religious education noticed by Mann continued to prevail at the beginning of the 20th century according to Thomas Alexander, a professor at the George Peabody College of Teachers who spent between 1912 and 1913 studying Prussian schools directly as the basis for his book The Prussian Elementary Schools, published in 1919.

Source excerpts:

In an essay discussing the perceived benefits of the 1833 Loi, Guizot (1860) writes: “The state must provide primary education to all families and give it to those who cannot afford it; and in this he does more for the moral life of peoples than he can do for their material condition. This is the true principle on this point, and it was the one adopted by my bill.” (p. 63-64) “Primary education is not a panacea which cures all the moral maladies of the people . . . ; it is a salutary or harmful power according to whether it is well or badly directed and contained within its limits or pushed out of its mission. . . . The law of June 28, 1833, has received various modifications . . .; but all its principles, all its essential dispositions, have remained upright and in force. Founded by this law, primary education is now, among us, a public institution and an acquired fact. There remains, surely, much to be done for the good government of the schools, to make it dominant in their bosom the influences of religion and order, of faith and law, which make both the dignity and the safety of a people.” (p.86)

And continues: “If it is true that the attachment of the citizens to the fundamental laws of the state and to the sovereign who is its leader, is the most energetic power and surest safeguard of society, if it is true that there where this feeling has existed, it has produced miracles, and that its absence has brought about the greatest evils, it is the duty as well as the interest of the government to favor and direct its development. But this feeling can only arise from the concordance of public doctrines and national habits with political institutions, the nature and principles of government. . . . When men have learned from childhood to understand the fundamental laws of the country and to respect its sovereign, the sovereign and the laws become a kind of property which is dear to them, and they do not refuse the obligations that it imposes upon them: when the government has taken care to propagate, in favor of national education, in the relations of religion, morality, politics, etc., the doctrines which suit his nature and his direction, these doctrines soon acquire a power against which come the failures of liberty of mind and all seditious attempts. Thus the public mind is formed, thus a true patriotism is maintained, thus fortifying and consolidating societies and thrones.” (Guizot 1860, 86).

Weber (1976, 329): “Official reports coupled poor education with rude, brutal ways. Where schooling did not take hold, ‘ways are coarse, characters are violent, excitable, and hotheaded, troubles and brawls are frequent.’ The school was supposed to improve manners and customs, and soothe the savage breast. The polite forms it inculcated ‘softened the savagery and harshness natural of peasants.’ Improved behavior and morality would be attributed to the effects of schooling.”

Mann (1844, 22): “If Prussia can pervert the benign influence of education to the support of arbitrary power, we surely can employ them for the support and perpetuation of republican institutions… If a moral power over the understandings and affections of the people may be turned to evil, may it not also be employed for good?”

Alexander (1919, v): “A careful study of the Prussian school system will convince any unbiased reader that the Prussian citizen cannot be free to do and act for himself; that the Prussian is to a large measure enslaved through the medium of his school; that his learning, instead of making him his own master, forges the chain by which he is held in servitude; that the whole scheme of Prussian elementary education is shaped with the express purpose of making ninety-five out of every hundred citizens subservient to the ruling house and to the state.”

In a later chapter that focuses on the curriculum and teaching methods, Alexander refers to the influential ideas of Johann Friedrich Herbart, a German philosopher, psychologist and educator, author of The Moral or Ethical Revelation of the World: The Chief Aim of Education (1804), and Prussian commissioner of education. Alexander (1919, 258) writes that “With Herbart and his followers, the aim and end of instruction was the formation of moral and religious character. It was not Herbart’s intention merely to furnish the child with a definite number of concepts by the form and content of the instruction and subject matter, but rather to shape thereby the will and directly to affect the moral nature and attitude of the child.”

In the conclusion, Alexander (1919, 540) writes: “Chief among the avowed aims of the Volksschule is the formation of moral and religious character. There is no doubt that the reason religion is made one of the chief subjects of instruction in the elementary schools is to teach the lesson of obedience to authority which is the basis of the German state.” And continues, “There are then leaders and followers. The leaders think and do; the followers merely do. The schools are organized for the express purpose of producing just these types . . . They educate the individual for the state; we [Americans] make the state for the individual. The lesson to learn here is this. The German sets definitely his national aims. Those in authority shape every resource to reach that goal. The schools were molded to meet the needs of the state.” (Alexander 1919, 538-39).

Full citations:

Alexander, Thomas. 1919. The Prussian elementary schools. New York: The Macmillan company.

Grew, Raymond, and Patrick J. Harrigan. 1991. School, state, and society: the growth of elementary schooling in nineteenth-century France: a quantitative analysis. Ann Arbor: University of Michigan Press.

Guizot, Francois. 1860. Memoires pour servir a l'histoire de mon temps, T.3. Paris: Michel Levy freres.

Mann, Horace. 1844. Seventh Annual Report on the Board of Education. Boston.

Weber, Eugen. 1976. Peasants into Frenchmen: The Modernization of Rural France, 1870-1914. Stanford, California: Stanford University Press.

<br>

Analytic note:

In Argentina, the historian Juan Carlos Tedesco writes that the goal of primary schooling was, first and foremost, to disseminate certain moral principles that would help promote social order. He cites Sarmiento’s ideas on schooling. Domingo Sarmiento was the politician who most advocated for the creation of a national primary school system throughout the nineteenth century; today, he is regarded as the father of primary education. He was governor of San Juan (1862-1864), Minister of the Interior (1879), Minister of Foreign Affairs and Worship (1879), President (1868-1874), founder of the first state-run Normal School to train primary school teachers, and Superintendent General of Schools during the presidency of Julio Roca, when the 1884 Law of Primary Schooling (the first national law of its kind) was passed (Pigna 2009). Throughout Popular Education, published in 1849, Sarmiento argues that the state must provide primary education to the masses, and that this education must focus primarily on their moral education to get rid of their violent predispositions and criminal behavior.

In Chile, the conservative president Manuel Montt, in his inaugural speech to Congress in 1859, demanded greater effort by the central government to control primary schools as a means to correct the bad manners of the population which, he thought, would help promote social order (Montt 1859, 10).

Translated source excerpts:

Sarmiento [1849] (2011): “The masses are less inclined to respect lives and property when their reasoning capabilities and moral sentiments are not cultivated. For selfish motives, thus, of those who today have greater advantages within society, there must be an effort to temper that existing instinct to destroy.” (Sarmiento 1849, 48). “According to statistical tables published annually by the [French] Ministry of Justice, out of 10,000 individuals accused of committing a crime … 5,641 are completely illiterate. Now, out of 10,000 inhabitants, 4,960 are completely illiterate. … This fact proves that education moralizes the population, as there are relatively more people accused of committing a crime among the illiterate than among those who have received some instruction” (p. 55).

Tedesco (1986, 64): “First and foremost, the diffusion of schooling [in Argentina] was linked to the accomplishment of internal political stability. This is easy to understand if we think about the theories in vogue at the time about the moralizing role of schooling. … It was believed that education, to the degree that it massively diffused certain principles, would effectively contribute to the goal of eliminating pockets of resistance to the central government that remained especially outside Buenos Aires.”

Montt (1859, 10): “A big part of the evils that affect the public order are rooted in ignorance. Extirpating it through a system of common schools that enlightens the masses, corrects their bad habits manners and develops good manners is the most urgent task you can embark on.”

Original source excerpts (in Spanish):

Sarmiento [1849] (2011, 48): “Las masas están menos dispuestas al respeto de las vidas y de las propiedades a medida que su razón y sus sentimientos morales están menos cultivados. Por egoísmo, pues, de los que gozan hoy de mayores ventajas en la asociación debe tratarse cuanto antes de embotar aquel instinto de destrucción.”

Sarmiento [1845] (1964, 55): “Según los cuadros estadísticos publicados anualmente por el ministro de Justicia, sobre 10.000 acusados cuyo grado de instrucción ha sido comprobado, se encuentran 4.359 solamente que saben al menos leer, y 5.641 que son completamente iletrados. Ahora sobre 10.000 habitantes, se encuentran 5.040 que saben leer, y 4.960 completamente iletrados. Hay pues una diferencia de 681, que corresponde a 16% en favor de la parte de población que ha recibido alguna instrucción. En efecto, el número de los que han frecuentado las escuelas se eleva sobre un término medio de 10.000 habitantes a 5.040, mientras que no hay en término medio más que 4.359 entre 10.000 acusados. Este primer hecho prueba que la instrucción moraliza las poblaciones, puesto que hay relativamente más acusados entre la gente iletrada que entre los que han recibido alguna instrucción.”

Tedesco (1986, 64): “En primer lugar, la difusión de la enseñanza estaba ligada al logro de la estabilidad política interna. Esto se comprende fácilmente si se piensa en las teorías en boga en la época acerca del papel moralizador de la enseñanza. “Un pueblo ignorante siempre votará a Rosas,” había sintetizado Sarmiento y, efectivamente, se pensaba que la educación, en la medida que difundiera masivamente ciertos principios, contribuiría con eficacia en la tarea de eliminar los focos de resistencia al gobierno central que permanecían, especialmente, en el interior del país.”

Montt (1859, 10): “Los progresos en la instrucción primaria son más notables. Las escuelas de mejoran en su réjimen i en sus métodos de enseñanza; se estienden las nociones que se dan a los jóvenes i el aprovechamiento es mas pronto i mas seguro. Estos resultados no satisfacen sin embargo las necesidades siempre crecientes en esta materia. La instrucción no puede estar convenientemente difundida i sistemada mientras la lei no haga concurrir a esta obra al Estado con su inspección superior, a las Municipalidades con su dirección inmediata i a los particulares con la parte que en ella deben tomar, i a todos respectivamente con la erogación de fondos que le constituyan una renta especial i permanente. Ninguna materia mas digna de vuestras meditaciones. Gran parte de los males que aquejan a las sociedad i que afectan al órden público, o influyen en la desgracia de los individuos i de las familias, tienen su raíz principal en la ignorancia. Estirparla mediante un buen sistema de educación común que ilustre a las masas, corrija sus malos hábitos i les forme buenas costumbres es la obra mas urjentemente reclamada que podes emprender.”

Full citations:

Montt, Manuel. 1859. “Discurso del Presidente de la Republica en la Apertura del Congreso Nacional de 1859.” In Chile, Documentos Parlamentarios. Discursos de Apertura en las Sesiones del Congreso i Memorias Ministeriales Correspondientes al Segundo Quinquenio de la Administración Montt. Santiago de Chile: Imprenta del Ferrocarril.

Pigna, Felipe. 2009. “Sarmiento entre su civilización y su barbarie”, 265-290. In Los Mitos de la Historia Argentina, vol. 2, written by Felipe Pigna. Buenos Aires: Planeta.

Sarmiento, Domingo F. (1849) 2011. Educacion Popular. La Plata: UNIPE: Editorial Universitaria.

Tedesco, Juan Carlos. 1986. Educacion y sociedad en la Argentina: (1880-1945). Buenos Aires: Ediciones Solar.

<br>

Analytic note: The phrase comes from the education reformer Johann Felbiger, who advised Frederick II on the design of the Prussian system of compulsory primary education. Felbiger argued that the main goal of the primary school curriculum should be to foster “loyalty, obedience, and devotion to the King” (cited in Melton 2002, 186). Orestes Brownson, a radical Democrat leader who in the 1830s was against the Massachusetts Board of Education’s efforts to increase the centralization of schools, criticized the Board for following the Prussian model, arguing that Prussian schools sough to teach the youth “duty to their lord the king” and “to implant despotism in the intellect and heart.” The historian Barkin (1983, 32) notes that historians agree that Prussian education was primarily conceived by autocrats as a mechanism of social control and indoctrination, but argues that, in practice, schools sometimes failed to accomplish autocrats’ goal.

Source excerpts:

Melton (2002, 1856-6): “Felbiger no doubt endeared himself to Frederick and Schlabrendorff by stressing the importance of civil education. Schoolmasters needed to inculcate in their pupils not only a sense of their spiritual duties, but also secular obligations like ‘loyalty, obedience, and devotion to the king.’ Indicative of Feliber’s stress on loyalty and obedience was his 1768 manual for Catholic schoolmasters, which prescribed that pupils memorize the following catechism: … ‘Because all who exercise authority are ordained by God, subjects must be submissive, loyal, and obedient, even to a ruler not of our religion. … To resist authority is to rebel again the divine order.’”

Barkin (1983): “Current scholarship on Prussian education stresses compulsory schooling as a mechanism of social control to indoctrinate children in religion and political submissiveness” (p. 32); however, “the everyday reality of the schools was not necessarily in accord with the wishes of Prussia’s authoritarian leaders” (p. 35).

Brownson (1839, 390): “What, then, does Frederic William allow his dear subjects to be taught? First and foremost, the catechisms of the two established churches, . . . the Lutheran church to the children of Lutherans, and . . . the Catholic church to the children of Catholics. Then they are taught the private and domestic virtues, and their duty to their lord the king. . . The whole system of Prussian education, which is well adapted, in many respects, to form the Prussian youth to the love and practice of the several duties of private and domestic life, is mainly designed to implant despotism in the intellect and the heart, to forestall the craving of freedom, and to make man, born to be free, to stand up a man amongst men in the image of his Maker, contented to be a slave, and a supporter of Absolutism on principle.”

Full citations:

Barkin, Kenneth. 1983. “Social Control and the Volksschule in Vormärz Prussia." Central European History 16(1): 31-52.

Brownson, Orestes Augustus. 1839. The Boston Quarterly Review 1838-1842: 390. Boston: Benjamin H. Greene.

Melton, James. 1988. Absolutism and the eighteenth-century origins of compulsory schooling in Prussia and Austria. Cambridge, UK: Cambridge University Press.

<br>

Analytic note: Reisner (1922) and Weber (1976) emphasize French primary schools’ goal to teach children to willingly pay taxes and fight for their country. The development of a strong “French” national identity, they argue, played a key role in convincing future citizens to willingly accept these as their duties.

Source excerpts:

Reisner (1922, 86-87), based on an examination of textbooks commonly used in French primary schools, concludes that “the instruction inevitably leads to an emphasis on the duties of the citizen to his nation. The pupil is never allowed to forget that he is a Frenchman caught up in the net of a competitive national organization which necessarily and in justice makes heavy demands upon his time and his pocketbook and which may, in the last resource, ask him to sacrifice his life for this country. The type of patriotism varies in the various books, but in those which have had the largest popularity as indicated by sales, it is of a warm emotional nature that aims directly at maintaining national feeling at a high pitch. It is very evidently the purpose of this instruction to cause the French boys and girls to realize the necessity for a large and efficient army and navy, for the upkeep of which they must pay taxes, and to make them willing to bear their share of the national burden because they prize their institutions, the language and their traditions—which can be protected only by military force.”

On the goals of primary schools in France, Weber (1976, 332) writes that school “had to teach children national and patriotic sentiments, explain what the state did for them and why it exacted taxes and military service, and show them their true interest in the fatherland. It seems that there was a great deal to do. The theme remained a constant preoccupation of eminent educators.”

Full citations:

Reisner, E. Hartman. 1922. Nationalism and education since 1789: a social and political history of modern education. New York: The Macmillan Company.

Weber, Eugen. 1976. Peasants into Frenchmen: The Modernization of Rural France, 1870-1914. Stanford, California: Stanford University Press.

<br>

Analytic note:

The French Minister of Education François Guizot, who drafted the 1833 Law of Primary Schooling, emphasized the need for schools to develop individual respect for the rule of law. In Prussia, Johann Felbiger, an education reformer and politician who played a key role in the design of Prussia’s compulsory primary school regulations under Frederick II, also argued that the most important task of schools was to convince students to follow rules.

Source excerpts:

Guizot (1860, 86, emphasis mine): “The attachment of the citizens to the fundamental laws of the state and to the sovereign who is its leader, is the . . . surest safeguard of society, . . . it is the duty as well as the interest of the government to favor and direct its development. . . . When men have learned from childhood to understand the fundamental laws of the country and to respect its sovereign, the sovereign and the laws become a kind of property which is dear to them, and they do not refuse the obligations that it imposes upon them: when the government has taken care to propagate, in favor of national education, . . . the doctrines which suit his nature and his direction, these doctrines soon acquire a power against . . . all seditious attempts. Thus the public mind is formed, thus a true patriotism is maintained, thus fortifying and consolidating societies and thrones.”

Felbiger (cited in Melton (2002, 187): “Human beings are by nature moved by kindness and reason rather than force. Despotic methods will not induce pupils to obey. They must be convinced that it is useful and correct to follow the schoolmaster’s wishes. Only then will they learn to obey even in situations where force is absent. In this way, the schoolmaster accomplishes his most important task: his pupils will observe their duties not only in school, but throughout their lives.”

Full citations:

Guizot, François. 1860. Memoires pour servir a l'histoire de mon temps, T.3. Paris: Michel Levy freres.

Melton, James. 1988. Absolutism and the eighteenth-century origins of compulsory schooling in Prussia and Austria. Cambridge, UK: Cambridge University Press.

<br>

Analytic note: In 1763, Frederick II, king of Prussia, signed the General Land-Schul-Reglement of 1763 which, among other things, established compulsory attendance of primary schools for children living in rural areas.

Excerpt:

“General Land-Schul-Reglement. Hecker worked out a school law for the regulation of the country and village schools. It was the first and last law which Prussia has had that touches all sides of the question. It appeared in 1763. We have not space to give the law in its entirety, but we recommend it to those interested, because it points out very clearly the direction which the German elementary school was to take and which it has taken. The topics touched upon by the law were compulsory attendance, school year, school day, school fees, discipline, teachers, course of study, methods, and school supervision and administration. By the new law the principle of compulsory attendance was reasserted, the country schools were taken from under the care of the nobility and put under the protection and supervision of the state; the supervision of the schools was to be exercised as before by the clergy, but in behalf of the state; the whole procedure of instruction was regulated by law, school hours, curricula, and schedules; textbooks had to be approved by the authorities thereafter.” (Alexander 1919, 14).

Full citation:

Alexander, Thomas. 1919. The Prussian elementary schools. New York: The Macmillan company.

<br>

Analytic note: In 1763, Frederick II, king of Prussia, signed the General Land-Schul-Reglement of 1763 which, among other things, established compulsory attendance of primary schools for children living in rural areas.

Excerpt:

“General Land-Schul-Reglement. Hecker worked out a school law for the regulation of the country and village schools. It was the first and last law which Prussia has had that touches all sides of the question. It appeared in 1763. We have not space to give the law in its entirety, but we recommend it to those interested, because it points out very clearly the direction which the German elementary school was to take and which it has taken. The topics touched upon by the law were compulsory attendance, school year, school day, school fees, discipline, teachers, course of study, methods, and school supervision and administration. By the new law the principle of compulsory attendance was reasserted, the country schools were taken from under the care of the nobility and put under the protection and supervision of the state; the supervision of the schools was to be exercised as before by the clergy, but in behalf of the state; the whole procedure of instruction was regulated by law, school hours, curricula, and schedules; textbooks had to be approved by the authorities thereafter.” (Alexander 1919, 14).

Full citation:

Alexander, Thomas. 1919. The Prussian elementary schools. New York: The Macmillan company.

<br>

Analytic note: Reisner (1922) and Weber (1976) emphasize French primary schools’ goal to teach children to willingly pay taxes and fight for their country. The development of a strong “French” national identity, they argue, played a key role in convincing future citizens to willingly accept these as their duties.

Source excerpts:

Reisner (1922, 86-87), based on an examination of textbooks commonly used in French primary schools, concludes that “the instruction inevitably leads to an emphasis on the duties of the citizen to his nation. The pupil is never allowed to forget that he is a Frenchman caught up in the net of a competitive national organization which necessarily and in justice makes heavy demands upon his time and his pocketbook and which may, in the last resource, ask him to sacrifice his life for this country. The type of patriotism varies in the various books, but in those which have had the largest popularity as indicated by sales, it is of a warm emotional nature that aims directly at maintaining national feeling at a high pitch. It is very evidently the purpose of this instruction to cause the French boys and girls to realize the necessity for a large and efficient army and navy, for the upkeep of which they must pay taxes, and to make them willing to bear their share of the national burden because they prize their institutions, the language and their traditions—which can be protected only by military force.”

On the goals of primary schools in France, Weber (1976, 332) writes that school “had to teach children national and patriotic sentiments, explain what the state did for them and why it exacted taxes and military service, and show them their true interest in the fatherland. It seems that there was a great deal to do. The theme remained a constant preoccupation of eminent educators.”

Full citations:

Reisner, E. Hartman. 1922. Nationalism and education since 1789: a social and political history of modern education. New York: The Macmillan Company.

Weber, Eugen. 1976. Peasants into Frenchmen: The Modernization of Rural France, 1870-1914. Stanford, California: Stanford University Press.

<br>

Analytic notes:

The primacy of moral education in the design of the French primary school system is evidenced in the writings of Francois Guizot, the French Minister of Education who during the July Monarchy drafted the 1833 Loi that established, for the first time, a centrally-controlled system of primary schools, with a centralized curriculum and primary school teachers trained and recruited according to central government directives. The centrality of moral education as a motivation to centralize the control and expand the provision of primary schooling in France is also discussed by Weber (1976). The 1833 Loi is especially important because it was followed by the fastest expansion of primary schooling observed in French history (Grew and Harrigan 1991).

That the Prussian primary school system focused mainly on moral and religious education was perceived to be true among those who admired and those who criticized Prussian schools. Among the admirers was Horace Mann, a U.S. education reformer who played a key role in the development of a system of common schools in Massachusetts during the 1830s and 40s. Mann devoted two of the twelve Annual Reports he wrote as Secretary of the Massachusetts Board of Education entirely to the importance of moral education. He highlighted Prussia as an example of an education system that shapes moral values. The Prussian emphasis on moral and religious education noticed by Mann continued to prevail at the beginning of the 20th century according to Thomas Alexander, a professor at the George Peabody College of Teachers who spent between 1912 and 1913 studying Prussian schools directly as the basis for his book The Prussian Elementary Schools, published in 1919.

Source excerpts:

In an essay discussing the perceived benefits of the 1833 Loi, Guizot (1860) writes: “The state must provide primary education to all families and give it to those who cannot afford it; and in this he does more for the moral life of peoples than he can do for their material condition. This is the true principle on this point, and it was the one adopted by my bill.” (p. 63-64) “Primary education is not a panacea which cures all the moral maladies of the people . . . ; it is a salutary or harmful power according to whether it is well or badly directed and contained within its limits or pushed out of its mission. . . . The law of June 28, 1833, has received various modifications . . .; but all its principles, all its essential dispositions, have remained upright and in force. Founded by this law, primary education is now, among us, a public institution and an acquired fact. There remains, surely, much to be done for the good government of the schools, to make it dominant in their bosom the influences of religion and order, of faith and law, which make both the dignity and the safety of a people.” (p.86)

And continues: “If it is true that the attachment of the citizens to the fundamental laws of the state and to the sovereign who is its leader, is the most energetic power and surest safeguard of society, if it is true that there where this feeling has existed, it has produced miracles, and that its absence has brought about the greatest evils, it is the duty as well as the interest of the government to favor and direct its development. But this feeling can only arise from the concordance of public doctrines and national habits with political institutions, the nature and principles of government. . . . When men have learned from childhood to understand the fundamental laws of the country and to respect its sovereign, the sovereign and the laws become a kind of property which is dear to them, and they do not refuse the obligations that it imposes upon them: when the government has taken care to propagate, in favor of national education, in the relations of religion, morality, politics, etc., the doctrines which suit his nature and his direction, these doctrines soon acquire a power against which come the failures of liberty of mind and all seditious attempts. Thus the public mind is formed, thus a true patriotism is maintained, thus fortifying and consolidating societies and thrones.” (Guizot 1860, 86).

Weber (1976, 329): “Official reports coupled poor education with rude, brutal ways. Where schooling did not take hold, ‘ways are coarse, characters are violent, excitable, and hotheaded, troubles and brawls are frequent.’ The school was supposed to improve manners and customs, and soothe the savage breast. The polite forms it inculcated ‘softened the savagery and harshness natural of peasants.’ Improved behavior and morality would be attributed to the effects of schooling.”

Mann (1844, 22): “If Prussia can pervert the benign influence of education to the support of arbitrary power, we surely can employ them for the support and perpetuation of republican institutions… If a moral power over the understandings and affections of the people may be turned to evil, may it not also be employed for good?”

Alexander (1919, v): “A careful study of the Prussian school system will convince any unbiased reader that the Prussian citizen cannot be free to do and act for himself; that the Prussian is to a large measure enslaved through the medium of his school; that his learning, instead of making him his own master, forges the chain by which he is held in servitude; that the whole scheme of Prussian elementary education is shaped with the express purpose of making ninety-five out of every hundred citizens subservient to the ruling house and to the state.”

In a later chapter that focuses on the curriculum and teaching methods, Alexander refers to the influential ideas of Johann Friedrich Herbart, a German philosopher, psychologist and educator, author of The Moral or Ethical Revelation of the World: The Chief Aim of Education (1804), and Prussian commissioner of education. Alexander (1919, 258) writes that “With Herbart and his followers, the aim and end of instruction was the formation of moral and religious character. It was not Herbart’s intention merely to furnish the child with a definite number of concepts by the form and content of the instruction and subject matter, but rather to shape thereby the will and directly to affect the moral nature and attitude of the child.”

In the conclusion, Alexander (1919, 540) writes: “Chief among the avowed aims of the Volksschule is the formation of moral and religious character. There is no doubt that the reason religion is made one of the chief subjects of instruction in the elementary schools is to teach the lesson of obedience to authority which is the basis of the German state.” And continues, “There are then leaders and followers. The leaders think and do; the followers merely do. The schools are organized for the express purpose of producing just these types . . . They educate the individual for the state; we [Americans] make the state for the individual. The lesson to learn here is this. The German sets definitely his national aims. Those in authority shape every resource to reach that goal. The schools were molded to meet the needs of the state.” (Alexander 1919, 538-39).

Full citations:

Alexander, Thomas. 1919. The Prussian elementary schools. New York: The Macmillan company.

Grew, Raymond, and Patrick J. Harrigan. 1991. School, state, and society: the growth of elementary schooling in nineteenth-century France: a quantitative analysis. Ann Arbor: University of Michigan Press.

Guizot, Francois. 1860. Memoires pour servir a l'histoire de mon temps, T.3. Paris: Michel Levy freres.

Mann, Horace. 1844. Seventh Annual Report on the Board of Education. Boston.

Weber, Eugen. 1976. Peasants into Frenchmen: The Modernization of Rural France, 1870-1914. Stanford, California: Stanford University Press.

<br>

Analytic note: Squicciarini and Voigtlander (2016) provide quantitative evidence suggesting that the demand for schooling among the lower classes was low, and that elites’ interest in the provision of primary schooling for the masses was unrelated to their interest in promoting industrialization. Squicciarini and Voigtlander (2015) argue that the expansion of literacy to the masses, or what they term “average human capital,” did not contribute to the period of French industrialization from 1750 to 1850; it was scientific knowledge, acquired by a few at the university level, that did.

Source excerpts:

Squicciarini and Voigtlander (2016): “We document that demand for modernization [and national education] was small among the lower social classes” in pre-revolutionary France and “the local density of knowledge elites [upper-tail human capital] . . . predicts the expansion of schooling in the post-revolutionary period” (p. 10). “Our findings make it unlikely that the presence of knowledge elites had an indirect effect on schooling by raising the skills premium and thereby incentivizing workers to obtain education, or by incentivizing industrialists to augment the supply of schooling” (p. 25).

Squicciarini and Voigtlander (2015, 1825): “While human capital is a strong predictor of economic development today, its importance for the Industrial Revolution has typically been assessed as minor. To resolve this puzzling contrast, we differentiate average human capital (literacy) from upper-tail knowledge. As a proxy for the historical presence of knowledge elites, we use city-level subscriptions to the famous Encyclopédie in mid-18th century France. We show that subscriber density is a strong predictor of city growth after the onset of French industrialization. Alternative measures of development such as soldier height, disposable income, and industrial activity confirm this pattern. Initial literacy levels, on the other hand, are associated with development in the cross-section, but they do not predict growth. Finally, by joining data on British patents with a large French firm survey from the 1840s, we shed light on the mechanism: upper-tail knowledge raised productivity in innovative industrial technology.”

Full citations:

Squicciarini, M.P. and Voigtländer, N. 2015. “Human capital and industrialization: Evidence from the age of enlightenment.” The Quarterly Journal of Economics 130(4): 1825-1883.

Squicciarini, M.P. and Voigtländer, N. 2016. “Knowledge Elites and Modernization: Evidence from Revolutionary France.” Working Paper.

<br>

Analytic note: The Primary Education Act of 1833 (Loi sur l’instruction primaire du 28 juin 1833), known as the Guizot Law (Loi Guizot), is named after Francois Guizot, the Minister of Public Instruction at the time. It establishes the purposes of primary education, organizes its provision, stipulates what will be taught, who can become a teacher, and who will supervise schools on behalf of the state.

Full citation:

France. Loi sur l’instruction primaire – Loi Guizot du 28 juin 1833: https://www.education.gouv.fr/cid101161/loi-sur-l-instruction-primaire-loi-guizot-du-28-juin-1833.html&xtmc=rapport&xtnp=7&xtcr=125

<br>

Analytic note:

The French Minister of Education François Guizot, who drafted the 1833 Law of Primary Schooling, emphasized the need for schools to develop individual respect for the rule of law. In Prussia, Johann Felbiger, an education reformer and politician who played a key role in the design of Prussia’s compulsory primary school regulations under Frederick II, also argued that the most important task of schools was to convince students to follow rules.

Source excerpts:

Guizot (1860, 86, emphasis mine): “The attachment of the citizens to the fundamental laws of the state and to the sovereign who is its leader, is the . . . surest safeguard of society, . . . it is the duty as well as the interest of the government to favor and direct its development. . . . When men have learned from childhood to understand the fundamental laws of the country and to respect its sovereign, the sovereign and the laws become a kind of property which is dear to them, and they do not refuse the obligations that it imposes upon them: when the government has taken care to propagate, in favor of national education, . . . the doctrines which suit his nature and his direction, these doctrines soon acquire a power against . . . all seditious attempts. Thus the public mind is formed, thus a true patriotism is maintained, thus fortifying and consolidating societies and thrones.”

Felbiger (cited in Melton (2002, 187): “Human beings are by nature moved by kindness and reason rather than force. Despotic methods will not induce pupils to obey. They must be convinced that it is useful and correct to follow the schoolmaster’s wishes. Only then will they learn to obey even in situations where force is absent. In this way, the schoolmaster accomplishes his most important task: his pupils will observe their duties not only in school, but throughout their lives.”

Full citations:

Guizot, François. 1860. Memoires pour servir a l'histoire de mon temps, T.3. Paris: Michel Levy freres.

Melton, James. 1988. Absolutism and the eighteenth-century origins of compulsory schooling in Prussia and Austria. Cambridge, UK: Cambridge University Press.

<br>

Analytic note: The phrase comes from the education reformer Johann Felbiger, who advised Frederick II on the design of the Prussian system of compulsory primary education. Felbiger argued that the main goal of the primary school curriculum should be to foster “loyalty, obedience, and devotion to the King” (cited in Melton 2002, 186). Orestes Brownson, a radical Democrat leader who in the 1830s was against the Massachusetts Board of Education’s efforts to increase the centralization of schools, criticized the Board for following the Prussian model, arguing that Prussian schools sough to teach the youth “duty to their lord the king” and “to implant despotism in the intellect and heart.” The historian Barkin (1983, 32) notes that historians agree that Prussian education was primarily conceived by autocrats as a mechanism of social control and indoctrination, but argues that, in practice, schools sometimes failed to accomplish autocrats’ goal.

Source excerpts:

Melton (2002, 1856-6): “Felbiger no doubt endeared himself to Frederick and Schlabrendorff by stressing the importance of civil education. Schoolmasters needed to inculcate in their pupils not only a sense of their spiritual duties, but also secular obligations like ‘loyalty, obedience, and devotion to the king.’ Indicative of Feliber’s stress on loyalty and obedience was his 1768 manual for Catholic schoolmasters, which prescribed that pupils memorize the following catechism: … ‘Because all who exercise authority are ordained by God, subjects must be submissive, loyal, and obedient, even to a ruler not of our religion. … To resist authority is to rebel again the divine order.’”

Barkin (1983): “Current scholarship on Prussian education stresses compulsory schooling as a mechanism of social control to indoctrinate children in religion and political submissiveness” (p. 32); however, “the everyday reality of the schools was not necessarily in accord with the wishes of Prussia’s authoritarian leaders” (p. 35).

Brownson (1839, 390): “What, then, does Frederic William allow his dear subjects to be taught? First and foremost, the catechisms of the two established churches, . . . the Lutheran church to the children of Lutherans, and . . . the Catholic church to the children of Catholics. Then they are taught the private and domestic virtues, and their duty to their lord the king. . . The whole system of Prussian education, which is well adapted, in many respects, to form the Prussian youth to the love and practice of the several duties of private and domestic life, is mainly designed to implant despotism in the intellect and the heart, to forestall the craving of freedom, and to make man, born to be free, to stand up a man amongst men in the image of his Maker, contented to be a slave, and a supporter of Absolutism on principle.”

Full citations:

Barkin, Kenneth. 1983. “Social Control and the Volksschule in Vormärz Prussia." Central European History 16(1): 31-52.

Brownson, Orestes Augustus. 1839. The Boston Quarterly Review 1838-1842: 390. Boston: Benjamin H. Greene.

Melton, James. 1988. Absolutism and the eighteenth-century origins of compulsory schooling in Prussia and Austria. Cambridge, UK: Cambridge University Press.

<br>

Analytic note: For example, Frederick William III, king of Prussia from 1797 to 1840, while supportive of the provision of primary education for the masses, also warned that primary education must not “educate [the individual] beyond the bounds of [his] social class and vocation … and awaken in him pretensions and needs which his lot in life does not allow him to satisfy” Frederick William III (cited in Reisner 1922, 143-144).

Source excerpt:

Frederick William III (cited in Reisner 1922, 143-144): “It must be granted that popular education is the foundation upon which the welfare of the people must rest. . . . Therefore I have . . . supported it as far as the economic condition of the state allowed . . . I have also had satisfaction in hearing the comparison made between my own land, in which the great majority of the children receive instruction, and other lands of Europe in which no schools whatsoever exist. But just where the educational conditions are most advanced, all kinds of doubts and forebodings force themselves upon me. May one ask himself regarding population education whether or not it has its limits? If it has no bounds, then we are not justified in interfering with, hindering, or restricting its development . . . That, however, I cannot approve without reservations. . . . We do not confer upon the individual or upon society any benefit when we educate him beyond the bounds of this social class and vocation, given him a cultivation which he cannot make use of, and awaken in him pretensions and needs which his lot in life does not allow him to satisfy.”

Reisner (1922, 144): “The old King wished to see his common people happy, but he could not see how they could be happy or the state prosperous unless they remained common people and accepted their position of social inferiority to which their birth had called them.”

Full citation:

Reisner, E. Hartman. 1922. Nationalism and education since 1789: a social and political history of modern education. New York: The Macmillan Company.

<br>

Analytic note: Frederick II warned that if children learned too much, they would “rush off to the cities and want to become secretaries or clerks, etc”, which was against the King’s wishes. He told his Minister of Education “they must be taught in such a way that they will not run away from the villages but remain there contentedly.”

Source excerpt:

“Frederick the Great, as many of his successors, adopted the policy that it was unwise to educate the lower classes too well, for he felt that it tended to make them dissatisfied with existing conditions. In a letter to Minister von Zedlitz in 1779, he wrote as follows:

‘It is well that the teachers in the countryside instruct the young in religion and morals, and they must not depart from this practice, in order that they may remain content with their religion and not become Catholics. . . Therefore, the teachers must take pains that the people retain their attachment for religion, and educate them far enough that they neither steal nor murder. . . . It is sufficient in the flat country (northern Germany), if the people can read and write a little; for if they know too much, they rush off to the cities and want to become secretaries or clerks, etc. For this reason, we must so arrange the instruction of the youth in the flat country that they learn that which is most necessary for their knowledge, yet they must be taught in such a way that they will not run away from the villages but remain there contentedly. . . . FREDERICK.’ ” (Alexander 1919, 18).

Full citation:

Alexander, Thomas. 1919. The Prussian elementary schools. New York: The Macmillan company.

<br>

Analytic note: An article from the People’s Daily in 1958 links the eradication of illiteracy to the strategic goal of promoting productivity and technical revolution. In 1959, Lu Ting-Yi, who occupied key positions such as Minister of Propaganda and Vice-Premier of the State Council of China, published an article in the Red Flag arguing that “education must be combined with productive labor.” Another article in the People’s Daily in 1959, by Yang Hsiu-Feng, who occupied key positions in the Ministry of Education, the People’s Supreme Court, and the Culture and Education Office, also emphasized education’s role in promoting labor productivity.

Source excerpts:

People’s Daily (1958): “Eradication of illiteracy is a task of strategic significance. Every revolutionary should exert full efforts to fulfill this task, so as to open the way for development of productivity and technical and cultural revolution.” (cited in US Dept of State 1962, 58).

Lu Ting-Yi (1959): “The chief mistakes in our educational work have been the isolation of education from productive labor. . . Education must serve politics, must be combined with productive labor and must be led by the Party—these three things are interrelated.” (“Education Must Be Combined with Productive Labor,” published in Red Flag, cited in US Dept of State 1962, 58).

Yang Hsiu-Feng (1959): “Schools at all levels must list productive labor as a regular subject in their academic plans, and all students must participate in productive labor at the specific time” (People’s Daily, cited in US Dept of State 1962, 59).

Full citation:

United States. Department of State. Bureau of Intelligence and Research. 1962. Chinese Communist world outlook: a handbook of Chinese Communist statements, the public record of a militant ideology. Washington: U. S. Government Print Office.

<br>

Analytic note:

In Argentina, the historian Juan Carlos Tedesco writes that the goal of primary schooling was, first and foremost, to disseminate certain moral principles that would help promote social order. He cites Sarmiento’s ideas on schooling. Domingo Sarmiento was the politician who most advocated for the creation of a national primary school system throughout the nineteenth century; today, he is regarded as the father of primary education. He was governor of San Juan (1862-1864), Minister of the Interior (1879), Minister of Foreign Affairs and Worship (1879), President (1868-1874), founder of the first state-run Normal School to train primary school teachers, and Superintendent General of Schools during the presidency of Julio Roca, when the 1884 Law of Primary Schooling (the first national law of its kind) was passed (Pigna 2009). Throughout Popular Education, published in 1849, Sarmiento argues that the state must provide primary education to the masses, and that this education must focus primarily on their moral education to get rid of their violent predispositions and criminal behavior.

In Chile, the conservative president Manuel Montt, in his inaugural speech to Congress in 1859, demanded greater effort by the central government to control primary schools as a means to correct the bad manners of the population which, he thought, would help promote social order (Montt 1859, 10).

Translated source excerpts:

Sarmiento [1849] (2011): “The masses are less inclined to respect lives and property when their reasoning capabilities and moral sentiments are not cultivated. For selfish motives, thus, of those who today have greater advantages within society, there must be an effort to temper that existing instinct to destroy.” (Sarmiento 1849, 48). “According to statistical tables published annually by the [French] Ministry of Justice, out of 10,000 individuals accused of committing a crime … 5,641 are completely illiterate. Now, out of 10,000 inhabitants, 4,960 are completely illiterate. … This fact proves that education moralizes the population, as there are relatively more people accused of committing a crime among the illiterate than among those who have received some instruction” (p. 55).

Tedesco (1986, 64): “First and foremost, the diffusion of schooling [in Argentina] was linked to the accomplishment of internal political stability. This is easy to understand if we think about the theories in vogue at the time about the moralizing role of schooling. … It was believed that education, to the degree that it massively diffused certain principles, would effectively contribute to the goal of eliminating pockets of resistance to the central government that remained especially outside Buenos Aires.”

Montt (1859, 10): “A big part of the evils that affect the public order are rooted in ignorance. Extirpating it through a system of common schools that enlightens the masses, corrects their bad habits manners and develops good manners is the most urgent task you can embark on.”

Original source excerpts (in Spanish):

Sarmiento [1849] (2011, 48): “Las masas están menos dispuestas al respeto de las vidas y de las propiedades a medida que su razón y sus sentimientos morales están menos cultivados. Por egoísmo, pues, de los que gozan hoy de mayores ventajas en la asociación debe tratarse cuanto antes de embotar aquel instinto de destrucción.”

Sarmiento [1845] (1964, 55): “Según los cuadros estadísticos publicados anualmente por el ministro de Justicia, sobre 10.000 acusados cuyo grado de instrucción ha sido comprobado, se encuentran 4.359 solamente que saben al menos leer, y 5.641 que son completamente iletrados. Ahora sobre 10.000 habitantes, se encuentran 5.040 que saben leer, y 4.960 completamente iletrados. Hay pues una diferencia de 681, que corresponde a 16% en favor de la parte de población que ha recibido alguna instrucción. En efecto, el número de los que han frecuentado las escuelas se eleva sobre un término medio de 10.000 habitantes a 5.040, mientras que no hay en término medio más que 4.359 entre 10.000 acusados. Este primer hecho prueba que la instrucción moraliza las poblaciones, puesto que hay relativamente más acusados entre la gente iletrada que entre los que han recibido alguna instrucción.”

Tedesco (1986, 64): “En primer lugar, la difusión de la enseñanza estaba ligada al logro de la estabilidad política interna. Esto se comprende fácilmente si se piensa en las teorías en boga en la época acerca del papel moralizador de la enseñanza. “Un pueblo ignorante siempre votará a Rosas,” había sintetizado Sarmiento y, efectivamente, se pensaba que la educación, en la medida que difundiera masivamente ciertos principios, contribuiría con eficacia en la tarea de eliminar los focos de resistencia al gobierno central que permanecían, especialmente, en el interior del país.”

Montt (1859, 10): “Los progresos en la instrucción primaria son más notables. Las escuelas de mejoran en su réjimen i en sus métodos de enseñanza; se estienden las nociones que se dan a los jóvenes i el aprovechamiento es mas pronto i mas seguro. Estos resultados no satisfacen sin embargo las necesidades siempre crecientes en esta materia. La instrucción no puede estar convenientemente difundida i sistemada mientras la lei no haga concurrir a esta obra al Estado con su inspección superior, a las Municipalidades con su dirección inmediata i a los particulares con la parte que en ella deben tomar, i a todos respectivamente con la erogación de fondos que le constituyan una renta especial i permanente. Ninguna materia mas digna de vuestras meditaciones. Gran parte de los males que aquejan a las sociedad i que afectan al órden público, o influyen en la desgracia de los individuos i de las familias, tienen su raíz principal en la ignorancia. Estirparla mediante un buen sistema de educación común que ilustre a las masas, corrija sus malos hábitos i les forme buenas costumbres es la obra mas urjentemente reclamada que podes emprender.”

Full citations:

Montt, Manuel. 1859. “Discurso del Presidente de la Republica en la Apertura del Congreso Nacional de 1859.” In Chile, Documentos Parlamentarios. Discursos de Apertura en las Sesiones del Congreso i Memorias Ministeriales Correspondientes al Segundo Quinquenio de la Administración Montt. Santiago de Chile: Imprenta del Ferrocarril.

Pigna, Felipe. 2009. “Sarmiento entre su civilización y su barbarie”, 265-290. In Los Mitos de la Historia Argentina, vol. 2, written by Felipe Pigna. Buenos Aires: Planeta.

Sarmiento, Domingo F. (1849) 2011. Educacion Popular. La Plata: UNIPE: Editorial Universitaria.

Tedesco, Juan Carlos. 1986. Educacion y sociedad en la Argentina: (1880-1945). Buenos Aires: Ediciones Solar.

<br>

Analytic note: The first US education mission to the USSR emphasizes that Soviet “education is regarded as one of the chief resources and techniques for achieving social, economic, cultural, and scientific objectives in national interest.” The second mission emphasizes the role of education in state-led industrialization, noting that “curriculum and methods have responded primarily to economic requirements of society.”

Source excerpts:

From the introduction of the Report from the first U.S. education mission to the USSR:

“The one fact that most impressed us in the U.S.S.R. was the extent to which the Nation is committed to education as a means of national advancement. In the organization of a planned society in the Soviet Union, education is regarded as one of the chief resources and techniques for achieving social, economic, cultural, and scientific objectives in national interest. Tremendous responsibilities are therefore placed on Soviet schools, and comprehensive support is provided for them” (U.S. DOE 1959, 1).

“In an interview with us, Mr. Afanasenko, the RSFSR Minister of Education, said: “Each pupil should be useful to the State. We do not want young people who are good for nothing.” . . . The primary function of Soviet schools is, then, to train young citizens for maximum service to the State.” (U.S. DOE 1959, 26).

“From infancy, children are taught that the highest good is to serve the State; school children … are taught to identify all good things with the State; on class excursions and tours of museums, shrines, factories, they are taught the history of the revolution and to honor its heroes, underplaying the pre-revolutionary achievements and emphasizing Soviet progress. What we observed of Soviet education gave us the impression that the entire operation was being carried out on a systematically planned basis to achieve Communist objectives” (U.S. DOE 1959, 3).

From the introduction of the Report from the second U.S. education mission to the USSR:

"These aspects were particularly emphasized by the Soviet educational authorities: the basic formation in mathematics, natural sciences, and polytechnic knowledge related to economic production …. From the moment we stepped into the Soviet jet TU-104 in Copenhagen, … we sensed the technological push that later would be evidenced to us in the educational work going on in the Soviet Union.” (U.S. DOE 1960, xiv). “In the school classroom and workshop, in the machine building plant, in the countryside, and wherever we went, we felt the pulse of the Soviet Government’s drive to educate and train a new generation of technically skilled and scientifically literate citizens.” (U.S. DOE 1960, xv)

“In Russia, public school systems are, historically speaking, a recent phenomenon. … Particularly since 1930, a rather phenomenal growth has occurred in educational facilities in the U.S.S.R., moving steadily in the direction of universal, compulsory general education” (U.S. DOE 1960, 1) . “During this period of rapid growth, curriculum and methods have responded primarily to economic requirements of society” (U.S. DOE 1960, 1-2).

Full citations:

U.S. Department of Health, Education, and Welfare. Office of Education. 1959. Soviet Commitment to Education. Report of the First Official U.S. Education Mission to the USSR. Washington, DC: U.S. Government Printing Office.

U.S. Department of Health, Education, and Welfare. Office of Education. 1960. Soviet Education Programs. Washington, DC: U.S. Government Printing Office.

<br> This is an Annotation for Transparent Inquiry project, published by the Qualitative Data Repository. Please cite as:

Paglayan, Agustina. 2020. "The Non-Democratic Roots of Mass Education: Evidence from 200 Years". Qualitative Data Repository. https://doi.org/10.5064/F6EOZGLB. QDR Main Collection.

Additional documentation can be found on QDR.

Learn more about ATI here.

Analytic note:

In the USSR, The Teachers’ Gazette, which was used by the Soviet regime to communicate to teachers how to conduct their work; an article titled “Communist Education” in published in Bolshevik, and Nigel Grant’s book Soviet Education, all discuss the military goals of education. In China, an article in the People’s Daily discussed the role of education in promoting love for the party, the party leadership, and the regime.

Source excerpts:

The Teachers’ Gazette (1946): “Love of country, and mercilessness to the enemy, stubbornness in the overcoming of difficulties, an iron discipline, and love of oppressed peoples, the spirit of adventure and constant striving . . . Such are the qualities which must be inculcated in the schools . . . Consequently, education in school cannot be divorced from life, divorced from the policy of the Soviet state." (cited in US Dept of State 1954, 134).

Bolshevik (1946): "The object of the entire ideological work is to instill in youth the spirit of fidelity to the idea of Communism, unselfish devotion to the Soviet fatherland and readiness to strengthen its military-economic might by every means, and to defend its freedom and independence. The inculcation in the masses of Soviet ideology implies a struggle against the survivals of capitalism in the consciousness of the people and the formation of a new consciousness and of a new Communist morality." (“Communist Education,” published in Bolshevik, cited in US Dept of State 1954, 140).

Grant (1964, 26): “Not only do the Soviet authorities openly declare the political aims of their educational system, they deny emphatically that it could or should be otherwise. From the Soviet standpoint the basic issue is simple, leaving aside the emotional overtones of words ‘indoctrination’ and ‘propaganda’, which they regard as irrelevant. They take the view that education must function according to the needs of society, and that there is by definition a socialist society moving towards communism, a society which needs to train citizens who will all be able – and willing – to continue the job of social transformation.”

People’s Daily: “At present, the communist moral character of our country's children has been greatly raised. Measures should be taken to step up their communist education. They should be educated to love the party, party leadership, the fatherland, socialism, people's communes, the people, labor, science, and public property. In addition, efforts should be continuously made to rid them of the views and methods of bourgeois children's education, which separates them from the proletariat politics, production and reality.” (“Better Fulfil the Training of Communist Successors,” published in People’s Daily, cited in US Dept of State 1962, 59).

Full citations:

Grant, Nigel. 1964. Soviet Education. Middlesex, England: Penguin Books.

United States. Department of State. Division of Research for USSR and Eastern Europe. 1954. Soviet world outlook: a handbook of communist statements. Washington: U.S. Dept. of State.

United States. Department of State. Bureau of Intelligence and Research. 1962. Chinese Communist world outlook: a handbook of Chinese Communist statements, the public record of a militant ideology. Washington: U. S. Government Print Office.

</a> <br> This is an Annotation for Transparent Inquiry project, published by the Qualitative Data Repository.

<br/>

<font>The Data Overview discusses project context, data generation and analysis, and logic of annotation.</font>

<br/> Please cite as:

Swenson, Geoffrey. 2019. "Data for: Why efforts to promote the rule of law in Afghanistan failed". Qualitative Data Repository. https://doi.org/10.5064/F6TZYR0Y

Learn more about ATI here.

<br>

Analytic Note: This source is an internal government spreadsheet from 2010, containing a record of the number of parliamentary causes in Brazil and their locations. It was printed and given to me by the government bureaucrat who was in charge of the effort to promote parliamentary AIDS caucuses, Noemia Lima.

Data Source: https://doi.org/10.5064/F6SF2T3N/ORR1S5

Full Citation: Lima, Noemia. 2010. Bureaucrat, Department of Civil Society and Human Rights, Department of STD/AIDS, Ministry of Health. Author interview. Brasília, March 19.

<br>

Analytic Note: Here, I am including newspaper articles about the protests that I mention in my descriptive claim.

Data Source (All Sources): https://doi.org/10.5064/F6SF2T3N/TZJWN2

Full Citation (Source 1): Falta de remédio para HIV causa protestos. 2010. Gazeta do Povo, April 29.

Full Citation (Source 2): Brasil: Falta de antirretrovirais gera protestos em sete estados brasileiros. 2010. Agência Lusa, April 28.

Full Citation (Source 3): Falta de remédios contra aids causa protestos. 2010. O Estado de São Paulo, April 28.

Full Citation (Source 4): Leite, Fabiane. Falta de remédios contra aids causa protestos. 2010. O Estado de São Paulo, April 28.

<br>

Analytic Note: I substantiate this claim in the book manuscript but not in this article, due to space constraints, and because the claim is not central to main my argument. Nevertheless, I am including here a document containing notes from my 2011 interview with Rubens Duda, as direct evidence to support the claim. The interview notes are sparse and not particularly clear. However, the interview recording from Minute 20 to Minute 30-something, provides clear and direct evidence in support of my in-text claim. In it, Rubens Duda describes how the national AIDS program helped activists form state-wide AIDS advocacy networks in new states of Brazil. It was an effort led by the AIDS advocacy networks in Rio and São Paulo, and the national AIDS program support the efforts of these activists from Rio and São Paulo with funding and by traveling to different states of Brazil to help advertise and explain the concept of an AIDS advocacy network (referred to as “forums”).

Data Source: https://doi.org/10.5064/F6SF2T3N/MLRJUI

Full Citation: Duda, Rubens. 2011. Bureaucrat, Department of Civil Society and Human Rights, Department of STD/AIDS, Ministry of Health. Author interview. August 24.

<br>

Analytic Note: This document is a national catalog of civil society organizations working with AIDS in 2003. It constitutes an attempt by the national AIDS bureaucracy to collect data on AIDS NGOs in Brazil. I built my own national database of AIDS NGOs in 2003 to use for analysis, and I did it using the data contained within this catalog.

Data Source: https://doi.org/10.5064/F6SF2T3N/SH7G9F

Full Citation: Ministério da Saúde. 2003. Catálogo de organizações da sociedade civil HIV/AIDS 2001/2002. Ministério da Saúde.

<br>

Analytic Note: This document is a national catalog of civil society organizations working with AIDS in 2003. It constitutes an attempt by the national AIDS bureaucracy to collect data on AIDS NGOs in Brazil. I built my own national database of AIDS NGOs in 2003 to use for analysis, and I did it using the data contained within this catalog.

Data Source: https://doi.org/10.5064/F6SF2T3N/SH7G9F

Full Citation: Ministério da Saúde. 2003. Catálogo de organizações da sociedade civil HIV/AIDS 2001/2002. Ministério da Saúde.

<br>

Analytic Note: This document is an unpublished spreadsheet produced by the national AIDS bureaucracy. It contains detailed information about each civil society project financed by the national AIDS bureaucracy in the year 2007. Pages 7-9 contain data on groups that received legal aid “assessoria juridica” project funding. I tallied the total number of recipient organizations and also counted the number of recipient organizations per geographic region.

Data Source: https://doi.org/10.5064/F6SF2T3N/YZKTTN

Full Citation: Ministério da Saúde. National AIDS Program. n.d. List of states’ AIDS activism. Unpublished internal document.

<br>

Data Source: https://doi.org/10.5064/F6SF2T3N/SUWANP

Full Citation: Duda, Rubens. 2010. Bureaucrat, Department of Civil Society and Human Rights, Department of STD/AIDS, Ministry of Health. Author interview. Brasília, March 18.

<br>

Analytic Note: This document is the original set of bylaws of the National Council of Articulation with Social Movements (CASM). The link provided here contains not only the bylaws but also the minutes of every CASM meeting since its inauguration in January 2004.

Data Source: https://doi.org/10.5064/F6SF2T3N/AT1DJQ

Full Citation: National Council of Articulation with Social Movements (CASM). 2004-9. Minutes of meetings.

<br>

Analytic Note: In drawing up Table 1, I used the information in CSHR 2006, the national budget for civil-society funding. Because I am interested in money that national bureaucrats give directly to civil society organizations, I deleted the two line items that entailed targeted transfers to state-level governments (items 1 and 2 on the budget, which I know are funds that are distributed to civil society groups by state-level governments through my numerous interviews and analysis of other government documents). I also relabeled the categories for clarity.

Data Source: https://doi.org/10.5064/F6SF2T3N/GSLM3G

Full Citation: Ministério da Saúde. National AIDS Program. Civil Society and Human Rights sector (CSHR). 2006. Exercício 2006. Unpublished government document. Accessed August 28, 2006.

<br>

Analytic Note: This document is an unpublished budget of national AIDS bureaucracy funding for civil society projects, by type of project, in the year 2006. The first two line items constitute funding that the national AIDS bureaucracy transfers to state-level governments for distribution to civil-society organizations. The rest of the items in the budget constitute direct national funding for civil-society projects. In drawing up Table 1, I used the information in the budget on national direct funding for civil society, and I relabeled the categories for clarity.

Data Source: https://doi.org/10.5064/F6SF2T3N/GSLM3G

Full Citation: Ministério da Saúde. National AIDS Program. Civil Society and Human Rights sector (CSHR). 2006. Exercício 2006. Unpublished government document. Accessed August 28, 2006.

<br>

Analytic Note: The document contains two spreadsheets, which are unpublished documents produced by and for the national AIDS bureaucracy. The first describes the number of civil society projects financed by the national AIDS bureaucracy between 1999 and 2008, by state and by year. The second describes the amount of funding for civil society projects, and the number of projects, funded by the national AIDS bureaucracy between 1999 and 2008, by region and by year.

Data Source: https://doi.org/10.5064/F6SF2T3N/AFTWSS

Full Citation: Ministério da Saúde. n.d. Série histórica dos projectos financiados para OSC 1999–2008. Unpublished government document.

<br>

Data Source: https://doi.org/10.5064/F6SF2T3N/UI2BKC

Full Citation: Kalichman, Artur. 2007. Adjunct Director, State STD/AIDS Program, São Paulo. Quoted from a public address at the seminar Social Control and AIDS in the State of São Paulo.

<br>

Data Source: https://doi.org/10.5064/F6SF2T3N/UI2BKC

Full Citation: Chequer, Pedro. 2007. Quoted from a public address at the seminar Social Control and AIDS in the State of São Paulo. São Paulo, March.

<br>

Data Source: https://doi.org/10.5064/F6F769GQ/TQDT6P

Full Citation: World Bank. (2005). Mexico infrastructure public expenditure review (IPER). Washington DC: World Bank, p. 30.

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Data Source: https://doi.org/10.5064/F6F769GQ/TQDT6P

Full Citation:World Bank. (2005). Mexico infrastructure public expenditure review (IPER). Washington DC: World Bank, p. 31.

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Data Source: https://doi.org/10.5064/F6F769GQ/0E6FFZ

Full Citation: IADB (2010). Determinants of bottled water consumption in Mexico. Executive summary. Inter-American Development Bank: Executive Summary.

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Data Source: https://doi.org/10.5064/F6F769GQ/RZFMU8

Full Citation: CNA (2012). Situación del agua potable, alcantarillado y saneamiento. Comisión Nacional del Agua, p. 32.

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Data Source (Source 1): https://doi.org/10.5064/F6F769GQ/NOM3ZT

Data Source (Source 2): https://doi.org/10.5064/F6F769GQ/OA2K5O

Data Source (Source 3): https://doi.org/10.5064/F6F769GQ/NQDRTK

Data Source (Source 4): https://doi.org/10.5064/F6F769GQ/1P92ZN

Data Source (Source 5): https://doi.org/10.5064/F6F769GQ/PH4NGA

Full Citation (Source 1): Reforma. (2005, October 14). Persiste riesgo en Neza.

Full Citation (Source 2): Universal. (2002a, May 16). Inundan aguas negras varias viviendas de Neza.

Full Citation (Source 3): Universal. (2002b, May 19). Inservible el cárcamo Villada en Neza.

Full Citation (Source 4): Universal. (2003, July 11). Muerte y enfermedad por aguas negras.

Full Citation (Source 5): Universal. (2006b, April 24). Lluvia deja 100 casas inundadas en Neza.

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**Data Source (Source 1): https://doi.org/10.5064/F6F769GQ/8NOZBU

Data Source (Source 2): https://doi.org/10.5064/F6F769GQ/OZZRGM

Data Source (Source 3): https://doi.org/10.5064/F6F769GQ/OGVYPW

Data Source (Source 4): https://doi.org/10.5064/F6F769GQ/KXEJCB

Data Source (Source 5): https://doi.org/10.5064/F6F769GQ/GKIKLJ

Data Source (Source 6): https://doi.org/10.5064/F6F769GQ/ASRLFZ

Full Citation (Source 1): Jornada. (2007, July 12). Hoy se reanudaría suministro de agua en Nezahualcóyotl.

Full Citation (Source 2): Jornada. (2008, March 5). Sin agua, 200 mil habitants de Neza, por ruptura en la red.

Full Citation (Source 3): Jornada. (2010, February 10). Colonos de Nezahualcóyotl protestan por falta de agua.

Full Citation (Source 4): Reforma. (1997a, August 15). Cortarán agua 4 días a 38 colonias de Neza.

Full Citation (Source 5): Reforma. (1998j, June 15). Quedarán sin agua en Neza por deber la luz.

Full Citation (Source 6): Universal. (2006a, March 17). Colonos de Neza dicen tener 15 días sin agua.

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Data Source: https://doi.org/10.5064/F6F769GQ/GTANYP

Full Citation: Jornada. (1997, January 13). Neza: 33 años de olvido y corrupción.

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Data Source: https://doi.org/10.5064/F6F769GQ/4CGZEC

Full Citation: CISA (2007). Municipio de Nezahualcyotl, Estado de Mxico: Diagnstico del subsector agua potable, resumen ejecutivo. CISA Solutions, pp. 24-28.

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Data Source: https://doi.org/10.5064/F6F769GQ/ZXT9XV

Full Citation: GMN (2009). Reseña historica. Gobierno Municipal de Nezahualcóyotl. <a href="https://qdr.syr.edu/discover/browse/QDR:31006"

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Data Source: https://doi.org/10.5064/F6F769GQ/MGT5RW

Full Citation: Universal. (2005, June 13). Señalan abusos por falta de agua en Neza.

Analytic Note: This report is an example of the types of bribes that water utility employees solicit from users to fix their drainage and water systems. Although it is illegal and against official policy at the water utility, the lack of supervision and digitalization of the network allows for rampant abuses. One anonymous source explained that in this water utility, this type of corruption was particularly high and unchecked.

Excerpt: Comento que solicito a personal de ODAPAS que revisaran su tuberia para saber por que no tiene agua desde haec 15 dias y le informaron que se encontraba tapada, por lo que para poder repararla deberia pagar entre 2 y 3 mil pesos, dependiendo del trabajo que se realizara…la misma situacion denuncio Rebeca Martinez de la Calle Cordobanes, quien menciono que pago 300 pesos por la revision de su red domestica.

Translation: [A water user] commented that they had confronted a ODAPAS [water utility employee] about why they had not received running water in 15 days and was informed that the tubes were plugged, and in order to fix the tubes [the user] would have to pay 2 or 3,000mxp, depending on the amount of work required…the same situation occurred with Rebeca Martinez de la Calle Cordobanes who mentioned that she paid $300mxp to have her water pipes fixed.

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Data Source: https://doi.org/10.5064/F6F769GQ/65QOLB

Full Citation: GMT (2012). Press release. Gobierno Municipal de Toluca (March 20).

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Data Source: https://doi.org/10.5064/F6F769GQ/WEVKHC

Full Citation: Milenio. (2009c, March 20). Podría colapsar red hidráulica.

Analytic Note: This source is one of many estimates of the amount of water being lost through pipes in the city. This is a figure that is nearly impossible to know with certainty, but different interview materials and interviewees gave similar responses, anywhere from 45-65% of the water that flows through the piped network is lost in transit due to system disrepair.

Excerpt: Cerca de 75 por ciento de la red hidraulica de Toluca esta en pesimas condiciones pues ha funcionado por mas de 70 anios…Esta situacion ha derivado que hasta el ultimo reporte de 2008, en 47 por ciento de las tuberias haya fugas del liquid.

Translation: Close to 75% of the hydraulic network of Toluca is in terrible conditions since it has been operating for over 70 years. Because of this, 47% of the network has leaks, as reported in the latest 2008 report.

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Data Source: https://doi.org/10.5064/F6F769GQ/CHIM1C

Full Citation: AYS (2008c). Porcentaje de presupuesto para obras respecto al presupuesto general del organismo. Agua y Saneamiento de Toluca.

Analytic Note: This source is a chart documenting the amount of funds for hydraulic construction received by the water utility from 2000-2008. 400% increase in budged was determined by calculating the change from the 2000 general budget figure (presupuesto general) to the 2008 figure (presupuesto general).

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Data Source: https://doi.org/10.5064/F6F769GQ/WCSKC2

Full Citation: Sol de Toluca. (2009, January 27). Evaporó administración panista $42 milliones. <a href="https://qdr.syr.edu/discover/browse/QDR:31002"

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Data Source: https://doi.org/10.5064/F6F769GQ/RZUGO8

Full Citation: Sol de Toluca. (2008a, April 19). Le recuerdan al alcalde cumplir sus compromisos.

Analytic Note: This newspaper article confirms what was reported through interview data, that the mayor fell behind in completing public works project during his administration. This point is also corroborated in Milenio 2009d and Sol de Toluca 2009, sources cited (and provided) elsewhere in this study.

Excerpt: Al senialar que ayer se cumplieron 20 meses de la actual administracion municipal de Toluca, y han quedado pendiente de ejecucion diversos acuerdo aprobados por el cabildo, el tercer sindico Tomas Ruiz Perez solicito al alcalde Juan Rodolfo Sanchez Gomez no solo girar instrucciones, sino cuidar y hacer realidad su pronta y eficaz ejecucion, en beneficio de la poblacion.

Translation: As of yesterday the [current] municipal administration of Toluca has been in office for 20 months, and has left a diverse number of public works uncompleted that have been approved by city hall. The city council person Tomas Ruiz Perez demands that the mayor Juan Rodolfo Sanchez Gomez not only give out order but also keep his promises and undertake execution of works to benefit the people.

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Data Source: https://doi.org/10.5064/F6F769GQ/9T0LWH

Full Citation: AYS (2008c). Porcentaje de presupuesto para obras respecto al presupuesto general del organismo. Agua y Saneamiento de Toluca.

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Data Source (Source 1): https://doi.org/10.5064/F6F769GQ/JVWX00

Data Source (Source 2): https://doi.org/10.5064/F6F769GQ/0YD2UN

Data Source (Source 3): https://doi.org/10.5064/F6F769GQ/CHIM1C

Data Source (Source 4): https://doi.org/10.5064/F6F769GQ/FCXLZQ

Full Citation (Source 1): Sol de Toluca. (2007, October 9). Entregó el alcalde de Toluca obras hidráulicas y de infraestructura escolar.

Full Citation (Source 2): Sol de Toluca. (2008b, May 15). Supervisó el alcalde de Toluca el entubamiento del canal La Vega.

Full Citation (Source 3): Sol de Toluca. (2008c, May 22). Más de 640 mil pesos para obras de drenaje y agua.

Full Citation (Source 4): Sol de Toluca. (2008d, October 17). Once obras hidráulicas para que no falte agua en 20 años: Alcalde.

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Data Source: https://doi.org/10.5064/F6F769GQ/HAYZOR

Full Citation: Milenio. (2009d, July 10). Quedaron inconclusos los trabajos para garantizar el abasto de agua en Toluca.

Analytic Note: Juan Rodolfo Sanchez Gomez, the mayor of Toluca for 2006-2009, had campaigned on the promise of guaranteeing water for the next twenty years, a promise I heard about repeatedly during interviews. This news article reference to this promise is provided in order to document that promise, as well as provide proof that works were left uncompleted.

Excerpt: Arturo Morales Hernandez, titular de la dependencia municipal reconocio que “hizo falta tiempo” para concluir con las obras que garantizaran el abasto del liquid durante las proximas dos decadas como fue prometido por el gobierno de Juan Rodolfo Sanchez Gomez.

Translation: Arturo Morales Hernandez, director of the municipal [water utility], noted that they “ran out of time” to finish the public works that would guarantee water for the next two decades as was promised by the administration of Juan Rodolfo Sanchez Gomez.

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Data Source (Source 1): https://doi.org/10.5064/F6F769GQ/1IVHEZ

Data Source (Source 2): https://doi.org/10.5064/F6F769GQ/OZ6XWB

Full Citation (Source 1): Milenio. (2008b, November 18). Evaden pagar el agua 20% de los toluqueños

Full Citation (Source 2): Milenio. (2009e, September 7). Debe agua 46% de los toluqueños.

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Data Source: https://doi.org/10.5064/F6F769GQ/ZESDIJ

Full Citation: Milenio. (2008a, November 18). Escuadrón jurídico de la capital mexiquense, a cobrar el agua.

Analytic Note: This is an example of the types of legal actions that were begun in 2008 to attempt to recuperate long-standing customer debt for water services. In interviews it was revealed that these strategies include sending legal notifications with threats to repossess consumer's property. These types of measures can be thought of as socially controversial, and as of 2008 when interviews were conducted, were only tentatively being implemented.

Excerpt: A partir de abril, 30 abogados del organismo de Agua y Saneamiento de Toluca notificaron a 7 mil usuarios morosos del servicio de agua potable, con lo que se espera recuperar poco mas de 50 milliones de peso, que se adeudan desde hace mas de cinco anios...Tenemos usuarios que nunca han pagado el agua, pero nada mas les podemos cobrar cinco anios, porque es lo que establece la ley.

Translation: As of April, 30 attorneys hired by the Agua y Saneamiento Water Utility of Tolcua notified [or contacted] 7,000 non-paying customers for water service, and it is expected that over $50,000 million pesos will be recuperated. This debt is over 5 years old....We have users that have never paid for water, but we can only charge them five years back because that is what the law dictates.

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Data Source: https://doi.org/10.5064/F6F769GQ/XX1CKL

Full Citation: Reforma. (2001b, July 9). Eximen a colonos de multas por agua—Otorgan en Toluca descuentos de hasta el 100 por ciento en multas y recargos a clientes morosos.

Analytic Note: This article, dated 2001, reports the conditions of the Toluca water utility approximately one year after the first right of center PAN mayor has taken office and begun exploring whether it is feasible to increase water prices or begin a commercialization strategy. It is interesting to note that the PAN water utility directors begin to asses the financial records of the water utility and find that the number of households that do not pay their water bills (approximately half of clients do not pay). However in order to perform basic maintenance tasks and keep the water utility afloat, functionaries must have some revenue coming in, especially after the lack of subsidies and direct transfers after services were decentralized. In order to have some income, they opt to forgive not the debt owed but the part of consumer debt that comes from interests and fees. They are asking customers to pay their debt balance, or a portion of it, and offering to pardon “late fees.” Although this is a means by which to increase the water utility’s income, it is a minor short-term fix that sidesteps the politically sensitive issue of raising tariffs for poor service.

Excerpt: Tras dar a conocer que de las casi 120 mil tomas que se tienen registradas en el municpio, 50 mil aun no pagan el uso del vital liquid, el Organismo de Agua Potable de esta ciudad inicio un programa de descuentos de hasta el 100 por ciento en multas y recargos, accion que permitiria al ayuntamiento recaudar recursos por 150 millones de pesos… “nos preocupa que de alguna manera, este dinero, durante anios se ha venido manejando como un rezago que al paso del tiempo se hav uelto una especie de illusion pensar en el hecho de que acudiran a pagar

Translation: After determining that of almost the 120,000 connections registered with the municipality, 50,000 [homes] don’t pay for water, the water utility of this city began a program of discounts up to 100% of all fines and fees on overdue water bills, policies that will allow the municipality to recuperate up to $150,000 million pesos. …“it is worrisome that in some sense these funds, for years have been managed like a debt that has become an allusion to think that it will some day be paid.

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Data Source (Source 1): https://doi.org/10.5064/F6F769GQ/7S19PK

Data Source (Source 2): https://doi.org/10.5064/F6F769GQ/1QRRBN

Full Citation (Source 1): AYS (2008b). Metodologa para el ca lculo de tarifas por suministro de agua potable y drenaje diferentes a las establecidas en el co digo financiero del estado de Me xico y municipios. Agua y Saneamiento de Toluca.

Analytic Note (Source 1): on p 34, numero de tomas is N =135,469, this is the total amount of registered connections. on p. 33, two charts show the following number of connections with meters (uso domestico y uso no domestico con servicio medido): 8309 (domestic) and 1969 (non domestic). 1969+8309=10,278 10,278 is 7.5% of 135,469.

Full Citation (Source 2): OAPAS. (2008a). Reporte de tomas por tipo de contratacion. Organismo Público Descentralizado para la Prestación de los Servicios de Agua Potable, Alcantarillado y Saneamiento de Naucalpan.

Analytic Note (Source 2): To calculate the number of metered connections in Naucalpan, I summed the number of metered connections (servicio medido) from each category of user (excluding bajas definitivas), and took the percentage out of total number of connections which is 144,052.

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Data Source: https://doi.org/10.5064/F6F769GQ/7S19PK

Full Citation: AYS (2008a). Información básica de los servicios de agua potable, alcantarillado y saneamiento en el municipio de Toluca. Agua y Saneamiento de Toluca, p. 1.

Analytic Note: This source explains the range of service responsibility Toluca's water utility has. The water utility is mandated to service the urban, peri-urban and a limited portion of rural residents, but is not required to serve peri-urban and rural consumers that are served by "local committees" due to these committees having pre-existing legal arrangements with the state government, which was revealed during interviews (especially Interviews # 35, 43 ). The sum of people being served outside of the water utility's mandate (88,868+161,723) is 30% of the total amount of population being served (815,297).

Excerpt: Chart titled: "Cobertura de los Servicios" on p. 1 out of 13.

Translation: "Service Coverage." Gives the total population, water and sewage coverage by type of consumer (urban, peri-urban, rural).

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Data Source: https://doi.org/10.5064/F6F769GQ/2XJCBW

Full Citation: Milenio. (2007, May 4). Cinco industrias consumen 30% del agua potable de Toluca.

Analytic Note: This newspaper article reports that there are at least 5 industries located within the city that use approximately 1/3 of the city's freshwater supplies. These industries do so legally as they have the required permits from the federal government to extract water, but its problematic for the city government, whose mayor is reported here to lament the use of ever decreasing freshwater (underground aquifers) for industrial uses that do not require potable drinking water. Because these industries directly manage their water extraction with the federal government, the water utility is unable to count them as paying customers, which means less revenue for the water utility and diverted freshwater resources that could otherwise be used for the city's urban population.

Excerpt: En Toluca se asientan al menos cinco industrias que utilizan el 30 por ciento del agua del total que se consume de manera domestica en el municipio.

Translation: In Toluca there are five industries that consume 30% of the total amount of water consumed throughout the city.

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Data Source: https://doi.org/10.5064/F6F769GQ/DACPCG

Full Citation: Milenio. (2009b, March 19). Sería un retroceso bajar tarifas y regresar a subsidias: OAPAS.

Analytic Note: I include this source to illustrate the types of promises that emerge during municipal electoral campaigns with respect to lowering water tariffs, and also to illustrate the difference in rhetoric and ideology from the PANs business oriented technocratic strategy to the PRIs populist discourse. These comments by what became the incoming mayor suggest that she would be uninterested in pursuing cost recovery policies that hurt the PRIs traditional base of low-income users.

Excerpt: La candidata del PRI a la alcaldia de Naucalpan, Azucena Olivares Villagomez, se comprometio a revisar las arifas de agua potable en el municipio, para que se cobre lo justo y los usuarios reciban la cantidad que necesitan. Destaco que persisteun malestar en la ciudadania por los elevados cobros que hace el organismo, sobre todo en la zona residencial, donde la gente paga muy alto el costo por el servicio.

Translation: The PRI mayoral candidate Azucena Olivares Villagomez promised to review water tariffs in the city, so that we charge what is fair and so that user receive the amount [of water] they need. She explained that there was a pervasive discontentment throughout the citizenry over the elevated tariffs charged by the water utility, especially in residential zones, where people are paying tariffs that are too high.