Suchergebnisse

Un periódico debiera ser "la Historia que pasa" (Mainar, 2005: 31). Esa Historia que pasó es la que tratamos de plasmar en este estudio. Nos situamos en 1976, unos meses después de la muerte de Francisco Franco, en los primeros meses de la Transición española. En este contexto, un grupo de gitanos encabezado por el poeta y escritor José Heredia Maya y el bailaor Mario Maya representa la obra Camelamos naquerar , un espectáculo flamencoteatral donde se denuncia la persecución sufrida por el pueblo gitano a lo largo de la Historia de España. Los periodistas que presenciaron aquel montaje teatral en 1976 vieron la Historia pasar. En cierto sentido, se podría decir que la Historia no pasó, porque los periodistas se hicieron eco de la denuncia de Camelamos naquerar . Durante cinco siglos se registraron innumerables episodios de persecución y discriminación racial, pero en 1976 supuso un cambio significativo. Desde las redacciones se denunció la situación, quedó constancia de esa Historia, que ahora rescatamos. El título de la investigación, "Impacto mediático de Camelamos naquerar en la Transición democrática", hace referencia a la repercusión que la obra de José Heredia y Mario Maya tuvo en la prensa española desde su estreno en 1976 hasta la promulgación de la Constitución en diciembre de 1978, convirtiéndose así en símbolo para el pueblo gitano durante la Transición democrática y elemento clave para la abolición de las pragmáticas discriminatorias contra los gitanos. Camelamos naquerar , que en castellano significa 'queremos hablar', se estrenó el 20 de febrero de 1976 en el Aula Magna de la Facultad de Ciencias de la Universidad de Granada. El espectáculo fue dado a conocer, en principio, por los medios locales, y fue especialmente reconocido por el diario Ideal (Granada). Desde las páginas de la publicación granadina se inició una cobertura mediática en torno a la situación de discriminación histórica que había vivido el pueblo gitano y que se veía reflejado en tres ordenanzas de la Guardia Civil donde mandaban vigilar escrupulosamente a los gitanos. Desde el primer día de representación, periodistas como José García Ladrón de Guevara o Eduardo Castro acompañaron a aquel grupo que representaba la obra. El recorrido del espectáculo llega desde Granada hasta París, donde se representa ante la Unesco como obra representativa del arte andaluz, un camino de un año en el que más de cuarenta medios impresos dieron voz a los marginados. Ese fue su recorrido físico, pero su impacto mediático llegará hasta la denuncia de Juan de Dios Ramírez Heredia en las Cortes, el 7 de junio de 1978, hasta la posterior derogación de los últimos artículos contra los gitanos de la Guardia Civil, el 19 de julio de 1978. En esos momentos, publicaciones como Triunfo difundían crónicas sobre Camelamos naquerar , donde defendían el valor de la obra y denunciaban la situación del pueblo gitano. La denuncia está en la esencia misma del Periodismo, o al menos el espíritu crítico al que apela Ernesto Villanueva cuando afirma: "Los periodistas basan su trabajo en los valores fundamentales tales como el espíritu crítico que les impone dudar metódicamente, la imparcialidad que les hace buscar y exponer los diversos aspectos de una situación, la equidad que les lleva a considerar a todos los ciudadanos como iguales delante de la prensa, como lo son delante de la ley, la independencia que les mantiene a distancia de los poderes y de los grupos de presión, el respeto al público y la compasión que les hace observar normas de sobriedad, la honestidad que les impone respetar escrupulosamente los hechos" (Villanueva, 2002: 93). Ese espíritu crítico es necesario especialmente en una época como ésta, en plena Transición democrática, con leyes franquistas aún vigentes. "El periodismo debe buscar temas propios, transgresores en relación con los intereses de los poderes, temas de denuncia, y actualidad valorada por los profesionales del periodismo, sin estar presionados por múltiples factores. El periodismo es, en efecto, un contrapoder" (Reig, 2007: 122). El periodismo siempre ha ejercido como contrapoder, aunque también se le podría considerar como un brazo fuerte al servicio del mismo poder. Durante la dictadura española podríamos identificar las dos caras de la labor periodística. Alrededor del tratamiento hacia el pueblo gitano encontramos dos vertientes: la que denuncia y defiende los derechos de la comunidad gitana y la que margina. A lo largo de esta investigación mostraremos algunos ejemplos de informaciones que marginan al gitano y otras que sirven como ejemplo y constituyen un aliciente para un periodismo con espíritu crítico, que rehúye de los estereotipos. En el caso de los gitanos durante la dictadura, muchos medios presentan una clara dicotomía, de manera que aparecen en informaciones folklóricas o en un contexto delictivo, y ambos casos muestran a la etnia de manera estereotipada. Durante la transición a la democracia aún permanecen algunos casos de maltrato a la etnia pero, a l mismo tiempo, aparecieron informaciones ajenas a estos tópicos, donde se denunciaba la persecución y marginación a la que se había visto sometida la minoría gitana. Para el estudio es fundamental el análisis empírico de la materia analizada, pero al investigador le acompaña un espíritu alimenta do por obras que no inciden directamente en el tema que se pretende investigar pero que abordan tangencialmente la esencia del problema. Son trabajos que irradian energía . Entre todas las obras literarias y ensayísticas hemos de destacar tres: - La primera de ellas es La herencia del olvido , de Reyes Mate, Premio Nacional de Ensayo en 2009. La obra de Mate analiza los abusos de Occidente y la imposición de su propia visión del mundo, de la filosofía y la moral. Se trata de un ensayo cuya esencia no se aleja mucho de la función del periodismo. - Por otro lado, y en segundo lugar, José Heredia Moreno, hijo del autor de Camelamos naquerar , sostiene que si tomamos Orientalismo de Edward Said y sustituimos la palabra árabe por gitano, encontramos todo un tratado sobre la situación de la etnia calé. - En el tercer libro de referencia, Encuentro con el Otro , confluyen el periodismo y "el Otro", es decir, los marginados, los olvidados o desatendidos, o simplemente los miembros de otras culturas. Sin duda, Ryszard Kapuscincki es un punto de apoyo para cualquier periodista, especialmente si hablamos del abuso de poder, la violencia ante las minorías y el Encuentro con el Otro . Por otro lado, para obtener resultados científicos intentamos abordar un proyecto interdisciplinar donde hay que poner en relación diferentes estudios. Las profesoras María del Carmen García Galera y María Rosa Berganza Conde insisten en que el investigador debe desarrollar su trabajo con una perspectiva histórica, "interrogarse e interrogar a la realidad social acerca del cursus sufrido por aquello que estudia, sobre cómo ha llegado a ser lo que es e incluso por qué ha llegado a serlo" (Berganza y Ruiz, 2005: 28). Camelamos naquerar recorrió toda la geografía española y sus miembros movilizaron a la prensa y a la sociedad del momento para conseguir abolir las últimas ordenanzas de la Guardia Civil que mandaban vigilar escrupulosamente a los gitanos. Su grito escénico, su impacto mediático desde nuestra perspectiva, fue tal que llegó a las Cortes y hasta la abolición de las leyes persecutorias contra la etnia gitana. Las pragmáticas que nacieron en la época de los Reyes Católicos y que llegaron hasta la dictadura de Franco se extinguieron en el periodo democrático. Reyes Mate recoge unos pensamientos de Walter Benjamin para hablar de la fuerza de un gesto, de un hecho que resume una historia: "La historia de un pueblo, decía el pensador alemán Walter Benjamin, puede condensarse en una época; una época condensarse en una vida; y, una vida, en una obra. Lo decía para llamar la atención sobre el poder del detalle, la fuerza subversiva de la anécdota o la riqueza misteriosa de una única palabra" (Mate, 2008: 35). Camelamos naquerar : queremos hablar. La fuerza de esas dos palabras acabó con esos cinco siglos de persecución. Desde la primera pragmática, firmada por los Reyes Católicos en Medina del Campo en 1499 (Sánchez Ortega, 1994: 331) hasta la abolición de las ordenanzas de la Guardia Civil, en julio de 1978, pasaron 479 años de persecución durante los que se dictaron innumerables leyes discriminatorias contra los gitanos. Sobre la memoria se ha escrito mucha literatura pero de entre todas las citas nos quedamos con una muy breve de Tennessee Williams: "La obra es memoria" (Williams, 1970: 23). Camelamos naquerar es memoria, y en ella se difunde el sufrimiento del pueblo gitano; los periodistas quisieron hacer perdurar su memoria. Esta investigación intenta modestamente recuperar aquel momento histórico e impactante desde el punto de visto mediático . El momento exacto, en 1425, de la llegada de los gitanos a España (Sánchez Ortega, 1994: 327) podría describirse como conciliador, pero esos primeros años de encuentro en tierras españolas fueron realmente un espejismo. A partir de la Real Pragmática de 1499, fechada en Medina del Campo, la persecución legal hacia los gitanos fue incesante hasta la promulgación de la Constitución de 1978. Desde un punto de vista histórico, el trato a las minorías en España no ha sido especialmente ejemplar, y precisamente "la marginación es el resultado de un largo proceso histórico" (Sánchez Ortega, 1986: 18). Según la historiadora Mª Helena Sánchez Ortega, en torno a las minorías en España, Francia o Inglaterra "nos encontramos siempre con las mismas quejas repetidas monótonamente, las misma descripciones adversas que han llegado a formar un persistente estereotipo" (Ibíd.) El caso de los gitanos podría extenderse hacia otras minorías, como la de los judíos, que fueron expulsados siete años antes de la promulgación de la primera pragmática contra los gitanos. Lo mismo ocurriría con los moros, para quienes, como explica Julio Caro Baroja, "no había más que una dura alternativa o convertirse al cristianismo o padecer grandes prisiones y torturas" (Caro Baroja, 1991: 48). Nuestra investigación se detiene, de forma directa, en la dictadura franquista, ya que el germen de la obra que nos ocupa y la labor de los periodistas que denunciaron la persecución se sitúan en este periodo. Fue en esta época cuando se inicia el movimiento de liberación del pueblo gitano, el asociacionismo, la reivindicación de la cultura caló, con el empuje de la prensa que apuesta por las libertades frente a los últimos estertores de la dictadura. En este contexto, la prensa jugó un papel de denuncia, ejerció una labor ejemplar de cara a nuevas generaciones y sirvió como espejo en el que mirarse en el presente. La relación que muchas publicaciones establecieron con el pueblo gitano en aquellos años sentó un claro precedente para la tolerancia , porque como afirmó Antonio Gómez Alfaro (1980: 311), "el comportamiento general de los medios de comunicación ha intervenido últimamente de manera positiva para la consecución de un nuevo talante comprensivo hacia los problemas de nuestra comunidad ". Nos referimos a una prensa marcada por la denuncia social; la ausencia, en general, de paternalismo; y la cesión de su voz al perseguido, señalando a la sociedad responsable. Por otro lado, Camelamos naquerar se convirtió en buque insignia de la lucha por la igualdad y los periódicos tomaron esta obra como referencia para denunciar la situación del pueblo gitano. Con esta tesis nos disponemos a analizar el papel de la prensa como actor determinante en la abolición de las pragmáticas discriminatorias contra los gitanos. Para alcanzar este objetivo, nos apoyamos en una hipótesis de partida: la puesta en escena de Camelamos naquerar tuvo un gran impacto mediático y su repercusión en la prensa de la España de esos momentos cruciales del tránsito de la dictadura a la democracia contribuyó a conocer la persecución sufrida por la minoría gitana, lo que favoreció una mayor toma de conciencia por parte de la sociedad que alcanzó a la esfera política, y que desembocó en medidas legales y actuaciones para la integración. Como plantea Zetterberg, las hipótesis son aquellos enunciados que queremos verificar, es una proposición provisional por verificar y se configura como una conjetura emitida de un hecho o fenómeno que vamos a investigar (Zetterberg, 1976: 20). Al mismo tiempo, esta hipótesis de partida que plateamos se ramifica en una serie de acontecimientos sustanciales que debemos tener en cuenta para el estudio: - Centramos nuestra investigación principal en 1976, tan sólo unos meses después del fallecimiento del dictador, Francisco Franco, en un tiempo histórico convulso, por lo que representa la muerte del dictador y la posibilidad ya real de alcanzar el régimen democrático. Es el año durante el cual se produce la representación por todo el país del montaje flamenco-teatral de José Heredia y Mario Maya. - En este año ya se atisban cambios sustanciales en la prensa, se produce un progresivo declive de los periódicos del Movimiento "como consecuencia del surgimiento de una nueva prensa más acorde a los nuevos tiempos democráticos ( El País , Avui , Diario 16 , Deia )" (Iturriaga, 2005: 476). - En el avance hacia la democracia se celebran las elecciones generales del 15 de junio de 1977. En este corto pero sustancial cambio de signo político, la Constitución de 1978 deroga la última pragmática contra los gitanos, orden dictada el 14 de mayo de 1942 por el gobierno franquista. - En todo este proceso, tenemos en cuenta tres pilares fundamentales para alcanzar algunos de los objetivos que pretenden lograr los creadores de Camelamos naquerar : a) Que los autores de la obra y sus contenidos proceden de la comunidad gitana. b) Que desde la prensa pre-democrática se impulsa y difunde la injusticia histórica que sufre el pueblo gitano. De esta forma, la prensa actúa como nexo necesario entre el pueblo gitano, representado en Camelamos naquerar , y los políticos, encargados de modificar leyes que empezaban a ser consideradas injustas. c) Que son ya los diputados democráticos los que plantean ante la nueva Constitución de 1978 la derogación de la última pragmática. Partiendo de esta hipótesis señalada como punto de arranque, nos proponemos investigar y desarrollar distintos aspectos para alcanzar objetivos que perseguimos: - Estudiar la contribución de los periodistas en la abolición de las órdenes contra los gitanos. Con esta tesis doctoral pretendemos mostrar la contribución de algunos periodistas de la época en la liberación del pueblo gitano. La denuncia, por parte de la prensa, fue clave, ya que durante dos años, en más de doscientos textos periodísticos, en más de cuarenta medios escritos, se apoyó al pueblo gitano. De hecho , muchas de las informaciones que publicaron hablaban sobre la persecución aún vigente y de la necesidad de acabar con las injusticias contra el pueblo gitano. Los profesionales que con sus informaciones acompañaron a Camelamos naquerar consiguieron la derogación de las ordenanzas discriminatorias de la Guardia Civil. La lista de medios que cubrieron el evento es amplísima. Desde periódicos locales y regionales, como Ideal , ABC , El Correo de Andalucía o La Vanguardia Española , hasta revistas clave para entender la Transición, como Cambio 16 , Cuadernos para el diálogo , Triunfo , Destino o Realidades . En cuanto a los profesionales que escribieron sobre la obra y sobre la situación de los gitanos, destacan tanto cronistas como críticos de arte, columnistas y flamencólogos: Víctor Márquez Reviriego, José García Ladrón de Guevara, Antonio Ramos Espejo, Antonio Burgos, Eduardo Castro, Fernando Lázaro Carreter, Antonio Checa, Pere Bonnin, José Monleón, Enrique Llovet, entre muchos otros. De todos los periodistas y medios, tan sólo uno dudó de la importancia del espectáculo, José Antonio Blázquez, en la Hoja del Lunes , mientras que en este mismo medio, otros periodistas valoraron positivamente a la obra. Por lo tanto, la repercusión mediática fue crucial en la lucha por la igualdad legislativa. - Analizar cómo Camelamos naquerar se convirtió para la prensa en lema y símbolo de la lucha del pueblo gitano por sus derechos. La instauración por parte de los medios de la obra como lema y símbolo de una lucha y una denuncia supuso un altavoz para la sociedad. Desde las páginas de Ideal se destacó en todo momento la función de Camelamos naquerar como guía para el pueblo gitano. El propio Juan de Dios Ramírez Heredia, diputado de UCD tras las primeras elecciones, dijo: " Camelamos naquerar representó en su día, yo me atrevería a decir, que una revolución, en el ámbito intelectual y en el ámbito creativo. En primer lugar, porque mi primo José Heredia es un artista, es un artista de la palabra y es un artista de la pluma. Y lo que se dice en esa obra, indudablemente en una época en la que no se podía hablar, en una época en la que las libertades cívicas estaban absolutamente colapsadas, que saliera un gitano escribiendo una obra, diciendo "queremos hablar", era todo un síntoma, ¿no?, de algo que empezaba a nacer en el pueblo gitano. Un sentido revolucionario, pero revolucionario en el sentido hermoso de la palabra. Revolucionario en el sentido de lucha contra la injusticia, contra la marginación, contra el deseo inherente a todo ser humano de poder expresar con libertad lo que piensa y lo que siente" (Juan de Dios Ramírez Heredia, entrevista personal, 20 de febrero de 2008). - Estudiar cómo los periodistas andaluces contribuyeron a visibilizar los problemas del pueblo gitano. Otro objetivo que consideramos importante es la contribución de la prensa andaluza, que hasta nuestros días se ha visto arrinconada en favor de la prensa madrileña o catalana. La labor de los periodistas andaluces en el camino hacia la democracia fue tan importante como la de profesionales de otras regiones. En ocasiones ha sido olvidada, e incluso denostada, al igual que en otras cuestiones de la realidad nacional. No sólo hay que destacar la labor de los profesionales que trabajaban en medios andaluces; también los grandes medios nacionales se nutrían de cronistas andaluces, como la amplia nómina de andaluces que componían la revista Triunfo , o muchos colaboradores de Cuadernos para el diálogo , y otros periodistas que hablaron sobre la problemática gitana en El País , como Fermín Vílchez o Eduardo Castro. También en las páginas de Cambio 16 escribieron periodistas como Juan de Dios Mellado y Antonio Guerra. La lista es amplísima. - Analizar cómo Camelamos naquerar dibuja un mapa de la Transición en España. Del análisis de los medios y su relación con la obra Camelamos naquerar se puede extraer todo un contexto social del tardofranquismo y los primeros años de la transición. Una vez estrenada, en febrero de 1976, va trazando un recorrido por el cual se va dibujando también la democracia española, aparece en las crónicas del homenaje a Lorca en Fuente Vaqueros, forman parte de la fiesta socialista a Tierno Galván, actúan en el I Congreso de Historia de Andalucía, apoyaron a los cincuenta y cuatro detenidos del Cerro del sombrero en Granada, fue seleccionada en el Festival de Cannes, José Heredia Maya acudió a los homenajes de los grandes poetas como Antonio Machado o Miguel Hernández. El proceso de elaboración de un trabajo de investigación debe partir de un plan bien definido. Antes de redactar las conclusiones de nuestro estudio, es preciso tener muy claro cómo vamos a distribuir los contenidos, de manera que la exposición siga una línea lógica y facilite la comprensión del lector. El orden es esencial para avanzar en nuestras indagaciones y, una vez terminadas, transmitir a la comunidad intelectual los resultados obtenidos. Este último cometido, comunicar con éxito nuestras observaciones, puede desarrollarse gracias al tradicional desglose en capítulos, epígrafes y parágrafos. El presente trabajo de investigación consta de siete capítulos contando con la bibliografía y el anexo, cada uno de ellos dividido en diferentes apartados que favorecen la adquisición progresiva y pausada de conocimientos. En la introducción se exponen los objetivos y la hipótesis de partida, así como los métodos de investigación empleados para alcanzar los objetivos propuestos. En este primer apartado se presenta la estructura de la investigación y el proceso de elaboración. El segundo capítulo está dedicado al contexto periodístico de la dictadura y la Transición en España. En el contexto de la prensa estudiamos el papel de los medios de comunicación impresos antes de la muerte de Franco, en noviembre de 1975, y durante los primeros años de la Transición, hasta la promulgación de la Constitución en diciembre de 1978. Un apartado importante de la investigación es el dedicado a la relación de los gitanos con la prensa a lo largo de la dictadura franquista. A ntes de iniciar la investigación sobre el impacto mediático del montaje escénico de Heredia y Maya era necesario comentar el papel de la prensa durante la dictadura y en la incipiente democracia, especialmente en Andalucía, donde nace y transcurre la denuncia de Camelamos naquerar contra la represión hacia los gitanos. El tercer capítulo está centrado en el compromiso de las artes y las influencias teatrales de Camelamos naquerar. En este bloque se abordan los precedentes teatrales de la obra de Heredia y Maya, y se describe el ambiente que se generó, principalmente en Andalucía, en la oposición a la dictadura franquista. No tan importante como el papel de la prensa, pero sí pertinente, sería hablar de las artes escénicas durante la dictadura, aquellos caminos que confluyen en este espectáculo teatral de denuncia. En el cuarto capítulo se estudian las pragmáticas históricas y el impacto mediático de Camelamos naquerar. Se trata de un bloque donde se estudia la relación de la obra con la prensa. Para ello, se realiza un recorrido mediático por las diferentes crónicas y noticias que trataron del espectáculo y denunciaron la situación que vivían los gitanos. El cuarto bloque de la investigación está dedicado al itinerario mediático de Camelamos naquerar , la denuncia que desde el escenario de la prensa española se hizo de la represión que durante siglos había sufrido el pueblo gitano y que iba a desaparecer, al menos a nivel legislativo, gracias a una serie de actores que se dieron cita en la democracia. Dentro de este cuarto bloque se abre un apartado que describe las distintas pragmáticas contra los gitanos a lo largo de la historia. Es necesario desmenuzarlas en la investigación porque estas pragmáticas protagonizaron la denuncia de la obra y de la prensa de la época. Son las leyes que provocaron la situación de marginación de los gitanos en España. Iniciamos, a partir de este punto, un recorrido que parte desde Granada. En las páginas de Ideal se gestó la denuncia, desde las crónicas de José Ladrón de Guevara, la visión desde Almería de Miguel Ángel Blanco, las páginas flamencas de Eusebio Rioja, o desde las secciones locales de Abdón y José María Guadalupe. En menor medida se hizo eco en las páginas de Patria , diario granadino de la Cadena del Movimiento. La obra continúa su recorrido por Andalucía y por lo tanto las informaciones en favor de los gitanos se extienden por medios regionales, como es el caso de Ideal en Almería, el diario Sol de España en Málaga, ABC (cuando la obra llegó a Sevilla), o El Correo de Andalucía , que tenía a Manuel Barrios como principal comunicador de la cuestión gitana. En este itinerario es necesario hablar del papel de las revistas, ya que desde las páginas de Cuadernos para el diálogo o Triunfo , dos de las revistas más significativas en la lucha antifranquista, también se apoyó a la causa gitana. Este camino por la prensa llega hasta la prensa nacional, diarios como Arriba , Ya , Informaciones , Pueblo , La Vanguardia , ABC o El País cubrirán el espectáculo. Finalmente, se destacan dos hechos importantes: por un lado, la representación de la obra en París con motivo de las jornadas granadinas de la UNESCO; y la posterior representación en el teatro Montparnasse de París y la consiguiente cobertura por la prensa. Las representaciones de Camelamos naquerar finalizan en París, en abril de 1977, pero el nombre de la obra seguirá apareciendo en la prensa en otros momentos clave para los derechos de la etnia calé como, por ejemplo, en la derogación de las leyes persecutorias contra los gitanos en julio de 1978. En el quinto capítulo se aborda el análisis del contenido de informaciones que se publicaron en torno a Camelamos naquerar . Como ya hemos mencionado en el apartado anterior, elaboraremos un bloque con un estudio pormenorizado, tanto cualitativo como cuantitativo, de los textos periodísticos que hablaron de la obra y de la causa gitana durante la Transición. Los primeros textos datan de enero de 1976, y los últimos en mencionar a Camelamos naquerar llegan hasta diciembre de 1978, como por ejemplo, la crónica parlamentaria de Víctor Márquez Reviriego (1978: 16-17) del número 803 de la revista Triunfo , en la que aborda la ponencia en las Cortes del diputado de UCD Juan de Dios Ramírez Heredia, con el título Camelamos naquerar , y que resume mucho de lo andado hasta ese momento. Se trataba del punto y final de una denuncia, el último gesto que posibilitó la derogación de las ordenanzas contra los gitanos. En el último apartado de la estructura de esta investigación, se incluyen dos anexos. Por un lado, las entrevistas más destacadas elaboradas en los años de investigación, en concreto las realizadas a: José Heredia, Mario Maya, Juan de Dios Ramírez Heredia, José Monleón y Curro Albayzín. Por otro lado, se incluyen los cincuenta textos periodísticos seleccionados para el análisis cualitativo de manera que se puedan consultar complementariamente.

La presente Tesis Doctoral viene titulada como "Presencia de las Redes Sociales y Medios de Comunicación: representación y participación periodística en el nuevo contexto social". Se hace preciso advertir que esta investigación que elaboro pretende cumplir los requisitos necesarios para la obtención del título de Doctor bajo la modalidad de "Tesis por compendio de publicaciones" según viene determinado por el artículo 9 de la Normativa Reguladora del Régimen de Tesis Doctoral (acuerdo 9.1/CG 19-4-12) de la Universidad de Sevilla, publicada en el Boletín Oficial de la Universidad de Sevilla (BOUS) número 3, de 23 de mayo de 2012, y que se desarrolla en el Real Decreto 99/2011 de 28 de enero, por el que se regulan las enseñanzas oficiales de doctorado (BOE de 10 de febrero), donde sus artículos del 11 al 15 establecen el régimen relativo a la admisión a un programa de doctorado, realización, evaluación y defensa de la Tesis Doctoral. Según lo dispuesto por la Disposición Transitoria Primera del RD 99/2011 que habilita la aplicación de la nueva regulación del régimen de Tesis a los estudiantes de anteriores ordenaciones en lo relativo a tribunal, defensa y evaluación de la Tesis Doctoral, la Normativa Reguladora del Régimen de Tesis Doctoral (acuerdo 9.1/CG 19-4-12) de la Universidad de Sevilla indica en su artículo 1 que "queda por tanto así derogada la Normativa de régimen de tesis adoptada por Acuerdo 6.1/C.G. 30-9-08 que es sustituida por la presente Normativa". Esta advertencia es imprescindible para entender la estructura y forma de la materialización escrita de un largo proceso investigador. Es preciso apuntar que, según la Normativa antes indicada, se pueden presentar para su evaluación como Tesis Doctoral un conjunto de trabajos publicados por la doctoranda que "deberá estar relacionado con el proyecto de tesis doctoral en programas regulados por el RD 1393/2007 o anteriores, o con el plan de investigación que conste en el documento de actividades del doctorando en programas regulados por el RD 99/2011". Además, "el conjunto de trabajos deberá estar conformado por un mínimo de dos artículos publicados o aceptados o capítulos de libro o un libro, debiendo ser el doctorando preferentemente el primer autor […]". El compendio de la presente Tesis Doctoral está compuesto por dos libros que son los siguientes: § GARCÍA ESTÉVEZ, Noelia: Redes Sociales en Internet. Implicaciones y consecuencias de las plataformas 2.0 en la sociedad. Editorial Universitas, Madrid, 2012. ISBN: 978-84-7991-359-5. D.L.: M-7755-2012. § GARCÍA ESTÉVEZ, Noelia: Realidad Periodística, contexto social y era tecnológica. Equipo de Investigación de Análisis y Técnica de la Información, Sevilla, 2012. ISBN -13: 978-84-695-6109-6. ISBN -10: 84-695-6109-X. D.L.: SE-6872-2012. Comprobamos que la Tesis Doctoral aquí presentada por compendio de publicaciones cumple los requisitos de la Normativa. Así, el título que encabeza estas páginas fue el propuesto para el Proyecto de Tesis Doctoral presentado en su día y con la posterior aprobación de la Comisión de Doctorado del Departamento de Periodismo II de la Universidad de Sevilla, en el que se circunscribe esta Tesis. Por lo tanto, observamos una evidente relación entre el tema del Proyecto de Tesis Doctoral y las publicaciones aquí presentadas: las Redes Sociales, el Periodismo y la Sociedad. Por otro lado, en cuanto a la autoría de los trabajos presentados, en ambas publicaciones la única autora es la doctoranda, Noelia García Estévez, ciñéndose así a lo indicado en la Normativa que precisa que debe ser la primera autora, y que como puede apreciarse es la única. Siguiendo las indicaciones de la citada Normativa que regula la presentación de una Tesis Doctoral por compendio, a las publicaciones ya mencionadas se incluyen estas páginas en las que figuran los siguientes apartados: A. Una introducción en la que se desarrolla la justificación de la unidad temática de la Tesis. (Véase Capítulo 1). B. Los objetivos, las hipótesis y los principales aspectos del sistema metodológico que ha regido esta investigación. (Véase Capítulo 2). C. Un resumen global de los resultados, donde se enlazan y se contrastan los principales resultados obtenidos y plasmados de forma independiente en las publicaciones presentadas. (Véase Capítulo 4). D. Una discusión de estos resultados, en la que se contrasten estos resultados con las hipótesis planteadas y se reflexione de manera crítica sobre la calidad de la validez interna y externa de la investigación. (Véase Capítulo 5). E. Las conclusiones alcanzadas tras la investigación. (Véase Capítulo 6). F. Aunque la Normativa no lo exige, hemos creído conveniente añadir los apartados de "Publicaciones y sus canalizaciones" donde desarrollamos la optabilidad de editar nuestras investigaciones y las tangibilidades al efectuar las ediciones (véase Capítulo 3) y de "Bibliografía utilizada" en el cual hemos recopilado y clasificado todas las fuentes bibliográficas y hemerográficas que han sido utilizadas a lo largo de las dos publicaciones presentadas y de las siguientes páginas. (Véase Capítulo 7). La presente Tesis Doctoral, titulada "Presencia de las Redes Sociales y Medios de Comunicación: representación y participación periodística en el nuevo contexto social", tiene como objeto de estudio el análisis de la actividad periodística en el nuevo contexto social donde las Tecnologías de la Información y la Comunicación han adquirido un papel crucial. Centraremos nuestra investigación en el ámbito de las Redes Sociales en Internet, pues se han erigido como un elemento fundamental cuyas implicaciones se extienden de manera transversal en todos los aspectos de la sociedad. Por lo tanto, nos enfrentamos al estudio del Periodismo en un momento en el que los avances tecnológicos y la comunicación basada en el paradigma 2.0 influyen, por un lado, en el propio quehacer periodístico, desde el punto de vista del profesional de la información, y, por otro, afecta de manera importante en el entorno social en el que encontramos un ciudadano, receptor de la información periodística, con nuevos hábitos y costumbres y con nuevas demandas y exigencias. Dice Klaus Krippendorff que "toda investigación científica está motivada por el deseo de conocer o entender mejor una porción del mundo real". Esa porción del mundo real a la que se refiere el citado autor y que de forma genérica se conoce como acotación del objeto de estudio es en esta investigación la interrelación entre las Redes Sociales, el Periodismo y la Sociedad. Más concretamente, el papel del Periodismo en un nuevo contexto social en el que impera una comunicación 2.0. Desde finales del pasado siglo y muy especialmente con el inicio del siglo XXI se inauguró una nueva etapa para la humanidad, marcada en gran medida por el imparable desarrollo de las Tecnologías de la Información y la Comunicación. Es obvio que hoy día el ciudadano posee una gran capacidad para comunicarse y mantener relaciones profesionales y/o afectivas con otras personas situadas en cualquier parte del globo terráqueo, superando barreras no sólo geográficas, sino también sociales, culturales, políticas, etc. Además, la popularización y el abaratamiento paulatino de los dispositivos y terminales desde los que se pueden acceder a estas redes ha impulsado la generación de conexiones en el ciberespacio. Como dice Cebrián "la web 2.0 es una plataforma de redes sociales de información en sentido amplio y general concerniente a muchos campos del conocimiento y de la vida real, en sentido periodístico o de información de actualidad, veraz y de interés general de la sociedad, en sentido interpersonal, o de relaciones entre dos o más personas y grupos, y en sentido personal o de comunicación de cada individuo con su entorno inmediato a través de sus sistemas captores del exterior y de sus reacciones ante ellos". Con todo ello, nosotros abordamos una investigación de un fenómeno comunicacional que ha supuesto un profundo cambio en la estructura de los Medios de Comunicación y en los modos en que la sociedad recibe la información. El impacto de la web 2.0 ha supuesto una mutación del receptor pasivo de la comunicación a un creador y gestor de contenidos. Ha supuesto, además, la ruptura del paradigma tradicional de la comunicación consistente en la tríada emisor-canal-receptor, donde el mensaje ya no es unidireccional, sino que fluye de manera transversal hasta convertirse en una gran conversación global y multidireccional gracias a la accesibilidad, instantaneidad y viralidad de la red. La planificación y el trazado del proyecto de la investigación por realizar supusieron el inicio de esta investigación, pues se trata de una etapa crucial para el éxito del proceso investigador ya que sin una buena planificación difícilmente se podrán establecer unos objetivos concretos y los mecanismos necesarios para conseguiros. Esta etapa se divide en los siguientes pasos: Selección del tema: consiste en "la definición y posterior delimitación del campo de conocimientos sobre el que piensa trabajar". Identificación de un problema: se trata de detectar algún aspecto no conocido dentro de un área temática y que amerite de una indagación para su solución, también enunciado. Formulación del anteproyecto: se refiere a la realización de "un primer borrador o papel de trabajo que ha de contener las ideas básicas sobre la investigación que nos proponemos llevar a cabo". La elección del tema es la primera gran encrucijada a la que se enfrenta todo investigador en su andadura hacia la obtención del Título de Doctor. No obstante, antes del tema está el problema, pues tal y como apunta Jorge Felibertt "el problema es el punto de partida de toda investigación. Se origina cuando el investigador observa dudas sobre una realidad, o hecho o teorías, aparece a raíz de alguna dificultad, nace de una necesidad, con dificultades sin resolver. Una vez que se viene una idea sin resolver, se procede a enmarcar dicho problema en forma de un título de investigación, luego se plantea de forma específica el problema que se acaba de originar el cual estará contenido en el tema seleccionado". Ahora bien, está claro que el problema que el investigador detecte y que le incite a embarcarse en una investigación profunda como es una Tesis Doctoral estará enmarcado en las áreas de conocimiento y de interés del propio investigador. Esto es, una persona puede hallar diversos problemas que se presten a ser investigados, pero la elección del problema a investigar vendrá determinado en gran medida por las características y la propia naturaleza del investigador. Así, el tema, y su pertinente problema, es el primer interrogante que, una vez resuelto, iniciará un largo camino hasta su materialización en una Tesis Doctoral. No siempre es posible formular el problema de forma clara, precisa y manipulable. Éste es propio de la naturaleza misa de la investigación científica, de sus dificultades y complejidades. La capacidad de plantear problemas, dice Cohen y Nagel, "es una señal de posesión del genio científico" y es que los problemas no surgen de la nada, sino que son los investigadores con sus conocimientos y bases teóricas quienes los formulan. En nuestro caso, la elección del tema vino determinada, en primer lugar, por corresponderse a las predilecciones de la doctoranda y estar en sintonía con el Equipo de Investigación de Análisis y Técnica de la Información de la Universidad de Sevilla, al que pertenece la doctoranda desde 2009. Además, y siguiendo las recomendaciones de Umberto Eco, las fuentes a las que se debía recurrir eran, en general, accesibles y manejables. Por su parte, los directores de la Tesis y la propia investigadora han trabajado en la elaboración de un cuadro metodológico apto y efectivo para esta investigación y para la obtención de unos resultados. Recordemos que la realización de una Tesis Doctoral "constituye un trabajo original de investigación con el cual el aspirante ha de demostrar que es un estudioso capaz de hacer avanzar la disciplina a la que se dedica". Esa es la verdadera vocación de este trabajo, hacer avanzar las Ciencias del Periodismo e incluir en ellas investigaciones y teorías válidas sobre fenómenos actuales que repercuten en la sociedad en general y en el Periodismo en particular y que nos obligan a un replanteamiento constante de las bases teóricas de la ciencia. Las Redes Sociales en Internet han calado en la sociedad como en su día lo hiciera la televisión, el teléfono móvil o el propio Internet. Como ya lo dijera el sociólogo Marshall McLuhan en la década de los 60 del pasado siglo, la tecnología constituye una prolongación de nuestro cuerpo. Internet, que más que una tecnología es un efecto de la misma, ha creado el marco de la nueva sociedad, un entorno vital a medio camino entre lo virtual y lo real. El surgimiento de la web 2.0 o web social ha supuesto un antes y un después para el conjunto de la sociedad en, prácticamente, todas las esferas de la vida. Desde el plano más personal e íntimo, hasta el profesional o académico. Todo se ha visto impregnado de la presencia de Blogs, Wikis o Redes Sociales (como Facebook, Twitter…). La tecnología es omnipresente hoy día y media gran parte de la comunicación social. Este nuevo paradigma en el proceso de la comunicación subyace también en el entorno del Periodismo y los Medios de Comunicación. Por lo tanto, en esta investigación nos aproximamos al papel del Periodismo como un ente que ha de evolucionar y adaptarse al propio desarrollo tecnológico, por un lado, y a la nueva sociedad receptora del discurso mediático, por otro. Desde la ciencia poco se ha abordado aún un estudio profundo y amplio sobre el surgimiento, desarrollo y situación actual de las plataformas sociales y sus implicaciones en el Periodismo. Estamos convencidos de que, como bien apuntaba Castells, "la teoría y la investigación […] deben considerarse medios para comprender nuestro mundo y deben juzgarse por su precisión, rigor y pertinencia". De aquí deriva el interés de esta investigación la cual pretende analizar cómo funciona la actividad periodística en el marco de la sociedad actual desde la inclusión de la web 2.0 y las Redes Sociales. Aspirando a ofrecer un conocimiento válido y útil para hacer frente a las nuevas exigencias del profesional de la información de nuestro mundo. Asistimos a cambios profundos, más grandes de los que vivieron cualquiera de nuestros antepasados. Se trata, según palabras de Vázquez Medel, de un proceso de "trashumanización, en el que se están transformando radicalmente las claves que rigen la economía y el mundo empresarial, la política y las organizaciones sociales, las relaciones interculturales y el mundo del derecho, la evolución de la ciencia y la tecnología, y hasta la experiencia individual del mundo, de la vivencia de la espacialidad, la temporalidad, la corporeidad, la relacionalidad". En esta encrucijada ya no sirven las respuestas que hasta ahora eran válidas, ya se quedan obsoletas las fórmulas que parecían efectivas. Ahora, advierte Vázquez Medel, "se hace imprescindible buscar activa y creativamente nuevas soluciones". En última instancia, ése es precisamente nuestro objetivo: buscar respuestas a las nuevas preguntas surgidas en el ámbito del Periodismo tras una revolución tecnológica y cibernética masiva, en la que los usuarios ya no sólo consumen sino que también producen. Un espacio heterogéneo en cuanto a las características de sus miembros así como a la naturaleza de las relaciones que entre ellos se establecen. 1.3. Antecedentes e interés actual de la investigación. El Análisis de Redes Sociales (en adelante, ARS) y la Teoría de Redes se han configurado como una metodología clave en las modernas Ciencias Sociales, entre las que se incluyen la Sociología, la Antropología, la Psicología Social, la Economía, la Geografía, las Ciencias Políticas, la Cienciometría, los estudios de Comunicación, estudios Organizacionales y la Sociolingüística. También ha ganado un apoyo significativo en la Física y la Biología entre otras. En el ámbito de las Ciencias Sociales, una Red Social es una estructura, un grupo de personas relacionadas entre sí que puede representarse analíticamente en forma de uno o varios grafos, en los cuales los nodos representan a los agentes o individuos -también llamados actores- y los arcos -o lazos- representan las relaciones entre ellos. El ARS surge en la década de 1950 con una ingente cantidad de estudios desde diferentes disciplinas: en la sociometría Jacobo Moreno desarrolla la teoría matemática de los grafos; en la psicología social encontramos las teorías del equilibrio estructural de Harary y Cartwright; en la antropología destacan John Barnes, J. Clyde Mitchell y, especialmente, Elizabeth Bott; desde la sociología también se ha entendido el ARS como una variedad de la teoría general de la Sociología estructural con autores como Radcliffe-Brown y, sobre todo, Simmel. En el ámbito español suele considerarse pionero en la introducción del ARS el artículo "El concepto de red social" de Félix Requena Santos en la Revista Española de Investigaciones Sociológicas (REIS). También ha sido fructífero el trabajo de Josep A. Rodríguez desde el Departamento de Sociología y Análisis de las Organizaciones de la Universidad de Barcelona y el Grupo de Análisis de Redes (NAGAR) y el de José Luis Molina desde el Departamento de Antropología Social y Cultural de la Universidad Autónoma de Barcelona y su grupo de investigación Egoredes. Sin embargo, hemos de advertir que nuestro objeto de estudio no es el concepto tradicional y sociológico de Red Social, sino que nosotros indagamos sobre las características, efectos, desarrollo y evolución de las Redes Sociales en Internet. En esta parcela, son mucho menos numerosos los estudios e investigaciones que actualmente encontramos, especialmente en el campo de las Ciencias del Periodismo. Si bien es cierto que desde el principio Internet, las Redes Sociales y el desarrollo tecnológico han despertado el interés de la Academia, la mayoría de los estudios que encontramos carecen aún de la profundidad y la amplitud necesarias. En efecto, nos hallamos ante un fenómeno coetáneo y de imparable evolución, lo cual no nos permite gozar de perspectiva histórica para su análisis. Sin embargo, es imprescindible la realización de investigaciones exploratorias que empiecen a teorizar y argumentar sobre los procesos de los que son testigos. En el ámbito internacional hallamos las aportaciones de autores como el propio Stanley Milgram y su teoría del mundo pequeño; Dan Gillmor y sus aportaciones sobre el Periodismo Ciudadano; Davenport y Prusak y sus estudios sobre la gestión del conocimiento; Fowler y Christakis y sus estudios sobre el poder las Redes Sociales; Godins y su concepto de ideavirus; Jeff Jarvis y el marketing de código abierto; Palfrey y Gassser y su descripción del nativo digital; Rheingol y sus observaciones sobre las comunidades virtuales y las multitudes inteligentes; Lévy y su idea de inteligencia colectiva; Prensky y su teoría de la inmigración digital… Dentro del habla castellana o española también encontramos una serie de autores que se han convertido en referencia dentro de la temática de Redes Sociales en Internet y sus diversas implicaciones sociales y profesionales. No podemos dejar de citar el trabajo y las contribuciones de autores como Manuel Castells y su teoría sobre la Sociedad de la Información y la Sociedad en Red; Enrique Dans y sus constantes reflexiones sobre tecnología y evolución; José Luis Orihuela y sus indagaciones en torno a la Cibercultura, Periodismo y Comunicación digital; Ugarte y su concepto de ciberturba en torno al papel de las Redes Sociales en la movilización social; Alfons Cornellá y su indagación sobre la gestión del conocimiento en red; Juan Varela, José Manuel Gómez y Méndez y Sandra Méndez Muros y su visión del Periodismo Ciudadano; Juan Freire; Mariano Cebrián; Jesús Miguel Flores Vivar; María Ángeles Cabrera González; Antonio Fumero; Adolfo Plasencia; Javier Celaya; Ramón Salaverría; Luis Rull… Diversos investigadores han optado también por esta temática en su andadura hacia la consecución del título de Doctor. Aparte de nuestro caso y de la presente Tesis Doctoral, debemos señalar la investigación llevada a cabo por Sonia Ruiz Blanco sobre la evolución del blog y el papel del receptor en generador y emisor de contenidos y la de César Viana Teixeira en torno a una concepción de las Redes Sociales como modelos de agencias ciudadanas de Comunicación. Desde el ámbito de la Comunicación también encontramos investigaciones de Tesis Doctoral que indagan acerca de los aspectos publicitarios y de marketing de estas herramientas, tal y como la de Fanny Yolanda Paladines Galarza, la de Pedro Álvaro Pereira Correia o la de Virginia Piazzo. Desde la organización y la gestión de empresas encontramos las Tesis Doctorales de Mª. del Carmen Alarcón del Amo o la de Silvia Rodríguez Donaire. Destacamos también las investigaciones de Pedro Román Graván, de Marco Vinicio Ferruzca Navarro o de Paloma López Sánchez, todas ellas insertadas en el campo educativo. Desde otras parcelas como las Matemáticas o la propia Informática también se han realizado interesantes trabajos de Tesis Doctorales, si bien las perspectivas aplicadas en estas investigaciones se alejan considerablemente de nuestra acotación del objeto de estudio, por lo que tienen menos pertinencia en nuestra investigación. Consideramos oportuna la realización de una investigación con rigor científico que sea capaz de analizar el papel de los Medios de Comunicación y de la propia profesión ante una evolución tecnológica evidente que ha conllevado nuevas fórmulas de comunicación social y ante una sociedad interconectada con nuevos hábitos y costumbres pero también con nuevas demandas y exigencias. Los orígenes de Internet se remontan a los años de la Guerra Fría y nace como un proyecto de investigación en redes de conmutación de paquetes, dentro del ámbito militar. A finales de los años sesenta el Departamento de Defensa Americano (DoD) llegó a la conclusión de que su sistema de comunicaciones basado en la comunicación telefónica (Red Telefónica Commutada, RTC) era demasiado vulnerable, puesto que establecía enlaces únicos y limitados entre importantes nodos o centrales, con el consiguiente riesgo de quedar aislado parte del país en caso de un ataque militar sobre esas arterias de comunicación. Como alternativa, el citado Departamento de Defensa, a través de su Agencia de Proyectos de Investigación Avanzados (Advanced Research Projects Agency, ARPA) decidió estimular las redes de ordenadores hasta llegar a una red experimental de cuatro nodos, que arrancó en diciembre de 1969, se denominó ARPAnet. La idea central de esta red era conseguir que la información llegara a su destino aunque parte de la red estuviera destruida. De esta manera nacen los cimientos de Internet. Hoy, su gran popularización y asimilación por parte de la ciudadanía nos lleva a reflexionar sobre la evolución de una herramienta que nació con fines militares y que en la actualidad tiene una clara orientación social. Como expresa Millán, Internet es el fruto caliente de la Guerra Fría pues "aquel producto de la guerra fría se ha convertido (valga el juego de palabras) en el medio más caliente de la actualidad". Al hablar de Internet en España hemos de tener en cuenta que su origen, evolución y situación actual tienen unas características definitorias concretas. Si bien es cierto que los inicios fueron más tardíos y lentos que en otras áreas geográficas, hemos de reconocer que en la actualidad existe un abultado número de usuarios con una gran actividad en los contextos digitales. Desde la aparición de Internet, el crecimiento de número de usuarios ha ido a un ritmo exponencial, alcanzando los 2.400 millones de usuarios en todo el mundo en 2012, según la empresa de servicios online Pingdom. En España, un total de 25 millones de personas se conectaron a Internet en diciembre de 2013, lo que supone un 9,5% más que en el mismo mes de 2011, según el informe elaborado por la consultora Barlovento con datos de la empresa de medición comScore. En octubre de 2012, Facebook llegó a los 1.000 millones de usuarios, con más de 600 millones de usuarios móviles. En Twitter existen ya más de 140 millones de usuarios activos, enviándose más de 340 de millones de tweets al día. Más de mil millones de usuarios únicos visitan YouTube cada mes, reproduciéndose más de 4.000 millones de horas de vídeo al mes. Cada vez más gente se conecta y por más tiempo. En 2012 ese tiempo aumentó un 21%, con respecto a 2011. Los usuarios invierten más tiempo en las Redes Sociales que en otros sitios de Internet. En EE.UU., por ejemplo, el 17% del tiempo en Internet están en la Red Social Facebook. En cuanto al tiempo dedicado por persona a las Redes Sociales: por género, son las mujeres con 8:37 horas al mes a través del ordenador y 9:43 horas a través de dispositivo móvil. En cuanto a franja de edad y género, quienes más tiempo pasan son los hombres de entre 18 a 24 años y las mujeres de entre 25 a 34 años que están 11 horas al mes. Sociales han irrumpido en nuestra sociedad y en nuestras formas de comunicación transformando el panorama actual. Como ya hemos dicho, el paradigma comunicacional ha variado, se ha visto alterado por estas plataformas 2.0 generando nuevas maneras de informar y ser informados. Por lo tanto, la principal innovación en esta investigación es que en ella se entremezclan tres elementos que en la práctica están inevitablemente vinculados: las Tecnologías de la Información y la Comunicación en general y las Redes Sociales en particular; la sociedad interconectada y el ciudadano 2.0 "prosumidor"; y el Periodismo, los Medios de Comunicación y el periodista. La actual sociedad "viene marcada por la aparición de nuevos sectores laborales, la complejidad de los procesos y los productos alcanzados, la inmediatez, el progreso y la búsqueda constante de la eficacia, la globalización de los medios de comunicación, el pluralismo ideológico y la multifocalidad de la comunidad. Pero de todos estos hechos, sobresale el hecho de que las nuevas tecnologías giran en torno a todos los procesos de la información y de la comunicación". La realización de esta Tesis Doctoral se justifica por la necesidad de estudiar las características comunicacionales surgidas tras el fenómeno 2.0 y sus repercusiones en el ejercicio, estructura y recepción del Periodismo. Se ha indagado esta temática en primer lugar desde un punto de vista de la teoría, creando un importante corpus teórico sobre nuestro objeto de estudio. Además, se ha realizado un estudio de campo analizando aspectos concretos de nuestro objeto de estudio e intentando vislumbrar algunas dinámicas y tendencias en el Periodismo y la sociedad actual. Por lo tanto, se trata de una justificación doble: la primera consiste en hacer una aportación teórica, lo más completa posible, sobre las características de las Redes Sociales en Internet y el Periodismo y la sociedad bajo el paraguas de la comunicación 2.0; y la segunda es ofrecer un estudio detallado sobre las repercusiones y transformaciones reales que se están dando en el Periodismo y en el contexto social donde éste tiene lugar.

Nowadays society's lifestyle encourages a high rate of consumption of natural resources; many of them are non-renewable, meaning that an inadequate management will lead to a certain degree of scarcity in the medium to long term. The most illustrative example is water, used in almost any human activity, for human consumption, cleaning and domestic use or in industrial processes (even in energy production), either as cooling medium or directly intervening in the productive process, water is present. It was up to the 2000s that the Legislative Authorities were considering water no more than a commercial asset being the implementation of the Water Framework Directive (2000/60/CE) the inception to a mentality change towards water, considering it now more an heritage deserving protection and laying the foundations for the development of specific regulations that will establish minimum quality limits to be achieved prior to the discharge of the effluents into the environment. Specifically, chemical industry undergone a strong development owed to a growing demand for new products to satisfy the needs of the consumers. The manufacture of drugs, personal care products, or pesticides and fertilizers to improve agricultural production has led to the appearance, development and deployment of new organic substances. These are usually toxic, non-biodegradable and highly recalcitrant, thus they are difficult to assimilate for microorganisms, being active in the environment for long periods of time and with unknown effects on the discharge ecosystems. That situation motivates arisen, development and application of new highly oxidizing technologies, aiming the degradation of these emerging compounds and even, depending to their complexity, enhancing the biodegradability of the whole effluent. For this reason, electrochemical processes pose a versatile, useful and powerful tool since only by applying an electric current or potential on the electrodes it is able to generate oxidizing species that interacts with a broad spectra of contaminants, facilitating their removal. Some electrochemical processes have been widely used at industrial scale. For example, electrocoagulation implies an advantage over the conventional coagulationflocculation physicochemical process, since avoids the addition of chemical reagents by the use of sacrificial electrodes, generating a lower amount of sludge, and presenting higher efficiency in the colloids removal. On the other hand, electrodialysis, an electrically assisted membrane process, is able to separate the ions from an influent, yielding a highquality effluent of low ionic charge, being mainly applied in desalination processes aimed to produce drinking water. In spite of involving great advantages such as an easy control of the process and therefore easy automatization, as well as the absence of external reagents, some electro-oxidative processes have not been evaluated further than at laboratory scale. In fact, most of the studies reported in the literature are focused in the development of new materials for electrodes manufacturing, to improve effectiveness and reduce costs associated to this technology. However, it must be highlighted that electrochlorination has been implemented on a larger scale due to the low cost of the electrodes. The scarcity of studies facing these technologies under a realistic approach and for the purification of complex water matrices, has limited the possibilities of electro-oxidative systems from a commercial standpoint. It is important to note that from the ions species naturally contained in certain waters, a large amount and variety of oxidizing species can be generated, which entails an intrinsic improvement over the basic studies using a supporting electrolyte whose only function is to allow the transition of electrons. Furthermore, many of these electrogenerated species are photoactive, which means that just by irradiating the solution with ultraviolet light the generation of even more oxidizing species could be promoted, which results in an increase of the contaminants degradation rate. This has meant that the development, implementation, start-up and evaluation of these systems on a larger scale have not been also addressed in depth, hindering the scale-up of the electro-oxidative process. In this context, the opportunity of this PhD Thesis arises bringing the study of electrochemical technology to a new level closer to reality. The application of electrooxidative processes at pilot plant scale in actual wastewaters is addressed, assessing the operating conditions seeking to improve contaminants removal and water depuration. Combination of electro-oxidative systems with a natural and renewable energy source such as sunlight is also tackled. The first objective addressed was characterization, start-up and optimization of the main operational parameters of a solar photoelectro-Fenton (SPEF) pilot plant able to treat up to 100 L of water developed and installed at Plataforma solar de Almería (PSA) (CIEMAT). The system consists of four electro-cells equipped with a niobium-supported boron doped diamond anode (Nb-BDD) and a carbon-polytetrafluoroethylene (carbonPTFE) gas diffusion cathode (GDE) (Electro MP-Cells from ElectroCell). The cells are connected in parallel to a recirculation tank and this, in turn, to a solar photoreactor based on compound parabolic collectors (CPC) with 2 m2 of illuminated surface. Optimization of the main input variables, pH and current density (j), was carried out to maximize onsite H2O2 electrogeneration with the maximum current efficiency (CE). A central composite experimentaldesign was defined, and after the completion of the 19 experiments proposed in the matrix, by means of the statistical analysis of the results, the adjustment model for H2O2 concentration was obtained: [H2O2] = 2.19 - 0.31 · pH + 0.81 · j - 0.05 · pH · j + 0.15 · pH2 - 2.42 × 10-3 · j 2 , as well as for the CE percentage: = 61.68 - 0.43 · pH - 0.18 · j - 0.0275 · pH · j, and the corresponding response surface graphs. Finally, the model was validated, corroborating that, at pH 3 and applying 73.66 mA cm-2, the maximum production of H2O2 is achieved (64.9 mg min-1) with a CE associated of 89.3%. Once these parameters were established, the influence of the water and air flows, as well as the concentration of the electrolyte on the H2O2 electrogeneration was also studied, reaching the maximum applying a water flow of 5.6 L min-1, an air flow of 10 L min-1, and with 50 mM of Na2SO4. Afterwards, preliminary tests were developed assessing the efficiency in the removal of reference compounds, pyrimethanil and methomyl in a concentration of 50 mg L-1 and 90 mg L-1, respectively, by the application of the different oxidation processes that are able to be developed in the pilot plant system: anodic oxidation (AO), electro-Fenton (EF) and solar SPEF, having as supporting electrolyte a solution of Na2SO4 50 mM. The highest degradation rates were attained by SPEF process: 55% of pyrimethanil and 50% of methomyl after only 5 minutes. This research was performed with the collaboration of Prof. Anastasios J. Karabelas and Dr. Konstantinos V. Plakas of the Chemical Processes and Energy Resources Institute of the Centre for Research and Technology-Hellas (Greece) in the framework of the European project SFERA-II at PSA facilities. Second objective was focused on a real application of the previously optimized electrochemical pilot plant through its combination with a pre-treatment consisting of a nanofiltration (NF) membrane system. Urban wastewater treatment plant effluent was pre-treated for increasing the concentration of organic microcontaminants (OMCs) in the NF retentate stream, together with reducing the total volume to be treated in the tertiary electro-oxidation system. Also noteworthy is the increase in water salinity achieved after the NF system in the retentate, decreasing ohmic resistance and thus facilitating a subsequent tertiary treatment based on electro-oxidation. For studying the behavior of the SPEF system in highly saline and complex matrices, a recipe of simulated NF concentrate was developed from the characterization of concentrates previously reported in literature. Aiming to work at the effluent natural pH, avoiding the addition of reagents for acidification and neutralization, the use of ethylenediamine-N,N'-disuccinic acid (EDDS) as an iron complexing agent in the electro-Fenton (EF) process was evaluated. It was also checked the stability of Fe3+:EDDS complex in the EF process, which was degraded after 15 min of treatment, although iron did not precipitate completely until 30 min. Thereupon, the degradation of four OMCs was studied: pentachlorophenol, terbutryn, chlorfenvinphos and diclofenac (at 200 and 500 µg L-1 of initial concentration each); by AO, EF, SPEF and solar-assisted AO at natural pH, using Fe3+:EDDS (1:2) at 0.1:0.2 mM in EF and SPEF treatments. When using simulated NF retentate, whose chloride concentration was 555 mg L-1, the highest degradation of OMCs (500 µg L-1 of initial concentration each) was obtained using SPEF reaching 85% of total contaminants removal. The reason is that chlorine species generated by solar-assisted AO were not enough to degrade OMCs (75% of total amount), despite the presence of lower organic matter in solution due to the absence of EDDS. On the other hand, EF process was discarded since no improvement was observed with respect to AO, consuming the hydroxyl radicals produced by the Fenton reaction in the degradation of the EDDS instead of the OMCs. The evaluation of the SPEF system for the tertiary treatment of actual wastewater, was carried out by collecting effluent from the secondary treatment of El Ejido WWTP (in Almería, South-East of Spain), after its pre-treatment in the NF pilot plant installed at PSA until reducing the initial volume 4 times. The salinity of the effluent increased from 2.1 - 2.3 mS cm-1 to 6.1 - 6.8 mS cm-1, and the chloride concentration reached 1182 - 1960 mg L-1. The concentrate was spiked with the four target OMCs (100 µg L-1 each) and their degradation was studied by AO, SPEF (with the carbonates naturally contained in the concentrate and reducing them to 20 mg L-1 to diminish the scavenger effect on hydroxyl radicals) and solar-assisted AO. The percentages of degradation of the sum of OMCs after 180 minutes of each applied treatment were 84% (AO), 69% (SPEF with carbonates), 75% (SPEF with low carbonates) and 84% (solar-assisted AO), respectively. In this occasion, the highest percentage of degradation with the lowest electricity consumption, 5.3 kWh m-3, was obtained by solar-assisted AO, since the higher concentration of chlorides promoted a higher generation of active chlorine species. Finally, tertiary treatment by applying solar-assisted AO was chosen for the degradation of 44 OMCs actually contained in the secondary effluent of the WWTP and detected by LC-QqLIT-MS/MS, resulting in the elimination of 80% of the sum. This work was performed in collaboration with Prof. Ana Agüera and Dr. Ana Martínez-Piernas from CIESOL (mixed center CIEMAT-UAL) at the University of Almería. After the experimental program conducted in the electrochemical pilot plant, which began with its start-up and optimization of operation parameters, it was considered to study and diagnose the state of the cathode surface of the cells used in those tests. While cathode usage hours increased, onsite production of H2O2 decreased progressively from 43 mg L-1 of accumulated H2O2 in 30 min, in the first use of the cathode, to 1.5 mg L-1 after several experiments. At the moment an important reduction of the H2O2 electrogenerated was observed, making impossible the effective development of EF and SPEF processes, the cell was disassembled and the autopsy of the cathode surface was carried out by means of scanning electron microscopy and X-rays in order to try to identify the main reasons for the contamination of the cathode and the consequent loss of efficiency. In the images obtained, a loss of the carbon-PTFE coating was detected as well as the formation of iron deposits, justifying the drop in H2O2 electrogenerated with the loss of the electrode active surface. In the framework of the Marie Curie - ALICE project "AcceLerate Innovation in urban wastewater management for Climate change", H2020-MSCA-RISE, the PhD candidate carried out a research internship at the Nanotechnology and Integrated BioEngineering Centre (NIBEC) of the University of Ulster (UK), in collaboration with the Photocatalysis Research Team lead by Prof. John Anthony Byrne. The goal of this collaboration was the development and application of a laboratory-scale photoelectrocatalytic reactor for the simultaneous elimination of OMCs and pathogenic microorganisms in natural water. As a core part of the reactor, two nanotube photoanodes of titanium dioxide were manufactured by anodizing a titanium mesh at 30 V for 3 h and then annealing it at 500°C to promote the anatase phase. The reactor consists of a 190 mL cell with a double photoanode of titanium dioxide nanotubes illuminated by a 9 W UV-A lamp through a quartz window, with an applied irradiation of 50 W m-2. The main objective was the simultaneous removal of OMCs (terbutryn, chlorfenvinphos and diclofenac at 500 µg L-1 of initial concentration each) and pathogens (E. coli as reference bacteria at an initial concentration of 106 CFU mL-1), at the same time that a possible improvement by replacing a counter cathode with no contribution to the degradation process (platinumcoated titanium) by a carbon felt cathode able to electrogenerate H2O2, was evaluated. Assessing separately the degradation of OMCs and the inactivation of E. coli, when applying the photoelectrocatalytic process with platinum cathode, a clear improvement in the inactivation of bacteria was observed (2 Log reduction after 120 minutes of treatment), compared to the photo-catalytic process on its own (0.8 Log reduction in the same treatment time). However, degradation of OMCs remained at the same ratio; around 70% of the sum after 60 min. Replacement of the platinum cathode by a carbón felt cathode increased the efficiency of E. coli inactivation, reducing its concentration in 2.7 Log, although OMCs showed similar degradation percentages. When finally the degradation of OMCs was carried out simultaneously to the inactivation of bacteria by photoelectrocatalysis with carbon cathode, a significant increase in disinfection was observed, reaching the detection limit of the method through a reduction of 4.5 Log. This improvement could be attributed to the presence of methanol from the stock solution where OMCs were pre-dissolved, that acts as a hole scavenger increasing the photocurrent and getting oxidized so generating formaldehyde, a highly toxic substance for microorganisms (LC50 for E. coli = 1 mg L-1). As a consequence of this outcome, the effect of hole scavengers presence in disinfection was evaluated, using acetate and methanol at a concentration of 5 mM. In both cases, as described in literature, an increase in the photocurrent was observed under their presence, observing also an increase in the rate of bacteria inactivation, which was greater in the case of methanol due to the generation of formaldehyde. Finally, as a result of the strong collaboration between the PhD student and the Solar Water Treatment Unit with the electrochemical company DeNora built during transnational access program within SFERA-II project, the evaluation of a commercial electro-oxidation system specially designed for the abatement of chemical oxygen demand in industrial waters and supported by the action of active chlorine spices was carried out. Within the framework of this collaboration, and as part of the objectives developed in this PhD Thesis, the evaluation of a pilot plant equipped with a dimensionally stable anode cell (DSA) manufactured by DeNora was performed, combining it with a solar CPC photoreactor (3.08 m2), reaching a total capacity of 38 L, and with the aim of evaluating the possible improvement in efficiency of two batches of landfill leachates. These leachates were characterized by high organic loads (>2000 mgL-1 of dissolved organic carbon (DOC)) and a high toxicity in one of the batches (53 % of inhibition on activated sludge) so the main purpose was to reduce the toxicity and increase the biodegradability enough for a subsequent combination with a conventional biological treatment (thus reducing the associated operation costs). First step was the treatment of two batches by solar photo-Fenton process, which required an excessive accumulated UV energy (142.2 kJ L-1) to achieve only a 30% reduction of DOC in the first batch of leachate (diluted 1:1 with distilled water). In the second batch it was not possible to perform solar photo-Fenton treatment due to the large amount of foams generated, causing large oscillations of the DOC along the process. Later on, the two batches were treated by electro-oxidation, electro-oxidation by adding H2O2 and electrooxidation combined with solar radiation, being the second batch the one that showed the highest DOC and total nitrogen removal rates, 3.5 g DOC kWh-1 and 18 g TN kWh-1 in the first batch of leachate and 13.4 g DOC kWh-1 and 45.2 g TN kWh-1 in the second batch. After the application of electro-oxidation assisted by solar energy, a reduction on toxicity from 53% to 6% of inhibition, and a sufficient improvement of biodegradability were observed in both batches. This study corroborates the improvement caused by the application of sunlight to the electrochemical treatment of industrial wastewater, which may represent a step forward towards the application of these powerful oxidation systems, presenting themselves as a feasible, sustainable and green alternative to purely electrochemical treatments, with lower operation costs due to lower energy consumption. Resumen: El ritmo de vida impuesto por la sociedad actual conlleva un alto consumo de recursos naturales, muchos de ellos no renovables, por lo que una gestión inadecuada puede producir una escasez de estos a medio o largo plazo. El caso más evidente es el del agua, que se utiliza tanto para consumo humano, en agua de bebida, aseo y labores domésticas, como en procesos industriales, ya sea como refrigerante o como parte del propio proceso de producción. Hasta el año 2000, este recurso ha sido considerado por las autoridades legislativas como un bien comercial, pero a partir de la implantación de la Directiva Marco de Agua (2000/60/EC) pasó a ser considerado como un patrimonio a proteger, sentando las bases para el desarrollo de una normativa más específica que establece unos límites mínimos de calidad a alcanzar previo a la descarga de efluentes en el medio ambiente. Específicamente la industria química ha sufrido un fuerte desarrollo por la creciente demanda de nuevos productos que satisfagan las necesidades de los consumidores. La fabricación de fármacos, productos para el cuidado personal, o plaguicidas y fertilizantes para mejorar la producción agrícola, ha dado lugar a la aparición de nuevas sustancias orgánicas. Estas suelen ser tóxicas, no biodegradables y altamente recalcitrantes por lo que no son fácilmente asimilables por los microorganismos, permaneciendo por largos periodos de tiempo en el medio ambiente sin conocer los efectos que pueden generar en el ecosistema. Por este motivo surge la necesidad de desarrollar y aplicar nuevas tecnologías altamente oxidantes, capaces de reaccionar con estos compuestos degradándolos o mineralizándolos e incluso, dependiendo de su complejidad, mejorando la biodegradabilidad del efluente. Para ello, los procesos electroquímicos suponen una herramienta útil versátil y potente ya que únicamente aplicando una corriente o potencial eléctricos sobre unos electrodos se pueden generar especies altamente oxidantes que interaccionen con esos contaminantes facilitando su eliminación. Algunos de estos procesos electroquímicos han sido ampliamente utilizados a escala industrial. Por ejemplo, la electrocoagulación supone una ventaja respecto al proceso físico-químico convencional de coagulación-floculación, ya que utiliza un electrodo de sacrificio evitando la adición de reactivos, se genera menos lodo y es más efectivo en la eliminación de coloides. La electrodiálisis, un proceso de membrana asistido eléctricamente, es capaz de separar los iones de un influente generando un efluente de alta calidad con muy baja carga iónica siendo principalmente aplicado en procesos de desalación para la obtención de agua potable. Pese a presentar importantes ventajas como la facilidad para controlar el proceso y, por tanto su fácil automatización, así como la ausencia de reactivos externos, algunos procesos electro oxidativos aún no han sido evaluados más que a escala de laboratorio, centrando la mayoría de los estudios recogidos en la literatura en el desarrollo de nuevos materiales para la fabricación de electrodos para la mejora de la efectividad y la reducción de costes asociados a dicha tecnología. Sin embargo, la electro-cloración ha sido el único tratamiento implementado a mayor escala debido al bajo coste de los electrodos. La escasez de estudios aplicando estas tecnologías en situaciones reales, para la purificación de aguas residuales complejas, ha limitado, desde el punto de vista comercial, las posibilidades de los sistemas electro-oxidativos. Es importante mencionar que, a partir de los diferentes iones presentes de forma natural en determinadas aguas, se pueden generar gran cantidad y variedad de especies oxidantes, lo que conlleva una mejora intrínseca en la eficacia del proceso con respecto a una solución salina cuya única función es permitir el tránsito de electrones. Además, muchas de esas especies electro-generadas son fotoactivas, lo que supone que tan sólo con irradiar con luz ultravioleta la solución, se pueden generar especies aún más oxidantes incrementando la tasa de degradación de los contaminantes. Esto ha provocado que el desarrollo, implementación, puesta en marcha y evaluación de estos sistemas a mayor escala tampoco haya sido abordado en profundidad, lo que dificulta su escalado y aplicación industrial. En este contexto surge la motivación de la presente Tesis Doctoral, que aborda la aplicación de procesos oxidativos a escala planta piloto en aguas reales, además de estudiar las condiciones de operación que lleven a un incremento en la degradación de contaminantes y depuración de aguas, combinando el sistema electro-oxidativo con una fuente de luz natural y renovable como es la energía solar. El primer objetivo abordado fue la puesta en marcha, caracterización y optimización de los principales parámetros de operación de una planta piloto de foto electro-Fenton solar (SPEF siglas en inglés) con un volumen máximo de 100 L instalada en la Plataforma Solar de Almería (CIEMAT). El sistema está constituido por cuatro celdas comerciales equipadas con un ánodo de diamante dopado con boro soportado en niobio y un cátodo de difusión de gas de carbono-politetrafluoroetileno (Electro MP-Cells suministradas por ElectroCell). Las celdas están conectadas en paralelo a un tanque de recirculación y éste a su vez a un foto-reactor solar basado en captadores cilindro parabólico compuestos (CPC) con 2 m-2 de superficie iluminada. Se llevó a cabo la optimización de las principales variables de entrada del proceso: el pH y la densidad de corriente (j), para maximizar la electro-generación in situ de H2O2 con la máxima eficiencia en el empleo de la corriente eléctrica (CE). Se definió un diseño experimental central compuesto, de forma que tras la consecución de una matriz de 19 experimentos y a partir del análisis estadístico de los resultados se obtuvo el modelo de ajuste para la concentración de H2O2 generada directamente en el reactor: [H2O2] = 2.19 - 0.31·pH + 0.81·j - 0.05·pH· j + 0.15·pH2 - 2.42×10-3· j2 , y para la CE, = 61.68 - 0.43·pH - 0.18·j - 0.0275·pH·j, así como los gráficos de superficie de respuesta asociados. Finalmente se validó el modelo, corroborando que a pH 3 y aplicando 73.66 mA cm-2 se logra la mayor producción de H2O2, 64.9 mg min-1 con una eficiencia de la corriente aplicada del 89.3%. Una vez establecidos estos parámetros se estudió la influencia del caudal de agua, de aire y la concentración de electrolito en la electro-generación in situ de H2O2, alcanzando el máximo con un caudal de agua de 5.6 L min-1, de 10 L min-1 de aire, y una concentración de Na2SO4 de 50 mM. Posteriormente, se realizaron ensayos preliminares para la evaluación de la eficacia de eliminación de compuestos de referencia, concretamente pirimetanil y metomilo en una concentración de 50 mg L-1 y 90 mg L-1, respectivamente, mediante los diferentes procesos de electro-oxidación que podían llevarse a cabo en la planta piloto empleando como electrolito una solución 50 mM de Na2SO4, desde oxidación anódica (AO, siglas en inglés) hasta foto electroFenton solar (SPEF, siglas en inglés), obteniéndose las mayores tasas de degradación con este último: 55% y 50% de pirimetanil y metomilo, respectivamente, en 5 minutos de tratamiento. Este trabajo se realizó con la colaboración del Prof. Anastasios J. Karabelas y el Dr. Konstantinos V. Plakas del Instituto de procesos químicos y recursos energéticos del Centro para la Investigación y Tecnología-Hellas (Grecia) en el marco del proyecto europeo de capacitación SFERA-II. El segundo objetivo de esta Tesis Doctoral se centró en abordar la aplicación del sistema experimental a escala planta piloto previamente optimizado a un caso real mediante su combinación con un pre-tratamiento con membranas de nanofiltración (NF) del efluente de una Estación Depuradora de Aguas Residuales (EDAR). De esta manera se buscó aumentar la concentración de microcontaminantes orgánicos (OMCs, siglas en inglés) en la corriente de concentrado a la salida de la NF, a la vez que reducir el volumen total a tratar en el sistema terciario de electro-oxidación. Cabe destacar además el aumento en la salinidad del agua que se logra tras el sistema de NF en la corriente de concentrado, disminuyendo la resistencia óhmica y favoreciendo, por tanto, el tratamiento terciario posterior basado en electro-oxidación. Para estudiar el comportamiento del sistema de SPEF en matrices altamente salinas y complejas, se desarrolló una receta de simulado de concentrado de NF a partir de la caracterización de concentrados previamente reportados en la literatura. Con el fin de trabajar al pH natural del agua, evitando la adición de reactivos para acidificar y volver a neutralizar, se evaluó el uso de ácido etilenediamina-N,N'-disuccínico (EDDS) como quelante del hierro en el proceso electro-Fenton (EF). A continuación, se estudió la degradación de cuatro OMCs: pentaclorofenol, terbutrina, clorfenvinfos y diclofenaco (a 200 y 500 µg L1 de concentración inicial cada uno); mediante AO, EF, SPEF y AO asistida por luz solar a pH natural, usando Fe3+:EDDS (1:2) a una concentración 0.1:0.2 mM en los tratamientos EF y SPEF. Cuando se empleó como matriz el agua simulada de concentrado de NF, con una concentración de cloruros de 555 mg L-1, el mayor porcentaje de degradación de los OMCs (500 µgL-1 de concentración inicial cada uno), se obtuvo mediante SPEF, alcanzando el 85% de eliminación del total. Esto se debe a que las especies oxidantes del cloro generadas mediante AO asistida por luz solar no fueron suficientes para degradar los OMCs (75% del total), pese a la presencia de menor materia orgánica en disolución debido a la ausencia de EDDS. Por otro lado, el proceso EF fue descartado ya que no se observó mejora con respecto a AO, consumiendo los radicales hidroxilo generados por la reacción Fenton en la degradación del EDDS. Para la evaluación de este sistema de electro-oxidación en agua real, se recolectó efluente del tratamiento secundario de la EDAR de El Ejido y se pre-trató en el sistema piloto de NF disponible en la Plataforma Solar de Almería, hasta reducir el volumen inicial 4 veces (factor de concentración de 4). La salinidad del agua se incrementó de 2.1 - 2.3 mS cm-1 a 6.1 - 6.8 mS cm-1, con una concentración de cloruros final entre 1182 – 1960 mg L-1. El concentrado generado fue fortificado con los cuatro OMCs evaluados en el trabajo previo con agua simulada (100 µg L-1 de cada uno) y se estudió su degradación mediante AO, SPEF (con los carbonatos naturalmente contenidos en el concentrado y reduciéndolos a 20 mg L-1 para disminuir la interacción con los radicales hidroxilo) y AO asistida por luz solar. Los porcentajes de degradación de la suma total de OMCs tras 180 minutos de tratamiento fueron 84%, 69%, 75% y 84%, respectivamente. En esta ocasión, el mayor porcentaje de degradación con el menor consumo eléctrico, 5.3 kWh m-3, se obtuvo mediante AO asistida por luz solar, ya que la mayor concentración de cloruros promovió una mayor generación de especies activas del cloro. Finalmente, se escogió el tratamiento terciario mediante AO asistida por luz solar para la degradación de 44 OMCs realmente contenidos en el efluente secundario de la EDAR y detectados mediante LC-QqLIT-MS/MS, consiguiendo eliminar el 80% del total. Este trabajo se llevó a cabo en colaboración con la Prof. Ana Agüera y la Dra. Ana Martínez-Piernas del CIESOL (centro mixto CIEMAT-UAL) en la Universidad de Almería. Tras el programa experimental realizado en la planta piloto de electro-oxidación iniciando con su puesta en marcha y optimización de parámetros de operación, se consideró estudiar y diagnosticar el estado de la superficie de los cátodos de las celdas empleadas en dichos ensayos. A medida que las horas de uso del cátodo se incrementaron, la producción in situ de H2O2 sufrió un progresivo descenso, desde 43 mg L-1 de H2O2 acumulado en 30 min, en el primer uso del cátodo, a 1.5 mg L-1 en el peor de los casos. En el momento en el que se observó una importante reducción de la electrogeneración de H2O2 que imposibilitaba el correcto desarrollo de los procesos EF y SPEF, se procedió al des ensamblaje de la celda y se realizó la autopsia de la superficie del cátodo mediante microscopía electrónica de barrido y rayos X, con objeto de intentar discernir los motivos principales del ensuciamiento del mismo y la consiguiente pérdida de eficiencia. En las imágenes obtenidas se observó una pérdida del recubrimiento de carbono-politetrafluoroetileno además de la formación de depósitos de hierro, justificando la caída en electrogeneración de H2O2 con la pérdida de superficie activa del electrodo. Como parte de las actividades recogidas en el proyecto Marie Curie - ALICE "AcceLerate Innovation in urban wastewater management for Climate changE", H2020- MSCA-RISE, la doctoranda realizó una estancia de investigación en el Centro de Nanotecnología y Bioingeniería Integrada (NIBEC) de la Universidad de Ulster (Reino Unido), en colaboración con el grupo de Investigación en Fotocatálisis liderado por el Prof. John Anthony Byrne. El objetivo de dicha colaboración fue el desarrollo y aplicación de un reactor foto-electro-catalítico a escala de laboratorio, para la eliminación simultánea de OMCs y microorganismos patógenos en agua natural. Como parte fundamental del reactor, se fabricaron dos foto-ánodos de nanotubos de dióxido de titanio mediante la anodización de una malla de titanio a 30V durante 3h y su posterior recocido a 500°C para promover la fase anatasa. El reactor consiste en una celda de 190 mL con un doble foto-ánodo de nanotubos de dióxido de titanio iluminados por una lámpara ultravioleta de 9 W a través de una ventana de cuarzo, con una irradiación aplicada de 50 W m-2. El objetivo del tratamiento fue la eliminación simultánea de OMCs (terbutrina, clorfenvinfos y diclofenaco a 500 µg L-1 de concentración inicial cada uno) y patógenos (E. coli como bacteria de referencia en una concentración inicial de 106 UFC mL-1), evaluando además la posible mejora al sustituir un cátodo sin contribución en el proceso de degradación, titanio recubierto de platino, por uno de fieltro de carbono capaz de electrogenerar H2O2. Evaluando por separado la degradación de los OMCs e inactivación de E. coli, en la aplicación del proceso foto-electro-catalítico con cátodo de platino se observa una clara mejora en la inactivación de la bacteria (2 Log de reducción tras 120 minutos de tratamiento), con respecto al proceso foto-catalítico sólo (0.8 Log de reducción en el mismo tiempo de tratamiento). Sin embargo, la degradación de OMCs se mantuvo en el mismo ratio, en torno al 70% del total tras 60 min. Al sustituir el cátodo de platino por uno de fieltro de carbono se incrementó la eficacia en la inactivación de E. coli, reduciendo su concentración en 2.7 Log, aunque los OMCs mostraron porcentajes de degradación similares. Cuando finalmente se llevó a cabo la degradación de OMCs de forma simultánea a la inactivación de bacterias mediante foto-electrocatálisis con cátodo de carbono, se observó un aumento significativo en la desinfección, alcanzando el límite de detección del método con una reducción de 4.5 Log. Esta mejora se debe a la presencia de metanol procedente de la solución en la que van pre-disueltos los OMCs, que actúa como neutralizador de huecos aumentando la fotocorriente y que además se oxida generando formaldehido, una sustancia altamente tóxica para los microorganismos (LC50 for E. coli = 1 mg L-1). Como consecuencia de este resultado, se evaluó el efecto de la presencia de sustancias neutralizadoras de huecos en la desinfección, utilizando para ello acetato y metanol en una concentración de 5 mM. En ambos casos, como está descrito en la literatura, se observó un aumento en la fotocorriente respecto a la alcanzada por el sistema en ausencia de ellos y, por lo tanto, se produjo un incremento en la tasa de inactivación de la bacteria siendo mayor en el caso del metanol por la generación de formaldehido. Finalmente, y como resultado de la estrecha colaboración de la doctoranda y la Unidad de Tratamientos Solares del Agua en el proyecto SFERA-II con la empresa DeNora, se llevó a cabo la evaluación de un sistema comercial de electro-oxidación especialmente diseñado para la reducción de demanda química de oxígeno en aguas industriales y basado en la acción de las especias activas del cloro. En el marco de esta colaboración, y como parte de los objetivos desarrollados en esta Tesis Doctoral, se llevó a cabo la evaluación de una planta piloto equipada con una celda de ánodos dimensionalmente estables (DSA, siglas en inglés) procedente de DeNora, combinándola con un reactor solar CPC, con una capacidad total de 38 L y con el objetivo de evaluar la posible mejora en la eficiencia del tratamiento de lixiviados de vertedero. Dichos lixiviados presentaban una alta carga orgánica (>2000 mg L-1 de carbono orgánico disuelto (DOC)), siendo el objetivo del tratamiento disminuir su toxicidad e incrementar su biodegradabilidad para poder combinar finalmente con un posterior tratamiento biológico (logrando así reducir los costes de operación asociados). En primer lugar se llevó a cabo el tratamiento de los dos lotes de concentrado de lixiviados mediante foto-Fenton solar, observando una necesidad de energía UV acumulada excesiva (142.2 kJ L-1) para lograr sólo un 30% de reducción del carbono orgánico disuelto (DOC, siglas en inglés) en el primer lote de lixiviados (diluido 1:1 con agua destilada). En el segundo lote no fue posible llevar a cabo el tratamiento de foto-Fenton solar a causa de la gran cantidad de espumas generada, que provocó grandes oscilaciones del DOC imposibilitando su seguimiento. Posteriormente se trataron los lixiviados mediante electro-oxidación, electro-oxidación añadiendo H2O2 y electro-oxidación combinada con radiación solar, siendo este último el que mayores tasas de degradación de DOC y de nitrógeno total mostró, 3.5 g DOC kWh-1 y 18 g TN kWh-1 en el primer lote de lixiviado tratado y 13.4 g DOC kWh-1 y 45.2 g TN kWh-1 en el segundo lote. Con este tratamiento, el primer lote de lixiviados, que presentaba una toxicidad del 53% de inhibición en la tasa de consumo de oxígeno por parte de fangos activos de EDAR, disminuyó su toxicidad al 6% de inhibición, y en ambos lotes estudiados se incrementó su biodegradabilidad hasta valores adecuados para la posterior aplicación de un tratamiento biológico. Gracias a este estudio se corrobora la mejora que supone la aplicación de la luz solar a los tratamientos electroquímicos de aguas industriales, lo que puede significar un paso adelante hacia la aplicación de estos sistemas altamente oxidantes presentándose como alternativa viable, sostenible y verde, a los tratamientos puramente electroquímicos, suponiendo unos costes de explotación menores debido al menor consumo energético.

1.Introduzione Nel 2014, nell'ambito dell'Agenzia Europea Frontex, prese avvio l'operazione Triton, coordinata dall'Italia. Da quel momento e fino al 2018, tutte le persone soccorse in mare dovevano essere portate in salvo sulle coste italiane. Una volta arrivate sul territorio, queste persone dovevano essere messe nella condizione di potere avanzare una richiesta di asilo o di protezione internazionale. Il già esistente sistema di accoglienza dedicato alle persone richiedenti asilo (SPRAR) si basava sulla disponibilità volontaria degli enti locali e non era in grado di gestire l'elevato numero di persone in arrivo. Furono per questa ragione istituiti (art. 11 Dlgs. n.142/2015) i Centri di Accoglienza Straordinaria (CAS) sotto la diretta gestione degli Uffici Territoriali del Governo (Prefetture). I CAS erano quindi pensati come strutture temporanee ed emergenziali. Le azioni messe in atto dai CAS dovevano, innanzitutto, rispondere ai bisogni primari delle persone accolte, in termini di vitto, alloggio e assistenza sanitaria. Ma, a dispetto del loro carattere temporaneo, e alla stregua dello SPRAR, i CAS avevano l'obbligo di svolgere attività (apprendimento della lingua italiana, istruzione, formazione, inserimento nel mondo del lavoro e nel territorio, assistenza legale e psicosociale) finalizzate all'acquisizione di strumenti di base per favorire i migranti accolti nei processi di integrazione, di autonomia e di acquisizione di una cittadinanza consapevole. 1.1 I richiedenti asilo: L'accoglienza in Italia e una possibile traiettoria resiliente La maggior parte dei richiedenti asilo proveniva dall'Africa subsahariana o dall'Asia Meridionale (Afghanistan e Bangladesh e Pakistan) e aveva alle spalle un lungo viaggio di cui la traversata mortifera via mare o attraverso i Balcani o il Caucaso era solo l'ultima tappa. La durata media del viaggio dal paese di origine era di venti mesi, che si svolgevano quasi sempre al limite della soglia di sopravvivenza. È ormai ben documentato il fatto che la privazione di cibo, di ripari, l'affaticamento estremo, il senso di minaccia, i maltrattamenti ripetuti, i lutti dovuti alla perdita di persone care durante gli spostamenti sono condizioni che accomunavano tutti questi percorsi migratori. A queste, si aggiungeva, per la maggior parte di loro, un periodo di reclusione, che poteva superare l'anno, nei centri di detenzione della Libia dove le condizioni disumane, la pratica sistematica della tortura e della violenza sessuale sono state rese note e denunciate dalle principali organizzazioni internazionali, come Medici Senza Frontiere e Amnesty International (Fondazione Migrantes, 2018). Inoltre, l'alto potenziale traumatico di queste esperienze si aggiunge a vissuti altrettanto tragici legati alle circostanze di vita nel paese di partenza che aumentano la vulnerabilità dei migranti. Infatti, questi sono il più delle volte costretti a scappare da condizioni di instabilità politica, di gravi conflitti interni civili e di estrema povertà. È per quanto fin qui descritto che si può affermare che le persone in arrivo nei CAS sono portatrici di storie potenzialmente traumatiche e ad alta complessità psicosociale che richiedono un'attenzione particolare. Le pratiche d'accoglienza che vengono messe in atto nei centri devono tenere conto di tale complessità nel rispondere ai bisogni di ogni persona, sia nella dimensione psicologica sia in quella sociale. In questo modo, nel cercare di raggiungere l'obiettivo ultimo dell'integrazione dei richiedenti accolti, i progetti d'accoglienza potrebbero favorire la definizione di un loro processo di resilienza che li porti a vivere una condizione socialmente accettabile e di benessere. Il concetto di resilienza ha suscitato molto interesse in letteratura negli ultimi decenni. Un primo dato storico nell'evoluzione della teorizzazione di questo concetto (Cicchetti & Garmezy,1993) è lo spostamento dell'interesse dalla patologia e dalla vulnerabilità alla resilienza, che si può ricondurre alla diffusione di una prospettiva positiva e salutogena nella ricerca e nella pratica clinica e psicosociale (Bonanno & Diminitch, 2013; Bonanno, Westphal, & Mancini, 2011; Cicchetti, 2013; Cyrulnik & Malaguti,2015; Walsh, 2016). Negli anni il concetto di resilienza è stato indagato a partire da diversi approcci. Da alcuni autori (Costa & McRae, 1980) è stato studiato come un tratto di personalità, stabile e fisso, da altri (Wagnild & Young, 1993) come l'abilità di fronteggiare e adattarsi positivamente a eventi stressanti o avversivi. Cicchetti (2013), concettualizzando la resilienza come un processo, ha concentrato l'attenzione sui fattori che lo determinano, con particolare interesse a quelli genetici e neurali. Bonanno e Diminitch (2013) si sono, invece, concentrati su quei fattori di rischio o quelle condizioni esistenziali potenzialmente vulnerabili che possono determinare il processo e che gli autori (Bonanno et al., 2011) definiscono come eventi potenzialmente traumatici (EPT). Rutter (2012), da parte sua, ha teorizzato la resilienza come un concetto dinamico dato dalla continua interazione tra i fattori protettivi e di rischio, portando all'attenzione l'influenza ambientale. Tuttavia, sebbene l'autore (Rutter, 2012) abbia messo in luce la funzione dell'ambiente nel processo di resilienza, sono gli approcci più ecologici e sociali (Anaut, 2005; Cyrulnik, 2001; Cyrulnik & Malaguti, 2015; Malaguti, 2012; Walsh, 2016) che hanno enfatizzato e dato maggiore importanza ai fattori contestuali, sociali, familiari e relazionali nella definizione del processo di resilienza. In particolare, secondo Cyrulnik (2001), posti i fattori di protezione, il processo non può avvenire che nell'ambito di relazioni significative. Nello specifico, l'autore distingue tre elementi fondamentali che rendono conto, nell'insieme, del processo: 1- le esperienze pregresse nell'infanzia e nella storia personale dell'individuo, la qualità dei legami di attaccamento e la capacità di mentalizzazione; 2- il trauma e le sue caratteristiche (strutturali, contingenti ed emotive e sociali); 3- la possibilità di risignificare la tragedia avvenuta attraverso il sostegno affettivo e la relazione d'aiuto, descritta, genericamente come l'incontro con l'Altro. Secondo l'autore, la persona costruisce nel proprio passato, in particolar modo durante l'infanzia, attraverso il legame di attaccamento sufficientemente sicuro, le risorse e la capacità di mentalizzazione utili per affrontare e risignificare il trauma. È in questo spazio relazionale quindi che la persona forma una rappresentazione di Sé come persona amabile, capace di affidarsi e di costruire relazioni forti e significative anche in futuro. La capacità e la possibilità di costruire queste relazioni sono viste come le condizioni che possono aiutare la persona a riconoscere le risorse da attivare per superare la profonda ferita incisa dall'esperienza traumatica e per ristabilire un equilibrio nella propria esistenza. Nell'ultima fase della sua teoria l'autore specifica l'importanza di una figura che chiama tutore di sviluppo o di resilienza, le cui caratteristiche e funzioni sono approfonditamente delineate nella pubblicazione di Lighezzolo, Marchal, & Theis (2003). Secondo gli autori, il tutore di resilienza deve favorire un processo di autonomia e ri-strutturazione del sé, trasmettere sapere, fornire esempi e modelli che permettano e legittimino l'errore; non deve quindi ricoprire un ruolo insostituibile e onnipotente. Il tutore di resilienza, sia esso una persona adulta informale o una figura istituzionalizzata nel sistema di cura e presa in carico della persona, è una risorsa esterna che coadiuva nel processo di resilienza. In questo ultimo caso, la formazione e la definizione del ruolo dell'operatore nel processo di presa in carico contribuiranno alla costruzione di un efficace intervento sociale e clinico per la promozione della resilienza nell'assistito (Manciaux, 2001). Negli ultimi anni, una serie di rassegne internazionali (Agaibi & Wilson, 2005; Siriwardhana, Ali, Roberts, & Stewart, 2014; Sleijpen, Boeije, Kleber, & Mooren. 2016) e in Italia (Tessitore & Margherita, 2017), hanno tentato di sistematizzare i risultati degli studi sul processo di resilienza nell'esperienza potenzialmente pluritraumatica della migrazione, con particolare attenzione alla condizione esistenziale di rifugiato. I risultati evidenziano e si concentrano, soprattutto, sui principali fattori di rischio e quelli protettivi che possono intervenire nel processo di resilienza a seguito di queste esperienze pluritraumatiche. In questi lavori emerge, tuttavia, la necessità per la ricerca di individuare strategie e procedure per interventi e pratiche mirati ed efficaci a promuovere il processo di resilienza nei contesti dell'accoglienza. In particolare, rispetto al contesto italiano si riscontra che sono stati svolti pochi studi sul tema, ancora da approfondire (Tessitore & Margherita, 2017). L'analisi approfondita delle pratiche costruite e messe in atto nell'ambito dell'accoglienza negli ultimi anni in Italia risulta rilevante per una sistematizzazione di conoscenze e competenze e utili per la progettazione di interventi psicosociali efficaci. La presente ricerca si poneva l'obiettivo di studiare, se e in che misura, le pratiche dell'accoglienza e le strategie di intervento messe in atto nel sistema CAS di Parma e Provincia abbiano favorito un processo di resilienza nei richiedenti asilo accolti. Inoltre, si poneva l'obiettivo di comprendere se e in che modo l'operatore dell'accoglienza potesse svolgere una funzione di tutore di resilienza. Poiché basandosi sulla teorizzazione di Cyrulnik (2001), l'esito del processo di resilienza è dato dall'interazione dei fattori protettivi individuali, dalla qualità/intensità del trauma e/o comunque delle situazioni avverse e dall'incontro con i possibili tutori di resilienza, il progetto si è sviluppato in due fasi e ha tenuto conto sia dell'esperienza dei richiedenti asilo sia di quella degli operatori. Rispettivamente, nella prima fase l'obiettivo della ricerca si proponeva di individuare le risorse/vincoli personali presenti nella biografia dei richiedenti asilo, i vissuti emotivi e la qualità dei legami stabiliti nel passato, di individuare le risorse/vincoli messe in gioco durante il viaggio e, infine, di individuare le risorse/vincoli con funzione protettiva dal momento dell'arrivo in Italia e in particolare nel CAS di residenza e nella relazione con gli operatori. Nella seconda fase, la ricerca mirava a individuare le risorse e le competenze, rintracciabili nelle biografie degli operatori dei CAS messe in gioco nella pratica professionale e di conoscere le loro motivazioni alla base della scelta professionale, e a comprendere il significato e l'uso consapevole della relazione con i richiedenti asilo nella loro pratica professionale e, infine, a valutare la qualità della loro vita professionale tenendo conto del forte carico emotivo dovuto alla relazione con i richiedenti asilo e il loro vissuti traumatici. 2. Migrazione ed Europa: Una revisione sistematica sulla promozione della resilienza dei richiedenti asilo negli Stati membri dell'Unione Europea. La migrazione è un fenomeno complesso determinato dall'interazione di fattori di espulsione e di attrazione. L'Europa ha sempre svolto un ruolo di attrazione nei flussi migratori. Negli ultimi anni, le direttive per gli Stati membri hanno mirato a promuovere il benessere dei richiedenti asilo. È importante sviluppare la resilienza per raggiungere il benessere delle persone. L'obiettivo della revisione sistematica è stato quello di esplorare come viene studiata la resilienza nei richiedenti asilo nei paesi dell'UE. Sono stati consultati i database internazionali PsycINFO, PubMed, Web of science, Scopus, MEDLINE, Psychology e behavioural collection. Gli articoli sono stati analizzati secondo i criteri PRISMA. Sono stati ottenuti 12 articoli. Dall'analisi qualitativa sono emersi tre approcci principali e quattro principi teorici fondamentali che potrebbero guidare lo studio della resilienza in contesti migratori. Lo studio della resilienza può essere orientato verso un approccio clinico, clinico e sociale o psicosociale. Inoltre, la ricerca ha tenuto conto della necessità di costruire una nuova narrazione di sé e della propria storia nei richiedenti asilo, di restituire agency ai richiedenti asilo, di valorizzare il proprio contesto culturale e quello del paese ospitante e di promuovere una democratizzazione del sistema istituzionale di accoglienza. Si suggeriscono implicazioni per le politiche degli Stati membri dell'UE coinvolti in prima linea nella gestione dell'accoglienza in Europa. Data la limitata letteratura sull'argomento, questa rassegna suggerisce una nuova e originale visione di presa in carico dei richiedenti asilo attraverso una maggiore implementazione di interventi focalizzati sull'individuo e sulle sue risorse. 3. Promozione della salute psicosociale nei migranti: una revisione sistematica della ricerca e degli interventi sulla resilienza nei contesti migratori. La resilienza è identificata come una capacità chiave per prosperare di fronte a esperienze avverse e dolorose e raggiungere un buono stato di salute psicosociale equilibrato. Questa revisione mirava ad indagare come la resilienza è intesa nel contesto della ricerca sul benessere dei migranti e come gli interventi psicosociali sono progettati per migliorare la resilienza dei migranti. Le domande della ricerca hanno riguardato la concettualizzazione della resilienza, le conseguenti scelte metodologiche e quali programmi di intervento sono stati indirizzati ai migranti. Nei 63 articoli inclusi, è emersa una classica dicotomia tra la resilienza concettualizzata come capacità individuale o come risultato di un processo dinamico. È anche emerso che l'importanza delle diverse esperienze migratorie non è adeguatamente considerata nella selezione dei partecipanti. Gli interventi hanno descritto la procedura ma meno la misura della loro efficacia. 4. Il sistema d'accoglienza straordinaria di Parma e provincia: soddisfazione e benessere percepito dai migranti accolti. I servizi e le progettualità messi in atto nei CAS mirano a favorire integrazione, autonomia e benessere. Questi obiettivi si strutturano sull'attivazione e promozione di risorse dei richiedenti asilo. Nello specifico, vanno ad innestarsi sulle loro abilità, sulle conoscenze, sulle competenze, sulla loro agency e sulla capacità di proiettarsi verso un futuro. Poiché i richiedenti asilo sono i principali attori e fruitori di questi servizi, la valutazione di efficacia e di raggiungimento degli obiettivi preposti deve tenere conto necessariamente del loro punto di vista. I richiedenti asilo che hanno partecipato allo studio erano circa il 20% della popolazione dei richiedenti asilo adulti presenti nel territorio di Parma e provincia. Per la stratificazione del campione si è tenuto conto della variabile del paese di origine, della collocazione sul territorio provinciale (distretto) e il tempo di permanenza nel sistema CAS. È stato costruito un questionario ad hoc che mirava ad indagare la percezione di autonomia, di benessere personale, di soddisfazione verso sé stesso, la percezione di essere rispettato nelle proprie tradizioni culturali e la soddisfazione verso il servizio. Il questionario constava di una parte introduttiva, che forniva una breve descrizione al partecipante delle finalità d'indagine, e di diverse sezioni, che indagavano e approfondivano specifiche aree (temi) di interesse. Le prime due aree hanno rilevato i dati socio-anagrafici e il viaggio dei richiedenti asilo. La terza e la quarta area hanno indagato l'accoglienza nel centro e la struttura in cui risiedeva il beneficiario. Le altre aree si sono concentrate sui servizi primari (beni e servizi di prima necessità, assistenza medica) e servizi secondari (assistenza legale, lingua italiana, sostegno psicosociale, lavoro, mediazione culturale, orientamento al territorio e tempo libero) che gli venivano offerti. Le ultime sezioni si focalizzavano sul rapporto con gli operatori, sul progetto individualizzato e sui propri piani futuri. Alla fine del questionario vi era una breve sezione che mirava ad indagare la soddisfazione generale verso l'intero processo di accoglienza in Italia e la specifica esperienza nel territorio di Parma e provincia. Sono state effettuate delle analisi ed elaborazioni statistiche descrittive tramite il software SPSS. Dal questionario è emerso un quadro complessivo dei servizi offerti e una mappatura delle pratiche messe in atto all'interno delle strutture a partire dal punto di vista dei richiedenti asilo. Questi hanno espresso una generale soddisfazione del sistema accoglienza in Italia e in particolare di quella ricevuta a Parma. Hanno riportato un senso di protezione e sicurezza e una generale percezione di capacità e autonomia raggiunta in molti dei servizi e ambiti della quotidianità. Le aree più critiche sono risultate essere l'assistenza legale, l'avviamento lavorativo, la creazione di relazioni sociali con italiani nel tempo libero, la progettazione individualizzata e in particolare il sostegno psicosociale e, infine, la progettazione futura. In queste aree i richiedenti asilo hanno espresso una bassa soddisfazione verso il servizio di sostegno ricevuto, una scarsa consapevolezza di sé e delle proprie capacità e una bassa percezione di un'autonomia conquistata dal singolo servizio e, più in generale, dalla struttura d'accoglienza. 5. Vissuti, fattori di protezione e fattori di rischio nelle biografie dei richiedenti asilo: la definizione di traiettorie di resilienza nei Centri d'Accoglienza Straordinaria. I richiedenti asilo sono portatori di storie potenzialmente traumatiche a seguito delle quali possono vivere distress psicologico e PTSD nel paese d'accoglienza. Qui vengono inseriti in programmi che mirano a favorire benessere psicologico e integrazione. Tale processo è definito resilienza, La resilienza è un processo che vede le persone impegnate a guarire da esperienze dolorose, a prendersi cura della propria vita per continuare a svilupparsi positivamente in modo socialmente accettabile. Il presente studio mira a comprendere i fattori di protezione e le risorse personali e sociali che possono favorire il superamento dei traumi e un processo di resilienza nei richiedenti asilo. Sono stati somministrati 29 test CORE-10 e questionari costruiti ad hoc per il sostegno sociale percepito e condotte altrettante interviste in profondità. Con risultati moderati e gravi di distress psicologico nei partecipanti, sono emersi fattori protettivi e risorse già nella fase pre-migratoria. I legami di accudimento sembrano svolgere una funzione protettiva anche durante l'accoglienza, favorendo la costruzione di rapporti di fiducia. Il supporto sociale della comunità d'accoglienza e quello degli operatori nei centri possono influenzare la definizione di traiettorie resilienti. Lo studio solleva implicazioni di tipo clinico e sociale. Nei suoi limiti lo studio vuole essere un'apertura a nuovi approfondimenti di ricerca. 6. La qualità della vita professionale di chi lavora con i richiedenti asilo: Compassion Staisfaction, Burnout e Secondary Traumatic Stress negli operatori dell'accoglienza In Italia negli ultimi anni sono stati strutturati Centri di Accoglienza Straordinaria per rispondere ai bisogni primari e secondari dei richiedenti asilo approdati sulle coste mediterranee. A seguito dell'apertura dei CAS, sul territorio nazionale si è formato un nuovo corpo professionale, i professionisti dell'accoglienza. Poiché inizialmente non è stata richiesta una formazione specifica in base al contesto e agli obiettivi posti, il loro profilo professionale derivava tendenzialmente dai diversi percorsi formativi e lavorativi precedenti. Considerando il mandato istituzionale del loro lavoro, quale favorire l'accoglienza e una completa presa in carico dei richiedenti asilo, i professionisti dell'accoglienza sono quotidianamente coinvolti nella relazione con gli accolti ed esposti ai racconti traumatici o ai sintomi agiti di questi. Infatti, i richiedenti asilo sono persone spesso profondamente traumatizzate dalle esperienze passate, dal viaggio, ma anche disorientate e impreparate per la complessa esperienza dell'accoglienza e dell'integrazione. Questo aspetto del lavoro con i richiedenti asilo può influenzare il clima e la qualità della vita professionale dei professionisti dell'accoglienza. Infatti, come nelle altre professioni d'aiuto continuamente esposte a eventi stressanti o traumatici, anche nel lavoro di cura e accoglienza dei richiedenti asilo è alto il rischio di sviluppare i sintomi negativi associati al burnout e al trauma vicario. Sebbene, negli ultimi venti anni, la qualità della vita professionale sia stata ampiamente approfondita in diversi settori, non risultano studi che esplorino questo tema tra i professionisti del settore dell'accoglienza. In questo studio è stato sottoposto il questionario ProQOL 5 ai professionisti dell'accoglienza dei Centri di Accoglienza Straordinaria di Parma e provincia, attivamente coinvolti nella relazione d'aiuto con i richiedenti asilo, con lo scopo di definire lo stato di benessere psicosociale rispetto alla loro qualità di vita professionale. Anche se si è dimostrato che mediamente i professionisti dell'accoglienza riportano una buona soddisfazione nello svolgere il proprio lavoro, sono emersi tre profili. Il primo gruppo sembra esprimere soprattutto Burnout, il secondo gruppo una maggiore Compassion Satisfaction e il terzo gruppo un malessere evidente sia per il Burnout che per il Secondary Traumatic Stress. I dati ottenuti permettono di colmare parzialmente un vuoto nella letteratura di settore. Inoltre, la rilevanza dei dati spinge alla riflessione sulla possibilità di incoraggiare interventi efficaci di prevenzione e management delle organizzazioni, al fine di favorire il benessere psicosociale di questo corpo professionale emergente. 7. Essere professionisti dell'accoglienza: l'importanza di un uso consapevole del Se' nella relazione d'aiuto e la funzione del tutore di resilienza. All'interno dei CAS sono stati impiegati professionisti di differenti background formativi ed esperienziali. Appannaggio degli operatori è l'attivazione dei servizi interni ed esterni e il monitoraggio di tutte le fasi del progetto di accoglienza. La presa in carico si configurerebbe come una relazione d'aiuto possibile attraverso la compresenza di diversi aspetti di Sé. Chi lavora con i richiedenti asilo deve affrontare e gestire vissuti potenzialmente traumatici che influenzano il buon esito dell'intervento clinico-sociale. Nel favorire benessere psicologico nei beneficiari, gli operatori svolgono funzioni che richiamano quelle del tutore di resilienza. In questo studio si è esplorata la rappresentazione dei professionisti dell'accoglienza e la consapevolezza di Sé a partire dal loro punto di vista. Sono stati condotti tre focus group e le trascrizioni verbatim sono state analizzate secondo l'approccio IPA. Sono emersi tre aspetti del Sé (Sé personale, Sé professionale e Sé burocrate). Il Tempo e il Contesto sociale sono risultate possibili variabili che influenzano la relazione d'aiuto. Lo studio propone implicazioni di ricerche future e di policy. 8. Conclusioni Negli anni il sistema italiano dell'accoglienza si era ormai rodato e formalizzato su due principali dispositivi: il sistema SPRAR e i cosiddetti Centri di Accoglienza Straordinaria (CAS). Tuttavia, negli ultimi due anni, con il cosiddetto decreto Salvini (D.lg. 4/19/2018 n° 113), si è assistito ad un graduale ridimensionamento dei numeri degli accolti e ad una conseguente chiusura di strutture del sistema CAS. Pertanto, assume rilevanza e importanza capitalizzare le esperienze di accoglienza e comprenderne maggiormente le potenzialità e i limiti. Con la presente ricerca e le analisi delle pratiche d'accoglienza e delle progettualità messe in atto all'interno del sistema CAS sono emersi due risultati principali. Il primo risultato emerso è che i richiedenti asilo accolti abbiano consapevolezza delle risorse e dei fattori protettivi che hanno acquisito nell'arco di vita. Inoltre, si è evidenziata una forte e imprescindibile interdipendenza tra i vissuti psicologici, i bisogni e le risorse dei richiedenti asilo e la funzione relazionale dell'operatore dell'accoglienza. Dalla ricerca è emerso che il valore di tale interdipendenza, non essendo riconosciuto formalmente e quindi esplicitamente richiamato nelle norme e regolamentazioni, era dipeso da un reciproco riconoscimento dei richiedenti asilo accolti e degli operatori. Tuttavia, questa relazione, se opportunamente strutturata e formalizzata, può favorire la definizione di traiettorie di resilienza e il raggiungimento degli obiettivi di integrazione, autonomia e benessere psicosociale. Al momento in cui è stata condotta la ricerca, questi obiettivi erano parzialmente raggiunti. Infatti, sebbene nel sistema d'accoglienza i richiedenti asilo abbiano percepito di essere in un luogo sicuro e protetto e fossero generalmente soddisfatti dei servizi offerti, hanno riportato livelli medio-alti di disagio psicologico. Il valore traumatico delle loro esperienze di vita è stato esplorato e compreso nella sua diacronicità, in quanto i vissuti traumatici sono rintracciabili non solo durante il viaggio ma già nelle esperienze pre-migratorie. Le biografie dei richiedenti asilo sono segnate da profonde ferite, che spesso risalgono a perdite, lutti o tradimenti da parte delle figure significative dell'infanzia o della comunità allargata, fino a sentirsi espulsi dalle politiche disattente degli Stati d'appartenenza. Anche l'arrivo in Italia e l'inserimento nel sistema d'accoglienza comportano sfide esistenziali, che in alcuni casi arrivano a reiterare esperienze traumatiche passate. Nonostante questo, i richiedenti asilo hanno mostrato consapevolezza delle proprie risorse e dei fattori di protezione acquisiti già durante l'infanzia, attraverso le relazioni significative e di accudimento. Queste risorse hanno svolto una funzione di protezione e sostegno nel loro sforzo psicologico di fronteggiare e sopravvivere alle avversità incontrate in tutto l'arco di vita. Nonostante la loro consapevolezza e tenuto conto della permanenza relativamente lunga nel sistema d'accoglienza, è risultato che le esperienze traumatiche non trovano uno spazio adeguato di ascolto e di ri-significazione una volta inseriti nei progetti di accoglienza. Le caratteristiche strutturali e organizzative del sistema non sembrano favorire quell'incontro con l'Altro che può garantire la rielaborazione delle esperienze passate e riattribuire senso e agency alla propria vita, anche nella quotidianità. Al contrario, i richiedenti asilo sono consapevoli di ritrovarsi in una posizione di svantaggio rispetto al potere decisionale sui loro progetti di vita. Non sono coinvolti nelle scelte progettuali e non percepiscono una crescita personale nelle competenze e nelle capacità necessarie per rendersi autonomi. Tuttavia, i richiedenti asilo riconoscono negli operatori degli interlocutori diretti che svolgono un ruolo di congiunzione con la società ospitante. Nello svolgimento del proprio ruolo, gli operatori possono aprirsi ad un ascolto attivo di tutte le parti della biografia dei richiedenti asilo per costruire un rapporto di fiducia. Al fine di favorire la costruzione di tale rapporto, è importante che gli operatori nella loro pratica quotidiana mirino a riattribuire agency ai richiedenti asilo, coinvolgendoli nella progettazione individualizzata. Ciò favorirebbe la valorizzazione e l'attivazione delle risorse dei richiedenti asilo, l'instaurarsi di relazioni di fiducia che consentano la ricostruzione di significato delle proprie esperienze traumatiche di vita e la restituzione di una rappresentazione di Sé attiva e agente. In generale, si otterrebbe una maggiore adesione al progetto d'accoglienza. Inoltre, la valorizzazione della funzione relazionale degli operatori dell'accoglienza favorirebbe una maggiore qualità di vita professionale. I professionisti avrebbero così la possibilità di riconoscere e far riconoscere il proprio ruolo, che è stato profondamente messo in discussione dalla comunità e dalle politiche degli ultimi anni. Quindi, l'ascolto attivo, la riattribuzione di agency e l'esempio nella quotidianità da parte degli operatori favorirebbero il riconoscimento del loro ruolo come tutori di resilienza e promuoverebbero la definizione di traiettorie di resilienza. In questo modo si faciliterebbe il raggiungimento di uno stato di salute psicosociale nei richiedenti asilo. La legittimazione del ruolo funzionale della relazione tra i richiedenti asilo e gli operatori dell'accoglienza da parte del contesto sociale e istituzionale diventa un fattore necessario allo sviluppo di buone pratiche d'accoglienza e alla promozione di traiettorie di resilienza. 9. 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Annual Review Clinical Psychological, 7, 511–535. doi:10.1146/annurev-clinpsy-032210-104526  Cicchetti, D. (2013). Annual Research Review. Resilient functioning in maltreated children. Past, present and future perspectives. Journal of Child Psychology and Psychiatry, 54(4), 402–422. doi:10.1111/j.1469-7610.2012.02608.x  Cicchetti, D., & Garmezy, N. (1993). Prospects and promises in the study of resilience. Development and Psychopathology, 5, 497-502. doi:10.1017/S0954579400006118  Costa, P., & McCrae, R. (1980). Influence of extroversion and neuroticism on subjective wellbeing: Happy and unhappy people. Journal of Personality and Social Psychology, 38, 668-678. DOI:10.1037/0022-3514.38.4.668  Connell, J., & Barkham, M. (2007). CORE 10 user manual (versione 1.0). Centre for Psychological Service Research, CPSR Memo 1, University of Sheffield.  Cyrulnik, B. (2001). Manifeste pour la résilience. Spirale, 18(2), 77-82. DOI 10.3917/spi.018.0077  Cyrulnik,B., & Malaguti, E. (2015). Costruire la resilienza. La riorganizzazione positiva della vita e la creazione di legami significativi, Trento, IT: Centri Studi Erickson  Figley, C. R. (Ed.). (1995). Brunner/Mazel psychological stress series, No. 23. Compassion fatigue: Coping with secondary traumatic stress disorder in those who treat the traumatized. Philadelphia, PA, US: Brunner/Mazel  Fondazione Migrantes. (2018). Il diritto d'asilo. Accogliere proteggere promuovere integrare. Report 2018. Roma, IT  Lighezzolo,J., Marchal, S., & Theis, A. (2003). La résilience chez l'enfant mailtraté: Tuteur de développement et mécanismes défensifs (approche projective comparée). Neuropsychiatrie de l'enfance et de l'adolescence, 51, 87–97. DOI:10.1016/S0222-9617(03)00020-5  Malaguti, M. (2012). Educarsi alla resilienza. Trento, IT : Erickson.  Manciaux, M. (2001). La résilience. Un regard qui fait vivre. Etudes, 395(10), 321-330. https://doi.org/10.3917/etu.954.0321  Palestini, L., Prati, G., Pietrantoni L., & Cicognani E. (2009). La qualità della vita professionale nel lavoro di soccorso: un contributo alla validazione italiana della Professional Quality Of Life Scale (ProQOL). Psicoterapia cognitiva e Comportamentale, 15(2), 205-227  Rutter, M. (2012). Resilience as a dynamic concept. Development and Psychopathology, 24, 335–344  Siriwardhana, C., Ali, S. S., Roberts, B., & Stewart, R. (2014). A systematic review of resilience and mental health outcomes of conflict-driven adult forced migrants. Conflict and Health, 4, 8-13. doi:10.1186/1752-1505-8-13  Sleijpen, M., Boeije, H. R., Kleber, R. J., & Mooren, T. (2016). Between power and powerlessness: a meta-ethnography of sources of resilience in young refugees. Ethnicity & Health, 21(2), 158–180. doi:10.1080/13557858.2015.1080484  Smith, J. A., Flowers, P., & Larkin, M. (2009). Interpretative Phenomenological Analysis: Theory, Method and Research, Los Angeles: Sage.  Stamm, B. H. (2010). The Concise ProQOL Manual, 2nd Ed. Pocatello, ID: ProQOL.org.  Tessitore, F., & Margherita, G. (2017). A review of asylum seekers and refugees in Italy: where is the psychological research in Italy?. Mediterranean Journal of Clinical Psychology, 5(2),1-33. doi:10.6092/2282- 1619/2017.5.1612  Wagnild, G. M., & Young, H. M. (1993). Development and psychometric evaluation of the resilience scale. Journal of Nursing Measurement, 1(2), 165-178  Walsh, F. (2016). Family resilience a development systems framework. European Journal of developmental psychology, 13 (3), 313-3224 dx.doi.org/10.1080/17405629.2016.1154035

La población mundial, que cuenta dos mil millones de habitantes alrededor del año 1950, ha crecido a un ritmo casi exponencial en las décadas siguientes hasta 4 mil millones y 5,3 en 1990 (Naciones Unidas - Departamento de Asuntos Económicos y Sociales, 2010). Sin duda un gran aumento tanto en términos absolutos cuanto relativos. Según las estimaciones de las Naciones Unidas, la población mundial se estima que alcanzará los ocho millones y medio de 2025. Estas tasas de crecimiento se producen, obviamente, tanto en Europa, donde la población ha crecido de 550 millones en 1950 a 750 millones en 2010, y en Italia, donde en el período 1861 a 2008 hubo un aumento de la población de 22 millones de habitantes a casi 60 millones (fuente: ISTAT, 2010). La población ha crecido, sin embargo, a tasas más altas en los países en desarrollo, con una tendencia a la constante en los países industrializados en las últimas décadas. Dicha población mundial intenso tiene consecuencias directas sobre el territorio urbano, mientras que lleva a una extensión de las actuales áreas urbanas menores y pequeñas ciudades. Todo esto, cada vez más, dar lugar a problemas de gestión y uso del suelo, produciendo un crecimiento del componente de la vulnerabilidad en la ecuación de riesgo. Crecimiento de la población no justifica un aumento de las condiciones hidrogeológicas de la inestabilidad. Si es así, ya que la población se ha convertido en firme en los últimos años, al menos en la mayoría de los países industrializados, no hay que hacer frente a riesgos cada vez mayor. En cambio, el modelo de desarrollo económico, basado principalmente en redes e infraestructuras, así como los asentamientos, por supuesto, produce un doble efecto: un aumento de los activos expuestos a la amenaza, una presión sobre el territorio, capaz de hacer la activación de los fenómenos peligrosos más frecuentes. Los fenómenos naturales también tienen un impacto en el marco socio-económico, ya que son responsables de la pérdida de bienes y servicios y, en ocasiones, una pérdida en términos de vidas humanas. En tal situación, la vulnerabilidad de la zona está relacionado con el desarrollo de su sistema de infraestructura social, civil y urbano. Este concepto se expresa claramente en la declaración "Los desastres ocurren cuando los riesgos se encontra con la vulnerabilidad" (Wisner et al., 2004). Esto nos lleva a considerar los desastres naturales como los fenómenos sociales reales. Cuando se habla de riesgo geomorfologicos y de políticas ambientales, uno de los pioneros es, sin duda, Earl E. Brabb, que ya en 1991 en un artículo titulado "El problema de movimientos de ladera del mundo", sostuvo que los deslizamientos son un problema mundial que cientos causa de muertes y miles de millones de dólares de daño cada año en todo el mundo. Los poblemas geomorfológicos son y serán un tema importante y un requisito fundamental del conocimiento para la política de toma de decisiones. A pesar de 20 años han pasado desde que el trabajo Brabb, la situación no parece haber cambiado. No son aún insuficientes los procedimientos de todo el mundo aunque sólo sea compartida que permite evaluar la calidad y precisión de un inventario de deslizamientos o la forma de clasificar en términos de susceptibilidad a los deslizamientos de un área y para evaluar cuantitativa y cualitativamente el rendimiento predictivo. Las imágenes y escenas de devastación, destrucción y muerte que ocurren cada año, hacen que el problema de los riesgos geomorfológicos en un problema social. ¿Quien es el responsable? Seguimos construyendo, incluso en lugares que no son adecuados para la construcción. Tenemos que admitir por lo menos una doble responsabilidad. Si bien es cierto que los acontecimientos que causar un derrumbe apenas son "previsibles", por el contrario sí podemos identificar y predecir donde estos fenómenos se producen con mayor capacidad destructiva, produciendo más daños y reducir al mínimo la vulnerabilidad. Por lo tanto, si no es posible evitar, ya que no es posible predecir, la palabra clave debe ser "la prevención". Cada vez deslizamientos de tierra u otros eventos con características destructivas y letales, que a menudo se supone y se define como "impredecible", nos ofrece con el escenario de las víctimas, los heridos y desaparecidos, el público se estremece y recuerda la vulnerabilidad de los bienes de la comunidad y direciona la discusión sobre el tema de prevención de los desastres naturales o por lo menos tratar de minimizar las consecuencias trágicas que lo acompañan. La ola emocional que sigue a la fase de emergencia se produce entre las llamadas a "enrollar las mangas" a una "cultura de prevención" que "nunca vuelva a suceder", e induce a los legisladores y los técnicos para intervenir con una variedad de medidas urgentes de mitigación y obras y de intervención inmediata, tal vez proponiendo también las regulaciones y leyes dirigidas a "evitar otro desastre similar". Hoy Saponara, ayer Génova, el día antes Giampilieri y San Fratello y así sucesivamente durante décadas: Salerno (1954) con 318 víctimas, 250 heridos y sin hogar cerca de 5.500, y el Longarone y el desastre de Vajont (1963) con cerca de 2.000 muertes de Agrigento, (1966), Valtellina (1987) 53 muertes y 4.000 millones de liras de los daños, el deslizamiento de tierra en el Val di Stava de julio de 1985 (269 muertos), las corrientes rápidas del 5 de mayo de 1998 y Sarno y Quindici y otras áreas de la región Campania, con 153 muertes, Maierato (2010), son algunos de los eventos más importantes que lleva a más de 4.000 las muertes causadas por movimientos gravitativos en medio siglo, un promedio de 4 muertes por mes, además de un daño económico incalculable. Pero cada día hay una lista de los deslizamientos de tierra, carreteras y puentes bajando, a pesar de que pasa desapercibido. A falta de una cultura de prevención y un aumento de la cultura de emergencia en su lugar. Y la protección civil se ve ahora como la única ancla de salvación y la asistencia de los municipios y la población involucrada. Italia es un País que se desmorona debido a la negligencia del hombre y a la falta de prevención. Hay 5,596 sobre 8,101 municipios en riesgo hidrogeológico, el 84% de los centros de población se define en riesgo. Esto sin duda demuestra que las construcciones se construyeron cuando no se podia. De estos municipios, 1.700 (alrededor del 21%) están en riesgo de deslizamientos, 1.285 (casi el 16%) en riesgo de inundación y 2.596 (32%) se encuentran en una combinación de deslizamientos de tierra y riesgo de inundación. El área total clasificada como de alto riesgo asciende a 36.551 km2 (7,1% del total nacional) dividido en km2 de áreas de deslizamientos de tierra y 7.791 km2 de áreas inundadas 13.760. Estas cifras ponen de relieve la inestabilidad hidrogeológica con el que cada región debe enfrentar, tarde o temprano, contra la cual el flujo de millones de euros, a menudo sólo le prometió, no servirá de mucho para la estabilización y obras de medida de seguridad. El informe de Legambiente revela que los municipios son la punta de lanza de una evidente debilidad de nuestro territorio. No hay una única manera de preparar los mapas de susceptibilidad, como lo demuestra la enorme cantidad de artículos científicos producidos incluso durante la última década, y lo mismo es cierto en cuanto a la zonificación de los peligros y los riesgos involucrados, todavía sigue siendo un problema sin resolver en gran medida (Carrara et al., 2009). La contribución de este trabajo las siguientes fases de un estudio con el fin de definir la estructura de la sensibilidad, los riesgos y peligros de un área: 1. Construcción de la base de datos: en este trabajo las diferentes técnicas y métodos de detección de deslizamiento de tierra y delimitación se comparan directamente (trabajo de campo) e indirectamente (fotografías aéreas, software de visualización remota del territorio) y su posterior despliegue en un sistema GIS. 2 Elección y definición de la escala de análisis: De hecho, uno de los problemas más actuales de la proposición se relaciona con los métodos de evaluación de susceptibilidad a escala múltiple. 3 Unidades cartográficas: las diferentes unidades se utilizan para la cartografía y zonificación del territorio, cuya previsión de resultados se comparan con el fin de ser capaces de identificar las unidades de la asignación básica más adecuada para la planificación y para fines de defensa civil, teniendo en cuenta la exactitud científica de que la modelo debe soportar. 4 Elección de los factores control: en el trabajo, es la posibilidad de identificar el conjunto más probable de los factores que se consideran relacionados directamente o indirectamente a la inestabilidad de la ladera. Se proponen procedimientos de prueba y seleccionar el conjunto de posibles factores de control, así como la construcción de modelos específicos para cada tipo de deslizamientos. 5 Construcción de modelos: como para la construcción de un modelo geo-estadístico, las soluciones se comparan diferentes y el modelo de presentación de los mismos resultados y la objetividad que se elija, teniendo en cuenta que las necesidades de una implementación más bajo en términos de costo y tiempo. 6 Validación: los modelos están sujetos a diferentes técnicas de validación, que luego se comparan entre ellos. 7 Exportación espacial de un modelo de susceptibilidad: este es un ensayo para definir y validar los términos de susceptibilidad a los deslizamientos de una amplia zona en los gustos de cientos o miles de kilómetros cuadrados, en base a los estudios de detalle de algunos sectores que lo representan. Al igual que muchos otros autores, con el propósito de este trabajo es hacer una contribución a la comunidad científica, tratando de ofrecer una modesta contribución en la solución de algunos problemas en este campo a través de experimentos y modelos realizados en una variedad de contextos y comparar los resultados entre ellos. En este sentido, unas pruebas se llevaron a cabo en algunas áreas, previamente seleccionadas, será probado y verificado el resultado de algunos de los procedimientos en los años de investigación doctoral. A continuación, un resumen de los resultados vendrán de estas pruebas experimentales TEST 1a: TUMMARRANO river basin: Model Exportation En el marco de un estudio de la susceptibilidad de deslizamientos regional en el sur de Sicilia, una prueba se ha realizado en la cuenca del río Tumarrano (unos 80 km2) tiene como objetivo caracterizar las condiciones de su susceptibilidad movimientos de ladera mediante la exportación de un modelo, definido y entrenado en el interior un número limitado (unos 20 km2) representativas del sector ("el área de origen''). Además, la posibilidad de explotar software de Google Earth y el banco de datos de fotos para producir imágenes de los archivos deslizamiento de tierra ha sido comprobado. El modelo de susceptibilidad se define, de acuerdo con un enfoque multifactorial basadas en el análisis condicional, con unidades únicas condiciones (UCUs), los cuales fueron obtenidos mediante la combinación de cuatro factores seleccionados control: litología afloramiento, la pendiente, la curvatura del plan y el índice de humedad topográfica. La capacidad de predicción del modelo de exportación, formado con 206 deslizamientos de tierra, se compara con la estimada para toda el área estudiada, mediante el uso de un archivo completo de deslizamiento de tierra (703 deslizamientos de tierra), para ver hasta qué punto el mayor tiempo/dinero necesario se tienen en cuenta los costos para. TEST 1b. Tummarrano river basin: modelo de susceptibilidad basado en la Forward logistic regression La regresión logística con pasòs hacia adelante, nos ha permitido obtener un modelo de susceptibilidad por los flujos de tierra en la cuenca del río Tumarrano, que se definió mediante el modelado de las relaciones estadísticas entre un archivo de eventos 760 y un conjunto de 20 variables predictoras. Para cada movimiento del inventario, un punto de identificación de deslizamientos (LIP) se produce de forma automática, como corresponde al punto más alto a lo largo de la frontera de los polígonos de deslizamientos de tierra. Los modelos equilibrados (760 stable/760 inestable) se presentaron a adelante el procedimiento de regresión logística. Una estrategia de construcción del modelo se aplicó para ampliar la zona considerada en la preparación del modelo y para comprobar la sensibilidad de los modelos de regresión con respecto a los lugares específicos de las células se considera estable. Un conjunto de dieciséis modelos se preparó de forma aleatoria extraer los subconjuntos diferentes céldas estables. Los modelos fueron sometidos a regresión logística y validado. Los resultados mostraron que las tasas de error satisfactoria y estable (0,236 en promedio, con una desviación estándar de 0,007) y AUC (0.839, para la formación, y 0.817, para conjuntos de datos de prueba). Como en relación a los predictores, la pendiente en el barrio de las células y la curvatura topográfica de gran perfil y plan local-fueron seleccionados de forma sistemática. Litología arcillosa afloramiento, drenajes midslope, crestas locales y midslope y los accidentes geográficos cañones eran también muy frecuentes (de 8 a 15 veces) en los modelos de la selección hacia adelante. La estrategia de construcción del modelo nos ha permitido producir un modelo de flujo de tierra realizando la susceptibilidad, cuyo modelo de ajuste, la predicción de la habilidad y solidez se estimaron sobre la base de los procedimientos de validación. Test 2. Imera river basin: modelo de susceptibilidad por flujo de tierra basado en las unidades de ladera. Un mapa de susceptibilidad de un área, que es representativa en términos de marco geológico y los fenómenos de inestabilidad de ladera de grandes sectores de los Apeninos de Sicilia, fue producida usando unidades de ladera y un modelo multiparamétrico univariado. La zona de estudio, que se extiende por aproximadamente 90 km2, fue dividida en 774 unidades de la pendiente, cuya ocurrencia esperada avalancha se estimó un promedio de siete valores de vulnerabilidad, determinado para el control de los factores seleccionados: litología, pendiente media del gradiente, SPI en el pie, el índice de humedad topográfica y la curvatura del perfil, y el rango de altitud. Cada uno de los reconocidos 490 deslizamientos de tierra estuvo representada por su punto de centro de gravedad. Sobre la base de análisis condicional, la función de la susceptibilidad aquí adoptada es la densidad, calculado para cada clase. Modelos univariante fueron preparados para cada uno de los factores que controlan, y su rendimiento predictivo se estimó por curvas de tipos de predicción y la relación de efectividad aplicada a la categorías de vulnerabilidad. Este procedimiento nos permitió discriminar entre factores efectivos y no efectivos, de modo que sólo la primera se combinó posteriormente en un modelo multiparamétrico, que fue utilizada para producir el mapa de susceptibilidad final. la validación de este último mapa nos permite comprobar el rendimiento y la fiabilidad de la predicción modelo. Los principales factores reguladores resultaron: la litología y, subordinadamente, el SPI a el pies de la unidad, y tambien el gradiente medio de la pendiente, la curvatura del perfil, y el índice de humedad topográfica dieron resultados satisfactorios. ; The World population, which counted two billion inhabitants around 1950, has grown at an almost exponential rate in the following decades up to four billion in 1980 and 5,3 in 1990 (United Nations – Department of Economic and Social Affairs, 2010). Definitely a high increase both in absolute and relative terms. According to estimates by the United Nations, the World population is estimated to reach eight billion and a half around 2025 (Chart 1.1), and then it will become steady around ten billion in 2050 because of the expected decline in fertility. These growing rates occur, obviously, both in Europe, where population has grown from 550 million in 1950 to 750 million in 2010, and in Italy, where in the period from 1861 to 2008 there was a surge in population from 22 million inhabitants to almost 60 million, (source: ISTAT, 2010). The population has grown, however, at higher rates in developing Countries (Fig. 1.1), with a tendency to become steady in industrialized Countries in the last decades. Such an intense world population has direct consequences on urban territory while leading to a spread of current minor urban areas and small towns. All this will, increasingly, result in management and land use problems, producing a growth of the vulnerability component in the risk equation. Population growth alone does not justify an increase of hydro-geological conditions of instability. If so, since the population has become steady in recent years, at least in most industrialized countries, we should not face increasing risks. Instead, the economic development model, largely based on networks and infrastructures, as well as settlements of course, produces a double effect: an increase of assets exposed to threat; a stress on the territory, able to make the activation of hazardous phenomena more frequently. It is however true that recent disasters with great loss of lives (i.e., Sarno Giampilieri, Aulla, Genova and Saponara) are actually the results of the response (letting nature take its course) to the changes in territorial asset occurred after the war. Another cause may be found in environmental changes: when the stress regime in a region changes (such as extraordinary rainfall intensity), the response is obviously new for both sides/slopes and the population. The WWF notes that from 1956 to 2001, urbanized areas in Italy have increased by 500 times and it is estimated that from 1990 to 2005 we have transformed 3.5 million hectares of land. The problem of interaction between humans and the natural environment is a very complex and diversified issue, not often approached in a systematic way, also because of the severe limitations of sources to be invested on research on a medium and long-term, for a better and effective knowledge of the environment, primarily on measures aimed at reducing risk (Plattner, 2005). Natural phenomena also have an impact within the social-economic framework as they are responsible for the loss of goods and services, and sometimes, a loss in terms of lives. In such a situation, the vulnerability of the area is related to the development of its social, civil, and urban infrastructural system. This concept is well expressed in the statement "disasters occur when hazards meet vulnerability" (Wisner et al., 2004). This leads us to consider natural disasters as real social phenomena. This condition is strongly valid especially with regard to landslides (Brabb and Harrod, 1989; Brabb, 1991). Since economic problems common to all countries do not allow either to invest in research projects on a medium and long-term or the stabilization of structures or areas on a large-scale, a new philosophy of environmental policy opens up for all active political and administrative subjects that should govern the use and exploitation of the territory. For this reason, the scientific community is engaged in a continuous search for methods and techniques to estimate the degree of real and potential instability, using the minimum amount of equipment and possible economic resources. Usually there is a substantial difficulty in identifying the most reliable procedures, that allow to approach this matter in a non-traditional manner based on modeling and investigative techniques built on the exchange of experiences between experts and conducting studies and experiments on all continents, and showing different strategies and possible technical combinations depending on the type and/or the number and complexity of the investigation, producing susceptibility, hazard and risk maps, used as the basis for decision-making processes in land management. In this framework, further efforts are needed in trying to make the different methods more objective and shared by all in order to be simple and reproducible, and most of all in transferring the knowledge gained in laws that underpin territorial planning, building regulations, and in civil defense plans (Guzzetti, 2006). When discussing about landslides and environmental policies, one of the pioneers is undoubtedly Earl E. Brabb, who already in 1991 in a paper entitled "The World Landslide Problem", sustained that landslides are a worldwide problem that cause hundreds of deaths and billions of dollars of damage every year all over the world. The same added that these losses can be reduced if the problem is identified and acknowledged in time, but many countries are simply equipped with maps showing where landslides produced problems in the past and they have even less susceptibility maps that could allow policy makers control land use. Landslides, adds Brabb, are generally more predictable and controllable than other natural events of catastrophic nature such as earthquakes, volcanic eruptions and storms, but despite this, few countries have taken advantage of this knowledge to reduce landslide hazard. Geomorphological problems are and will be an important issue and a fundamental requirement of knowledge for the politics of decision-making. Although 20 years have gone by since Brabb's work, the situation does not seem to have changed. There are still insufficient globally shared procedures even just allowing to assess the quality and accuracy of a landslide inventory or how to classify in terms of landslide susceptibility of an area and to evaluate quantitatively and qualitatively predictive performance. 1.2 Basic concepts One of the most obvious effects of rapid territory development in the past decades is the increasing impact that natural disasters have on man and his activities. Institutions are therefore committed to investing their resources in both the implementation of structural interventions to mitigate the risk as well as implementation of early warning systems and defining guidelines for land management; the latter activities allow, in fact, to avoid or minimize damage to persons and property, produced by natural phenomena, without necessarily investing in expensive resources and long structural interventions. The term "risk" is used in relation to the various components of the social and territorial fabric, as an expression of the expected consequences in the assets as a result of this disastrous phenomenon of assigned intensity at a given time interval. Within the guidelines for the preparation of prevention and management plans in terms of geological risk of the Sicilian Civil Protection Service (Regional Hydro-geological and Environmental Risks department), the term Hydro-geological Risk means the effect on different parts of the territory led by natural disasters such as landslides (geomorphological risk) and floods (hydraulic risks) triggered by events related to climate and its changes. Two main components contribute to the definition of risk: territorial hazard (geomorphological and hydraulic) and vulnerability. The latter depends on both the physical resistance of structures or assets exposed to the threat and the so-called vulnerability of social organization, which is linked, in fact, to the capacity of disaster prevention and management that a community has developed prior to the same disaster. The propensity of a territory to be affected by new landslides, the degree of hazard or risk that characterizes it, are usually expressed with the help of a map in which the area is divided into different zones according to the different values that qualify it. In this mapping, the territory is zoned or divided into homogeneous zones or user-defined fields/areas, whose ranking is defined according to their real or potential degree of landslide hazard (Varnes, 1984). Over the decades, many research groups and national and international commissions have tried to provide precise definitions, trying to reduce the existing confusion of terms in the management of natural hazards. In this section, some basic concepts are expressed as well as the terminology that will be used in the thesis below. Landslide events that develop in a given area involve a large number of environmental variables, to determine undoubted difficulties in identifying a suitable action of management, control and planning. In order to do so, understanding the problem without having a clear conceptual framework and method to be used may not be sufficient. The "forecast" of the phenomena and therefore the modeling phase is always required to designated public administration bodies and territorial control, carried out by the creation of digital simulation models which become crucial at the time when decisions must be taken/made. The creation of maps indicating the different vocation planning of an area, based for example on landslide hazard maps, not only allows you to compose the scene of the incident consequences of a given failure, but also to react under emergency, if magnitude, area, and associated potential damage are known. Planning is a subject which studies and regulates the processes of local governance and to evaluate the resulting dynamics of evolution and development. The principles guiding the choice of planning require development policies coherent with the principles of environmental protection and sustainability in an effort to control the excessive human presence, able to transform irreversibly natural systems and preserve the quality of life for future generations. Information, territorial knowledge and assessment of its natural predisposition and vulnerability are the basis of planning. These forms of knowledge and the use and application of the best technologies available to facilitate information processing and optimization of procedures for evaluation and zoning of the territory, will yield the best design solutions to achieve the desired objectives. Planning is aimed to government land use and management of spatial information, and is achieved by regulating the area according to different uses, which should be awarded taking into account the natural predispositions. Planning activities can affect a large portion of territory, in other words include a supra-municipal area or one that does not match with administrative boundaries (e.g. Provincial Territorial Coordination Plan, Hydro-geological Plan) or urban (e.g. General Regulation Plan). The geological, geomorphological, hydro-geological and seismic component should be placed at the base of the strategic development of the territory. In national legislation, water management is understood both as a natural resource but also as an element of risk, and has been regulated at the watershed level since the nineties (national framework law 183/89 on soil protection). This allow us to overcome divisions and inconsistencies produced by the adoption of targeted areas having only administrative boundaries that, therefore, do not take into account natural dynamics. The zoning of landslide hazard area is considered the most effective level of knowledge for territorial planning and territorial governance purposes. A map showing portions of an area classified as "hazardous" is of great importance due to the fact that these areas are subject to limitations and constraints that also affect the usability or simply the economic value. 1.2.1 Landslides and soil protection Italy, besides having a territory particularly prone to heavily collapse, has a highly populated territory with a density of 189 inhabitants per km2, much higher than France (114 inhabitants/km2) and Spain (89 inhabitants/km2), in Lombardy and Campania respectively, the density changes to 379 and 420 inhabitants per km2. As clear from the Report on landslides in Italy (National Geological Survey, 2007), commissioned by the ISPRA (National Institute for Environmental Protection and Research), in the last 50 years almost 500 thousand landslides have been recognized and recorded for an area of about 20 thousand km2, corresponding to 6.6% of the entire national territory. These data should be updated. As indicated by the last study conducted by the Ministry of the Environment (2010), 9.8% of the national area is to be ranked highly hydro-geological critical and 6.633 municipalities are involved, representing 81.9 percent of the national territory. This value, according to a report EURISPES ( Report Italy, 2010) is "largely underestimated", therefore agreeing that "a reliable estimate is made up of about 2 million phenomena and consequently the percentage of the Italian territory subject to ongoing phenomena is more than 20%." The Ministry of Environment, through the work for the realization of development plans undertaken by the hydrogeological Basin Authority, estimated a funding requirement of almost 40 billion euros to hydro-geologically secure the entire country, and 4.1 billion for more urgent works. Undoubtedly, the amounts are considerably high, but it is enough to consider that almost 21 billion euros were spent just to stanch the damages by hydro-geological disasters occurred in the decade 1994-2004. 1.3 Aims and scientific contribution There is no single way to prepare susceptibility maps, as evidenced by the enormous amount of scientific papers produced even during the last decade, and the same is true as for the zoning of the hazard and risk involved, still remaining a largely unsolved problem (Carrara et al., 2009). The contribution of this paper the following phases of a study in order to define the susceptibility structure, hazard and risk of an area. 1 Construction of the landslide database: in this work different techniques and methods of landslide detection and delimitation are compared, directly (field work) and indirectly (aerial photographs, remote viewing software of the territory) and their subsequent deployment in a GIS system. 2 Choice and definition of the analysis scale: the problem of scale models of susceptibility is approached. In fact, one of the most actual problems of the proposition is related to approaches to multi-scale susceptibility evaluation. 3 Mapping units: different units are used for mapping and zoning of the territory, whose foresight results are compared in order to be able to identify the basic mapping units most suitable for planning and for civil defense purposes, taking into account the scientific accuracy that the model must bear. 4 Choice of controlling factors: during the work, it is the possible to identify the most probable set of factors considered to be directly or indirectly related to the instability of the slope. Procedures for testing and selecting the set of possible controlling factors are proposed as well as the construction of specific models for each type of landslide. 5 Model building: as for the construction of a geo-statistical model, different solutions are compared and the model presenting the same results and objectivity is chosen, considering it needs a lower implementation in terms of cost and time. 6 Validation: models are subject to different validation techniques, which are then compared to each other. 7 Spatial exporting of a landslide susceptibility model: this is a trial to define and validate the terms of landslide susceptibility for a wide area in the likes of hundreds or thousands of square kilometers, based on studies of some fields that represent it. Having clear that the result of this type of study is intended to provide maps that can be used by planners in a useful manner, these must be characterized by an immediacy in understanding even by non-experts and they must also be easy to read and interpret. Therefore, these methods should be as simple as possible, for example, susceptibility levels must be clearly expressed not only in quantitative but also in descriptive terms (Clerici et al., 2010). Like many other authors, the purpose of this work is to make a contribution to the scientific community by trying to offer a modest contribution in solving some problems in this field through experiments and modeling carried out in a range of contexts and comparing the results between them.

Ego te provoco: algunas consideraciones preliminares.El continuo despliegue de potencias extra-regionales por el hemisferio ha adquirido nuevas connotaciones estos dos últimos años. En ambientes políticos, y comunidades epistémicas, han surgido visiones contrapuestas a la hora de evaluar estos despliegues. Por un lado, están quienes ven esta problemática de forma relativamente benigna y en lo medular acorde a las tendencias globalizantes que estarían abarcando todo el planeta sin excepciones de país, cultura, economía o sociedad. Por otro, están quienes matizan las intensidades y diferencian entre los objetivos buscados por una u otra potencia extra-regional. China, India, Rusia e Irán, los actores extra-regionales más activos, tendrían motivaciones distintas; y la receptividad también sería diferenciada. Sin embargo, en los nichos e intersticios por donde circula la influencia extra-regional queda al descubierto una característica común cual es la ausencia relativa del otrora omnipresente comportamiento de Estados Unidos.En este contexto, plagado de factores multidireccionales, es la penetración iraní la que suscita mayor atención. También es sobre la que hay menor información en fuentes públicas. Ello no ha sido óbice, sin embargo, para que, desde 2005 en adelante, ésta penetración sea no sólo ostensible sino creciente. En visibilidad y en complejidad.En efecto, Irán se está desplegando por América Latina a través de una hábil combinación de elementos propios de soft y del hard power. Emplea también una gama de otros elementos intermedios. Los énfasis de unos, o de otros, está relacionados no sólo con el diseño conceptual y praxis desplegada por Teherán, sino también con la receptividad que ha tenido en cada país de la región. De esta forma, se han generado tendencias que hacen de la relación de Irán con los países latinoamericanos un tema esencial de la agenda de seguridad hemisférica.Siguiendo a dos de los más prolíficos autores en esta materia, Román Ortiz y Ely Karmon, y teniendo en consideración el carácter complejo del diseño conceptual y la praxis de la penetración iraní, se sostiene la hipótesis general de que la principal motivación de los iraníes es la obtención de influencia en el "patio trasero de EEUU".Aunque el despliegue iraní se observa en la mayoría de los países del hemisferio, cinco sudamericanos son los que concentran mayor actividad (en orden alfabético): Argentina, Bolivia, Brasil, Ecuador y Venezuela. Con cada uno, se registra una relación multifacética y no desprovista de elementos sui generis, que poco o nada tienen que ver con los cánones tradicionales de las relaciones bilaterales. En consecuencia, identificar y problematizar estos elementos coadyuva en la muy intrincada tarea de desentrañar las razones por las que, por primera vez en su historia milenaria, los persas se muestran interesados en esta zona del mundo.Para alcanzar un foothold en América del Sur, el régimen iraní se procura diversos tipos de elementos categorizables en a) aquellos de poder suave (diplomacia pura y formal, lazos culturales inocuos, como el hermanamiento de ciudades, convenios universitarios y otros), b) elementos intermedios (apoyo material y espiritual a comunidades shií en la región, a mezquitas y centros religiosos) y c) elementos definitivamente duros (acuerdos militares o industriales vinculados a asuntos de seguridad y defensa o comerciales con dicha finalidad, o bien actividades encubiertas con grupos terroristas afines como Hizbollah). Denominador común de todos estos elementos es su ubicación en el contexto de una estrategia a prioridefinida.La vastedad de los elementos señalados, así como el fortísimo sigilo con que son ejecutados, ha llevado a que analistas y académicos privilegien dos posturas para entender su impacto; ambas benignas. En efecto, la mayoría las ve como algo irrelevante, por momentos incluso con cierta indiferencia, casi como un sub-producto de las excentricidades del régimen de los ayatollahs, mientras que en otros momentos, buscan asociarla a cierta inevitabilidad de los cambios en el escenario mundial y a la pérdida relativa de la influencia estadounidense en América del Sur. Sin embargo, ambas relativizan las verdaderas consecuencias y no dan cuenta de su naturaleza. Naturaleza y consecuencia van de la mano. La primera se entiende por su rasgo fundamental, cual es que toda la estrategia iraní está en manos del Pasdaran. Por cierto que ello no implica necesariamente que todas las consecuencias sean previsibles o inmediatas. Pero al ser el Pasdaran el principal instrumento de la penetración, no se puede sino asociar la penetración a los objetivos e imperativos estratégicos de Teherán, vale decir con los planes nucleares, con la competencia estratégica con EEUU, con la construcción de bases capaces de propinar golpes de represalia en el corazón mismo de Norteamérica y, last but no least, con el papel global asignado a la religión. En otras palabras, con la capacidad de disuasión iraní. Por lo mismo no es casualidad que los planes de desarrollo nuclear y misilístico estén bajo tuición del Pasdaran. Tampoco es casualidad que el despliegue esté tan estrechamente vinculado a su estrategia de promoción del fundamentalismo islámico y a la pretensión de aislar a Israel (1). Vista en el contexto de los imperativos estratégicos de Irán, la generación de complicidades con gobiernos afines es fundamental.En esta materia, el despliegue iraní en la región registra novedades generales y específicas a lo largo del bienio 2010-2011.Hannibal ante portas: Irán se despliega en América del SurCuasi de forma paralela a la gira del Presidente Barack Obama por Brasil, Chile y El Salvador en marzo de 2011, el Viceministro de Relaciones Exteriores iraní, Behrouz Kamalvandi realizó un periplo por Quito, Bogotá y La Paz. Pocas semanas más tarde, al iniciar junio de 2011, el influyente y controversial Ministro de Defensa iraní, Ahmed Vahidi, llegó a Caracas para desplazarse luego a La Paz. Asimismo, a fines de 2010, el régimen de Ahmedinejad destinó US$ 4.500 millones para esta nueva etapa de su despliegue en América del Sur (2).Esta verdadera proliferación de recursos económicos, políticos abiertos y encubiertos, así como diplomáticos indica que los énfasis de estos dos últimos años se han comenzado a vincular crecientemente con el poder duro. De acuerdo a las previsiones de Elías Eliaschev, durante 2011 se completará la designación de 150 cargos para el staff que se dedica a América Latina en general, y de esa masa de US$ 4.500 millones, ya se han empezado a ejecutar US$ 87 millones (una transferencia supervisada por el propio comandante general de las brigadas Quds, Qassem Soleimani), de los cuales, a su vez, siete milllones han ido directo a Hizbollah(3).Parece razonable entonces asumir la hipótesis de que el poder duro ha adquirido centralidad. Sin embargo, los ritmos e impulsos que vaya observando el despliegue iraní dependerá finalmente de los nioveles de receptividad de cada país sudamericano(4). Esta responde a necesidades y motivaciones específicas. De ahí que el despliegue deba tener también una atención relativa en aquellos elementos de poder blando y toda la gama intermedia. Los sucesos acaecidos en torno a la visita de Ahmed Vahidi a Bolivia, examinados infra, así como el objetivo de alcanzar pronto US$ 20 mil millones en inversiones diversas de Irán en la región, confirman esta necesidad que tendrá Irán de ir acomodando su estrategia a las citadas sensibilidades de cada país sudamericano.En cuanto a los elementos de poder suave, el más importante verificador de tendencia del despliegue está dado por el incremento de embajadas iraníes en la región. Teherán tenía hasta el 2007 (5) sólo cinco embajadas en América Latina; de ellas únicamente tres en América del Sur. Hacia el 2011, el número de legaciones con embajador residente ha crecido ostensiblemente. Once suman hasta mediados de 2011 las embajadas iraníes en América Latina. Un dato anexo es que salvo Guyana y Surinam, la diplomacia iraní mantiene legaciones en todos los países de la región, y la única donde no hay embajador residente es aquella en Paraguay. Sin embargo, las visitas a Asunción del embajador concurrente -desde Montevideo- tienen la inusual frecuencia de una por mes; sin contar las constantes visitas de personeros de gobierno a Asunción (6). Finalmente, dentro del ámbito de poder suave, destaca también el apoyo manifiesto expresado por los embajadores de los países integrantes del ALBA en Teherán el 16 de julio de 2010, reiterando el "derecho soberano de Irán para generar energía atómica y utilizarla para fines pacíficos". Declaración vista con satisfacción en Teherán ya que permite visualizar algunos signos homogéneos en la receptividad regional. Debe tenerse en consideración que en los asuntos concernientes al vínculo con Irán, son los países sudamericanos del ALBA (Venezuela y Bolivia) los que llevan la iniciativa (7).En definitiva, se trata de un bienio lleno de connotaciones de alto significado, de una tendencia in crescendo, que, sin embargo, podría terminar abruptamente si la enfermedad del Presidente venezolano eclipsa su protagonismo.a) Relatio in terrorem: ArgentinaLas relaciones argentino-iraníes, a lo largo de estos dos últimos años, siguieron muy fuertemente marcadas por las reverberaciones de los brutales atentados a la embajada israelí y contra la AMIA en 1992 y 1994, respectivamente (8).Antecedentes con poderosa significación fueron descritos y fundamentados por Pepe Eliaschev en el diario Perfil (26.3. 2011). El primero apunta a la propuesta de la Casa Rosada para negociar un acuerdo secreto entre los dos gobiernos para dejar de lado el proceso judicial que lleva a cabo el juez Alberto Nisman contra exdiplomáticos y altos funcionarios iraníes a cambio de un compromiso por mayor intercambio comercial (9). La revelación de este antecedente tuvo como resultado que la visita del canciller Hector Timmerman a Israel, anunciada para fines de marzo, estuvo a punto de ser cancelada debido al profundo malestar causado en el gobierno iraní. Declaraciones posteriores de la cancillería argentina, negando la propuesta, mitigaron el estado de crispación bilateral, y el canciller finalmente se desplazó a Jerusalén.Un segundo antecedente de alta significación, y que causó gran molestia en el juez Nisman, es la revelación de tareas de reclutamiento y recolección de fondos en Brasil por parte de Hizbollah, Hamas y Al Qaeda en la zona de la Triple Frontera, en las que el iraní Moshe Rabbani, sindicado como autor intelectual del ataque a la AMIA, es fundamental. Rabbani ha visitado ocasionalmente Brasil utilizando pasaporte falso (10). Para ahondar aún más la controversia, Rabbani participó en abril de 2011 en un programa de radio junto al activista kirchnerista Luis D´Elía negando la versión de sus viajes a Brasil. Anexo a esta problemática, durante el bienio continuó también la controversia en torno a las actividades de la embajada de Irán en Buenos Aires. El juez Rafael Rafecas, por ejemplo, denunció que desde esa legación se financia a muchas agrupaciones anti-judías y que el nexo es el activista pro-gubernativo Luis D´Elía (11).El intento de revertir el estado de deterioro generalizado que existe en las relaciones bilaterales, y que Eliaschev adjudica a la influencia del canciller Timmerman, ocurrió meses después de que la Presidenta Cristina Fernandez, hablando ante la Asamblea General de la ONU en septiembre de 2010, propusiera una solución a la Lockerbie, que comprendiera un proceso judicial a los iraníes acusados por el caso de la AMIA en un tercer país, por mutuo acuerdo entre Irán y Argentina (12). No queda muy claro la finalidad de la propuesta, ya que, como era dable esperar, provocó una agria carta respuesta de Irán dirigida al Presidente de la Asamblea General(13).Finalmente cabe consignar que en el plano comercial, a inicios de abril de 2011, se anunció que Teherán empezará a incrementar sus compras de soya. La iniciativa surgió no sólo por el interés de Irán sino por la baja de las exportaciones argentinas de este producto a la India para las que era necesario encontrar otro poder comprador (14).En suma, el bienio 2010-2011 ha servido para constatar que el vínculo iraní-argentino sigue alterado en sus cimientos (15). La intensidad de las reverberaciones que continúan emanando de los atentados a la embajada israelí y a la AMIA ponen necesariamente un signo de interrogación a la evolución ulterior que tenga este problema, cuya solución definitiva no se divisa. En tal sentido, el principal elemento a monitorear es la presunta oferta emanada de Teherán a mediados de julio orientada a re-tomar el diálogo.b) Dulce periculum: las tentaciones bolivianas El bienio 2010-2011 fue especialmente fructífero para la relación entre estos dos países. Mirado desde el punto de vista de la estrategia iraní, los antecedentes del período consolidaron a Bolivia, en términos cualitativos, como el segundo eslabón más importante en la región. Mirado desde la perspectiva boliviana, asistencia iraní en diversos ámbitos superó los US$ 1200 millones lo que convirtió a Irán en el segundo donante del país, superando a la Unión Europea (16).En el plano diplomático adquirieron relevancia varios hechos como la inauguración de la embajada iraní en La Paz, en septiembre de 2010, el viaje del Presidente Morales a Teherán un mes más tarde (17), y los desplazamientos realizados por varios altos personeros del gobierno iraní por territorio boliviano durante el primer semestre de 2011. Desde el punto de vista comunicacional, lo más destacado del viaje de Morales a Teherán y Tabriz, fue el anuncio de que Irán asistiría a Bolivia en la construcción de una planta de energía nuclear. Dado que el asunto carece de toda viabilidad debido al precario nivel de masa crítica existente en Bolivia respecto a esta materia, el anuncio adquiere singularidad. Desde ahora en adelante habrá movimientos, algunos visibles, otros menos, de especialistas y personeros vinculados a elementos de poder duro iraní. En este marco, fuertes sospechas tiene la aprobación de un proyecto de ley por el Congreso boliviano en junio de 2011, destinado a facilitar el turismo entre los dos países, ya que, pese a no existir cifras oficiales sobre el tema, todas las estimaciones apuntan a un flujo prácticamente inexistente.Otros dos elementos de poder duro son tanto la declaración conjunta emitida tras el viaje de Morales, en el sentido de que ambos países señalan a EEUU como enemigo común, como también el anuncio de crear un banco binacional que permitirá gestionar futuros proyectos. Esto último, ya se había visualizado un mes antes del viaje de Morales, cuando el ministro de Industrias y Minas de Irán, Ali Akhbar Mehravian asistió a la presentación de cartas credenciales del embajador Alireza Ghozeilee en La Paz, asunto que además, coincidió con la apertura física de la legación persa. La cartera del ministro constituyó una señal indicativa del énfasis que Irán está dando a este vínculo. Consecuentemente, durante la visita de Mahrebi, ambos países suscribieron acuerdos en materias de gas, petróleo y petroquímica. Además, Mahrebi inauguró las dependencias de la Iranian Oil en Santa Cruz y ofreció una nueva línea de crédito por US$ 254 millones que permitirá expandir los proyectos existentes y examinar nuevos proyectos en torno a la extracción del litio.Posteriormente, en marzo de 2011, la visita del Vicecanciller Behrouz Kamalvandi hizo anuncios que reforzaron el carácter estratégico que está asumiendo Bolivia en el despliegue iraní en la región. Kamalvandi anunció tanto la creación de un Centro Geocientífico, que se dedicará a estudiar datos geológicos de Bolivia, como de una red de transmisión y de antenas que permita crear un canal nacional de televisión. El objetivo central del Centro Geocientífico es localizar yacimientos de uranio. Hasta ahora, los estudios sobre localización y caraterísticas de depósitos uraníferos bolivianos son confusos, debido a su obsolescencia y poca acuciosidad. Uranio existiría en la Cordillera de Los Frailes, en Cotaje (Potosí) y en Mamonó, el este del país cerca d ela frontera con Brasil, en el Parque Noel Kempff Mercado y bajo el Bosque Seco Chiquitano (ambos forman el ecosistema El Pantanal). Tras la visita de Mehravian, la ministra boliviana de Planificación, Viviana Caro manifestó, "hay intenciones de realizar trabajos, pero lo que se necesita es una carta geológica actualizada en la que colaborará Irán" (18). Jorisch sostiene que el litio podría ser utilizado como un acelerador alternativo en el enriquecimiento de uranio. Durante su visita, Kamalvandi firmó acuerdos justamente para explotar litio (algo acordado inicialmente durante la visita de Ghozeilee)(19). Además, comprometió una línea de crédito adicional a la de US$ 270 millones ya existente para construir represas. Se trata de una línea crediticia abierta que se materializará apenas lo disponga el gobierno de Morales.Una significancia mayor tiene la llegada a Bolivia, en junio de 2011, del ministro de Defensa iraní, Ahmed Vahidi (20), quien visitó La Paz y Santa Cruz. Declaraciones de Vahidi ofreciendo todo tipo de ayuda militar que Bolivia demande y la invitación a la inauguración de la Escuela Militar del ALBA, ratifican la hipótesis sustentada acerca de la especificidad estratégica que tiene el despliegue iraní en Bolivia. Como trascendió por la prensa, Vahidi debió interrumpir su estadía en Bolivia, cuando fue detectado por el servicio de inteligencia argentino (SI) mientras se efectuaba una ceremonia en el Colegio Militar de Aviación (COLMILAV) en la que se entregaban licencias de pilotos a cadetes de Bolivia, Venezuela y Panamá. Ello motivó la rápida queja del gobierno de Cristina Fernández, quien advirtió al Presidente Morales sobre el retiro de la invitación que se le había cursado para que visitara Buenos Aires la semana siguiente (21). Bolivia presentó sus excusas al gobierno argentino, y ni Morales ni su ministra de Defensa, Cecilia Chacón se refirieron públicamente al incidente. Vahidi, sin comentarlo directamente, valoró positivamente su paso por Bolivia y reiteró que "la cooperación total con los países latinoamericanos goza de prioridad para Irán"(22).El carácter estratégico de Bolivia en el despliegue iraní en la región, había quedado esbozado en octubre de 2010, cuando el ministro de Economía y Finanzas de Bolivia, Luis Arce informó de un acuerdo entre los dos países para la compra de equipos militares iraníes, el mantenimiento de las aeronaves de la Fuerza Aérea Boliviana (FAB), así como un acuerdo para entrenamiento militar. Ese anuncio ministerial ocurrió dos semanas después que Morales llegara procedente de Teherán (23).En síntesis, la relación bilateral ha entrado en una etapa cualitativamente distinta estos dos últimos años, marcada por claras intenciones de fortalecer un compromiso que adquiere visos de estratégico. El interés manifestado por ambos en esta línea indica que se debería generar mayores niveles de asociatividad bilateral en el futuro cercano. En todo caso, si Bolivia no cautela los aspectos políticos formales de este acercamiento, se producirán inevitablemente fricciones inesperadas con terceros, tal cual de desprendió de la tensión argentino-iraní en relación a Vahidi. La experiencia de este hombre clave del Pasdaran en Bolivia es una señal que los próximos pasos del acercamiento bilateral se caractericen por la opacidad y el sigilo.c) De omnibus dubitandum, las aprehensiones del neo-lulismobrasileño Las relaciones bilaterales durante el bienio, sometidas a las reverberaciones del viaje del Presidente Ahmedinejad a Brasil, ocurrido en las postrimerías del 2009, siguen mostrando señales ambivalentes. Sin embargo, la fuerza ex intra de algunas de éstas indican que, paulatinamente, se ha ido instalando la idea de poner las relaciones bilaterales bajo premisas nuevas. Son señales que, decodificadas, ofrecen matices diferenciadores respecto a los años de lulismo puro.En efecto, a lo largo de casi todo el 2010 se observó una atención brasileña muy deferente hacia problemática iraní, ejemplificada en la crítica que hizo el canciller Celso Amorim en marzo de ese año a la imposición de sanciones contra el régimen de Teherán. El pragmatismo del lulismo puro cobró expresividad en el acuerdo Brasil-Turquía (marzo 2010), que provocó desconcierto en varios países centrales, malestar en Washington y preocupación en Israel (24). Ese acuerdo, percibido positivamente por Ahmedinejad, se suscribió en el marco de la cumbre de los G-15 realizada en Teherán.Otra señal proveniente del pragmatismo lulista había ocurrido poco antes, en abril de 2010, cuando Petrobras anunció que mantendría sus oficinas en Teherán y todas sus inversiones en el Mar Caspio, pese al clima internacional desfavorable. Prosiguió al mes siguiente, cuando de forma demostrativa, Lula realizó una visita oficial a Teherán, que culminó en el controversial acuerdo con Turquía. Continuó en junio de 2010, cuando, en votación dividida, el Consejo de Seguridad aprobó sanciones (Resolución 2040) con los votos en contra de Brasil y Turquía (ambos miembros no permanentes del órgano en ese momento).En esta postura pragmática subyacía una visión muy clara. Lula veía los asuntos internacionales con un prisma que favorecía la mantención del diálogo con todo tipo de regímenes y de rechazo a la imposición de sanciones. Para Lula, el efecto de las sanciones terminaban recayendo en los más pobres. Lula, además, insistía en el necesario respeto a la cultura, costumbres y leyes de todos los países, alegando que de lo contrario se alimentaba las tendencias al caos en el sistema internacional.Sin embargo, la asunción de Dilma Roussef comenzó a ofrecer matices respecto allulismo puro, denominación que parte del supuesto que con Dilma el lulismo sigue representando el prisma central de la política exterior brasileña.Sin embargo, los nuevos matices, advertibles en las primeras decisiones de Dilma en torno a la problemática iraní, sugieren que subyacen ideas nuevas. Aunque es prematuro visualizar la intensidad que estas ideas nuevas, se pueden conjeturar énfasis de tipo cuasi doctrinario, por ejemplo en materia de derechos humanos, vistos tanto genéricamente como en lo relativo al de las mujeres. Tal inclinación salpicará directamente la relación con Irán.Dos novedades interesantes sobre esto son las siguientes. Dilma, por ejemplo, fue mucho más dura que su antececesor en cuanto a criticar la lapidación de Sakineh Ashtiani, por presunta complicidad en asesinato de su esposo. Indicó que era "inaceptable y medieval". Apenas ocurrido el hecho, y en su calidad de candidata presidencial, Dilma, solicitó al entonces Presidente Lula, que diera indicaciones a su embajador en Teherán, Antonio Luis Salgado para reunirse con autoridades de la cancillería persa e informarles que Brasil estaba en condiciones de garantizar asilo a Ashtiani.Luego, ya en funciones, invitó a la abogada disidente Shirin Ebadi, Premio Nobel de la Paz 2003, asunto que irritó a la cancillería iraní. Luego, el ministerio de Cultura brasileño formuló críticas a la censura de las obras del escritor Paulo Coelho en Irán.Probablemente el dato más significativo ocurrió en 2011, cuando, por primera vez en 10 años, Brasil (junto a Panamá y Colombia y contra Cuba y Ecuador) votaron a favor de una moción en la Comisión de Derechos Humanos para monitorear la situación de éstos en Irán. Baste recordar que el año previo -2010, es decir bajo ellulismo puro- Brasil se abstuvo (25).Aunque el re-enfoque brasileño implicará que Brasil ya no tendrá un papel tan relevante en el establecimiento del foothold iraní en la región, el régimen de Ahmedinejad ha reaccionado con cautela ante las nuevas señales provenientes de Brasilia. No ha hecho ver sus molestias y pareciera optar por darle preeminencia a los espacios e intersticios que se muestren disponibles. En esa línea, anunció que establecerá un centro comercial durante el segundo semestre 2011 para facilitar negocios entre los dos países (26). El régimen iraní es consciente que el deterioro de la relación bilateral perjudicará más a Irán que a Brasil. Además, también hay señales de continuidad.Vital en este aspecto es la mantención del negocio de la triangulación de alimentos, carnes y azúcar que realizan empresas brasileñas instaladas en Dubai y Emiratos Arabes Unidos.Huelga subrayar que este recalibramiento seguirá siendo monitoreado por Washington y las potencias centrales. A lo largo del bienio ha habido varios motivos de preocupación que podrían repetirse. Por ejemplo, según revelaciones de Wikileaks, a fines de 2010, se produjo una situación que generó preocupación en EEUU y en Alemania, ya que la empresa Machine Sazi Tabriz (MST) habría estado adquiriendo material de uso dual a la brasileña Mello SA Maquinas e Equipamentos. Siemens habría detenido a última hora importantes envíos a Mello SA que iban a ser entregados a MST (27).En definitiva se puede establecer que la relación brasileño-iraní pasa por momentos de ciertas re-definiciones producto de los cambios políticos internos en Brasilia. Dado que la cautela dominará la apreciación de ambos, es probable que la agenda bilateral no oscile entre elementos de poder duro ni blando, sino descanse en aquellos intermedios, donde las cuestiones estrictamente comerciales vayan adquiriendo centralidad. (1) Los dos principales instrumentos globales de la línea estratégica anti-israelí son ese híbrido llamado Hizbollah y el Pasdaran; ambos con capacidades para operar en cualquier parte del globo. Los mortíferos ataques en Buenos contra la embajada de Israel en Buenos Aires en 1992 y contra la AMIA en 1994, ejecutados conjuntamente, son los mejores ejemplos de dicha capacidad. Karmon sostiene que la amenaza terrorista es el principal desafío a la seguridad internacional y que después de la guerra fría no se podría hablar de un conflicto armado donde no se haga uso del instrumento terrorista. En tal sentido –añade- la gran amenaza actual proviene de lo que denomina la "coalición iraní", compuesta por Irán y su proxy organization, Hizbollah, creado por el Pasdaran, por Siria, por Hamas.(2) La cifra aparece en varias de las referencias utilizadas en este texto. Según Eliaschev, las prioridades de esta nueva fase del despliegue iraní son: la Triple Frontera (Brasil, Paraguay, Argentina), Venezuela y Panamá. (3) Ver: "Venezuela e Irán".(4) Otros elementos de poder duro son el esfuerzo por instalar en la región bancos iraníes o bien formar instituciones bancarias asociadas así como la cooperación para la prospección y explotación de recursos energéticos específicos (uranio, litio, petróleo y gas).(5) Fecha referencial clave. El despliegue iraní adquirió contornos más precisos y sistémicos con la Conferencia Internacional sobre América Latina, denominada "Desarrollo en América Latina: su papel y su estatus en el futuro sistema internacional" (febrero, 2007) y en la que participaron invitados de Argentina, Venezuela, Colombia, Cuba, Brasil, Uruguay y Ecuador aparte de latinoamericanistas de Italia, Rusia, y China". Fue un seminario auspiciado por el Ministerio de Relaciones Exteriores iraní y sirvió para dar luces acerca del diseño conceptual y modelos de praxis para materializar la iniciativa. Procuró insertar conceptualmente el despliegue en las corrientes revolucionarias de la época, buscando asociar las figuras de los comandantes Chamran y Guevara como simbólicas del encuentro revolucionario entre Irán y América Latina. El gobierno iraní invitó a exponer al seminario a dos hijos de Guevara. Pocos meses más tarde, en Teherán e Isfahan, también con auspicio de organismos de gobierno, se efectuó el Primer Congreso Internacional de Literatura Latinoamericana. Ver Witker, op cit. pp. 171-172.(6) La relación de Irán con Paraguay se inicia bajo mandato del Presidente Lugo el 15 de agosto de 2008. Un trascendido relevante en las relaciones de Irán con esta zona del mundo es la presunta petición formulada a inicios de abril de 2011 por Ahmedinejad al Presidente paraguayo, Fernando Lugo en orden a garantizar asilo para Muammar Gaddafi.(7) Ver "Apoyo del ALBA a Irán" en el sitio http://www.noticiasdeiran.com (accesado el 01.06.2011).(8) La trayectoria y los eventos dramáticos ocurridos en la capital argentina apuntan a un diseño conceptual y praxis específicas del interés de Irán en Argentina, pues no se divisan motivos demográficos o migratorios, ni económicos, ni gran colaboración militar, aunque sí hay versiones, no confirmadas, de interés en la industria nuclear argentina a comienzos de los 90. Sí tiene fuerza explicativa la numerosa población judía en Argentina. Al asumir a los aproximadamente 250 mil judíos argentinos como blanco de su despliegue global, se advierten elementos coherentes con el esquema antijudío que marca la diplomacia iraní desde fines de los 80.(9) El acuerdo habría nacido tras una oferta hecha por Timmerman mientras efectuaba una visita a Aleppo, Siria entre el 23 y 24 de enero de 2011. Los mediadores iban a ser el Presidente sirio Bashar al Assad y su canciller Walid al Mohalem. El texto de Eliaschev asegura que en septiembre de 2010 y febrero de 2011 se produjeron tratativas directas, aunque discretas, entre Argentina e Irán a nivel de "funcionarios poco conocido".(10) Pagina 12 y Perfil (7 de abril). El juez Nisman identificó una casa de seguridad de Rabbani y otros 20 terroristas en Sergipe N° 67 en la ciudad Foz de Iguacú.(11) Rafecas instruye casos contra algunos grupos terroristas como Quebracho. Esas afirmaciones las hizo en una reunión realizada en la Sociedad Hebraica del Pilar, Buenos Aires el 30 de marzo de 2011.(12) Hay versiones que indican que esta fórmula habría sido propuesta en 2003 y que no se habría encontrado ningún país dispuesto a servir como tal.(13) "Respuesta de Irán a Argentina en Naciones Unidas" en http://www.noticiasdeiran.com (accesado 14.6.2011).(14) El intercambio comercial entre Irán y Argentina llegaba en 2011 a US$ 1.200 millones anualmente.(15) Inicialmente, las investigaciones tropezaron con las enormes dudas acerca de qué pudo haber motivado esta expansión terrorista hacia América del Sur. También se hicieron públicas varias hipótesis argentino-céntricas de un presunto descontento del mundo musulmán por la participación de Buenos Aires en la primera guerra desatada por Estados Unidos contra Irak, aunque Irán era muy hostil al Irak de Saddam Hussein 1980-1988. Ese resentimiento musulmán se habría visto alimentado también por otros motivos. Los daños causados a Irak, financista de Egipto, y potencial beneficiario del proyecto misilístico Cóndor (desarrollado por Argentina y Egipto), abandonado por Menem por imposición de Estados Unidos. Luego estaría la decepción de Trípoli tras haber invertido fondos en la campaña electoral de Menem. Otro elemento de resentimiento musulmán con Argentina sería la distancia que tomó Buenos Aires respecto del Movimiento de No Alineados en 1991 y su acercamiento a Estados Unidos. Por último, la desilusión experimentada por Damasco ante los diversos viajes de Menem a Medio Oriente en los que no visitó Siria (el país de sus ancestros), a la vez que se convertía en el primer Presidente argentino en viajar a Israel. Todas hipótesis excesivamente argentino-céntricas y carentes de efectivo poder explicativo.(16) Irán ha financiado una fábrica de textiles, una de cemento, un hospital en El Alto, una procesadora de lácteos y ha iniciado estudios para una ensambladora de tractores. La suma es un conjunto de créditos que forman parte del llamado Plan de Cooperación Industrial válido por cinco años firmado en 2007 durante la visita de Ahmedinejad a La Paz. Notoriedad tiene un reportaje de la BBC (27.11.2009) alerta sobre la posible obligatoriedad que existiría en el centro hospitalario construido en El Alto para que las mujeres porten velo.(17) La visita de Morales incluyó un desplazamiento a la ciudad de Tabriz donde visitó una fábrica de tractores. Irán tiene la oferta de instalar una ensambladora similar a la levantada en Venezuela.(18) Ver: "Uranio y agua para Irán" en http://www.noalamina.org (accesado 10.6.2011).(19) Sobre este punto, las negociaciones se habían iniciado en octubre de 2010 durante la segunda visita de Morales a Teherán. Bolivia tiene un depósitos estimados de 100 millones de toneladas métricas (TM) de litio, lo que correspondería al 70% de las reservas mundiales.(20) Excomandante general de la Fuerza Quds del Pasdaran. Existe orden de captura internacional por su participación en el atentado contra la AMIA en Buenos Aires en 1994. Por años nexo entre Teherán y Hizbollah. Su cargo actual implica una tuición directa en el programa de desarrollo nuclear de Irán. La orden de captura de Interpol se extiende a Moshen Rabbani (ex agregado de prensa en la embajada iraní en Buenos Aires), Ali Akhbar Velayati (excanciller), Alí Fallahijan (exministro de Informaciones), Alí Rafsanjani (expresidente), Moshen Rezai (exasesor presidencial), Hadi Soleimanpour (exvicecanciller).(21) Gran parte de la prensa mundial consignó esta nota ese día. El canciller David Choquehuanca endosó responsabilidades a funcionarios medios del Ministerio de Defensa. Otro antecedente que apoya la sospecha de una circunstancia embarazosa es que Vahidi se encontraba alojado en el mismo hotel (Casa Blanca), que el Presidente Morales. Ver La Tercera, Santiago de Chile 6.6. 2011.(22) La Prensa (Bolivia) 03.06.2011.(23) El anunció precisó que podrían adquirirse FAJR-3, S-68 e IRAN-140 así como helicópteros. Ver Los Tiempos, Cochabamba 1.11.2010.(24) El acuerdo consistía en que Irán se comprometía a enviar 1200 kilos de uranio enriquecido al 3,5% hacia Turquía y recibiría el producto enriquecido al 20% para usos médicos, en un proceso supervisado por EEUU, Francia y Rusia más el Organismo Internacional de Energía Atómica.(25) Aprobada por 22 votos a favor , 7 en contra y 14 abstenciones.(26) Aunque la relación entre ambos países también se remonta a comienzos del siglo 20 sólo a partir de los 90 comenzó a registrar cierto volumen al intercambiar alimentos. Sin embargo, a partir de 2003, Petrobras obtuvo una primera licencia de exploración de petróleo en el Mar Caspio con lo que la relación bilateral aumentó fuertemente. En 2004, Petrobras obtuvo una segunda licencia y en 2007 una tercera. El 2009, asociada con Repsol, obtuvo derechos de explotación del bloque Tosan, también en el Caspio.(27) State 123431 SIPDIS E.O. 12958: DECL:12/12/2034 *El autor es politólogo y periodista de la Universidad de Chile,PhD en Comunicaciones por la Universidad Carlos IV de Praga, República Checa y egresado del Centro Hemisférico de Estudios de la Defensa, National Defense University (CHDS-NDU). Ha sido jefe de la Mención en Relaciones Internacionales del Doctorado en Estudios Americanos de la Universidad de Santiago y jefe de Cátedra de Estudios Internacionales de la Academia Nacional de Estudios Políticos y Estratégicos (ANEPE) de Chile. En la actualidad es profesor de la ANEPE y la Universidad Alberto Hurtado de Santiago de Chile,profesor visitante del Colegio Interamericano de Defensa, Washington DC. Ha publicado varios artículos sobre terrorismo y seguridad internacional en revistas académicas, destacando "Los guiños de Mefisto. Relaciones Irán-América Latina, los casos de Chile y Argentina", "El síndrome de Herostratos o la conversión de terroristas en íconos". "Momentos palmerstonianos: retórica integracionista y conductas divisivas a la luz de la cumbre energética de 2007".

Documents CIDOB: 15Winner of the Global Talent Award, launched by CIDOB and Banco Sabadell Foundation in the framework of Programa Talent Global.







ABSTRACTThis study offers a comprehensive overview of the Norwegian involvement in the Venezuelan peace process as a facilitator of the peace talks between the Venezuelan government and the opposition. It explains what Norway does as a facilitator (the process), as well as how (approach) and why (characteristics of Norway as a suitable mediator, and possible interests), not only in terms of the characteristics making Norway a suitable facilitator, but also its interests and motivations. The main goal is to draw attention to the importance and the usefulness of soft power tools for the achievement of foreign policy objectives and, in particular, peace-making. The study concludes that, for Norway, mediation as foreign policy is, in general but also in the case of Venezuela, the result of a combination of idealist, value-oriented motivations (humanitarian reasons and international stability), and realist, non-altruistic interests (status and access) arising from its constructed national identity and role conception. 1. INTRODUCTIONSince the early 2010s, Venezuela has been embroiled in a grave economic, political, and humanitarian crisis resulting in institutional disarray that reached critical point in 2017. It was in this year that the constitutional order was broken after Decision 156 of the Supreme Tribunal of Justice in Venezuela, whereby this organ attributed to itself the functions of the National Assembly, the country's legislative organ. Deemed unconstitutional by the political parties with a majority in the National Assembly, this move led to mass protests. The government reacted by calling for a new constitution to be drafted by a newly created Constituent National Assembly which, in August 2017, granted itself powers to pass legislation, thus overriding the National Assembly (Bronstein & Cobb, 2017). This was not recognised by the National Assembly but, in 2018, the Constituent National Assembly went ahead and blocked the participation of the main opposition parties in the presidential elections that year. These elections were rejected by a broad sector of the international community, among them the European Union (EU) and the Lima Group.1From 2017, Norway, with a population of just 5.5 million, has been exploring possibilities in Venezuela for political dialogue between the government of Nicolás Maduro and the opposition, first through the Norwegian Centre for Conflict Resolution (NOREF), an independent foundation that receives funding from the Norwegian Ministry of Foreign Affairs (MFA), and later, after 2019, with direct state involvement. Norway has built an image as a peace broker with its success in processes like the Oslo Accords between Israel and the Palestine Liberation Organisation (PLO), and in the talks between the Colombian government and the Revolutionary Armed Forces of Colombia (FARC). But why did Norway decide to facilitate the peace talks in Venezuela? How does Norway approach peacebuilding in this conflict? This article aims to analyse the causes, process, approaches, and motivations for Norwegian mediation in Venezuela, in order to draw attention to the importance and the usefulness of soft power tools for the achievement of foreign policy objectives and, in particular, peace-making. I therefore explore the comprehensive role of Norway in the Venezuelan peace talks, the background, the process, and Norway's possible interests as a facilitator. I argue that,for Norway, mediation as foreign policy is, in general, but also in the case of Venezuela, the result of a combination of idealist, value-oriented motivations (humanitarian reasons and international stability), and realist, non-altruistic interests (status and access) arising from its constructed national identity and the way it perceives its role as a peace-making nation. As mentioned above, the Norwegian state became officially involved in the Venezuelan conflict in 2019. The domestic situation had come to a head on 23rd January when Juan Guaidó, leader of the opposition and president of the National Assembly, rejected the authority of Nicolás Maduro and declared himself acting president of Venezuela. However, the strategy failed when the military remained loyal to Maduro. Negotiation then became a last resort (NUPI 2020) and Norway began to facilitate negotiations between government and opposition, first in Oslo and then in Barbados, in 2019. These efforts led to further discussion between the parties through 2021 and 2022, in Mexico. In 2022, the war in Ukraine prompted changes in the positions regarding Venezuela of certain actors, notable among them the United States (U.S.) and the EU. As the Spanish Institute of Strategic Studies (Remacha, 2023) points out, U.S. concerns about energy security made it necessary to find a way of guaranteeing the international supply, and Venezuela was (and is) considered to be a strategic source. Contacts between the U.S. and Venezuela were made in 2022, and talks began about removing the sanctions imposed on the country. Given its economic situation, and the presidential elections due in 2024, Venezuela welcomed the rapprochement. If the sanctions were to be removed (at least partially), it was necessary to resume dialogue with the opposition, so in November 2022, negotiations recommenced in Mexico with Norway's mediation. Significant progress was made, and the release of previously frozen international funds was agreed upon (up to 3,000 million dollars earmarked mainly for public health, education, and food), as well as the lifting of some sanctions. Maduro's government is also aware that the 2024 elections should be held according to a model that respects democratic safeguards, with unrestricted participation by the opposition, so that results will be internationally recognised. Venezuela would then be able to resume relations with countries and regions like the U.S. and the EU, thus enabling international investment, particularly in the oil industry, and an improved economic situation (NUPI, 2020). Although the presidential crisis formally lasted until 5th January 2023 when Guaidó's acting presidency was abolished by the National Assembly, the political crisis with the opposition continues to the present day, in November 2023. 1.2. Research goals and objectivesThis study aims to explore the role of Norway as a facilitator in the Venezuelan peace talks, focusing on what it does (the process), how (approach), and why (characteristics of Norway as a suitable mediator, and possible interests). It seeks to demonstrate that, given Norway's national conception as a peacemaker, its strategy in Venezuela expresses a broad foreign policy endeavour that has humanitarian but also reputational and political motivations. More broadly, the importance of soft power tools for state actors to achieve their foreign policy objectives is discussed. Constructivism and Holsti's theory of National Role Conceptions (NRC) help to explain Norway's self-image as a peacemaker, while idealism and realism, together with Touval's "mediation as foreign policy" theory shed light on Norway's use of mediation as a foreign policy tool. Qualitative methods based on analysis of primary and secondary sources, complemented with semi-structured interviews with experts and officials of the Norwegian Ministry of Foreign Affairs, have been used. 1.3. Relevance and justificationNorway is a small country in terms of population but one with a notable ability to influence international affairs thanks to soft power. One of ways it exercises its influence is its internationally recognised image as a peacemaker, evidenced through its involvement in several peace processes. Indeed, since 1993, Norway has been engaged in 11 different peace processes (Norwegian Ministry of Foreign Affairs, 2019) with some major successes but also others that were limited. The case of Norwegian facilitation of the Venezuelan peace talks is studied for two main reasons. First, is its relevance in terms of policy significance, as it is an ongoing process, which leads to questions about why Norway acts as a facilitator, and the possible interests it has in doing so, apart from the goal of peace itself. Second, is the practical reason of the author's knowledge of the three languages relevant for this research (English, Spanish, and Norwegian), which is a valuable asset in terms of good understanding of the information from primary and secondary sources written in the three languages. This is an advantage in the research, as it allows cross-checking of information, and offers a broader perspective on the topic. 2. NORWAY AS A PEACEBUILDING NATIONScholars offer several explanations of Norway's involvement in peace processes arising from international conflicts. The result of a pragmatic foreign policy, it combines idealist and realist elements in a seemingly contradictory policy which, in fact, accommodates different domestic interests and maintains inter-party foreign policy consensus (Riste, 2001; Ekengren, 2022).From a constructivist perspective, the notion of Norway as a nation for peace partly comes from its conception of its role as a small, rich, peaceful state, with a clear focus on human rights and humanitarian assistance (Leira et al., 2007). While it is true that the so-called value-oriented (idealist) diplomacy wasstrengthened, above all in the 1990s, with the increased involvement of Norway in several peace processes, its self-image as a peacebuilding nation has always been present (Leira, 2015). The Norwegian peace activist and later Foreign Affairs Minister, Halvdan Koht (1873-1965), argued in 1902 that, although the fact of its being a small state could limit its flexibility in foreign policy actions, Norway could and should secure its status by promoting peace and development. More than 80 years later, in 1989, Jan Egeland, who would become State Secretary in the Norwegian Ministry of Foreign Affairs from 1990 to 1997, argued that a small, rich country like Norway could be more effective in promoting human rights and peace than old colonial powers or superpowers with their historical baggage and policies based on self-interest and dominance (Sørbø, 2018).Moreover, the notion of status, which is closely linked with the concept of identity, has been prominent in Norway since the nation's beginnings. Leira (2015) describes the pursuit of status as a peace-making nation in the 19th and early 20th century as a way of achieving independence (through moral authority), a means of saving money (as the policy for peace was cheaper than power politics), and as sound realpolitik for a small state. He also refers to the words of Ole Jacob Broch in 1864 when he argued that, when small states need to "engage in the strife of other states", they should do it decisively because, "for them, honour and prestige are even more important than for the greater powers" (Broch cited in Leira 2015, p.22).The role performance of Norway, or itsbehaviour with, and approach to foreign policy actions is, according to Gulbrandsen (2022), influenced by the logic of appropriateness (March & Olsen, 1998), dictated by the image the state has of itself, and constituting a basis for adopting a role in any specific context. In Holsti's view (1970), the main explanation for the role performance of a state arises from policy makers' conceptions of the role of the nation in a system (National Role Conception), but adoption of a role is also influenced by what he calls role prescriptions, which come from the external environment. In this case, if the Norwegian government and the Norwegian people have an image of Norway as a nation for peace, and if the external image they project in other countries is also that of a nation for peace, the logic of appropriateness and the role prescription will dictate that Norway will have to behave as a nation for peace, and thus engage in peacebuilding policy.For Skånland (2010) the Norwegian involvement in peace processes is the result of a discursive construction, amplified by the media, above all after 1993. Media coverage of the Norwegian involvement in the Middle East peace process gave a very positive picture of Norway in general, an image that was strengthened thanks to the perceived successes in the peace processes of Sri Lanka, Guatemala, and Mali. All this crystallised into three main discursive constructions: (1) the decisive significance of the Norwegian contribution for the outcome of peace processes, (2) the importance of peace promotion as a foreign policy tool, and (3) Norway's distinctive approach for peace promotion.Other authors emphasise Norway's peace engagement efforts from a more realist perspective and, in particular, as a policy instrument in its own right (Touval, 2003). Some, like Matlary (2002) argue that mediation is used as an institutionalised strategy for dealing with some of the challenges of being a small state, as well as for promoting Norway's interests in the international arena, and having some influence in international relations. As Stokke (2014) notes, although it has a small population, Norway has a disproportionate importance in other areas (fishing, oil and gas, shipping etc.), thus implying interests beyond its borders as well as influence in other domains because of this prominence. According to Matlary (2002), some Norwegian interestsidentified from a realpolitik standpoint are security (addressed through NATO), economic interests vis-à-vis the EU, access to political decision-making power in the EU and, outside the West, considerable economic interests in oil prices and oil export. Matlary, who collected data through a series of anonymous interviews with diplomats and politicians, alludes to the effects of value-oriented diplomacy in matters of matters and concludes that, apart from a good image and profile, what value-oriented diplomacy provides is access to other arenas where one needs the best possible entry. Her interviewees referred, above all, to access to the leaders of the U.S. Department of State through the policy of peace engagement, especially in the Middle East and, to a much lesser extent, to leaders of EU states. However, she says, it was difficult to collect specific insights into the effects of such access, a perspective shared by Stokke (2010, p.166) who argues that "the extent and manner in which recognition is translated into international influence is complex and may vary from one policy field to another and between different arenas of international relations. This means that it is notoriously difficult to detect and measure the direct benefits from peace engagement". Finally, another interesting perspective is that provided by Neumann (2011). For him, the peace and reconciliation efforts of medium and small countries are a means to maintain a system with which they are reasonably satisfied, because they are not as well equipped as bigger powers to deal with other (more violent) types of conflict resolution methods, and he refers specifically to the institutionalisation of peace and reconciliation efforts by Norway.To conclude, Norway's peacebuilding policy may be understood as apparently idealist (value-oriented diplomacy) and based on a self-image as a nation for peace, which includes both idealist (moral responsibility) and realist (influence in the international arena and security) motivations. Until now, there have been no major conflicts between those two angles (Stokke, 2014), but in an increasingly polarised world, it is becoming more and more difficult for Norway to maintain a balanced policy in peacebuilding processes. 3. THEORETICAL FRAMEWORKThis study draws on the theory of constructivism to explain Norway's national role conception and considers the notions of idealism and realism to explain mediation as its foreign policy. A theoretical framework based on such apparently antagonistic ideas is, perhaps, not very common but, as Barkin (2003) puts it, a constructivist epistemology and a classical realist theory are, in fact, compatible and, moreover, this kind of framework can be useful in International Relations (IR) theory, as it can specify the relationship between the study of power in IR and the study of IR as social constructions. Indeed, constructivism and perceptions can—and are—often applied to fulfil or justify realist objectives and policies.For the purposes of this study, I consider that mediation as foreign policy is a result of idealist (value-oriented) and realist (power) motivations arising from a constructed national identity and role conception.3.1. Constructivism and national role conceptionFor Barnett (2018), constructivism as an international relations social theory is "concerned about how to conceptualise the relationship between agents and structures, but it is not a substantive theory" (p.88). The basic premise is that the world is socially constructed, which means that "social reality is a product of human consciousness. Consciousness is created and constituted through knowledge that shapes meaning and categories of understanding and action; such knowledge and meanings can be institutionalised in social life; and this institutionalisation, in turn, shapes the construction of social reality" (p.88). These categories shape not only external reality but also its actors, which is an indicator of the importance of the social construction of interests and identity. For example, Norway's identity may shape its national interests, and one of those interests might be security, but the concept of security and how it can be achieved may be linked to Norway's identity.National Role Conceptions, a concept first developed by Holsti (1970), is defined as "the policymakers' own definitions of the general kinds of decisions, commitments, rules, and actions suitable to their state, and of the functions, if any, their state should perform [...] in the international system" (p. 245-246). These are, as mentioned in section 2, the main explanation for the role performance of a state, understood by Holsti as the "general policy behaviour of governments" (p. 245). Role performance is also influenced by what he calls role prescriptions, which come from the external environment and have, as some of their sources, system-wide values, the structure of the international system, and the traditions, rules and expectations of states expressed through various legal instruments (p. 246).The notion of national role conception is related to that of politics of identity, which, in Aggestam's words (1999), is a set of ideas that policymakers use to create a sense of solidarity and cohesion and thus to legitimise general trust in a nation's foreign policy. She argues that speeches sometimes reveal subjective we-feelings of a cultural community related to territory, myths, rituals, institutions, and customs, and she refers to the "institutionalisation" of national identity, which makes identity constructions relatively resistant to change. Moreover, citing March & Olsen (1998), she indicates that certain practices and rules of behaviour that legitimise and explain specific identity constructions are reinforced by such institutionalisation.The starting point of the present study is, therefore, the idea that Norway's national role conception is that of a small, rich, peaceful, democratic state, whose official discourse in peace engagement, especially since the 1990s, emphasises its altruistic contribution as a "peaceful nation that has the values, competences and economic resources" for such an endeavour, but whose work is also "beneficial for Norway's own interests" (Stokke, 2014, p.8).3.2. Idealism, realism, and mediation as foreign policyThere is no generally accepted definition of idealism because there is no settled ontology of the term but, according to Wilson (2012), it generally refers to any goal, idea, or practice that is considered impractical from a state perspective, for example the prohibition and disarmament of nuclear weapons, or global eradication of poverty. In IR it is normally used in both the broad and narrow senses. Broadly speaking, idealism seeks to transcend anarchy to create a more harmonious world order while, in the narrow sense, it is a doctrine tied to the inter-war period (1919-1939) and seen as emphasising the growing interdependence of mankind. I shall focus on the first meaning, which refers to "an approach to international politics that seeks to advance certain ideals or moral goals, for example, making the world a more peaceful or just place" (Wilson, 2019).Realism is a substantive theory of IR that considers states to be the main actors in the international arena, and mainly concerned with the pursuit of their own national interests, security, and struggle for power. Realists view the international arena as a sphere without justice, and with active or potential conflict among its members. They show scepticism about the relevance of ethical norms (Stanford Encyclopedia of Philosophy, 2017). This theory has a variety of ramifications but in this study I consider, first and foremost, classical realism because, although idealism is usually heavily criticised by realists, according to Barkin (2003), classical realism perceives the art of international politics as "the practical balancing of the demands of power on the one hand and morality on the other—a dialectic between power and morality [...]. Idealism, for the classical realist, is necessary to inform our actions and underlie our interests in the pursuit of international politics, but realism will always remain a necessary part of relations among states" (p.333). Also relevant is the perspective of neoclassical realism because, while classical realism focuses on the system-level factors, neoclassical realism considers domestic-level factors as variables that can shape foreign policy, which is highly pertinent if NRC theory is used to explain Norway's behaviour in the international arena. Neoclassical realism considers that "objective reality exists, but decision making is impaired by uncertainty and the complexity of the environment" (Rathbun, 2008, p.296).According to Touval (2003), mediation as foreign policy needs to be understood as a policy instrument, as distinct from mediation theory. He argues that it derives from the mediator's perception of the international system, its foreign policy objectives and strategies, and domestic needs. I would also argue that it stems from the mediator's own national role conception and self-perception. Touval (2003) considers that ending a conflict is no longer the main concern of the mediating state, but only a part of a broadly conceived foreign policy as the mediation is also shaped by affairs that are external to the conflict. He highlights three issues arising from a state's international and domestic concerns: (1) mediation is perceived by the public and the officials engaged in it as a moral obligation, which is seldom criticised; (2) foreign and domestic motivations, apart from being an incentive for states to engage in mediation, also shape their strategies and tactics of the mediation; (3) the mediation is evaluated not only in terms of settlement of a dispute, but also the primary goals motivating the mediation. Beriker (2017) offers an expanded perspective of Touval's work, arguing that once mediation is proven to be a viable foreign policy tool, engaging in mediation enables medium-sized powers to create a political space that otherwise would not be available. 4. METHODOLOGYThis study is both descriptive and explanatory, as it inquires more deeply into the events as well as exploring why and how Norway became involved in the Venezuela peace process from 2017 to May 2023. In a deductive approach, existing theories —NRC, mediation as foreign policy, idealism, and realism— are drawn on to explain Norway's behaviour in its peacebuilding policy. The epistemology used is empiricism, since the focus is explanation rather than interpretation, and the ontology is pragmatist because, while the world is understood as existing independently from social actors, the influence of these actors to shape social realities should also be taken into account, together with the fact that, in some cases, this may affect realities existing independently of them.The methods are qualitative, as information provided with quantitative methods would be too superficial for a study that seeks to determine the existence and the characteristics of Norway's engagement in the Venezuelan peace process. The analysis is primarily based on a range of online primary and secondary sources, including government reports, memorandums of understanding, recorded interviews, articles, and academic publications. I consulted these sources, first, for better understanding of the issues and to organise this material around the research question, as well as to identify possible gaps of knowledge. I then conducted semi-structured interviews, with an official from the Norwegian MFA (Ministry of Foreign Affairs) and a Norwegian academic, to fill some of the previously identified knowledge gaps, to record their perceptions, and to triangulate the documentary information thus gathered.The first interview, conducted by videoconference on 2 August 2023, was with Professor Benedicte Bull, from the University of Oslo and, inter alia, president of the Nordic Institute for Latin American Studies, whose research has been focused on Venezuela in recent years. The second was with David C. Jourdan, who coordinates the Norwegian MFA's facilitation team in the Venezuelan peace process. This interview was conducted in Oslo on 8 August 2023. Both Bull and Jourdan have given their consent to use their names in the present study. NOREF was also contacted but stated that it could not give interviews on the Venezuelan peace process. 5. ANALYSIS AND DISCUSSION5.1. Norwegian involvement in the Venezuelan peace processNo official documentary information about the specific manner Norway engaged in the Venezuela conflict during 2017 and 2018 has been found, apart from the mere fact stated in the NOREF website that it was engaged in talks on the conflict in those years. According to its strategic plan 2019-2023, NOREF is a "non-state actor that is able to complement formal Norwegian peacemaking efforts [... and] build directly on the Norwegian tradition of informal conflict resolution". This makes it possible "to support formal peace processes (track I), and informal back-channel conflict diplomacy (track 1.5 and 2)" (NOREF, 2019). This institution has a permanent staff of professionals, experts in conflict resolution, and is governed by a board whose director is appointed by the Norwegian MFA, and whose members come, in general, from different areas of the public sector. In the interview with David C. Jourdan of the Norwegian MFA (2023), he confirmed that NOREF's engagement consists of track 2 approaches. Moreover, he stressed that, although NOREF receives public funds and works closely with the Norwegian state, it is a separate, independent institution. Norway's involvement in the peace process after 2019, when it became public, is described in some detail below. 2019: the first official talksAccording to the Norwegian MFA (2023), Norway has been involved in Venezuela since 2018. However, it was only in May 2019 that talks between the Venezuelan parties, facilitated by Norway, first became public. In this early stage, the negotiations between the delegations of Nicolás Maduro and Juan Guaidó lasted until August 2019, and although significant progress was made, no agreements for solving the political conflict were reached. However, the Norwegian MFA (2023) stresses that these negotiations were a stepping-stone for further talks between the parties, which signed a collaboration agreement in June 2020, with the objective of using frozen funds in the U.S. for a joint response to the COVID-19 pandemic, with support from the Pan American Health Organisation. Several newspaper articles describing the negotiations during that year provide additional information that has been used in this study.In May 2019, Juan Guaidó sent a delegation to Oslo to participate in exploratory talks with representatives of Maduro's government to try to find a solution to the political crisis the country had faced since Guaidó declared himself acting president of Venezuela at the beginning of that year (NRK, 2019a), information that was confirmed by Jorge Valero, Venezuela's ambassador to the UN in Geneva, and the UN spokesperson in New York, Stephane Dujarric. The Norwegian Broadcasting Corporation (NRK) reported the talks for the first time on 15 May but, according to an anonymous source, this was the second time that the parties had been in Oslo, and negotiations had previously been taking place in Cuba.Shortly afterwards, on the night between 16 and 17 May, the Norwegian Ministry of Foreign Affairs issued a press release confirming that there had been contacts between key political actors in Venezuela as a part of an exploratory phase aiming to find a solution to the country's situation. The Maduro government representatives present at the talks were Héctor Rodríguez, governor of the province of Miranda, and Jorge Rodríguez, minister of Communication. The opposition representatives were Gerardo Blyde, member of parliament, and Fernando Martínez Mattola, who had been minister during the government of President Carlos Andrés Pérez.In the last week of May 2019, the Norwegian minister of Foreign Affairs confirmed that the parties would travel again to Oslo during the following week to continue with the process (NRK, 2019b). Almost at the same time, Juan Guaidó insisted that the meetings in Oslo were not part of a dialogue or negotiation, but a mediation in Norway (El Nacional, 2019). According to Voice of America/Voz de América (VOA) (2019a), Nicolás Maduro appeared a few days later on the Venezuelan public TV channel after the opposition declared that the conversations in Oslo that week had ended on 29 May without any agreement being reached. Maduro stated that conversations had been taking place in secret during the three previous months, that he was proud of his delegation, and that dialogue with the opposition had been constructive. Moreover, he insisted on his wish to find a peaceful solution for Venezuela. Indeed, VOA pointed out that Dag Nylander, a Norwegian diplomat who would become chief facilitator of the Venezuelan peace process, had been travelling to Caracas and meeting with the political actors involved in the crisis since January 2019.The peace talks resumed one month later in Barbados. On 11 July 2019, after three days of conversations, Norway announced that the negotiations would continue (Reuters, 2019). Yet, only a few weeks later, the Maduro government withdrew from the talks when the U.S. president, Donald Trump, announced his decision to block U.S. citizens from engaging in business in Venezuela and to freeze the country's assets in the U.S. According to the Venezuelan government, this had been instigated by Juan Guaidó, while the opposition accused the government of reneging on its commitment to dialogue. Norway's facilitator, Dag Nylander, took note that the planned meetings would not take place and emphasised Norway's role as a facilitator acting at the request of the parties and planning the meetings according to their availability. He added that the facilitation process would continue as long as the parties wished, and provided that there was a realistic position on a solution in the best interests of the Venezuelan people (VG, 2019).According to Bull (2023), Norway, as the facilitating country, was displeased when the talks went public in May, believing that this was premature and that it would complicate the peace process. She also stresses that the Trump administration had no clear strategy for ending the conflict and that, when the U.S. sanctions were announced, there had not been any proper coordination with Norway. She also notes that mentions of the U.S. seem to refer to a single homogeneous actor, when the reality is that there are many actors involved, among them the Pentagon and the Department of State, and these actors may work in different directions, sometimes disrupting a given policy. The Norwegian MFA (2023) confirms it was not aware of the U.S. sanctions that were announced in early August 2019. Both parties and facilitator were taken by surprise.2021: The signing of a Memorandum of Understanding and negotiation rounds in MexicoA year and a half later, in March 2021, new exploratory talks began after the Biden administration's position on Venezuela allowed the parties to negotiate a Memorandum of Understanding (MoU), which led to the launch of a new negotiation process, starting in August that year. On 5 August, the Mexican President, Manuel López Obrador confirmed that Mexico would host talks between the government of Venezuela and the opposition (Reuters, 2021) and, a few days later, the Norwegian government confirmed its involvement with a tweet (Ministry of Foreign Affairs, 2021a). The new negotiation process was launched in Mexico City on 13 August, with Dag Nylander as chief facilitator, Jorge Rodríguez representing the Venezuelan (Maduro's) government, and Gerardo Blyde representing the Unitary Platform (the opposition). A MoU —which I refer to in more detail in section 5.3— was released, defining the objective, agenda, method, and composition of the negotiation team. The Norwegian minister of Foreign Affairs, Ine Eriksen Søreide, declared in a press note that the parties were ready to negotiate constructively and that, in the process, they would consult members of civil society as well as political actors. She also noted that there was mutual agreement on the sensitive nature of the negotiations, which was necessary for giving the parties space to make progress (Norwegian MFA 2021b).A second round of negotiations took place at the beginning of September 2021. The parties released a joint statement reporting that two agreements had been reached, the first being to act jointly in the claim of Venezuelan sovereignty over Guyana Esequiba, and the second, a "partial agreement on the social protection of the Venezuelan people". The parties conveyed that the points to be addressed in the following round of negotiations would be "respect for the Constitutional Rule of Law", protection of the national economy, and measures for the social protection of the Venezuelan people.Between the second and the third rounds of negotiation, Erna Solberg, the Norwegian Prime Minister, spoke at the UN General Assembly on 21 September, referring to Venezuela as a country where human right violations were occurring. Her comment was criticised by Dag Nylander as it could, he said, damage the credibility of Norway's role. In a tweet on 25 September, the MFA reaffirmed its commitment as an impartial facilitator in the negotiations and declared that the statement in the UN should not be interpreted as being inconsistent with that (NRK, 2021). The Venezuelan government responded to this diplomatic hitch with a slight delay in proceedings when its representatives arrived one day late at the negotiation round scheduled in Mexico from 24 to 27 September, but which finally took place after 25 September (Euronews, 2021).After this third round of negotiations, the parties released a new joint statement, focused this time on the issue of inclusion and, specifically, on the need for a gender focus in the negotiations, identification of inclusive consultation mechanisms for political and social actors, and condemnation of xenophobic attacks on Venezuelan migrants that had recently occurred in Chile. According to an article by Diego Santander in the Spanish newspaper El Mundo (2021), this third round was so fraught with problems that no specific agreements were reached. Maduro's delegation insisted on its plans to include Alex Saab in the negotiation. Saab, a Venezuelan businessman, was accused of being Maduro's front man, and a key figure in the international economic and financial activities to circumvent the U.S. economic sanctions against his government. However, Saab had been arrested for money laundering in June 2020 in Cabo Verde and was extradited to the U.S. on the weekend of October 16.Negotiations, set for 17 October, were suspended on 16 October when the Maduro government decided not to participate in the next round of negotiations, because of Saab's extradition, which Jorge Rodríguez referred to as a "kidnapping" as it had been carried out "without a warrant and without due process" and accused the U.S. of trying to prevent the dialogue (Gilbert, 2021). The Norwegian government then tweeted that it was still convinced that the negotiations were the only solution for Venezuela, and that it would keep working to encourage the parties to continue (Norwegian MFA, 2021c). In Bull's opinion (2023), while the U.S. system may have its faults, the legal proceedings are independent from political powers so, on that occasion, there was little that U.S. politicians could do to stop the extradition.2022 — 2023: talks after the beginning of the war in UkraineIn March 2022, a new chapter of the dialogue began after the Russian invasion of Ukraine. A U.S. delegation formed by members of the Department of State visited Caracas to meet with the Venezuelan government and discuss an eventual isolation of Vladimir Putin. Some analysts also indicated that Venezuela was seen as a possible alternative oil supplier if the U.S. opted to restrict oil exports from Russia, which meant that removal of the sanctions on Venezuela could be considered (VOA, 2022a). Indeed, in May 2022, the U.S. announced that economic sanctions against Venezuela would be eased as a gesture in favour of reactivating the dialogues and also allowing the U.S. company Chevron to negotiate potential future activities with the state-owned oil and natural gas company PDVSA (Agobian, 2022). According to the Norwegian MFA (2023), these actions were a catalyst for the reactivation of the negotiations.Immediately after the announcement, Jorge Rodríguez and Gerardo Blyde met to discuss renewal of the talks (Ocando Alex, 2022a) but, by the end of May, according to Reuters, the Venezuelan government had demanded the withdrawal of Norway as a facilitator, and the presence of Russia (formally an accompanying country in the negotiations after 2021) as conditions for reactivating the negotiations. However, convinced that the Norwegians were their only guarantee for a successful process, the opposition disagreed (Oré, 2022). Bull (2023) specifies that the stance of the Venezuelan government might have been because it saw Norway as taking an excessively "pro-allies" position after the start of the war in Ukraine. She adds that Norway prefers to involve Russia and other big powers in the negotiations rather than excluding them, as they would provide legitimacy to the Mexico talks as the only acceptable platform for solving the Venezuelan political crisis. When interviewed, David C. Jourdan of the Norwegian MFA (2023), made it clear that Norway was never asked to relinquish its role as facilitator. Management of the process resides with the parties, which have remained committed to the MoU that names Norway as the facilitating country.On 21 and 22 June 2022, the Norwegian government held the Oslo Forum, an annual retreat focused on conflict mediation and peace processes. Around 100 conflict mediators, experts, peace process actors, and high-level decision makers from around the world gathered at Losby Gods Manor with the goal of sharing their experience on conflict resolution and peace diplomacy (Norwegian MFA, 2022). Among the peace process actors who attended the Oslo Forum were Jorge Rodríguez and Gerardo Blyde. A Norwegian source told VOA (2022b) that it was "probable" that the conversations would be initiated again, but "not immediately".On 14 September 2022, a group of 18 countries from the Americas and Europe agreed to call upon Maduro and the opposition to urge a resumption of the negotiations in Mexico (Ocando Alex, 2022b).Official negotiations began again on 26 November 2022. This time, a joint statement was issued indicating that the main agenda of the meeting would be social protection of the people. A partial agreement was reached, in which the measures agreed upon were: 1) creation of an organism to implement specific actions and programmes for the social protection of the Venezuelan people (Mesa Nacional de Atención Social, or MNAS); 2) creation of an organism auxiliary to the MNAS to evaluate its processes and the effects of implementation of the measurements adopted; 3) definition of the social areas which, requiring the most urgent attention, needed to be addressed through specific programmes, in particular the public health system, the national electrical system, development of the World Food Programme, educational infrastructure, and rebuilding of the infrastructure damaged as a consequence of the torrential rains in the latter half of 2022; 4) requesting from the UN support for the design and creation of a fund for social support of the Venezuelan people; 5) identification of frozen assets belonging to the Venezuelan state that might be progressively accessed and incorporated into this fund; 6) creation of a commission to assess and verify implementation of the agreement.After this meeting, the negotiations stalled again when the Venezuelan government accused the opposition of not complying with the agreement reached but, mainly and above all, because the frozen US$3,000 million that were to be incorporated into the Fund for the Social Protection of the Venezuelan People had not yet been released (August 2023). According to Maduro, this was a condition sine qua non for resuming the talks. The Colombian president, Gustavo Petro, organised a conference on 25 April 2023 in Bogotá, with representatives from numerous countries to discuss the Venezuelan situation. The shared positions of the Venezuelan government and the opposition were explained to the international community, in particular regarding the removal of sanctions, free elections, and reactivation of the peace talks. One of the shared positions for renewal of the talks was that of establishing the Fund for the Social Protection of the Venezuelan People (Ramírez Vargas & Alcalde, 2023). The message that came out of the Venezuela Conference of Bogotá was very clear: the UN trust fund for Venezuela should be set up as swiftly as possible. According to a Reuters report by Spetalnik, Sequera and Armas (2023), on 19 May the Biden administration notified the UN that the money could operate within the U.S. financial system, and that there would be no risk of creditors seizing it to repay the outstanding Venezuelan debt. Accordingly, the UN-administered fund could have been operative at the end of May 2023. However, the decision to establish the trust fund ultimately lies with the UN Secretariat in New York and some insiders allude to the complexity of the process involved and stress that establishing the fund depends on a number of factors. As of late August 2023, it had not been established by the UN. 5.2. Norway's distinctive approach to peace diplomacyIn an interview for the Centre of Humanitarian Dialogue, when asked about the distinctive approach of Norwegian diplomacy in international conflicts, Dag Nylander (2020) identified four main elements: (a) collaboration with Norwegian and international NGOs, (b) low-key diplomacy, (c) long-term commitment, and (d) the ability to make quick decisions.[5] In this section, these four elements will be briefly discussed.Norway's distinctive approach to its engagement in peace processes and with non-state actors was defined after the decentralisation of its foreign policy in the early 1990s. Humanitarian assistance and development policies called for closer cooperation between the Norwegian MFA and non-governmental actors and, according to Lehti (2014), this approach was extended to the area of peace-making. In the 1990s the Ministry responded positively to proposals and initiatives from various NGOs and well-connected individuals with regard to conflictive areas. The range of actors involved in peace-making was broadened, and Norway was then able to act beyond the bounds of government-centred diplomacy with a distinctive, more informal approach to peace diplomacy. Ann Kelleher and James Taulbe (2006) refer to this approach as "Track I½ Diplomacy", understanding Track I diplomacy as that with official representatives of governments and Track II diplomacy as that involving unofficial representatives and sectors of the civil society. An important feature of the collaboration between the state, NGOs and research institutions is that it is extensively funded by the state (Bandarage, 2011). Indeed, some Norwegian NGOs receive more than 90% of their funding from the state which, in Kelleher's view (2006), almost makes them quasi-governmental organisations.As for low-key diplomacy, Nylander (2020) affirms that activities pertaining to peace diplomacy rarely appear in the news, and that they are discreet and unnoticed, often with the involvement of low-level and mid-level diplomats, an approach that allows flexibility in seeking opportunities and in dealing with problems with relative freedom.Norway's long-term commitment to peace diplomacy is based on a broad political consensus for the promotion of peace and reconciliation. Hence, changes of government will not influence the country's engagement in any given conflict. According to the MFA (2000), the goal is not only ending violence but also support for economic, social, and political processes that lead to durable liberal peace in the country concerned.Finally, the ability of Norwegian diplomats to make quick decisions stems from the smallness of the country, not only in terms of population but also social distance. Dag Nylander (2020) mentions that the distance between a diplomat in the field and the ministry of Foreign Affairs is very short, and that it takes just a quick phone call or a text message, sometimes directly to the Minister, to obtain any clearance that may be needed. 5.3 Norwegian approach to facilitation the Venezuelan peace processNorway's approach to facilitation in Venezuela is consistent with its work in other peace processes. It began with secret talks between the parties (low-key diplomacy) and then, having advanced towards a more public and official format, it was formalised with the MoU signed in Mexico on 13 August 2021. In the MoU, the parties defined the agenda and methods for the talks. David Jourdan of the Norwegian MFA (2023) highlighted the importance of this Memorandum, which contains not only the agenda and format for the negotiations, but also a shared vision of the process and the country.As for the method, it is important to mention that it is based on a "nothing is agreed until everything is agreed" principle (comprehensive approach), although partial agreements can be reached if the parties consider that a subject has been sufficiently discussed and urgent action is required. This was the case with the two partial agreements on the Guyana Esequiba, and Social Protection of the Venezuelan people signed at the end of the talks in Mexico. This approach has its advantages, such as ensuring "big picture" negotiation, but it also comes with the risk the parties can renege anytime on anything they have agreed to. It was first used in other peace processes including Britain-Ireland in 1995, Palestine-Israel, and in Cyprus and Colombia. The Norwegian MFA (2023) emphasises that understanding the needs of the parties and ensuring that they are in charge of the process, has been key to making progress throughout the negotiations. The Venezuelan conflict is political in nature and requires political solutions, and the negotiation process provides a confidential space where the two parties have an opportunity to reconcile their interests. David Jourdan, sharing the MFA's approach to the political process, points out that Norway has probably been a more active facilitator in the Venezuelan negotiations than in other peace processes.An essential point of the MoU is participation, as it establishes mechanisms of consultation for political and social actors. The aim is for the process to be as inclusive and legitimate as possible. However, there is little information available as to whether this is actually the case and David Jourdan (2023) admits that it is not yet possible to speak of results in this area.Moreover, it should be noted that the Norwegian approach to facilitation, based on discretion and confidentiality, is one thing and how the parties actually behave is quite another matter. On more than one occasion, as can be seen in several documents and declarations, the Norwegian government has emphasised the need for the parties to be careful with their public declarations. In an interview with El País in February 2023, Anniken Huitfeldt, Norwegian Minister of Foreign Affairs, wryly acknowledges an anecdote sometimes repeated by high-profile Venezuelan politicians, according to which politicians will normally control themselves in public but, in private, tell someone else what they really think but, in Venezuela, the opposite occurs: what is said in private becomes amplified in front of a microphone (Lafuente 2023). Vicente Díaz, former director of the Venezuelan National Electoral Council, who participated in the talks held in the Dominican Republic, Oslo, and Barbados says that, since the process in Mexico was "very public" (as occurred in the Dominican Republic), it created difficulties for the parties, since national and international expectations were generated, which meant that more attention was given to audiences than to the talks (openDemocracy 2022). 5.4 Norwegian interests in VenezuelaIn this section and in keeping with the theoretical framework described above, I discuss four possible reasons for Norway's mediation in the Venezuelan conflict: (a) peace and stability (value-oriented diplomacy), (b) reputation, (c) political interests, and (d) economic interests.Value-oriented diplomacy focused on peace promotion makes sense for Norway, a country whose identity as a peaceful country and peace broker has existed at least since the late 19th century. Those values are so widely embedded that a broad political consensus exists among the population over a peace promotion policy, supported institutionally and by an extensive network of non-state actors coordinated by the state. Norway's constructed identity as a peace broker (especially intensified since the 1990s) means that the country acts as such. Moreover, promotion of such values makes even more sense when security has become globalised, and when a conflict in a faraway country can have humanitarian, political, economic, and ecological consequences in distant parts of the world. In this sense, value-oriented diplomacy may acquire realist motivations although, according to Bull (2023), this is discourse that appeared, above all from the 1980s, to justify Norway's involvement in peace processes. One of its proponents was the diplomat and former Labour Party politician, Jan Egeland.Ensuring peace and stability in Venezuela could, for example, (1) help to mitigate the external displacement crisis, which mainly affects neighbouring countries like Colombia and Ecuador as well as the U.S. and others in Europe, with all the humanitarian and economic consequences for those receiving refugees; (2) ensure Venezuela's participation, as a democratic state, in international organisations, thus promoting democratic values and human rights; (3) promote social and economic development in the country, which would create value for its nationals as well as attracting international investment and; (4) finally, through social and economic development, reduce the presence of paramilitary organisations in the country, including the Ejército de Liberación Nacional (ELN), which is involved in drug trafficking. During the interview with David Jourdan (2023), we shared these points and he replied that this may well be so, but that such possibilities could also arise as a consequence of a political settlement that includes the removal of the sanctions. He added that the main reasons for Norway's peace diplomacy are the goals of preventing and reducing human suffering, as well as contributing to peaceful societies and stability.Peace diplomacy does not give rapid results (when it actually gives results), but Norway sees it as a policy consistent with its values, and as one whose long-term effects are sufficiently relevant as to justify investment in it.When it comes to image and reputation, Norway's approach on peace has been used as a public diplomacy branding tool, together with the country's natural environment and gender equality, to solve one of the image problems of small countries: invisibility.Indeed, discretion and a low profile do not necessarily mean invisibility, and as long as the right aspects of Norway's peace diplomacy are emphasised in a public diplomacy strategy —for example its role as a facilitator, an engaged partner, and good multilateralist— the discretion that peace diplomacy requires would not be jeopardised (Leonard and Small, 2003). Success in mediation of the Venezuelan conflict would, of course, be positive for Norway's image as a peace broker, although this constructed image is also enhanced through pertinent media coverage mentioning the Norwegian involvement during the Venezuelan peace process. This can be explained by NRC theory since the Norwegian image is constructed not only through success in a certain process but also through the mediating process itself. To give one example, the Google search "peace talks Venezuela Norway" offers almost 4.85 million results, while the Spanish search with "mediación de paz Venezuela Noruega" offers 1.28 million results. Moreover, when Norway uses the word "facilitation"2 it transfers responsibility for the results to the parties, implying that it has the role of supporting and accompanying them, but it will not be responsible if the parties decide that they do not want to continue with the process. This safeguard for Norway's image as a peace broker applies to the Venezuelan case.Political influence has also been identified as one of Norway's possible interests. As Matlary (2003) notes, access to key international actors can result from Norway's engagement in peace processes, including in the case of Venezuela, especially in a context of international energy insecurity, and political tensions due to the high-profile conflict between Russia and Ukraine. In my interview with David Jourdain (2023), "close dialogue with key international stakeholders" together with increased political capital were mentioned as benefits that Norway could reap by engaging in Venezuela. He also pointed out that one of the key features of this conflict is the importance of the U.S. as an actor with the capacity to contribute to the outcome of the peace process.The U.S. is now particularly concerned to find new energy suppliers, and ensuring political stability in Venezuela could provide international legitimacy for oil and gas transactions with its government. Giovanna de Michele, internationalist lecturer at the Central University of Venezuela, told VOA that the best way to extract oil from Venezuela would be through U.S. companies, but the sanctions would have to be eased if this was to happen (Ramírez Vargas & Alcalde 2023). Norway offers an internationally recognised platform for making this possible: the talks in Mexico. It could therefore be a key actor in helping to resolve the political crisis in Venezuela while also supporting an ally, which would contribute to its status as a reliable partner of the U.S. However, as Matlary notes, it is difficult to quantify or define the scope of the access Norway gleans from its peace policy.Finally, with regard to economic interests, there are currently no Norwegian state-owned companies operating in Venezuela, although they can be represented through the investments of the Norwegian National Pension Fund3 in foreign companies that do operate in the country, for example, some Colombian companies, among them Bancolombia, Banco Popular, Banco Davivienda, and Cementos Argos. And, at the beginning of 2023, Ecopetrol, which is financed by Norfund, asked the U.S. for permission to negotiate with the state-owned company PDVSA to explore gas imports from Venezuela to Colombia (Quesada 2023). Among Norwegian investments in the U.S. are Chevron and Occidental Petroleum Corp, and the U.S. has recently given permission to Chevron to negotiate with the PDVSA and, at the end of 2022, a United Nations Commission on International Trade Law (UNCITRAL) court found that Venezuela was liable for discriminatory conduct in its payment of dividends from an oil and gas venture and ordered Venezuela to pay US$105 million to a Barbadian subsidiary of Occidental Petroleum Corp (Ballantyne 2022). If an improved political situation in Venezuela increases the revenues of these companies, it could also be positive for Norwegian investments.It should be added that, until 2021, Statoil (later Equinor), the national oil company of Norway, was present in Venezuela where it invested more than one billion dollars between 1995 and 2013 and participated in the Sincor heavy crude oil project with Total and PDVSA. However, due to concerns about the workforce and practical difficulties, Equinor pulled out of the project and transferred its 9.67% participation to CVP, a subsidiary of PDVSA, although it did keep its 51% stake in the exploration license of block 4 on Plataforma Deltana off Cocuina(Øye Gjerde, n.d.). Accordingly, Equinor participation in Venezuela is currently on hold but a greater presence in Venezuela of Norwegian companies, in particular from the oil and gas sector is possible if the country's situation improves.To sum up, although economic links between Norway and Venezuela do exist, they would seem to be limited and not sufficient to explain Norway's participation as a facilitator in the Venezuelan peace process. 6. CONCLUSIONSThe core question of this study is why and how does Norway facilitate the Venezuela peace talks? The results suggest that, for Norway as a facilitator of the Venezuelan peace process, the main goals of mediation-as-foreign-policy are humanitarian, security (better understood as promoting stability in the region), projection of its image as a peaceful nation and a peacemaker, and of its status vis-à-vis key international actors (especially the U.S.).All these goals can be explained through the Holsti's theory of National Role Conceptions (NRC) and Norway's own role prescription as a small, democratic, and peaceful nation, which means it would promote these values through altruistic (idealist) and non-altruistic (realist) actions and perspectives.Interestingly, economic factors do not seem to play a major role as a mediation-as-foreign-policy objective. The economic ties between Norway and Venezuela are presently not significant and, thanks to the diversification of the investment portfolio of the Norwegian National Pension Fund, Venezuela only represents a very small part of Norwegian economic interests.It is therefore relevant to consider the importance of constructivist aspects such as national values and self-conception in shaping the foreign policy of small countries, despite the apparent predominance of realpolitik aspects in an international context of increasing competition. These constructivist aspects offer key information for understanding and explaining the behaviour of small countries and should not be overlooked.Besides, it is worth reflecting on the definition of a mediation success in real, and in mediation-as-foreign policy terms. In the real sense, mediation is successful when it produces long-term reconciliation between the parties, in the eyes of a domestic audience while, for an audience external to the conflict, mediation may be successful simply when a peace agreement between the parties is signed. Meanwhile, for the mediating country or its allies, a mediation is deemed effective when foreign policy objectives are achieved. The approach used by Norwegian mediators in the Venezuelan process is similar to that of previous peace processes. It starts with the organisation of secret meetings and then advances towards a more public and official format. However, some distinctive traits of this peace process have been (1) a somewhat more active role of Norway as a facilitator when compared to other peace processes, (2) the weighty influence of the U.S. in causing setbacks or advances in the negotiations , and (3) premature publicity of this process, when the parties have been too eager to share their views with the press and the public, which may have been an obstacle for achieving progress. Despite these challenges, as of November 2023, Norway has continued to honour its long-term commitment to achieving a peaceful solution to the Venezuelan conflict.This study has created a first timeline of the Norwegian involvement in the Venezuelan peace process by means of consulting information in primary and secondary sources and, when relevant, adding further details obtained in interviews with two experts. This timeline provides an overview of the main milestones of the peace process while highlighting Norway's role as a facilitating country. Possible reasons for its engagement in the Venezuelan peace process have been identified. At a tactical level, the moral and security elements seem to be a high priority for people working in the field. These actors have considerable expertise in conflict resolution and perform their duties diligently. At a more strategic and state-centred level, besides the moral and security components, attention is given to building political capital by means of offering an attractive image to international stakeholders, especially close allies like the U.S. This is, therefore, an excellent example of the importance of peace diplomacy as a soft power tool for a middle-level country like Norway.The limits of the study arise from the nature of an ongoing mediation process. Since silence sometimes carries more weight than words and as discretion is necessary for the process to move forward, only limited information could be directly obtained from relevant actors in the peace talks. In terms of Norway's interests in certain areas, the limits of qualitative methods have not allowed quantification of the importance of each of these interests. The aim of the interviews was to obtain in-depth information that could confirm that such interests exist, and to provide distinctive details that might enrich knowledge of this peace process, rather than quantifying the results. Finally, now that Norway's possible interests as a facilitator have been identified, future research could be addressed at quantifying the weight of each of them in Norway's peacebuilding policy over the last two decades. 7. ReferencesAggestam, Lisbeth. "Role Conceptions and the Politics of Identity in Foreign Policy". ARENA Center for European Studies Working Paper, vol. 99/8 (1999). 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International Studies, vol. 49, no. 3-4, (September 2014), p. 207-231, DOI: https://doi.org/10.1177/002088171453233 Stokke, Kristian. "The Soft Power of a Small State: Discursive Constructions and Institutional Practices in Norway's Peace Engagement". Power, Conflict, Democracy Journal, vol. 2, no.1, (2010), p. 138-173, DOI: 10.22146/pcd.25724 Touval, Saadia. "Mediation and Foreign Policy". International Studies Review, vol.5, no. 4, (December 2003), DOI: https://doi.org/10.1111/j.1079-1760.2003.00504009.x, p. 91–95. The Venezuelan Negotiation Process, Oslo, regjeringen.no (2023) [Date accessed 13.05.2023]: https://www.regjeringen.no/en/topics/foreign-affairs/peace-and-reconciliation-efforts/norways_engagement/venezuela_negotiations/id2674295/ Voz de América. "Diálogo: Opción que Guaidó y Maduro no descartan para salvar a Venezuela". Voz de América, (30 May 2019), (on-line), [Date accessed 12.05.2023]: https://www.vozdeamerica.com/a/venezuela-noruega-negociaciones-para-poner-fin-a-la-crisis-/4936901.html Voz de América. "Tras fracaso en Barbados, Venezuela sigue esperando una solución". Voz de América, (11 August 2019), (on-line) [Date accessed 14.05.2023]: https://www.vozdeamerica.com/a/tras-fracaso-en-barbados-venezuela-sigue-esperando-una-solucion/5037644.html Voz de América. "Funcionarios de EE.UU. viajan a Venezuela y se reúnen con oficiales del gobierno: según medios". Voz de América, (6 March 2022), (on-line) [Date accessed 18.05.2023]: https://www.vozdeamerica.com/a/funcionarios-eeuu-viajaran-venezeula-reunen-oficiales-gobierno-/6472694.html Voz de América. "Gobierno y oposición de Venezuela coinciden en Noruega". Voz de América, (20 June 2022), (on-line) [Date accessed 18.05.2023]: https://www.vozdeamerica.com/a/delegaciones-maduro-dialogo-noruega-/6625220.html Wilson, Peter. "Idealism in international relations" in: Dowding, Keith (ed.) Encyclopedia of Power, Thousand Oaks: Sage Publications, p. 332-333.Notes:1- Originally consisting of 12 Latin American nations and formally created on 8 August 2017, the Lima Group is a multilateral body whose goal is to explore mechanisms for a peaceful solution to the political crisis in Venezuela and restoration of a democratic order (Government of Colombia 2017).2- In this study, I use the terms "mediation" and "facilitation" interchangeably. However, mediation normally involves a formal mandate from the parties of a conflict, covering involvement in both the substance and process of the negotiation, while a facilitator is less directive (Greminger 2007).3- The Norwegian National Pension Fund, the world's largest sovereign fund, has investments in over 9,000 companies in 70 countries (Oljefondet n.d.). Key words: Venezuela, Norway, national role conception, mediation, peacebuilding, foreign policy, conflict resolutionDOI: https://doi.org/10.24241/docCIDOB.2024.15/enE-ISSN: 2339-9570

Documents CIDOB: 15Winner of the Global Talent Award, launched by CIDOB and Banco Sabadell Foundation in the framework of Programa Talent Global.ABSTRACTThis study offers a comprehensive overview of the Norwegian involvement in the Venezuelan peace process as a facilitator of the peace talks between the Venezuelan government and the opposition. It explains what Norway does as a facilitator (the process), as well as how (approach) and why (characteristics of Norway as a suitable mediator, and possible interests), not only in terms of the characteristics making Norway a suitable facilitator, but also its interests and motivations. The main goal is to draw attention to the importance and the usefulness of soft power tools for the achievement of foreign policy objectives and, in particular, peace-making. The study concludes that, for Norway, mediation as foreign policy is, in general but also in the case of Venezuela, the result of a combination of idealist, value-oriented motivations (humanitarian reasons and international stability), and realist, non-altruistic interests (status and access) arising from its constructed national identity and role conception. 1. INTRODUCTIONSince the early 2010s, Venezuela has been embroiled in a grave economic, political, and humanitarian crisis resulting in institutional disarray that reached critical point in 2017. It was in this year that the constitutional order was broken after Decision 156 of the Supreme Tribunal of Justice in Venezuela, whereby this organ attributed to itself the functions of the National Assembly, the country's legislative organ. Deemed unconstitutional by the political parties with a majority in the National Assembly, this move led to mass protests. The government reacted by calling for a new constitution to be drafted by a newly created Constituent National Assembly which, in August 2017, granted itself powers to pass legislation, thus overriding the National Assembly (Bronstein & Cobb, 2017). This was not recognised by the National Assembly but, in 2018, the Constituent National Assembly went ahead and blocked the participation of the main opposition parties in the presidential elections that year. These elections were rejected by a broad sector of the international community, among them the European Union (EU) and the Lima Group.1From 2017, Norway, with a population of just 5.5 million, has been exploring possibilities in Venezuela for political dialogue between the government of Nicolás Maduro and the opposition, first through the Norwegian Centre for Conflict Resolution (NOREF), an independent foundation that receives funding from the Norwegian Ministry of Foreign Affairs (MFA), and later, after 2019, with direct state involvement. Norway has built an image as a peace broker with its success in processes like the Oslo Accords between Israel and the Palestine Liberation Organisation (PLO), and in the talks between the Colombian government and the Revolutionary Armed Forces of Colombia (FARC). But why did Norway decide to facilitate the peace talks in Venezuela? How does Norway approach peacebuilding in this conflict? This article aims to analyse the causes, process, approaches, and motivations for Norwegian mediation in Venezuela, in order to draw attention to the importance and the usefulness of soft power tools for the achievement of foreign policy objectives and, in particular, peace-making. I therefore explore the comprehensive role of Norway in the Venezuelan peace talks, the background, the process, and Norway's possible interests as a facilitator. I argue that,for Norway, mediation as foreign policy is, in general, but also in the case of Venezuela, the result of a combination of idealist, value-oriented motivations (humanitarian reasons and international stability), and realist, non-altruistic interests (status and access) arising from its constructed national identity and the way it perceives its role as a peace-making nation. As mentioned above, the Norwegian state became officially involved in the Venezuelan conflict in 2019. The domestic situation had come to a head on 23rd January when Juan Guaidó, leader of the opposition and president of the National Assembly, rejected the authority of Nicolás Maduro and declared himself acting president of Venezuela. However, the strategy failed when the military remained loyal to Maduro. Negotiation then became a last resort (NUPI 2020) and Norway began to facilitate negotiations between government and opposition, first in Oslo and then in Barbados, in 2019. These efforts led to further discussion between the parties through 2021 and 2022, in Mexico. In 2022, the war in Ukraine prompted changes in the positions regarding Venezuela of certain actors, notable among them the United States (U.S.) and the EU. As the Spanish Institute of Strategic Studies (Remacha, 2023) points out, U.S. concerns about energy security made it necessary to find a way of guaranteeing the international supply, and Venezuela was (and is) considered to be a strategic source. Contacts between the U.S. and Venezuela were made in 2022, and talks began about removing the sanctions imposed on the country. Given its economic situation, and the presidential elections due in 2024, Venezuela welcomed the rapprochement. If the sanctions were to be removed (at least partially), it was necessary to resume dialogue with the opposition, so in November 2022, negotiations recommenced in Mexico with Norway's mediation. Significant progress was made, and the release of previously frozen international funds was agreed upon (up to 3,000 million dollars earmarked mainly for public health, education, and food), as well as the lifting of some sanctions. Maduro's government is also aware that the 2024 elections should be held according to a model that respects democratic safeguards, with unrestricted participation by the opposition, so that results will be internationally recognised. Venezuela would then be able to resume relations with countries and regions like the U.S. and the EU, thus enabling international investment, particularly in the oil industry, and an improved economic situation (NUPI, 2020). Although the presidential crisis formally lasted until 5th January 2023 when Guaidó's acting presidency was abolished by the National Assembly, the political crisis with the opposition continues to the present day, in November 2023. 1.2. Research goals and objectivesThis study aims to explore the role of Norway as a facilitator in the Venezuelan peace talks, focusing on what it does (the process), how (approach), and why (characteristics of Norway as a suitable mediator, and possible interests). It seeks to demonstrate that, given Norway's national conception as a peacemaker, its strategy in Venezuela expresses a broad foreign policy endeavour that has humanitarian but also reputational and political motivations. More broadly, the importance of soft power tools for state actors to achieve their foreign policy objectives is discussed. Constructivism and Holsti's theory of National Role Conceptions (NRC) help to explain Norway's self-image as a peacemaker, while idealism and realism, together with Touval's "mediation as foreign policy" theory shed light on Norway's use of mediation as a foreign policy tool. Qualitative methods based on analysis of primary and secondary sources, complemented with semi-structured interviews with experts and officials of the Norwegian Ministry of Foreign Affairs, have been used. 1.3. Relevance and justificationNorway is a small country in terms of population but one with a notable ability to influence international affairs thanks to soft power. One of ways it exercises its influence is its internationally recognised image as a peacemaker, evidenced through its involvement in several peace processes. Indeed, since 1993, Norway has been engaged in 11 different peace processes (Norwegian Ministry of Foreign Affairs, 2019) with some major successes but also others that were limited. The case of Norwegian facilitation of the Venezuelan peace talks is studied for two main reasons. First, is its relevance in terms of policy significance, as it is an ongoing process, which leads to questions about why Norway acts as a facilitator, and the possible interests it has in doing so, apart from the goal of peace itself. Second, is the practical reason of the author's knowledge of the three languages relevant for this research (English, Spanish, and Norwegian), which is a valuable asset in terms of good understanding of the information from primary and secondary sources written in the three languages. This is an advantage in the research, as it allows cross-checking of information, and offers a broader perspective on the topic. 2. NORWAY AS A PEACEBUILDING NATIONScholars offer several explanations of Norway's involvement in peace processes arising from international conflicts. The result of a pragmatic foreign policy, it combines idealist and realist elements in a seemingly contradictory policy which, in fact, accommodates different domestic interests and maintains inter-party foreign policy consensus (Riste, 2001; Ekengren, 2022).From a constructivist perspective, the notion of Norway as a nation for peace partly comes from its conception of its role as a small, rich, peaceful state, with a clear focus on human rights and humanitarian assistance (Leira et al., 2007). While it is true that the so-called value-oriented (idealist) diplomacy wasstrengthened, above all in the 1990s, with the increased involvement of Norway in several peace processes, its self-image as a peacebuilding nation has always been present (Leira, 2015). The Norwegian peace activist and later Foreign Affairs Minister, Halvdan Koht (1873-1965), argued in 1902 that, although the fact of its being a small state could limit its flexibility in foreign policy actions, Norway could and should secure its status by promoting peace and development. More than 80 years later, in 1989, Jan Egeland, who would become State Secretary in the Norwegian Ministry of Foreign Affairs from 1990 to 1997, argued that a small, rich country like Norway could be more effective in promoting human rights and peace than old colonial powers or superpowers with their historical baggage and policies based on self-interest and dominance (Sørbø, 2018).Moreover, the notion of status, which is closely linked with the concept of identity, has been prominent in Norway since the nation's beginnings. Leira (2015) describes the pursuit of status as a peace-making nation in the 19th and early 20th century as a way of achieving independence (through moral authority), a means of saving money (as the policy for peace was cheaper than power politics), and as sound realpolitik for a small state. He also refers to the words of Ole Jacob Broch in 1864 when he argued that, when small states need to "engage in the strife of other states", they should do it decisively because, "for them, honour and prestige are even more important than for the greater powers" (Broch cited in Leira 2015, p.22).The role performance of Norway, or itsbehaviour with, and approach to foreign policy actions is, according to Gulbrandsen (2022), influenced by the logic of appropriateness (March & Olsen, 1998), dictated by the image the state has of itself, and constituting a basis for adopting a role in any specific context. In Holsti's view (1970), the main explanation for the role performance of a state arises from policy makers' conceptions of the role of the nation in a system (National Role Conception), but adoption of a role is also influenced by what he calls role prescriptions, which come from the external environment. In this case, if the Norwegian government and the Norwegian people have an image of Norway as a nation for peace, and if the external image they project in other countries is also that of a nation for peace, the logic of appropriateness and the role prescription will dictate that Norway will have to behave as a nation for peace, and thus engage in peacebuilding policy.For Skånland (2010) the Norwegian involvement in peace processes is the result of a discursive construction, amplified by the media, above all after 1993. Media coverage of the Norwegian involvement in the Middle East peace process gave a very positive picture of Norway in general, an image that was strengthened thanks to the perceived successes in the peace processes of Sri Lanka, Guatemala, and Mali. All this crystallised into three main discursive constructions: (1) the decisive significance of the Norwegian contribution for the outcome of peace processes, (2) the importance of peace promotion as a foreign policy tool, and (3) Norway's distinctive approach for peace promotion.Other authors emphasise Norway's peace engagement efforts from a more realist perspective and, in particular, as a policy instrument in its own right (Touval, 2003). Some, like Matlary (2002) argue that mediation is used as an institutionalised strategy for dealing with some of the challenges of being a small state, as well as for promoting Norway's interests in the international arena, and having some influence in international relations. As Stokke (2014) notes, although it has a small population, Norway has a disproportionate importance in other areas (fishing, oil and gas, shipping etc.), thus implying interests beyond its borders as well as influence in other domains because of this prominence. According to Matlary (2002), some Norwegian interestsidentified from a realpolitik standpoint are security (addressed through NATO), economic interests vis-à-vis the EU, access to political decision-making power in the EU and, outside the West, considerable economic interests in oil prices and oil export. Matlary, who collected data through a series of anonymous interviews with diplomats and politicians, alludes to the effects of value-oriented diplomacy in matters of matters and concludes that, apart from a good image and profile, what value-oriented diplomacy provides is access to other arenas where one needs the best possible entry. Her interviewees referred, above all, to access to the leaders of the U.S. Department of State through the policy of peace engagement, especially in the Middle East and, to a much lesser extent, to leaders of EU states. However, she says, it was difficult to collect specific insights into the effects of such access, a perspective shared by Stokke (2010, p.166) who argues that "the extent and manner in which recognition is translated into international influence is complex and may vary from one policy field to another and between different arenas of international relations. This means that it is notoriously difficult to detect and measure the direct benefits from peace engagement". Finally, another interesting perspective is that provided by Neumann (2011). For him, the peace and reconciliation efforts of medium and small countries are a means to maintain a system with which they are reasonably satisfied, because they are not as well equipped as bigger powers to deal with other (more violent) types of conflict resolution methods, and he refers specifically to the institutionalisation of peace and reconciliation efforts by Norway.To conclude, Norway's peacebuilding policy may be understood as apparently idealist (value-oriented diplomacy) and based on a self-image as a nation for peace, which includes both idealist (moral responsibility) and realist (influence in the international arena and security) motivations. Until now, there have been no major conflicts between those two angles (Stokke, 2014), but in an increasingly polarised world, it is becoming more and more difficult for Norway to maintain a balanced policy in peacebuilding processes. 3. THEORETICAL FRAMEWORKThis study draws on the theory of constructivism to explain Norway's national role conception and considers the notions of idealism and realism to explain mediation as its foreign policy. A theoretical framework based on such apparently antagonistic ideas is, perhaps, not very common but, as Barkin (2003) puts it, a constructivist epistemology and a classical realist theory are, in fact, compatible and, moreover, this kind of framework can be useful in International Relations (IR) theory, as it can specify the relationship between the study of power in IR and the study of IR as social constructions. Indeed, constructivism and perceptions can—and are—often applied to fulfil or justify realist objectives and policies.For the purposes of this study, I consider that mediation as foreign policy is a result of idealist (value-oriented) and realist (power) motivations arising from a constructed national identity and role conception.3.1. Constructivism and national role conceptionFor Barnett (2018), constructivism as an international relations social theory is "concerned about how to conceptualise the relationship between agents and structures, but it is not a substantive theory" (p.88). The basic premise is that the world is socially constructed, which means that "social reality is a product of human consciousness. Consciousness is created and constituted through knowledge that shapes meaning and categories of understanding and action; such knowledge and meanings can be institutionalised in social life; and this institutionalisation, in turn, shapes the construction of social reality" (p.88). These categories shape not only external reality but also its actors, which is an indicator of the importance of the social construction of interests and identity. For example, Norway's identity may shape its national interests, and one of those interests might be security, but the concept of security and how it can be achieved may be linked to Norway's identity.National Role Conceptions, a concept first developed by Holsti (1970), is defined as "the policymakers' own definitions of the general kinds of decisions, commitments, rules, and actions suitable to their state, and of the functions, if any, their state should perform [...] in the international system" (p. 245-246). These are, as mentioned in section 2, the main explanation for the role performance of a state, understood by Holsti as the "general policy behaviour of governments" (p. 245). Role performance is also influenced by what he calls role prescriptions, which come from the external environment and have, as some of their sources, system-wide values, the structure of the international system, and the traditions, rules and expectations of states expressed through various legal instruments (p. 246).The notion of national role conception is related to that of politics of identity, which, in Aggestam's words (1999), is a set of ideas that policymakers use to create a sense of solidarity and cohesion and thus to legitimise general trust in a nation's foreign policy. She argues that speeches sometimes reveal subjective we-feelings of a cultural community related to territory, myths, rituals, institutions, and customs, and she refers to the "institutionalisation" of national identity, which makes identity constructions relatively resistant to change. Moreover, citing March & Olsen (1998), she indicates that certain practices and rules of behaviour that legitimise and explain specific identity constructions are reinforced by such institutionalisation.The starting point of the present study is, therefore, the idea that Norway's national role conception is that of a small, rich, peaceful, democratic state, whose official discourse in peace engagement, especially since the 1990s, emphasises its altruistic contribution as a "peaceful nation that has the values, competences and economic resources" for such an endeavour, but whose work is also "beneficial for Norway's own interests" (Stokke, 2014, p.8).3.2. Idealism, realism, and mediation as foreign policyThere is no generally accepted definition of idealism because there is no settled ontology of the term but, according to Wilson (2012), it generally refers to any goal, idea, or practice that is considered impractical from a state perspective, for example the prohibition and disarmament of nuclear weapons, or global eradication of poverty. In IR it is normally used in both the broad and narrow senses. Broadly speaking, idealism seeks to transcend anarchy to create a more harmonious world order while, in the narrow sense, it is a doctrine tied to the inter-war period (1919-1939) and seen as emphasising the growing interdependence of mankind. I shall focus on the first meaning, which refers to "an approach to international politics that seeks to advance certain ideals or moral goals, for example, making the world a more peaceful or just place" (Wilson, 2019).Realism is a substantive theory of IR that considers states to be the main actors in the international arena, and mainly concerned with the pursuit of their own national interests, security, and struggle for power. Realists view the international arena as a sphere without justice, and with active or potential conflict among its members. They show scepticism about the relevance of ethical norms (Stanford Encyclopedia of Philosophy, 2017). This theory has a variety of ramifications but in this study I consider, first and foremost, classical realism because, although idealism is usually heavily criticised by realists, according to Barkin (2003), classical realism perceives the art of international politics as "the practical balancing of the demands of power on the one hand and morality on the other—a dialectic between power and morality [...]. Idealism, for the classical realist, is necessary to inform our actions and underlie our interests in the pursuit of international politics, but realism will always remain a necessary part of relations among states" (p.333). Also relevant is the perspective of neoclassical realism because, while classical realism focuses on the system-level factors, neoclassical realism considers domestic-level factors as variables that can shape foreign policy, which is highly pertinent if NRC theory is used to explain Norway's behaviour in the international arena. Neoclassical realism considers that "objective reality exists, but decision making is impaired by uncertainty and the complexity of the environment" (Rathbun, 2008, p.296).According to Touval (2003), mediation as foreign policy needs to be understood as a policy instrument, as distinct from mediation theory. He argues that it derives from the mediator's perception of the international system, its foreign policy objectives and strategies, and domestic needs. I would also argue that it stems from the mediator's own national role conception and self-perception. Touval (2003) considers that ending a conflict is no longer the main concern of the mediating state, but only a part of a broadly conceived foreign policy as the mediation is also shaped by affairs that are external to the conflict. He highlights three issues arising from a state's international and domestic concerns: (1) mediation is perceived by the public and the officials engaged in it as a moral obligation, which is seldom criticised; (2) foreign and domestic motivations, apart from being an incentive for states to engage in mediation, also shape their strategies and tactics of the mediation; (3) the mediation is evaluated not only in terms of settlement of a dispute, but also the primary goals motivating the mediation. Beriker (2017) offers an expanded perspective of Touval's work, arguing that once mediation is proven to be a viable foreign policy tool, engaging in mediation enables medium-sized powers to create a political space that otherwise would not be available. 4. METHODOLOGYThis study is both descriptive and explanatory, as it inquires more deeply into the events as well as exploring why and how Norway became involved in the Venezuela peace process from 2017 to May 2023. In a deductive approach, existing theories —NRC, mediation as foreign policy, idealism, and realism— are drawn on to explain Norway's behaviour in its peacebuilding policy. The epistemology used is empiricism, since the focus is explanation rather than interpretation, and the ontology is pragmatist because, while the world is understood as existing independently from social actors, the influence of these actors to shape social realities should also be taken into account, together with the fact that, in some cases, this may affect realities existing independently of them.The methods are qualitative, as information provided with quantitative methods would be too superficial for a study that seeks to determine the existence and the characteristics of Norway's engagement in the Venezuelan peace process. The analysis is primarily based on a range of online primary and secondary sources, including government reports, memorandums of understanding, recorded interviews, articles, and academic publications. I consulted these sources, first, for better understanding of the issues and to organise this material around the research question, as well as to identify possible gaps of knowledge. I then conducted semi-structured interviews, with an official from the Norwegian MFA (Ministry of Foreign Affairs) and a Norwegian academic, to fill some of the previously identified knowledge gaps, to record their perceptions, and to triangulate the documentary information thus gathered.The first interview, conducted by videoconference on 2 August 2023, was with Professor Benedicte Bull, from the University of Oslo and, inter alia, president of the Nordic Institute for Latin American Studies, whose research has been focused on Venezuela in recent years. The second was with David C. Jourdan, who coordinates the Norwegian MFA's facilitation team in the Venezuelan peace process. This interview was conducted in Oslo on 8 August 2023. Both Bull and Jourdan have given their consent to use their names in the present study. NOREF was also contacted but stated that it could not give interviews on the Venezuelan peace process. 5. ANALYSIS AND DISCUSSION5.1. Norwegian involvement in the Venezuelan peace processNo official documentary information about the specific manner Norway engaged in the Venezuela conflict during 2017 and 2018 has been found, apart from the mere fact stated in the NOREF website that it was engaged in talks on the conflict in those years. According to its strategic plan 2019-2023, NOREF is a "non-state actor that is able to complement formal Norwegian peacemaking efforts [... and] build directly on the Norwegian tradition of informal conflict resolution". This makes it possible "to support formal peace processes (track I), and informal back-channel conflict diplomacy (track 1.5 and 2)" (NOREF, 2019). This institution has a permanent staff of professionals, experts in conflict resolution, and is governed by a board whose director is appointed by the Norwegian MFA, and whose members come, in general, from different areas of the public sector. In the interview with David C. Jourdan of the Norwegian MFA (2023), he confirmed that NOREF's engagement consists of track 2 approaches. Moreover, he stressed that, although NOREF receives public funds and works closely with the Norwegian state, it is a separate, independent institution. Norway's involvement in the peace process after 2019, when it became public, is described in some detail below. 2019: the first official talksAccording to the Norwegian MFA (2023), Norway has been involved in Venezuela since 2018. However, it was only in May 2019 that talks between the Venezuelan parties, facilitated by Norway, first became public. In this early stage, the negotiations between the delegations of Nicolás Maduro and Juan Guaidó lasted until August 2019, and although significant progress was made, no agreements for solving the political conflict were reached. However, the Norwegian MFA (2023) stresses that these negotiations were a stepping-stone for further talks between the parties, which signed a collaboration agreement in June 2020, with the objective of using frozen funds in the U.S. for a joint response to the COVID-19 pandemic, with support from the Pan American Health Organisation. Several newspaper articles describing the negotiations during that year provide additional information that has been used in this study.In May 2019, Juan Guaidó sent a delegation to Oslo to participate in exploratory talks with representatives of Maduro's government to try to find a solution to the political crisis the country had faced since Guaidó declared himself acting president of Venezuela at the beginning of that year (NRK, 2019a), information that was confirmed by Jorge Valero, Venezuela's ambassador to the UN in Geneva, and the UN spokesperson in New York, Stephane Dujarric. The Norwegian Broadcasting Corporation (NRK) reported the talks for the first time on 15 May but, according to an anonymous source, this was the second time that the parties had been in Oslo, and negotiations had previously been taking place in Cuba.Shortly afterwards, on the night between 16 and 17 May, the Norwegian Ministry of Foreign Affairs issued a press release confirming that there had been contacts between key political actors in Venezuela as a part of an exploratory phase aiming to find a solution to the country's situation. The Maduro government representatives present at the talks were Héctor Rodríguez, governor of the province of Miranda, and Jorge Rodríguez, minister of Communication. The opposition representatives were Gerardo Blyde, member of parliament, and Fernando Martínez Mattola, who had been minister during the government of President Carlos Andrés Pérez.In the last week of May 2019, the Norwegian minister of Foreign Affairs confirmed that the parties would travel again to Oslo during the following week to continue with the process (NRK, 2019b). Almost at the same time, Juan Guaidó insisted that the meetings in Oslo were not part of a dialogue or negotiation, but a mediation in Norway (El Nacional, 2019). According to Voice of America/Voz de América (VOA) (2019a), Nicolás Maduro appeared a few days later on the Venezuelan public TV channel after the opposition declared that the conversations in Oslo that week had ended on 29 May without any agreement being reached. Maduro stated that conversations had been taking place in secret during the three previous months, that he was proud of his delegation, and that dialogue with the opposition had been constructive. Moreover, he insisted on his wish to find a peaceful solution for Venezuela. Indeed, VOA pointed out that Dag Nylander, a Norwegian diplomat who would become chief facilitator of the Venezuelan peace process, had been travelling to Caracas and meeting with the political actors involved in the crisis since January 2019.The peace talks resumed one month later in Barbados. On 11 July 2019, after three days of conversations, Norway announced that the negotiations would continue (Reuters, 2019). Yet, only a few weeks later, the Maduro government withdrew from the talks when the U.S. president, Donald Trump, announced his decision to block U.S. citizens from engaging in business in Venezuela and to freeze the country's assets in the U.S. According to the Venezuelan government, this had been instigated by Juan Guaidó, while the opposition accused the government of reneging on its commitment to dialogue. Norway's facilitator, Dag Nylander, took note that the planned meetings would not take place and emphasised Norway's role as a facilitator acting at the request of the parties and planning the meetings according to their availability. He added that the facilitation process would continue as long as the parties wished, and provided that there was a realistic position on a solution in the best interests of the Venezuelan people (VG, 2019).According to Bull (2023), Norway, as the facilitating country, was displeased when the talks went public in May, believing that this was premature and that it would complicate the peace process. She also stresses that the Trump administration had no clear strategy for ending the conflict and that, when the U.S. sanctions were announced, there had not been any proper coordination with Norway. She also notes that mentions of the U.S. seem to refer to a single homogeneous actor, when the reality is that there are many actors involved, among them the Pentagon and the Department of State, and these actors may work in different directions, sometimes disrupting a given policy. The Norwegian MFA (2023) confirms it was not aware of the U.S. sanctions that were announced in early August 2019. Both parties and facilitator were taken by surprise.2021: The signing of a Memorandum of Understanding and negotiation rounds in MexicoA year and a half later, in March 2021, new exploratory talks began after the Biden administration's position on Venezuela allowed the parties to negotiate a Memorandum of Understanding (MoU), which led to the launch of a new negotiation process, starting in August that year. On 5 August, the Mexican President, Manuel López Obrador confirmed that Mexico would host talks between the government of Venezuela and the opposition (Reuters, 2021) and, a few days later, the Norwegian government confirmed its involvement with a tweet (Ministry of Foreign Affairs, 2021a). The new negotiation process was launched in Mexico City on 13 August, with Dag Nylander as chief facilitator, Jorge Rodríguez representing the Venezuelan (Maduro's) government, and Gerardo Blyde representing the Unitary Platform (the opposition). A MoU —which I refer to in more detail in section 5.3— was released, defining the objective, agenda, method, and composition of the negotiation team. The Norwegian minister of Foreign Affairs, Ine Eriksen Søreide, declared in a press note that the parties were ready to negotiate constructively and that, in the process, they would consult members of civil society as well as political actors. She also noted that there was mutual agreement on the sensitive nature of the negotiations, which was necessary for giving the parties space to make progress (Norwegian MFA 2021b).A second round of negotiations took place at the beginning of September 2021. The parties released a joint statement reporting that two agreements had been reached, the first being to act jointly in the claim of Venezuelan sovereignty over Guyana Esequiba, and the second, a "partial agreement on the social protection of the Venezuelan people". The parties conveyed that the points to be addressed in the following round of negotiations would be "respect for the Constitutional Rule of Law", protection of the national economy, and measures for the social protection of the Venezuelan people.Between the second and the third rounds of negotiation, Erna Solberg, the Norwegian Prime Minister, spoke at the UN General Assembly on 21 September, referring to Venezuela as a country where human right violations were occurring. Her comment was criticised by Dag Nylander as it could, he said, damage the credibility of Norway's role. In a tweet on 25 September, the MFA reaffirmed its commitment as an impartial facilitator in the negotiations and declared that the statement in the UN should not be interpreted as being inconsistent with that (NRK, 2021). The Venezuelan government responded to this diplomatic hitch with a slight delay in proceedings when its representatives arrived one day late at the negotiation round scheduled in Mexico from 24 to 27 September, but which finally took place after 25 September (Euronews, 2021).After this third round of negotiations, the parties released a new joint statement, focused this time on the issue of inclusion and, specifically, on the need for a gender focus in the negotiations, identification of inclusive consultation mechanisms for political and social actors, and condemnation of xenophobic attacks on Venezuelan migrants that had recently occurred in Chile. According to an article by Diego Santander in the Spanish newspaper El Mundo (2021), this third round was so fraught with problems that no specific agreements were reached. Maduro's delegation insisted on its plans to include Alex Saab in the negotiation. Saab, a Venezuelan businessman, was accused of being Maduro's front man, and a key figure in the international economic and financial activities to circumvent the U.S. economic sanctions against his government. However, Saab had been arrested for money laundering in June 2020 in Cabo Verde and was extradited to the U.S. on the weekend of October 16.Negotiations, set for 17 October, were suspended on 16 October when the Maduro government decided not to participate in the next round of negotiations, because of Saab's extradition, which Jorge Rodríguez referred to as a "kidnapping" as it had been carried out "without a warrant and without due process" and accused the U.S. of trying to prevent the dialogue (Gilbert, 2021). The Norwegian government then tweeted that it was still convinced that the negotiations were the only solution for Venezuela, and that it would keep working to encourage the parties to continue (Norwegian MFA, 2021c). In Bull's opinion (2023), while the U.S. system may have its faults, the legal proceedings are independent from political powers so, on that occasion, there was little that U.S. politicians could do to stop the extradition.2022 — 2023: talks after the beginning of the war in UkraineIn March 2022, a new chapter of the dialogue began after the Russian invasion of Ukraine. A U.S. delegation formed by members of the Department of State visited Caracas to meet with the Venezuelan government and discuss an eventual isolation of Vladimir Putin. Some analysts also indicated that Venezuela was seen as a possible alternative oil supplier if the U.S. opted to restrict oil exports from Russia, which meant that removal of the sanctions on Venezuela could be considered (VOA, 2022a). Indeed, in May 2022, the U.S. announced that economic sanctions against Venezuela would be eased as a gesture in favour of reactivating the dialogues and also allowing the U.S. company Chevron to negotiate potential future activities with the state-owned oil and natural gas company PDVSA (Agobian, 2022). According to the Norwegian MFA (2023), these actions were a catalyst for the reactivation of the negotiations.Immediately after the announcement, Jorge Rodríguez and Gerardo Blyde met to discuss renewal of the talks (Ocando Alex, 2022a) but, by the end of May, according to Reuters, the Venezuelan government had demanded the withdrawal of Norway as a facilitator, and the presence of Russia (formally an accompanying country in the negotiations after 2021) as conditions for reactivating the negotiations. However, convinced that the Norwegians were their only guarantee for a successful process, the opposition disagreed (Oré, 2022). Bull (2023) specifies that the stance of the Venezuelan government might have been because it saw Norway as taking an excessively "pro-allies" position after the start of the war in Ukraine. She adds that Norway prefers to involve Russia and other big powers in the negotiations rather than excluding them, as they would provide legitimacy to the Mexico talks as the only acceptable platform for solving the Venezuelan political crisis. When interviewed, David C. Jourdan of the Norwegian MFA (2023), made it clear that Norway was never asked to relinquish its role as facilitator. Management of the process resides with the parties, which have remained committed to the MoU that names Norway as the facilitating country.On 21 and 22 June 2022, the Norwegian government held the Oslo Forum, an annual retreat focused on conflict mediation and peace processes. Around 100 conflict mediators, experts, peace process actors, and high-level decision makers from around the world gathered at Losby Gods Manor with the goal of sharing their experience on conflict resolution and peace diplomacy (Norwegian MFA, 2022). Among the peace process actors who attended the Oslo Forum were Jorge Rodríguez and Gerardo Blyde. A Norwegian source told VOA (2022b) that it was "probable" that the conversations would be initiated again, but "not immediately".On 14 September 2022, a group of 18 countries from the Americas and Europe agreed to call upon Maduro and the opposition to urge a resumption of the negotiations in Mexico (Ocando Alex, 2022b).Official negotiations began again on 26 November 2022. This time, a joint statement was issued indicating that the main agenda of the meeting would be social protection of the people. A partial agreement was reached, in which the measures agreed upon were: 1) creation of an organism to implement specific actions and programmes for the social protection of the Venezuelan people (Mesa Nacional de Atención Social, or MNAS); 2) creation of an organism auxiliary to the MNAS to evaluate its processes and the effects of implementation of the measurements adopted; 3) definition of the social areas which, requiring the most urgent attention, needed to be addressed through specific programmes, in particular the public health system, the national electrical system, development of the World Food Programme, educational infrastructure, and rebuilding of the infrastructure damaged as a consequence of the torrential rains in the latter half of 2022; 4) requesting from the UN support for the design and creation of a fund for social support of the Venezuelan people; 5) identification of frozen assets belonging to the Venezuelan state that might be progressively accessed and incorporated into this fund; 6) creation of a commission to assess and verify implementation of the agreement.After this meeting, the negotiations stalled again when the Venezuelan government accused the opposition of not complying with the agreement reached but, mainly and above all, because the frozen US$3,000 million that were to be incorporated into the Fund for the Social Protection of the Venezuelan People had not yet been released (August 2023). According to Maduro, this was a condition sine qua non for resuming the talks. The Colombian president, Gustavo Petro, organised a conference on 25 April 2023 in Bogotá, with representatives from numerous countries to discuss the Venezuelan situation. The shared positions of the Venezuelan government and the opposition were explained to the international community, in particular regarding the removal of sanctions, free elections, and reactivation of the peace talks. One of the shared positions for renewal of the talks was that of establishing the Fund for the Social Protection of the Venezuelan People (Ramírez Vargas & Alcalde, 2023). The message that came out of the Venezuela Conference of Bogotá was very clear: the UN trust fund for Venezuela should be set up as swiftly as possible. According to a Reuters report by Spetalnik, Sequera and Armas (2023), on 19 May the Biden administration notified the UN that the money could operate within the U.S. financial system, and that there would be no risk of creditors seizing it to repay the outstanding Venezuelan debt. Accordingly, the UN-administered fund could have been operative at the end of May 2023. However, the decision to establish the trust fund ultimately lies with the UN Secretariat in New York and some insiders allude to the complexity of the process involved and stress that establishing the fund depends on a number of factors. As of late August 2023, it had not been established by the UN. 5.2. Norway's distinctive approach to peace diplomacyIn an interview for the Centre of Humanitarian Dialogue, when asked about the distinctive approach of Norwegian diplomacy in international conflicts, Dag Nylander (2020) identified four main elements: (a) collaboration with Norwegian and international NGOs, (b) low-key diplomacy, (c) long-term commitment, and (d) the ability to make quick decisions.[5] In this section, these four elements will be briefly discussed.Norway's distinctive approach to its engagement in peace processes and with non-state actors was defined after the decentralisation of its foreign policy in the early 1990s. Humanitarian assistance and development policies called for closer cooperation between the Norwegian MFA and non-governmental actors and, according to Lehti (2014), this approach was extended to the area of peace-making. In the 1990s the Ministry responded positively to proposals and initiatives from various NGOs and well-connected individuals with regard to conflictive areas. The range of actors involved in peace-making was broadened, and Norway was then able to act beyond the bounds of government-centred diplomacy with a distinctive, more informal approach to peace diplomacy. Ann Kelleher and James Taulbe (2006) refer to this approach as "Track I½ Diplomacy", understanding Track I diplomacy as that with official representatives of governments and Track II diplomacy as that involving unofficial representatives and sectors of the civil society. An important feature of the collaboration between the state, NGOs and research institutions is that it is extensively funded by the state (Bandarage, 2011). Indeed, some Norwegian NGOs receive more than 90% of their funding from the state which, in Kelleher's view (2006), almost makes them quasi-governmental organisations.As for low-key diplomacy, Nylander (2020) affirms that activities pertaining to peace diplomacy rarely appear in the news, and that they are discreet and unnoticed, often with the involvement of low-level and mid-level diplomats, an approach that allows flexibility in seeking opportunities and in dealing with problems with relative freedom.Norway's long-term commitment to peace diplomacy is based on a broad political consensus for the promotion of peace and reconciliation. Hence, changes of government will not influence the country's engagement in any given conflict. According to the MFA (2000), the goal is not only ending violence but also support for economic, social, and political processes that lead to durable liberal peace in the country concerned.Finally, the ability of Norwegian diplomats to make quick decisions stems from the smallness of the country, not only in terms of population but also social distance. Dag Nylander (2020) mentions that the distance between a diplomat in the field and the ministry of Foreign Affairs is very short, and that it takes just a quick phone call or a text message, sometimes directly to the Minister, to obtain any clearance that may be needed. 5.3 Norwegian approach to facilitation the Venezuelan peace processNorway's approach to facilitation in Venezuela is consistent with its work in other peace processes. It began with secret talks between the parties (low-key diplomacy) and then, having advanced towards a more public and official format, it was formalised with the MoU signed in Mexico on 13 August 2021. In the MoU, the parties defined the agenda and methods for the talks. David Jourdan of the Norwegian MFA (2023) highlighted the importance of this Memorandum, which contains not only the agenda and format for the negotiations, but also a shared vision of the process and the country.As for the method, it is important to mention that it is based on a "nothing is agreed until everything is agreed" principle (comprehensive approach), although partial agreements can be reached if the parties consider that a subject has been sufficiently discussed and urgent action is required. This was the case with the two partial agreements on the Guyana Esequiba, and Social Protection of the Venezuelan people signed at the end of the talks in Mexico. This approach has its advantages, such as ensuring "big picture" negotiation, but it also comes with the risk the parties can renege anytime on anything they have agreed to. It was first used in other peace processes including Britain-Ireland in 1995, Palestine-Israel, and in Cyprus and Colombia. The Norwegian MFA (2023) emphasises that understanding the needs of the parties and ensuring that they are in charge of the process, has been key to making progress throughout the negotiations. The Venezuelan conflict is political in nature and requires political solutions, and the negotiation process provides a confidential space where the two parties have an opportunity to reconcile their interests. David Jourdan, sharing the MFA's approach to the political process, points out that Norway has probably been a more active facilitator in the Venezuelan negotiations than in other peace processes.An essential point of the MoU is participation, as it establishes mechanisms of consultation for political and social actors. The aim is for the process to be as inclusive and legitimate as possible. However, there is little information available as to whether this is actually the case and David Jourdan (2023) admits that it is not yet possible to speak of results in this area.Moreover, it should be noted that the Norwegian approach to facilitation, based on discretion and confidentiality, is one thing and how the parties actually behave is quite another matter. On more than one occasion, as can be seen in several documents and declarations, the Norwegian government has emphasised the need for the parties to be careful with their public declarations. In an interview with El País in February 2023, Anniken Huitfeldt, Norwegian Minister of Foreign Affairs, wryly acknowledges an anecdote sometimes repeated by high-profile Venezuelan politicians, according to which politicians will normally control themselves in public but, in private, tell someone else what they really think but, in Venezuela, the opposite occurs: what is said in private becomes amplified in front of a microphone (Lafuente 2023). Vicente Díaz, former director of the Venezuelan National Electoral Council, who participated in the talks held in the Dominican Republic, Oslo, and Barbados says that, since the process in Mexico was "very public" (as occurred in the Dominican Republic), it created difficulties for the parties, since national and international expectations were generated, which meant that more attention was given to audiences than to the talks (openDemocracy 2022). 5.4 Norwegian interests in VenezuelaIn this section and in keeping with the theoretical framework described above, I discuss four possible reasons for Norway's mediation in the Venezuelan conflict: (a) peace and stability (value-oriented diplomacy), (b) reputation, (c) political interests, and (d) economic interests.Value-oriented diplomacy focused on peace promotion makes sense for Norway, a country whose identity as a peaceful country and peace broker has existed at least since the late 19th century. Those values are so widely embedded that a broad political consensus exists among the population over a peace promotion policy, supported institutionally and by an extensive network of non-state actors coordinated by the state. Norway's constructed identity as a peace broker (especially intensified since the 1990s) means that the country acts as such. Moreover, promotion of such values makes even more sense when security has become globalised, and when a conflict in a faraway country can have humanitarian, political, economic, and ecological consequences in distant parts of the world. In this sense, value-oriented diplomacy may acquire realist motivations although, according to Bull (2023), this is discourse that appeared, above all from the 1980s, to justify Norway's involvement in peace processes. One of its proponents was the diplomat and former Labour Party politician, Jan Egeland.Ensuring peace and stability in Venezuela could, for example, (1) help to mitigate the external displacement crisis, which mainly affects neighbouring countries like Colombia and Ecuador as well as the U.S. and others in Europe, with all the humanitarian and economic consequences for those receiving refugees; (2) ensure Venezuela's participation, as a democratic state, in international organisations, thus promoting democratic values and human rights; (3) promote social and economic development in the country, which would create value for its nationals as well as attracting international investment and; (4) finally, through social and economic development, reduce the presence of paramilitary organisations in the country, including the Ejército de Liberación Nacional (ELN), which is involved in drug trafficking. During the interview with David Jourdan (2023), we shared these points and he replied that this may well be so, but that such possibilities could also arise as a consequence of a political settlement that includes the removal of the sanctions. He added that the main reasons for Norway's peace diplomacy are the goals of preventing and reducing human suffering, as well as contributing to peaceful societies and stability.Peace diplomacy does not give rapid results (when it actually gives results), but Norway sees it as a policy consistent with its values, and as one whose long-term effects are sufficiently relevant as to justify investment in it.When it comes to image and reputation, Norway's approach on peace has been used as a public diplomacy branding tool, together with the country's natural environment and gender equality, to solve one of the image problems of small countries: invisibility.Indeed, discretion and a low profile do not necessarily mean invisibility, and as long as the right aspects of Norway's peace diplomacy are emphasised in a public diplomacy strategy —for example its role as a facilitator, an engaged partner, and good multilateralist— the discretion that peace diplomacy requires would not be jeopardised (Leonard and Small, 2003). Success in mediation of the Venezuelan conflict would, of course, be positive for Norway's image as a peace broker, although this constructed image is also enhanced through pertinent media coverage mentioning the Norwegian involvement during the Venezuelan peace process. This can be explained by NRC theory since the Norwegian image is constructed not only through success in a certain process but also through the mediating process itself. To give one example, the Google search "peace talks Venezuela Norway" offers almost 4.85 million results, while the Spanish search with "mediación de paz Venezuela Noruega" offers 1.28 million results. Moreover, when Norway uses the word "facilitation"2 it transfers responsibility for the results to the parties, implying that it has the role of supporting and accompanying them, but it will not be responsible if the parties decide that they do not want to continue with the process. This safeguard for Norway's image as a peace broker applies to the Venezuelan case.Political influence has also been identified as one of Norway's possible interests. As Matlary (2003) notes, access to key international actors can result from Norway's engagement in peace processes, including in the case of Venezuela, especially in a context of international energy insecurity, and political tensions due to the high-profile conflict between Russia and Ukraine. In my interview with David Jourdain (2023), "close dialogue with key international stakeholders" together with increased political capital were mentioned as benefits that Norway could reap by engaging in Venezuela. He also pointed out that one of the key features of this conflict is the importance of the U.S. as an actor with the capacity to contribute to the outcome of the peace process.The U.S. is now particularly concerned to find new energy suppliers, and ensuring political stability in Venezuela could provide international legitimacy for oil and gas transactions with its government. Giovanna de Michele, internationalist lecturer at the Central University of Venezuela, told VOA that the best way to extract oil from Venezuela would be through U.S. companies, but the sanctions would have to be eased if this was to happen (Ramírez Vargas & Alcalde 2023). Norway offers an internationally recognised platform for making this possible: the talks in Mexico. It could therefore be a key actor in helping to resolve the political crisis in Venezuela while also supporting an ally, which would contribute to its status as a reliable partner of the U.S. However, as Matlary notes, it is difficult to quantify or define the scope of the access Norway gleans from its peace policy.Finally, with regard to economic interests, there are currently no Norwegian state-owned companies operating in Venezuela, although they can be represented through the investments of the Norwegian National Pension Fund3 in foreign companies that do operate in the country, for example, some Colombian companies, among them Bancolombia, Banco Popular, Banco Davivienda, and Cementos Argos. And, at the beginning of 2023, Ecopetrol, which is financed by Norfund, asked the U.S. for permission to negotiate with the state-owned company PDVSA to explore gas imports from Venezuela to Colombia (Quesada 2023). Among Norwegian investments in the U.S. are Chevron and Occidental Petroleum Corp, and the U.S. has recently given permission to Chevron to negotiate with the PDVSA and, at the end of 2022, a United Nations Commission on International Trade Law (UNCITRAL) court found that Venezuela was liable for discriminatory conduct in its payment of dividends from an oil and gas venture and ordered Venezuela to pay US$105 million to a Barbadian subsidiary of Occidental Petroleum Corp (Ballantyne 2022). If an improved political situation in Venezuela increases the revenues of these companies, it could also be positive for Norwegian investments.It should be added that, until 2021, Statoil (later Equinor), the national oil company of Norway, was present in Venezuela where it invested more than one billion dollars between 1995 and 2013 and participated in the Sincor heavy crude oil project with Total and PDVSA. However, due to concerns about the workforce and practical difficulties, Equinor pulled out of the project and transferred its 9.67% participation to CVP, a subsidiary of PDVSA, although it did keep its 51% stake in the exploration license of block 4 on Plataforma Deltana off Cocuina(Øye Gjerde, n.d.). Accordingly, Equinor participation in Venezuela is currently on hold but a greater presence in Venezuela of Norwegian companies, in particular from the oil and gas sector is possible if the country's situation improves.To sum up, although economic links between Norway and Venezuela do exist, they would seem to be limited and not sufficient to explain Norway's participation as a facilitator in the Venezuelan peace process. 6. CONCLUSIONSThe core question of this study is why and how does Norway facilitate the Venezuela peace talks? The results suggest that, for Norway as a facilitator of the Venezuelan peace process, the main goals of mediation-as-foreign-policy are humanitarian, security (better understood as promoting stability in the region), projection of its image as a peaceful nation and a peacemaker, and of its status vis-à-vis key international actors (especially the U.S.).All these goals can be explained through the Holsti's theory of National Role Conceptions (NRC) and Norway's own role prescription as a small, democratic, and peaceful nation, which means it would promote these values through altruistic (idealist) and non-altruistic (realist) actions and perspectives.Interestingly, economic factors do not seem to play a major role as a mediation-as-foreign-policy objective. The economic ties between Norway and Venezuela are presently not significant and, thanks to the diversification of the investment portfolio of the Norwegian National Pension Fund, Venezuela only represents a very small part of Norwegian economic interests.It is therefore relevant to consider the importance of constructivist aspects such as national values and self-conception in shaping the foreign policy of small countries, despite the apparent predominance of realpolitik aspects in an international context of increasing competition. These constructivist aspects offer key information for understanding and explaining the behaviour of small countries and should not be overlooked.Besides, it is worth reflecting on the definition of a mediation success in real, and in mediation-as-foreign policy terms. In the real sense, mediation is successful when it produces long-term reconciliation between the parties, in the eyes of a domestic audience while, for an audience external to the conflict, mediation may be successful simply when a peace agreement between the parties is signed. Meanwhile, for the mediating country or its allies, a mediation is deemed effective when foreign policy objectives are achieved. The approach used by Norwegian mediators in the Venezuelan process is similar to that of previous peace processes. It starts with the organisation of secret meetings and then advances towards a more public and official format. However, some distinctive traits of this peace process have been (1) a somewhat more active role of Norway as a facilitator when compared to other peace processes, (2) the weighty influence of the U.S. in causing setbacks or advances in the negotiations , and (3) premature publicity of this process, when the parties have been too eager to share their views with the press and the public, which may have been an obstacle for achieving progress. Despite these challenges, as of November 2023, Norway has continued to honour its long-term commitment to achieving a peaceful solution to the Venezuelan conflict.This study has created a first timeline of the Norwegian involvement in the Venezuelan peace process by means of consulting information in primary and secondary sources and, when relevant, adding further details obtained in interviews with two experts. This timeline provides an overview of the main milestones of the peace process while highlighting Norway's role as a facilitating country. Possible reasons for its engagement in the Venezuelan peace process have been identified. At a tactical level, the moral and security elements seem to be a high priority for people working in the field. These actors have considerable expertise in conflict resolution and perform their duties diligently. At a more strategic and state-centred level, besides the moral and security components, attention is given to building political capital by means of offering an attractive image to international stakeholders, especially close allies like the U.S. This is, therefore, an excellent example of the importance of peace diplomacy as a soft power tool for a middle-level country like Norway.The limits of the study arise from the nature of an ongoing mediation process. Since silence sometimes carries more weight than words and as discretion is necessary for the process to move forward, only limited information could be directly obtained from relevant actors in the peace talks. In terms of Norway's interests in certain areas, the limits of qualitative methods have not allowed quantification of the importance of each of these interests. The aim of the interviews was to obtain in-depth information that could confirm that such interests exist, and to provide distinctive details that might enrich knowledge of this peace process, rather than quantifying the results. Finally, now that Norway's possible interests as a facilitator have been identified, future research could be addressed at quantifying the weight of each of them in Norway's peacebuilding policy over the last two decades. 7. ReferencesAggestam, Lisbeth. "Role Conceptions and the Politics of Identity in Foreign Policy". ARENA Center for European Studies Working Paper, vol. 99/8 (1999). 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"Idealism in international relations" in: Dowding, Keith (ed.) Encyclopedia of Power, Thousand Oaks: Sage Publications, p. 332-333.Notes:1- Originally consisting of 12 Latin American nations and formally created on 8 August 2017, the Lima Group is a multilateral body whose goal is to explore mechanisms for a peaceful solution to the political crisis in Venezuela and restoration of a democratic order (Government of Colombia 2017).2- In this study, I use the terms "mediation" and "facilitation" interchangeably. However, mediation normally involves a formal mandate from the parties of a conflict, covering involvement in both the substance and process of the negotiation, while a facilitator is less directive (Greminger 2007).3- The Norwegian National Pension Fund, the world's largest sovereign fund, has investments in over 9,000 companies in 70 countries (Oljefondet n.d.).Key words: Venezuela, Norway, national role conception, mediation, peacebuilding, foreign policy, conflict resolution

Diplôme attribuée avec la mention très honorable avec félicitations ; RÉSUMÉDans la délimitation de notre corpus, constitué exclusivement de romans relatifs aux fazendas de café esclavagistes, nous avons été amenée à utiliser certaines notions redevables à la sociologie. Tout d'abord, celle où Maria Sylvia de Carvalho Franco élucide l'ordre esclavagiste comme celui qui, en donnant sa forme à la société brésilienne à un moment donné, exclut par sa propre nature « les hommes libres et pauvres » d'un univers polarisé entre maîtres et esclaves. Cet ordre est celui qui sous-tend toute l'organisation de la période impériale et qui permet à la jeune nation de rebondir, grâce au café, dans les années difficiles qui s'ensuivent à son indépendance en 1822. Dans cette « civilisation du café », d'immenses fazendas, partant des alentours de Rio de Janeiro, couvrent d'abord la vallée du Paraïba, remontant le cour du fleuve en direction notamment de São Paulo. C'est toujours la forme fictionnelle du roman qui semble la mieux adaptée à la fazenda de café littéraire, avec son organisation d'où sont exclus les hommes libres et pauvres, pour lesquels elle n'a pas de place.Leurs propriétaires, des fazendeiros associés à des financiers et à d'autres agents citadins, accroissent leur pouvoir et leur richesse, notamment à partir de 1850, où l'interdiction du trafic négrier libère d'immenses capitaux réinvestis désormais dans la modernisation des villes comme des fazendas. C'est aussi en cette année que s'inaugure une ligne régulière de vapeurs entre Liverpool et Rio de Janeiro mettant en consonance le temps brésilien, impérial et esclavagiste avec le temps industriel et urbanisé de l'Europe. Cette date, souvent évoquée par l'historiographie, a aussi impressionné trois écrivains brésiliens du XIX° siècle qui, tous, choisissent cette décennie comme le noyau central de leurs romans écrits entre 1871 et 1914. La fazenda de café esclavagiste vers le milieu du XIX° siècle au Brésil est un univers en plein épanouissement, où règne en maître absolu sur tout ce qui vit à l'intérieur de ses domaines le fazendeiro. Ce grand propriétaire, en s'enrichissant, abandonnera un mode de vie jusque là austère et isolé ; il voudra s'anoblir et achètera au pouvoir impérial des titres de noblesse qui feront de lui une figure ambiguë, respectée et raillée à la fois, celle des « Barons du café » de la période impériale brésilienne. Souvent évoqués par la littérature dans leurs riches villas citadines, ces nouveaux aristocrates créés par D. Pedro II attirent moins l'attention à l'époque de la construction de leurs personnages et de leur fortune dans les mondes réduits que sont leurs fazendas, polarisées entre la Casa Grande où résident les maîtres et la Senzala réservée aux esclaves. Dans cet univers, les rapports intensément vécus entre les uns et les autres, constitutifs de la vie nationale, composent le noyau d'échanges quotidiens qui envahissent un cadre rural et seigneurial. Trois romans se sont penchés sur ce mode de vie, installant son action dans une riche maison de maître au centre d'une immense propriété où les relations entre dominants et dominés vont évoluer d'une trompeuse harmonie jusqu'à l'éclatement d'une violence tardive mais d'autant plus meurtrière.De ces romans qui constituent le corpus principal de notre thèse, le premier est O tronco do ipê, écrit par José de Alencar en 1871, où apparaît pour la première fois la désignation du siège de la propriété comme Casa Grande, par la suite adoptée par la sociologie et par le langage courant au XX° siècle. Ce terme, plus connu pour son application à la réalité du Nord-est des moulins à sucre, apparaît ainsi comme originaire de la littérature relative à cette vallée caféière, qui a été au centre des discussions économiques et politiques du Brésil impérial et dont la fiction romanesque montre l'ascension fulgurante, suivie de sa disparition encore plus rapide et étonnante, de la mémoire nationale. Le deuxième roman est A escrava Isaura, de 1875, où Bernardo Guimarães a créé l'icône la plus célèbre de la lutte pour l'abolition de l'esclavage au Brésil, dans une œuvre au succès populaire jamais démenti et proportionnel au mépris où il est tenu dans les milieux académiques. Son insertion dans ce corpus permet, en le plaçant à côté des autres deux romans qui traitent du même thème, de mettre en lumière la profonde implication de cette intrigue feuilletonesque et séduisante dans la problématique de son temps et l'habile déconstruction qu'elle fait des clichés usuels dans ce genre de récit. Les deux premiers romans du corpus sont écrits à un moment où le romantisme n'avait pas quitté le centre de la scène littéraire brésilienne, mais où il recevait de plein fouet les attaques d'un régionalisme réaliste, plus représentatif des aspirations qui prenaient corps dans une société qui ne se contentait plus de l'unité impériale et esclavagiste du pays. Finalement, le troisième roman qui se penche sur les fazendas de la vallée est un ouvrage apparemment anachronique, puisque, écrit en 1914, empreint de toutes les tendances qui se croisent dans ce contexte du « Pré-modernisme » brésilien, il met en discussion les problèmes de l'esclavage aboli depuis 1888 et qui n'intéresse plus personne. Les esclaves alors libérés et jetés sur les routes pour mourir de faim, font désormais partie des hommes libres et pauvres toujours exclus de l'organisation sociale du pays. Pour en parler, Coelho Neto crée dans Rei Negro un héros entre romantique et parnassien, une figure olympique et pleinement noire, toutes des caractéristiques associées pour la première fois dans un roman brésilien, ce qui permet de douter de l'anachronisme attribué à cette œuvre. Ce roman vient combler un vide que la fiction romantique brésilienne n'avait pas osé ou pas pu remplir, au moins tant qu'elle était contemporaine de l'esclavage : le droit au centre de la scène pour un protagoniste esclave, le droit à la beauté associée à une peau noire comme l'ébène, le droit à la révolte conduite et assumée par le nègre, sans qu'aucun protagoniste blanc ne vienne lui voler sa fonction de héros romantique, teinté ici du naturalisme, du symbolisme et du régionalisme partout présents dans l'expression littéraire du pays à ce moment-là.Ces romans réunis autour du thème de la fazenda recréent dans leur diversité un même aspect de l'évolution sociale et culturelle du Brésil, la vie et les valeurs qui se développent à l'écart de la ville jusqu'à cette moitié du XIX° siècle qui constitue le moment choisi par les trois auteurs. C'est alors que l'ordre traditionnel se voit contesté par des valeurs nouvelles qui prennent de l'ampleur dans une population qui commence à peser du côté urbain, à échanger des idées avec une Europe en pleine mutation, tout en essayant de consolider son indépendance politique et de réduire sa dépendance économique héritée de l'époque coloniale. Ces facteurs rassemblés et reflétés dans l'espace symbolique d'une vallée autrefois sauvage, rapidement conquise par une culture qui l'occupe, l'enrichit et la détruit en un cycle extraordinairement court, fournissent des caractéristiques communes à nos trois romans. D'autre part, le création littéraire qui en résulte, tout en présentant une grande complexité dès les premier roman du corpus, éprouve le besoin d'expliciter de plus en plus clairement la place centrale de l'esclavage dans la problématique sociale brésilienne.Tout comme la période, le cadre où se situent ces romans fournit des traits déterminants pour leur construction et pour la figuration de la réalité dont ils se chargent. Le fleuve Paraïba, puissant et mythique jusqu'à l'arrivée du café et à la profonde altération de l'environnement alors survenue, est peu à peu ensablé par un sol épuisé et par l'abattage des forêts et se voit petit à petit amoindri, n'étant plus capable des inondations légendaires recréées par Alencar dans un roman précédant, le Guarani. Dans ce roman que l'auteur lui-même situait dans une période coloniale mythifiée, où le langage et les coutumes de l'envahisseur se modifiaient sous l'influx de la nature américaine, le Paraïba était le facteur déterminant du dénouement, puisque c'est lui qui provoque la catastrophique inondation créatrice de la nouvelle humanité qui va occuper l'espace géographique national à partir de cette vallée née en même temps que le pays indépendant. Le fleuve demeure l'espace des mythes dans O tronco do ipê, mais comme un miroir du passé, des légendes et de l'image de la mort qui se cache désormais dans tous les éléments du récit et du paysage. Dans A escrava Isaura, il occupe le fond du décor, les marges de la fazenda, il fait partie de la nature brute domptée et écartée par l'homme du centre du tableau et de l'action. Son cours est évoqué pour tracer les limites d'un immense verger qui allait se perdre dans ses marges escarpées et imposantes, « nas barrancas do grande rio ». Encore majestueux dans ce deuxième roman, bien qu'éloigné par le regard d'un narrateur qui ne s'intéresse qu'aux interactions humaines reflétées dans les discours des personnages, le Paraïba disparaît du décor dans Rei Negro. Dans le dernier roman du corpus, écrit à la veille de la Première guerre mondiale, le paysage n'est plus que symbolique et vaporeux, les terres sont couvertes par des cultures elles-mêmes vues de très loin, tandis que l'eau est devenue un élément sombre et sinistre, apportant la mort et la reflétant. Ce paysage complètement occupé par l'homme n'est évoqué que dans des visions polarisées entre des regards de maîtres et des regards d'esclaves, symbolisant un droit d'appropriation ou la transgression de ce même droit. Dans un conte (« Banzo ») contemporain de son roman, Coelho Neto compare le fleuve desséché et abandonné par le café à l'esclave jeté sur les routes après l'abolition, tous deux vivant de l'aumône d'une pluie ou d'un reste de nourriture. Quant aux terres, elles se transforment tout aussi vite, la forêt sauvage disparaît en quelques années faisant place à l'or vert des caféiers gourmands de terres vierges et d'esclaves en nombre croissant, tous deux engloutis dans la construction de la richesse des fazendeiros. Dans leurs maisons devenues de vrais châteaux, ces propriétaires raffinés ne se contentent plus de l'espace de la fazenda, peut-être trop marqué à la fois par le souvenir lointain d'un travail trop pénible et par la violence nécessaire à son acquisition, toujours présente dans les romans. La propriété de la terre apparaît partout comme originaire de la trahison et de l'usurpation, et le souvenir de ces crimes hante tous les paysages. Abandonnées par leurs propriétaires qui s'en vont vers la capitale ou vers d'autres destinations, maison et plantations tombent en ruine dans la vallée géographique, devenant un thème obsédant pour la fiction. Symptomatiquement, la représentation de la vallée et de ses fazendas dans le dernier roman du corpus est emboîtée dans une sorte d'ellipse qui, associée à l'historiographie, rend évidente la rapidité et la paradoxale fragilité de ce processus. Pour nos trois auteurs, postérieurs à Balzac, leur écriture est une histoire du cœur humain ou histoire sociale, où le terme « histoire » n'indique pas un examen scientifique d'événements passés, mais une invention relativement libre ; ce qu'ils font c'est de la fiction et non de l'history, pour utiliser les termes anglais, particulièrement précis, comme l'a si bien remarqué Auerbach. Ce n'est pas du passé que traite leur écriture, mais d'une époque qui leur est contemporaine et dont la connaissance est indispensable à la compréhension de leurs œuvres, comme l'accentue ce même critique dans son analyse de la représentation de la réalité dans la littérature occidentale.La rapidité des transformations intervenues au Brésil vers la moitié du XIX° siècle a, de toute évidence, retenu l'attention de nos trois romanciers. C'est le passage ravageur du temps le vrai conducteur de leurs intrigues. La représentation qu'ils en donnent reflète le moment fugace de fluctuation entre le monde ancien, rural, fermé, isolé et l'ouverture aux valeurs nouvelles qui aspireront vers la ville, vers l'Europe, vers le monde citadin les propriétaires terriens ainsi que leur richesse. La vallée, désertée par des maîtres qui n'y ont pas créé des racines, ainsi que par le café qui l'a épuisée, s'appauvrit, se dessèche pour être abandonnée au profit d'une avancée vers les terres rouges de l'Ouest pauliste, qui attirent désormais de nouveaux maîtres et de nouveaux travailleurs, les colons européens immigrés, qui viennent remplacer le Noir africain. Accrochée à son économie basée sur la force esclave, qu'elle veut à tout prix conserver, et absorbée par le besoin de rénovation constante de ces « machines humaines » remplaçables à peu de frais jusqu'en 1850, la richesse de la vallée se crée et se détruit en moins d'un siècle, dans un temps qui se précipite vers une modernité qu'elle ne voit pas ou ne veut pas voir venir. La répercussion de tous ces changements offre à nos trois romans un cadre circonscrit où dramatiser et condenser ces événements que nos auteurs ressentent comme décisifs pour les destins de leur société. Situés ainsi entre un ordre conservateur et une aspiration à la modernité que chacun d'eux voit reflétée sous un aspect différent dans la vie de la fazenda, nos trois romanciers ont recours à quelques constantes dans la construction de leurs récits. Les constellations des personnages et le jeu de leurs désirs autour de la propriété de la terre, condition incontournable pour devenir un personnage respectable depuis les premiers temps de la colonie ; l'éducation de l'héritier qui doit se cultiver en Europe mais revenir à un ordre le plus rétrograde qui soit ; les personnages féminins de la sinhá libre et de la mucama esclave qui interagissent à l'intérieur de la Casa Grande sont quelques-uns des thèmes de tout le corpus. Les représentations des esclaves, idéalisés mais point simplifiés chez Alencar, apportent à notre premier roman les voix du mythe, des légendes et de la mémoire du passé. Bernardo Guimarães élabore un personnage d'esclave blanche, tout à fait représentative des changements subis par la société brésilienne vers la moitié du XIX° siècle, chargée de commenter et retourner les raisonnements de ses maîtres dont l'hypocrisie, aujourd'hui patente, était parfaitement en conformité avec la doxa pratiquée par ses contemporains et lecteurs moins avertis. Finalement, l'esclave de Coelho Neto, enfin pleinement noir, est l'instrument de la vengeance épique contre toute une période où sa représentation le condamnait à la farce ou à l'ombre des fonds du tableau romanesque, comme le prouvent d'ailleurs les précédents romans : l'esclave noir de José de Alencar, pour devenir personnage littéraire, doit occuper des espaces mythifiés et légendaires, et l'esclave de Bernardo Guimarães, pour venir débattre dans les salons, est d'abord dépouillée de sa couleur. D'autre part, pour parler des valeurs qui importent à leurs lecteurs sans trop les secouer, les narrateurs de ces romans sont tous très prudents, ironiques, presque sournois dans leurs commentaires et suggestions. Les discours les plus incisifs seront généralement laissés pour le compte de personnages plats, capables d'attirer dans leur interaction la sympathie ou l'aversion de ces lecteurs à la fois éclairés et dépendants des esclaves pour le moindre de leurs gestes, voire pour leur apporter le roman abolitionniste qu'ils s'apprêtent à lire.Les espaces de vie à la fazenda se trouvent représentés dans nos trois romans de différentes manières. La Casa Grande est le lieu du discours civilisé, des échos du monde référentiel et historique contemporain, des arts à la mode et des idées éclairées ou conformistes qui divisent les opinions. Elle est aussi un espace de lecture, activité par ailleurs confiée aux esclaves ; ils sont aussi les seuls personnages chargés de l'acte de raconter. Ainsi, dès le premier roman, c'est dans la cabane de l'esclave que revit tradition orale, c'est là que les légendes sont ressuscitées et la mémoire du passé pieusement conservée. Dans le deuxième, la parole qui raconte retourne au salon en musique, mais portée par une figure d'esclave surdouée qui envahit et occupe entièrement cet espace de sociabilité. Elle ne cède jamais le centre de la scène à ses maîtres ou maîtresses, dont le discours elle réfute point par point, sans jamais se départir de son humilité ; en toute modestie, c'est elle qui occupe le piano pour chanter sa propre épopée (la muse qui l'inspire d'après la narration est la muse épique Calliope) et émouvoir le public le plus traditionnel du pays. Dans le troisième roman, le roi nègre a son propre oracle noir pour recréer un passé de gloire qui lui rendra insupportable l'humiliation de l'esclavage, mais ici les discours les plus significatifs des personnages n'ont plus pour cadre la maison seigneuriale, dont l'espace rétréci et ne peut plus rendre compte de la progression de l'action. À l'opposé de la casa grande, dans la polarisation inhérente à cette organisation, les romans de la fazenda donnent tout d'abord l'impression d'avoir laissé un vide inexplicable, car la senzala, le lieu d'habitation des esclaves n'y apparaît pratiquement jamais et ce qui fait vivre, ce qui permet à la fazenda historique d'exister, soit le travail de la terre, encore moins. Et pourtant, tout est là. Par des allusions, par des histoires racontées dans des digressions opportunes, par des rebondissement provoquées ailleurs qu'au premier plan de l'intrigue. Tout ce que le récit ne dit pas clairement agit sur lui ; tout ce que les intrigues laissent dans l'ombre les éclaire d'une lumière commune, et toutes ces fazendas se constituent ainsi en un univers fictionnel cohérent et problématisé par la structure romanesque. Ces romans mis ensemble offrent des possibilités de lecture inédites, mais il faut aussi les lire « à l'envers », comme le fait remarquer Heloisa Toller Gomes à propos du Tronco do ipê. En portant notre regard au-delà des protagonistes blancs et en concentrant notre attention sur la communauté environnante, et surtout en observant comment les uns et les autres interagissent, nous découvrons la diversité des moyens mis en œuvres par ces textes pour nous fournir un panneau très vivant et illustratif du Brésil esclavagiste au XIX° siècle. Par ailleurs, le brouillage de l'espace des esclaves, avec l'effacement de la senzala qui avait d'abord attiré notre attention, semble susciter encore des discussions, car si la senzala existe jusqu'à la fin de l'esclavage, les cabanes des esclaves avec leur petites plantations vivrières ou d'agrément font tout aussi partie d'un paysage référentiel absorbé et utilisé comme matériau littéraire.C'est dans ce cadre que la lutte entre passéisme et modernité peut se nouer dans des intrigues parfois presque pédagogiques grâce à la concentration permise par la délimitation restreinte du cadre, au nombre relativement réduit des personnages, et au dialogue forcé et constant entre ces deux classes de personnages, les maîtres et les esclaves. Il devient clair que les auteurs de notre corpus ont voulu construire une fiction complexe, capable de toucher un public ambivalent, peu nombreux mais liseur avide, éclairé et esclavagiste à la fois, conservateur mais curieux des nouveautés qui lui arrivent en nombre croissant depuis l'Europe, un public qui commence à changer ses habitudes d'habillement, de sociabilité - et de lecture. ; RESUMONa constituição deste corpus, foram usadas noções fundamentais para a compreensão dos romances das primeiras fazendas de café brasileiras, como aquelas em que Maria Sylvia de Carvalho Franco elucida a « ordem escravagista » como sendo a que, ao dar forma à sociedade exclui os "homens livres e pobres" de um universo polarizado entre mestres e escravos. A ordem evocada nessa obra é aquela que subtende toda a organização imperial e que possibilita à jovem nação, graças ao café, reconstruir-se nos anos difíceis que se seguem à sua independência em 1822. Esse estudo refere-se à velha "civilização do café" e às imensas fazendas que cobrem inicialmente o vale do Paraíba, a meio-caminho entre o Rio de Janeiro e São Paulo, onde fazendeiros associados a comissários e agentes financeiros citadinos formam uma sociedade cada vez mais poderosa, cujas características de ruralidade vão rapidamente ceder espaço à urbanização do país. As mudanças sofridas por essa sociedade se aceleram precisamente em torno do ano de 1850, momento que, freqüentemente evocado pela historiografia, impressionou também três escritores brasileiros do século XIX, que escolhem essa década como o nódulo central de seus romances escritos entre 1871 e 1914. Nos três casos, a forma ficcional do romance parece ser a que mais se adapta à fazenda de café literária, com a sua organização que exclui os homens livres e pobres, para os quais tanto a fazenda como sua representação romanesca parecem não ter lugar.A fazenda de café escravagista, na metade do século XIX é um universo em plena expansão, no qual reina e governa o fazendeiro com poderes absolutos sobre tudo o que vive em suas terras. Este grande proprietário, ao enriquecer, deseja também tornar-se nobre e compra seus títulos do poder imperial, tornando-se assim essa figura ambígua, ao mesmo tempo respeitada e ironizada, do Barão do café do período imperial brasileiro. Freqüentemente evocado pela literatura nas suas mansões citadinas, esses novos aristocratas criados por D. Pedro II, não chamam tanto a atenção na época da construção de seus personagens e de sua fortuna nesses mundos reduzidos que são as fazendas polarizadas entre Casa Grande e Senzala. Nesse universo, as relações intensamente vividas entre mestres e escravos, constitutivos da vida nacional, compõem o nódulo de trocas quotidianas que invadem um quadro rural e senhorial. Três romances se interessaram por esse modo de vida que, na época de sua escritura, dizia respeito à maior parte da população brasileira (no que se refere ao aspecto de ruralidade), instalando sua ação numa rica casa de senhor de escravos no meio de uma imensa propriedade na qual as relações entre dominantes e dominados vão evoluir de uma enganosa harmonia à explosão de uma violência tardia mais tanto mais mortífera.Desses romances que constituem o corpus principal de nossa tese, o primeiro é O tronco do ipê, escrito por José de Alencar em 1871, onde aparece pela primeira vez a designação da sede da propriedade como Casa Grande, em seguida adotada pela sociologia e pela linguagem corrente durante o século XX. Esse termo, mais conhecido por sua aplicação à realidade do Nordeste dos engenhos de açúcar, aparece assim como originário da literatura relativa a esse vale cafeeiro, que esteve no centro das discussões econômicas e políticas do Brasil imperial, e cuja ficção romanesca mostra a ascensão fulgurante, seguida de seu desaparecimento ainda mais rápido e surpreendente, da memória nacional. O segundo romance é A escrava Isaura, de 1875, no qual Bernardo Guimarães criou o ícone mais célebre da luta pela abolição da escravidão no Brasil, numa obra cujo sucesso popular nunca desmentido é proporcional ao desprezo que lhe votam os meios acadêmicos. Sua inserção neste corpus, ao lado dos outros dois romances que tratam do mesmo tema, permite esclarecer a profunda implicação dessa intriga folhetinesca e sedutora na problemática de seu tempo, bem a como a hábil desconstrução dos clichês usuais nesse gênero de narrativa. Os dois primeiros romances foram escritos num momento em que o romantismo ainda não tinha abandonado o centro da cena literária brasileira, mas em que ele já era alvo dos ataques furiosos de um regionalismo mais preocupado com o realismo e mais significativo das aspirações que tomavam corpo numa sociedade que não se satisfazia mais sob a unidade imperial e escravocrata do país. Finalmente, o terceiro romance a tratar das fazendas do vale é uma obra taxada de anacronismo pois, escrita em 1914, prenhe de todas tendências que se cruzam nesse contexto do Pré-modernismo brasileiro, põe em discussão os problemas da escravidão abolida desde 1888 e que não interessa mais ninguém. O país tem pressa de esquecer tanto o antigo regime escravagista quanto os escravos libertados para fazer parte dos homens livres e pobres que continuam excluídos da nova organização social do país. Para tanto, Coelho Neto cria em Rei Negro um herói romântico e parnasiano, uma figura olímpica e plenamente negra, características essas associadas pela primeira vez num romance brasileiro, o que permite duvidar do anacronismo atribuído a uma obra que vem preencher um vazio que a ficção romântica brasileira não pudera ou não ousara ocupar, pelo menos enquanto contemporânea da escravidão: o direito ao centro do palco para um protagonista escravo, o direito à beleza associado a uma pele negra como o ébano, o direito à revolta conduzida e assumida pelo negro, sem que nenhum protagonista branco venha lhe roubar sua função de herói romântico, tingido aqui pelo naturalismo, pelo simbolismo e pelo regionalismo presentes na expressão literária do país nesse momento.Os romances reunidos em torno do tema da fazenda recriam em sua diversidade um mesmo aspecto da evolução histórica do Brasil, a vida e os valores que se desenvolvem à margem da cidade até essa metade do século XIX que constitui o momento escolhido pelos três autores. É então que a ordem tradicional se vê contestada por valores novos que se amplificam numa população que começa a pesar do lado urbano, a trocar idéias com uma Europa em plena mutação, enquanto tenta consolidar sua independência política e reduzir sua dependência econômica herdada da época colonial. 1850 é o ano em que a cessação do tráfico de escravos africanos libera enormes quantidades de divisas e fornece aos fazendeiros os créditos que vão mudar um modo de vida até então austero e isolado. É também nesse ano que é inaugurada uma linha de navios a vapor entre Liverpool e o Rio de Janeiro, pondo em consonância o tempo brasileiro, imperial e escravocrata, com o tempo industrial e urbanizado da Europa. Esses fatores reunidos e refletidos num espaço simbólico de um vale outrora selvagem, rapidamente conquistado por uma cultura que o enriquece e o destrói num ciclo extraordinariamente curto, fornecem as características comuns que vão se acentuar na passagem do primeiro ao último romance.Tanto quanto o período, o cenário desses três romances fornece traços determinantes para sua construção e para a representação da realidade que eles trazem. O rio Paraíba, poderoso e mítico até a chegada do café e à profunda alteração do meio-ambiente sobrevinda então, já não é mais capaz das inundações legendárias recriadas por Alencar num romance precedente, O Guarani. Nesse romance que o próprio autor situava num período colonial mitificado, em que a linguagem e os costumes do invasor se modificavam sob o influxo da natureza americana, o Paraíba era o fator determinante do desenlace, pois é ele que provoca a catastrófica inundação criadora da nova humanidade que vai ocupar o espaço geográfico nacional a partir desse vale nascido ao mesmo tempo que o país independente. O rio permanece o espaço dos mitos no O tronco do ipê, mas como um espelho do passado, das lendas e da imagem da morte que se esconde doravante em todos os elementos da narrativa e da paisagem. Em A escrava Isaura, ele ocupa o fundo do cenário, as margens da fazenda, faz parte da natureza bruta, domada e afastada pelo homem do centro do quadro e da ação. Seu curso é evocado para traçar os limites do imenso pomar que ia se perder nas suas margens escarpadas e imponentes, "nas barrancas do grande rio". Ainda majestoso nesse segundo romance, se bem que descartado pelo olhar de um narrador que só se interessa pelas interações humanas refletidas nos discursos dos personagens, o Paraíba desaparece do cenário em Rei Negro. Nesse último romance do corpus, escrito às vésperas da Primeira Guerra Mundial, a paisagem torna-se simbólica e vaporosa, as terras são cobertas de culturas vistas de bem longe, enquanto a água se torna um elemento sombrio e sinistro, trazendo a morte e refletindo-a. Esta paisagem completamente ocupada pelo homem só é evocada em visões polarizadas entre olhares de mestres e olhares de escravos, simbolizando um direito de apropriação ou a transgressão desse mesmo direito. Num conto ("Banzo") contemporâneo de seu romance, Coelho Neto compara o rio ressecado e abandonado pelo homem ao escravo jogado nas estradas após a abolição, os dois vivendo da esmola de uma chuva ou de um resto de comida.Quanto às terras, elas se transformam tão depressa quanto o rio; a floresta desaparece em alguns anos, dando lugar ao ouro verde dos cafezais famintos de terras virgens e de escravos cada vez mais numerosos, ambos engolidos na construção da riqueza dos fazendeiros. Em suas mansões que se transformam em verdadeiros castelos, esses proprietários refinados não se contentam mais com o espaço da fazenda, talvez duplamente marcado pela lembrança longínqua de um trabalho demasiado penoso, ou pela violência necessária à sua aquisição. Nos romances, a propriedade da terra aparece sempre ligada à traição e à usurpação, e a lembrança desses crimes assombra todas as paisagens. Abandonadas por seus proprietários que partem para a capital ou ainda mais longe, casa e plantações ficam arruinadas, o que é um outro tema obsedante para esta ficção. Sintomaticamente, a representação do vale e de suas fazendas no segundo tempo de escritura dos romances, encaixa-se numa espécie de elipse que, associada à historiografia, torna evidente a rapidez e a paradoxal fragilidade desse processo. À medida que se aproximam a Abolição e a República, e que se percebem os progressos reais então conquistados, os escritores são obrigados a constatar a grande decepção que esses dois acontecimentos representaram para aqueles que ainda acreditavam em mudanças profundas, quando foram escritos os dois primeiros romances. Para os três autores, como para Balzac, sua escritura é uma "história do coração humano" ou "história social", na qual o termo história indica, não um exame cientifico de acontecimentos passados, mas uma invenção relativamente livre; o que eles fazem é fiction e não history, para usar termos ingleses particularmente precisos, como bem notou Erich Auerbach. Para esses escritores posteriores a Balzac, não se trata de passado, mas de uma época que lhes é contemporânea. Assim, o conhecimento do referente histórico é indispensável à compreensão de suas obras, como acentua esse mesmo crítico na sua análise da representação da realidade na literatura ocidental, ao evocar, após a obra de Balzac, a íntima relação entre a construção do romance de Stendhal, Le rouge et le noir, e os anos 1830 na França.A rapidez das transformações ocorridas no Brasil por volta da metade do século XIX não podia deixar de chamar a atenção de nossos três romancistas. A representação construída por eles reflete o momento fugaz de flutuação entre o mundo antigo, rural, fechado, isolado, e a abertura aos valores novos que atrairão para a cidade, para a Europa, para o mundo citadino os donos das terras com suas riquezas. O vale, desertado por senhores que não criaram raízes, bem como pelo café que o esgotou, empobrece, seca, para ser abandonado em proveito de uma corrida para as terras vermelhas do Oeste paulista, que atraem a partir de então novos senhores e novos trabalhadores, os colonos europeus imigrados, que vêm substituir o negro africano. Apoiada na sua economia baseada na força escrava, que ela quer conservar a qualquer preço, e absorvida pela necessidade de renovação constante dessas "máquinas humanas" facilmente descartáveis até 1850, a riqueza do vale se cria e se destrói em menos de um século, num tempo que se acelera para precipitá-lo numa modernidade que ele não vê ou não quer ver chegar. A repercussão de todas essas mudanças na fazenda oferece aos três romances um quadro circunscrito para dramatizar e condensar esses acontecimentos que nossos autores sentem como decisivos para os destinos de sua época.Assim, situados entre uma ordem conservadora e uma aspiração à modernidade que cada um deles vê refletida sob um aspecto diferente na vida da fazenda, os três romancistas recorrem a algumas constantes na construção de suas narrativas. As constelações de personagens e o jogo de seus desejos em torno da propriedade da terra, condição indispensável para fazer parte dos "homens bons" e respeitáveis desde os primeiros tempos da colonização; a educação do herdeiro que deve se cultivar na Europa para depois voltar à ordem a mais retrógrada; as personagens femininas da sinhá livre e da mucama escrava que interagem no interior da Casa Grande são alguns dos temas que percorrem todo o corpus. As representações de escravos, idealizadas mas não simplificadas por Alencar, trazem para o primeiro romance as vozes do mito, das lendas e da memória do passado. Bernardo Guimarães elabora um personagem de escrava branca, perfeitamente representativa das mudanças sofridas pela sociedade brasileira na metade do século XIX, encarregada de comentar e retornar os argumentos de seus mestres, cuja hipocrisia, hoje patente, estava perfeitamente em conformidade com a doxa praticada por seus contemporâneos e leitores menos prevenidos. Finalmente, o escravo de Coelho Neto, enfim plenamente negro, é o instrumento da vingança épica contra todo um período em que sua representação o condenava à farsa ou à sombra dos fundos do quadro romanesco, como provam aliás os romances precedentes: o escravo negro de José de Alencar, para se tornar personagem literário, deve ocupar espaços mitificados e legendários, e o escravo de Bernardo Guimarães, para vir debater nos salões, é primeiro despojado de sua cor. Por outro lado, para falar de valores que importam a seus leitores sem desestabilizá-los, os narradores desses romances são todos muito prudentes, irônicos, dissimulados em seus comentários e sugestões. Os discursos mais incisivos ficam geralmente por conta de personagens planos, capazes de atrair a simpatia ou a aversão desses leitores ao mesmo tempo ilustrados e dependentes dos escravos para o menor gesto, até mesmo para lhes trazer o romance abolicionista que eles se preparam para ler.Os espaços de vida na fazenda se acham representados nos três romances de diferentes maneiras. A Casa Grande é o lugar do discurso civilizado, dos ecos do mundo referencial e histórico contemporâneo, das artes da moda e das idéias esclarecidas ou conformistas que dividem as opiniões. É também um espaço de leitura, atividade que aliás passa progressivamente dos mestres aos escravos, que em todos os relatos são os únicos personagens encarregados do ato de contar. Assim, desde o primeiro romance, a tradição oral revive na cabana do escravo, onde as lendas são ressuscitadas e a memória do passado é piedosamente conservada; no segundo, a voz que conta (e canta) retorna ao salão, espaço agora inteiramente ocupado por uma figura de escrava excepcional. Ela não cede jamais o centro do palco a seus sinhôs ou sinhás, cujo discurso ela refuta ponto por ponto, sem jamais abandonar sua humildade; sempre modesta, é ela que ocupa o piano para cantar sua própria epopéia (a musa que a inspira, segundo a narração, é a musa épica Calíope) e emocionar o público mais tradicional do país. No terceiro romance, o rei negro tem seu próprio oráculo negro para recriar um passado de glória que torna insuportável a humilhação da escravidão, mas aqui os discursos mais significativos dos personagens não têm mais por cenário uma casa senhorial, cujo espaço encolheu e não pode mais dar conta da progressão da intriga. Do lado oposto à casa grande, na polarização inerente a essa organização, os romances da fazenda dão inicialmente a impressão de ter deixado um vazio inexplicável, pois a senzala, o lugar de moradia dos escravos, não aparece praticamente nunca, menos ainda aquilo que faz viver, que possibilita a existência da fazenda, ou seja, o trabalho da terra. E, no entanto, tudo está presente. Por alusões, por histórias contadas em digressões oportunas, por peripécias provocadas fora do primeiro plano do relato. Tudo o que a narrativa não diz claramente age sobre ela; tudo que as intrigas deixam na sombra as esclarece com uma luz comum, e todas essas fazendas constituem assim um universo ficcional coerente e problematizado pela estrutura romanesca. Esses romances oferecem possibilidades de leitura inéditas, mas deve-se lê-los "pelo avesso", como nota Heloísa Toller Gomes a propósito do O tronco do ipê. Projetando nosso olhar além das personagens brancas e concentrando nossa atenção sobre a comunidade negra, sobretudo observando como uns e outros interagem, descobrimos a diversidade dos meios empregados por esses textos para nos fornecer um painel vivo e ilustrativo do Brasil escravocrata do século XIX. Aliás, os contornos mal delimitados do espaço dos escravos, que desde o início tinha atraído nossa atenção, não ficam mais claros na historiografia, pois se a senzala existe até o final da escravidão, as cabanas dos escravos, com suas pequenas roças ou jardins, também fazem parte de uma paisagem referencial absorvida e utilizada como material literário.É nesse quadro que a luta entre passadismo e modernidade pode se travar em intrigas às vezes quase pedagógicas graças à concentração possibilitada pela delimitação restrita do quadro, ao número relativamente reduzido de personagens, e ao diálogo forçado e constante entre essas duas classes de personagens, os senhores e os escravos. A introdução dessas duas linguagens diversas na intriga romanesca, bem como a imbricação dramática entre tempo e espaço que predominam na construção de nossos romances, foram explicitados graças aos conceitos de "polifonia" e de "cronótopo" desenvolvidos por Mikhaïl Bakhtine. Torna-se claro que os romancistas do corpus queriam construir uma ficção complexa, capaz de sensibilizar um público ambivalente, pouco numeroso mas leitor ávido, ilustrado e escravagista ao mesmo tempo, conservador mas curioso das novidades que lhe chegam em número cada vez maior da Europa, um público que começa a mudar seus hábitos de vestuário, de moradia, de sociabilidade e, o que mais nos interessa, de leitura.

El presente artículo busca hacer una breve conceptualización del agotamiento del derecho marca de acuerdo a lo dispuesto por la legislación comunitaria europea, ya que para los bloques económicos suramericanos, en especial para la Comunidad Andina de Naciones (can), constituye un referente de cómo se ha logrado equilibrar los intereses de los agentes del mercado fomentando la libre competencia y la libre circulación de mercancías. Por lo tanto, mediante este análisis será posible determinar cuáles son los retos y debates que afrontan los países suramericanos sobre este tema. ; Derecho de marca; Agotamiento del derecho de marca; Mercado comunitario; Importaciones paralelas ; enero/junio 2015 ISSN: 0120-3754 Las PYME en América Latina, Japón, la Unión Europea, Estados Unidos y los clúster en Colombia Ángel Emilio Muñoz Cardona María Patricia Mayor López Movilidad urbana: cómo de nir el sistema de trans-porte público colectivo (SITP) en Bogotá Crispiniano Duarte Vega Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones Laila Katrina del Pilar Rojas Santana La participación del Instituto Nacional Electoral en las elecciones de Juntas Auxiliares en México Román Sánchez Zamora Gabriel Miranda Trejo Yunuén Catalina Reyes Archundia La adopción de las TIC con actitud crítica en el sector de la educación por parte del gobierno electrónico de Bogotá D. C. Un caso de éxito Jairo Augusto Ortegón Bolívar Las empresas como formadoras de identidad individual y grupal en la sociedad a partir de la fenomenología Germán Rubio Guerrero Luis Alfredo Muñoz Velasco Fernando Adolfo Fierro Celis Gestión para resultados en el desarrollo: hacia la construcción de buena gobernanza Sergio Alberto Chica Vélez Análisis de la estructura interna de los "grupos económicos" en Colombia en la transición del siglo XX al XXI Juan Sergio Cruz 61 45 Calle 44 n.º 53-37 CAN PBX 220 27 90 l FAX 315 25 60 A.A. 29745 l Bogotá, D.C. 40 41 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones* Laila Katrina del Pilar Rojas Santana Autora Laila Katrina del Pilar Rojas Santana Administradora pública, docente. Magíster en Análisis Económico del Derecho y las Políticas Públicas de la Universidad de Salamanca. Profesora de la Corporación Universitaria Minuto de Dios, Seccional Bello, Facultad de Ciencias Económicas y Administrativas Correo electrónico: rojaslaila@gmail.com Dirección postal: Carrera 96 b n.° 17b-40, apto 104, int. 10, Fontibón, Bogotá D. C. Fecha de recepción: 10.06.2015 Fecha de aprobación: 5.09.2015 Resumen El presente artículo busca hacer una breve conceptualización del agotamiento del derecho marca de acuerdo a lo dispuesto por la legislación comunitaria europea, ya que para los bloques económicos suramericanos, en especial para la Comunidad Andina de Naciones (can), constituye un referente de cómo se ha logrado equilibrar los intereses de los agentes del mercado fomentando la libre competencia y la libre circulación de mercancías. Por lo tanto, mediante este análisis será posible determinar cuáles son los retos y debates que afrontan los países suramericanos sobre este tema. Palabras clave: Derecho de marca, agotamiento del derecho de marca, mercado comunitario, importaciones paralelas. Abstract This paper presents research results on the identification of shortco-mings that communities suffer regarding the quality in the provision of touristic services and management of this economic activity. From there, a training process in touristic services is proposed with emphasis on community tourism strategies, as well as management tools that facilitate the integration of different agencies and communities of the sector. The text discusses, first, an approach to the concept of commu-nity tourism and its state of the art. Secondly, it presents the diagnostic and composition of the touristic product in the districts of Ciudad Bolivar, Usme and Sumapaz in the Colombian Capital City of Bogotá. Then, the article reviews the current activities of these communities in community tourism, under the auspices of the district government and some institutions such as universities and NGOs. Finally, quantitative and qualitative findings reached with the fieldwork, shown in tabulated results of surveys, observation and interview inquiries made by resear-chers and assistants are described. Keywords: tourism, empowerment, strategic plan, development. Resumo O presente artigo expõe os resultados da investigação de falências que têm as comunidades com relação à qualidade na prestação dos serviços turísticos e a gestão administrativa desta atividade econômi-ca. Daí, é proposto um processo de formação em serviços turísticos com ênfase nas estratégias de turismo comunitário, assim como nas ferramentas administrativas e de gestão que permitam a integração dos diferentes organismos e comunidades do setor. O texto aborda, no primeiro lugar, uma aproximação ao conceito de turismo comunitário e seu estado da arte. No segundo lugar, apresenta os diagnósticos e a composição do produto turístico nas localidades de Ciudad Bolívar, Usme e Sumapaz no Distrito Capital de Bogotá. Depois, resenha as atividades que são desenvolvidas atualmente nestas comunidades em matéria de turismo comunitário, sob o auspicio do governo distrital e algumas entidades como universidades e ONGs. Para finalizar, são descritos os avindos quantitativos e qualitativos alcançados com o tra-balho de campo, representado em resultados tabulados das pesquisas, indagações, observações participantes e entrevistas efetuadas pelos investigadores e auxiliares. Palavras chave: turismo, empoderamento, plano estratégico, desen-volvimento. * Este artículo fue redactado a partir de la tesis de grado "Agotamiento del derecho de marca", adelantada para optar al título de Máster en Análisis Económico del Derecho y las Políticas Públicas, ofrecido por la Universidad de Salamanca Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 42 43 1. Introducción El agotamiento del derecho de marca ha sido un tema recurrente en las legislaciones internas de propiedad indus-trial y en los bloques económicos con el fin de impulsar el libre comercio. Es una pieza angular que permite la libre de circulación de mercancías, la libre competencia en la distribución de productos en el mercado interior y, por lo tanto, un resultado eficiente del mercado al aumentar la competencia en la distribución y generar efectos positivos para el consumidor. Actualmente existe un amplio análisis de agotamiento del derecho de marca en el Espacio Económico Europeo (eee) gracias a los abundantes pronunciamientos del Tribunal de Justicia de la Comunidad Europea (tjce) porque el ago-tamiento es un instrumento clave para la libre circulación de mercancías y la libre competencia en la distribución de productos en el mercado interior comunitario. Es decir, el agotamiento de derechos de propiedad intelec-tual, y en particular el agotamiento del derecho de marca, se erige en un mecanismo jurídico fundamental para la construcción de un mercado único europeo sin fronteras geográficas ni políticas, regido por la libre competencia. Así pues, la concepción del agotamiento de marca es un punto de partida que nos permite comparar cómo este se ha desarrollado en otros ordenamientos comunitarios o regionales, en especial en el principal bloque económico suramericano: la Comunidad Andina de Naciones (can). 2. Derechos exclusivos otorgados por la marca y el agotamiento del derecho de marca Los bienes que hacen parte de la propiedad industrial tienen como función principal impulsar la competencia en el mercado. Las marcas, como propiedad intelectual, son una creación del intelecto derivada del talento humano y constituyen, como signos distintivos fruto de la creación, un bien incorporal o inmaterial al que la ley protege a través de norma especial, otorgando a su titular un derecho exclu-sivo sobre ellas (Bercovitz, 2002; Fernández, 2001). Las marcas son signos distintivos que fomentan la competencia en el mercado al evitar el riesgo de asociación y confusión entre los usuarios y, así mismo, otorgan una posición en el mercado a los productos bajo la marca. Una marca, entendida como cualquier signo que sea apto para distinguir productos o servicios en el mercado (Decisión 486, 2000, art. 134), cumple cuatro funciones principales en el plano económico: la función indicadora del origen empresarial, la función indicadora de la calidad de los productos o servicios, la función publicitaria y la función de condensación de la reputación o goodwill de la marca. Es un instrumento que les permite a los empresarios su actuación en el mercado y sirve para asegurar que todos los productos o servicios distinguidos con ella tienen el mismo origen empresarial (Bercovitz, 2008, p. 124), así mismo, la marca constituye el control de garantía por la cual una empresa es responsable de la calidad (Tribunal de Justicia de la Comunidad Europea, 2002, C-299/99, p. 10). y permite a su titular organizar su participación en el mercado y la comercialización de sus productos o servicios dentro del mismo (Bercovitz, 2008, p. 125). Por último, la marca es de gran utilidad para la protección de los consumidores, en la medida en que permite identi-ficar y distinguir los diversos productos o servicios que se ofrecen, posibilitando así la elección entre ellos (Bercovitz, 2008, p. 125). En este sentido, la reputación que genera la marca es una herramienta del mercado para evitar las ineficiencias causadas por la asimetría de la información entre consumidores y productores, así, esta busca el buen funcionamiento del mercado mediante la transparencia de la información y, por lo tanto, logra una competencia leal. Dadas las anteriores características, el titular de la marca adquiere una posición jurídica cuyo contenido esencial es el derecho exclusivo sobre la marca (Galán, 2008, p. 532). Sobre el particular, la can establece que: El registro de una marca confiere a su titular el derecho de impedir a cualquier tercero realizar, sin su consentimiento, los siguiente actos: a) aplicar o colocar la marca o un signo distintivo idéntico o semejante sobre productos para los cuales se ha registrado la marca […], b) suprimir o modificar la marca con fines comerciales, después de que se hubiese aplicado o colocado sobre los productos para los cuales se ha registrado la marca […]; c) fabricar materiales que reproduzcan o contengan la marca, así como comercializar o detentar tales materiales […], d) usar en el comercio un signo idéntico o similar a la marca respecto de cualesquiera productos o servicios, cuando tal uso pudiese causar confusión o un riesgo de asociación con el titular del registro […], e) usar en el comercio un signo idéntico o similar a una marca notoriamente conocida respecto de cualesquiera productos o servicios, cuando ello pudiese causar al titular del registro un daño económico o comercial injusto por razón de una dilución de la fuerza distintiva o del valor comercial o publicitario de la marca, o por razón de un aprovechamiento injusto del prestigio de la marca o de su titular, entre otros. (Decisión 486, 2000 art. 155) El derecho conferido por la can, así como la mayoría de ordenamientos, hace referencia a la vertiente negativa del derecho de marca ius prohibendi, ya que la marca es un bien inmaterial en el que cabe la utilización y posesión simultá-nea por otros, por lo cual, para crear una escasez artificial es esencial que se reconozca la prohibición de utilización de la marca a terceros. De esta manera, el titular de la marca tiene derecho le-gítimo a su uso, a introducir, comercializar, publicitar, importar, exportar, almacenar, transportar o vender los productos o servicios identificados con la marca en el mercado (Superintendencia de Industria y Comercio, 2008, p. 33) y autorizar a un tercero a usar la marca a través de las licencias. Sin embargo, el derecho del titular de la marca no es absoluto (Concepto 02007889, 2002, párr.19), ya que el derecho de exclusividad supone una restricción al libre comercio. El derecho de exclusión otorgado al titular no tiene como finalidad prohibir todos los usos de la marca, sino limitar los actos o los usos de la marca susceptibles a causar confusión en el público, por lo tanto, cuando no hay riesgo de confusión, no hay acto de infracción de marca (De las Heras, 1994, p. 113). En consecuencia: Una vez la marca ha cumplido su función no puede tolerarse el mantenimiento de aquellos derechos, ya que ello supondría permitir al titular de la marca controlar, de forma injustificada y en contra de los principios competitivos, la ulterior comercialización de los productos realizada al amparo de aquel derecho exclusivo. (Fernández, 1990, p. 171) Por consiguiente, el titular de la marca tiene un monopolio de decisión sobre la forma, modo de comercialización, cantidad, precio, calidad características esenciales, etc., otorgado por el derecho exclusivo de la marca, hasta la primera venta del producto. Pero una vez comercializado el producto, el titular pierde el control sobre las sucesivas comercializaciones, a menos que venda directamente el producto al consumidor final o lo haga mediante canales de distribución (Martin, 2001, p. 72). Es necesario señalar que mientras el mercado común se basa en la libre circulación de mercancías, el derecho de marca, restringe esa libertad de circulación y competencia al reconocer el derecho del titular de la marca a oponerse a la comercialización ulterior de los productos contraseñados con la marca. En este sentido, el derecho de marca y la libre circulación de mercancías son opuestos. No obstante, el principio de agotamiento del derecho de marca permite conciliar los intereses del titular de la marca y del público contra los actos de confusión, así como de los importadores paralelos. De esta manera, la función de la marca cumple un doble papel en la libre competencia. Por una parte la restringe, al excluir a los demás de participar en una actividad económi-ca específica, y por la otra, favorece la actividad competitiva (Parra, 2002, p. 23). Por lo anterior, las normas sobre defensa de la libre compe-tencia, respecto a las marcas, han buscado no solo impedir las restricciones a la libertad de competencia sino también Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 44 45 las restricciones al principio de libre circulación (Roncero, 1999, p. 351). El Tribunal de Justicia de la Comunidad Económica Europea (tjcee) sostiene que el titular de la marca tiene el derecho exclusivo sobre la primera comercia-lización del producto, protegiéndolo de competidores que pretendan abusar de la posición y del prestigio de la marca vendiendo productos designados indebidamente con ella (Asunto 17/74, 1974, p. 486). Pero una vez cumplidos los fines esenciales de la marca, el titular del derecho no puede limitar la libre circulación de las mercancías invocando este derecho (Roncero, 1999, p. 353). Si no se agota el derecho exclusivo del titular de la marca después de la primera comercialización, se generaría un obstáculo a la libre circulación de mercancías y con ello a la libre competencia en la distribución, ya que el titular podría invocar el ius prohibendi para oponerse a cualquier comercialización ulterior del producto, aun cuando no esté justificado. Además, como lo señala el tjcee, el titular de la marca tendría la posibilidad de compartimentar los mercados nacionales, dando lugar con ello a una restricción en el comercio entre los Estados miembros, sin que dicha restricción sea necesaria para garantizar el contenido del derecho exclusivo derivado de la marca (Asunto 17/74, 1974, p. 486 ). En definitiva, puede decirse que la regla del agotamiento constituye una norma promotora de la libre competencia insertada en la legislación de propiedad intelectual y, en particular, en la legislación marcaria, para limitar (o de-limitar) el alcance del derecho exclusivo en pro de la libre competencia en el sector de la distribución de mercancías. Ante la creciente expansión de redes de distribución con-troladas por el fabricante o licenciatarios de su marca, el agotamiento se muestra como un engranaje fundamental para facilitar el comercio paralelo o mercados grises en el sector de la distribución comercial; siempre que con ello no se afecte negativamente las funciones esenciales de la marca, los intereses del titular de la misma ni de los con-sumidores o usuarios en la capacidad de elección libre de las opciones que se ponen a su disposición en el mercado. El sistema de marcas es un instrumento destinado a pro-mover la libre competencia: la marca es un instrumento para competir. Su función esencial es permitir identificar los productos y permitir que los consumidores se informen. En este sentido, el derecho otorgado por la marca no tiene como fin que el titular de la marca controle la posterior distribución de las mercancías ni busca restringir la libre competencia (Martin, 2001, p. 73). Sin embargo, así como el derecho exclusivo de la marca no es absoluto, el agotamiento tampoco lo es, ya que este no se aplica cuando existen motivos legítimos que justifiquen que el titular se oponga a la comercialización ulterior de los productos. Esta excepción al agotamiento de marca se justifica en la medida en que se busca salvaguardar las funciones del signo. Por lo tanto, el titular de la marca podrá oponerse a la co-mercialización del producto contraseñado una vez agotado su derecho cuando exista el riesgo de crear confusión en el público acerca de las características esenciales del producto o de su origen empresarial (Martin, 2001, p. 73). Si el ti-tular de la marca no pudiera imponer su ius prohibendi en los casos en los que se realicen actos que puedan generar confusión en el público, no solo se estarían vulnerando los derechos de los consumidores, sino que no se protegería la lealtad de la competencia en el mercado. La can ha incluido en su legislación de marcas la posibi-lidad de que el titular de la marca se oponga a la posterior comercialización de los productos contraseñados, aunque, como veremos, poco se han desarrollado estas excepciones. 3. Clases de agotamiento de derecho de marca Existen tres regímenes de agotamiento del derecho de marca: el agotamiento nacional, el comunitario y el inter-nacional. Cada uno de ellos genera posiciones distintas del titular de marca frente a importadores paralelos. El agotamiento nacional se produce cuando el producto es comercializado por primera vez por el titular de la marca o por un tercero con su consentimiento en el mercado nacio-nal. Así, el agotamiento del derecho está supeditado a que la primera comercialización se haya producido dentro del país. Esta opción es adoptada en aras de la unidad del mer-cado nacional y del libre comercio interior (De las Heras, 1994, p. 26) y ha sido implementada por países como Brasil. El agotamiento comunitario se origina cuando el producto es comercializado por primera vez por el titular de la mar-ca o por un tercero con su consentimiento en el mercado comunitario o regional. En este caso, el agotamiento del derecho supone como requisito que la primera comer-cialización del mismo se produzca dentro del mercado comunitario o regional. Este régimen tiene como objetivo el fortalecimiento y la libertad de comercio en el mercado común (De las Heras, 1994, p. 26), y supone la creación de una barrera al comer-cio internacional (Martin, 2001, p. 31). De esta manera, se configura el "agotamiento comunitario como excluyente del agotamiento internacional" (Ruiz, 2005, p. 353). La Unión Europea (ue) es, por excelencia, el representante de esta clase de agotamiento. Finalmente, el agotamiento internacional se produce cuan-do el producto es comercializado por el titular de la marca o por un tercero con su consentimiento en cualquier país, es decir, en el mercado nacional, comunitario o regional, o en un mercado extranjero. El agotamiento internacional signi-fica "la libertad plena de las importaciones y subsiguientes ventas paralelas de los productos de la marca auténtica en el Estado importador en que esa marca estuviese registrado" (Martin, 2001, p. 27). Este régimen de agotamiento ha sido adoptado por la can y por Estados Unidos. La elección entre el régimen comunitario y el régimen internacional ha generado varios debates en la ue. Diversos han sido los argumentos que se han señalado para mante-ner el régimen comunitario del agotamiento del derecho de marca, entre ellos que la adopción del agotamiento internacional haría que las compañías europeas tuvieran que enfrentarse a una competencia en desventaja, ya que el proceso de integración no ha ocurrido todavía en el ámbito mundial. Sobre el particular, el Comité Económico y Social Europeo emitió un dictamen sobre el agotamiento de los derechos conferidos por la marca. En el documento se sostiene que el régimen actual mantiene una cierta calidad de los productos y unos servicios postventa, características que los importa-dores paralelos no proveen a los consumidores europeos. Así mismo se señala que un cambio de régimen a largo plazo podría inhibir la inversión en nuevos productos o hacer que marcas registradas retirasen productos ya es-tablecidos en el mercado ante la falta de competitividad con los productos importados. También establece las grandes diferencias en materia de normas socio-laborales, administrativas y medio ambientales entre la ue y aquellos países en los que los importadores paralelos se proveen de los productos. Sostiene que el agotamiento comunitario garantiza que los consumidores europeos cuenten con la disponibilidad de los productos en todas sus posibilidades y gamas; y que un régimen de agotamiento internacional puede favorecer el aumento de productos falsificados en la ue, lo que generaría un efecto negativo sobre el crecimiento económico europeo (2001/C 123/05, 2001, pp. 31-32). De acuerdo con el dictamen, los aspectos positivos del agotamiento del derecho internacional referente a la dismi-nución de los precios en beneficio de los consumidores son contrarrestados por la consideración de que la introducción de nuevas tecnologías genera que los consumidores puedan acceder a una gran variedad de productos a precios más bajos (2001/C 123/05, 2001, p. 32 ). Respecto al comercio con terceros países ha señalado que no se puede comparar la integración europea y el esfuerzo por terminar con las barreras que impiden la libre circula-ción de mercancías con otros procesos, además, dado que las compañías europeas que compiten en un mercado global tienen que enfrentarse a compañías con costes bastante más bajos a los europeos en materia de producción, el régimen de agotamiento comunitario defiende de alguna manera a estas compañías, así como a las compañías no europeas que trabajan en el mercado único. Algunos autores indican que "el agotamiento comunitario no solo no beneficia a las empresas de la ue, sino que las perjudica" (Fernández, 2005, p. 32), ya que se ven discri-minadas en la medida en que las empresas comunitarias que fabrican en países comunitarios ven agotado su derecho de marca con la primera comercialización del producto en países comunitarios (De las Heras, 1994, p. 35). También se ha dicho que las empresas importadoras comuni-tarias se ven afectadas en la medida en que las importaciones de productos auténticos comercializados por el titular de la marca o con su consentimiento en terceros Estados pueden ser impedidas por el titular de la marca. Igualmente, los consumidores se ven afectados, ya que no pueden disfrutar del aumento de la competencia y, por ende, de la disminución de precios y el aumento de la oferta. 4. Agotamiento del derecho de marca e importaciones paralelas El agotamiento del derecho de marca está íntimamente relacionado con las denominadas importaciones paralelas (Fernández, 2005, p. 1) o, en términos más generales, el comercio paralelo o comercio gris. Este último se produce cuando el precio en un país exportador es más bajo que en el país importador, de tal manera que los comerciantes parale-los aprovechan la diferencia de precios y ofrecen los produc-tos importados, a precios más bajos, en el país exportador. Estos dos temas adquieren relevancia debido a la supresión de barreras al comercio, suscritas tanto en los mercados comunes como en los tratados de libre comercio (tlc) suscritos de manera bilateral y multilateral. Así, la apertura de los mercados facilita la libre circulación de bienes, no obstante, "también aumenta la producción y distribución de falsificaciones de los productos originales de la marca" (Fernández, 2005, p. 4), lo que permite la aparición del mercado gris. Como lo señalan los análisis de distintos autores (Fernán-dez, 2005, p. 3), en el agotamiento del derecho y de las importaciones paralelas entran en conflicto los intereses Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 46 47 de varios agentes del mercado. Por una parte, el titular de la marca busca impedir las importaciones paralelas, no solo para conseguir vender a precios más altos, sino para evitar que esas importaciones infrinjan sus intereses legítimos en la medida en que las modificaciones o alteraciones a los productos, para facilitar su introducción en el mercado importador, menoscaban la reputación de la marca o per-judican la garantía de origen. Los consumidores, por otro lado, se ven beneficiados en la medida en que el libre comercio aumenta el número de productos entre los que puede elegir, y genera un aumento de competencia que disminuye los precios, ya que estos se acercan al coste marginal (Mankiw, 2008, p. 241). Por con-siguiente, se han buscado mecanismos que equilibren tanto los derechos del titular de la marca como los de los consu-midores, facilitando así la libre circulación de mercancías. 5. Agotamiento del derecho de marca en la can La búsqueda de integración de Bolivia, Ecuador, Colom-bia, Perú y Chile se llevó a cabo mediante el Acuerdo de Cartagena (ac), suscrito en el año 1969, acuerdo que tiene como objetivo promover el desarrollo de los países miem-bros mediante la integración y la cooperación económica y social, con miras a la formación gradual de un mercado común latinoamericano. De esta manera, la can, conocida en ese entonces como el Pacto Andino, se puso en marcha. En 1973 Venezuela se adhirió al acuerdo y se retiró en 2006, así mismo, en 1976 Chile abandono la can. Uno de los objetivos para llevar a cabo esta integración fue el programa de liberación, que tiene por objeto "eli-minar los gravámenes y las restricciones de todo orden que incidan sobre la importación de productos originarios del territorio de cualquier país miembro" (Decisión 563, 2003, art. 72). Más adelante surgieron otros intentos, tales como el acta de La Paz, firmada en 1990, que tenía entre sus objetivos conformar una zona de libre comercio al 31 de diciembre de 1991 mediante la aceleración del programa de liberali-zación para la desgravación automática; y el acta de Bara-hona, firmada en 1991, que establecía el funcionamiento de la zona de libre comercio a partir de 1992, que empezó a funcionar finalmente a partir de 1993. En materia de propiedad industrial, la can se ha pronun-ciado mediante la Decisión 85 de 1974, que fue reem-plazada por la Decisión 313 de Régimen Común sobre Propiedad Industrial, en el año 1991. Actualmente rige la Decisión 486 del 1.° de diciembre de 2000, por medio de la cual se adopta el nuevo Régimen Común sobre Propiedad Industrial. Tal como lo afirma Rubio (1996), citado por Parra (2002, p. 24), en función del libre comercio, la Decisión 486 del 1.° de diciembre de 2000 utiliza, entre otros mecanismos, el agotamiento del derecho de marca y la admisión de las im-portaciones paralelas "para garantizar que el ejercicio de los derechos derivados de la propiedad industrial no desborde el límite impuesto por un sistema de libre competencia". La importancia del agotamiento del derecho de marca en la can radica en que es un instrumento que permite consolidar un mercado común. Este precepto adquiere aún más relevancia si se tienen en cuenta el proceso y los esfuerzos adelantados por los países miembros para crear un mercado común en el marco de un proyecto integrador (Basombrio, 2004, p.14) En la can, a diferencia de otros ordenamientos comunita-rios, en especial del eee, el derecho que otorga el registro de la marca se limita al territorio en el que se otorga la respectiva concesión, y esta no puede extenderse más allá del territorio del respectivo Estado (Concepto 02065886, 2002, párr.2). Esta interpretación se desprende de lo establecido en el artículo 154 de la Decisión 486 (2000), que señala que el derecho al uso exclusivo de una marca se adquirirá por el registro de la misma ante la respectiva oficina nacional competente. Respecto al comercio paralelo, los países miembros de la can lo han señalado como "una consecuencia lógica de economías liberalizadas", y que por lo tanto han reconoci-do que ese tema "va a adquirir mayor importancia con el aumento del tráfico de mercancías entre Estados" (Organi-zación Mundial de la Propiedad Intelectual, 2002, p. 15). Aun cuando su importancia es evidente, el desarrollo de los supuestos en los cuales se produce el agotamiento, así como las excepciones que le permiten al titular oponerse a la comercialización de los productos contraseñados, no han sido tan desarrollados como en el eee. Como lo indica Lombeyda (2013, p. 192) el tjca no se ha pronunciado frente al agotamiento del derecho de mar-ca, únicamente ha realizado breves referencias al tema. Igualmente, la doctrina andina se ha limitado a un aná-lisis superficial, aun cuando la importancia del desarrollo de supuestos en los cuales se produce el agotamiento, así como las excepciones que permiten al titular oponerse a la comercialización de los productos contraseñados, es evidente, lo que indica que el grado de integración de los países miembros es todavía incipiente. Finalmente, cabe resaltar que los países miembros de la can señalan tres consecuencias específicas del comercio paralelo generado por la adopción del agotamiento inter-nacional del derecho de marca. Para el titular de la marca, es relevante Cuando existe una diferencia de precios sustancial […], ya que en ese momento es que a él le interesaría obtener una compensación del importador paralelo. Para los consumidores implica un aumento de la oferta del producto original, una competencia de precios y una disminución de los precios, así como fuentes alternativas de obtención. Para el sistema de libre empresa, entre los beneficios reconocidos se encuentran el fomento a competencia, una mejor satisfacción de la demanda y el incremento de la oferta. (Organización Mundial de la Propiedad Intelectual, 2002, p. 15) 6. Requisitos para el agotamiento del derecho de marca Para que se configure el agotamiento del derecho de marca en la can existen unos requisitos específicos, a saber, pro-ductos introducidos en el comercio (requisito objetivo), por el titular o por un tercero con su consentimiento (requisito subjetivo) y, dado que el agotamiento es internacional, esta introducción puede llevarse a cabo en cualquier país. Requisito objetivo: productos introducidos en el comercio Como requisito objetivo, la legislación comunitaria andina indica que el agotamiento del derecho de marca se da una vez los productos hayan sido introducidos en el comercio por el titular del registro o por otra persona con consenti-miento del titular o económicamente vinculada a él. Nótese que, a diferencia del agotamiento comunitario europeo, la can no utiliza el término "comercialización", sino que utiliza la introducción en el comercio para referirse al requisito objetivo. Por lo tanto, surge el debate acerca de si la introducción de productos en el comercio hace referencia a los actos asociados a la comercialización, por ejemplo la importación de productos sin que estos hayan sido comercializados, o si, por el contrario, la introducción en el comercio se entiende en el sentido restringido de la comercialización de los mismos. La elección de uno u otro concepto es determinante, ya que sus diferencias y sus efectos en la aplicación del ius prohi-bendi por parte del titular de la marca son distintos. Si se acepta la introducción de un producto en el comercio como la importación de mercancías con la intención de vender el producto, sin que este llegue a venderse, por ejemplo guardar una cantidad de un producto contraseñado con una marca en un almacén o en un depósito, habría lugar al agotamiento del derecho inmediatamente estos productos fueran importados; mientras que si la introducción de un producto en el comercio se entiende como la comerciali-zación del mismo, se estaría haciendo una interpretación semejante a la que hace el tjce, en el sentido de que la intención de vender un producto no transmite al tercero el derecho de disponer de los productos designados con la marca y no le permite al titular hacer efectivo el valor. Por lo tanto, el agotamiento del derecho se daría únicamente con la venta del mismo. En este sentido, la ompi aclara que cuando se hace refe-rencia a la introducción en el mercado de los productos o servicios identificados con la marca, no solo se alude exclusivamente a la comercialización, sino que también se incluyen aquellas actividades preparatorias o conectadas con la comercialización (Organización Mundial de la Propiedad Intelectual, 2002, p. 7). Por lo tanto, el ago-tamiento del derecho de la marca en la can, a diferencia de las condiciones que plantea el legislador de la ue, no se restringe a la comercialización, sino que se amplía a todo su proceso (Organización Mundial de la Propiedad Intelectual, 2002, p. 7) Requisito territorial: cualquier país A diferencia de la ue, que señala como requisito previo al agotamiento del derecho de marca la comercialización por primera vez de los productos en el eee, la can apunta al agotamiento de marca internacional. Esta interpretación se desprende del hecho de que el artículo 158 de la Decisión 486 se refiere al agotamiento del derecho de marca después de que ese producto se hubiese introducido en el comercio en cualquier país. El tjca afirmó el agotamiento de marca internacional al señalar en la interpretación prejudicial que el agotamiento del derecho de marca está exceptuado de territorialidad (Proceso 17-IP-98, 1998, pp. 9-10 ). Así mismo, en el seminario de la ompi para los países andinos sobre la observancia de los derechos de propiedad intelectual en la frontera, dispone que, de acuerdo con el alcance territorial, el agotamiento adoptado por la can es el internacional, ya que con la primera comercialización de los productos identificados con la marca en un mercado extranjero se configura la limitación. "Significa la plena libertad de las subsiguientes ventas de los productos identificados con la marca auténtica tanto fuera como dentro del país en que se encuentra registrada, una vez su titular la ha comercializa-do en cualquier lugar del mundo" (Organización Mundial de la Propiedad Intelectual, 2010, p. 14). Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 48 49 Requisito subjetivo: consentimiento del titular El agotamiento del derecho exclusivo de marca se da en virtud de la facultad que tiene el titular de la marca de comerciar esos productos o servicios con identificación de su marca, así en la faceta negativa esa facultad se traduce en la prohibición que puede lograr el titular para que terceros vendan productos o suministren servicios bajo el amparo de un signo igual o similar (Proceso 66-IP-2000, 2000, p. 7). De esta manera, la condición para el agotamiento del derecho de marca es que el producto haya sido puesto en el comercio por el titular o por un tercero, con el consen-timiento o económicamente vinculado a él (Decisión 486, 2000 art. 158). El consentimiento dado por el titular de la marca puede ser explicito, implícito o tácito. El consentimiento expreso se desarrolla a través del otorgamiento de una licencia sobre la marca. El consentimiento implícito se produce cuando el producto es comercializado por agentes o representantes autorizados o por filiales del fabricante que registran la marca a su nombre en los países donde se va a producir la comercialización por parte de la filial (Carbajo, 2009, p. 150). En este caso, la actuación fiduciaria no le permite al titular oponerse a su posterior comercialización. Por lo tanto, es fundamental aclarar qué tipo de consentimiento adopta, es decir, si este consentimiento debe ser expreso, implícito o tácito, en especial en cuestiones referentes a las importaciones paralelas y a la distribución selectiva. La interpretación prejudicial del tjca dispone en varios procesos que, conforme al sistema andino, la única forma de adquirir el derecho al uso exclusivo de la marca es por medio del registro, el cual le permite a su titular ejercer el ius prohibendi para impedir que terceros utilicen su mar-ca, sin su expreso consentimiento, en bienes o servicios idénticos o similares, a tal extremo que pueda causarle confusión al consumidor, que es a quien protege, en esen-cia, el derecho marcario. En este sentido, la interpretación prejudicial apunta a que la condición del agotamiento del derecho de marca está sujeta al consentimiento explícito por parte del titular (Proceso 33-IP-2000, 2000, Proceso 116-IP-2004, 2004). Es necesario hacer referencia a las importaciones paralelas para determinar si el titular de una marca puede impedir que terceros importen un producto originalmente marcado cuando estos productos han sido producidos o introduci-dos en el mercado extranjero por él mismo o por personas vinculadas económicamente a él. Este debate responde a la tensión que existe entre el reconocimiento del derecho exclusivo de marca, que se circunscribe al ámbito nacional, y el alcance del agotamiento del derecho de marca, que obedece al terreno internacional. 7. Excepciones al agotamiento de marca La legislación andina ha determinado excepciones al ago-tamiento del derecho de marca. Al respecto señala que: El registro de una marca no dará el derecho de impedir a un tercero realizar actos de comercio respecto de un producto protegido por dicho registro, en particular cuando los productos y los envases o embalajes que estuviesen en contacto directo con ellos no hubiesen sufrido ninguna modificación, alteración o deterioro. (Decisión 486, 2000, art. 158) De lo anterior se puede deducir que una vez que se ha agotado el derecho, en los casos en los que el producto y envase o embalaje que estuviese en contacto directo con él hubiese sufrido alguna modificación, alteración o deterio-ro, el titular puede invocar su ius prohibendi para oponerse a la ulterior comercialización del producto contraseñado con la marca. Sin embargo, este no es el único caso en el que el titular de la marca puede invocar ius prohibendi una vez agotado el derecho, ya que el legislador, al decir "en particular", acepta que existen otras situaciones en las se puede permitir que el titular de la maca se oponga a su comercialización. Las excepciones al agotamiento del derecho de marca son importantes, en la medida en que favorecen que la marca cumpla su función esencial, es decir, que sirvan como indicadora del origen empresarial. Como se vio antes, aunque estas excepciones suponen una restricción al libre comercio, son necesarias en la medida en que fomentan la libre competencia y evitan la competencia desleal. Siguiendo lo dispuesto en la ue en cuanto a las excepciones al agotamiento de marca, haremos referencia a la altera-ción de los productos y al menoscabo de la reputación de la marca como causas por las cuales el titular de la marca puede invocar su ius prohibendi. Respecto a la modifica-ción de los productos, la Secretaria General de la can ha dispuesto que, si bien es cierto que el registro de una marca no le concede a su "titular el derecho de impedir a un tercero realizar actos de comercio respecto del producto protegido por dicho registro, ello está permitido, si y sólo si estos productos no hubiesen sufrido ninguna modificación, alteración o deterioro" (Resolución 590, 2002, p. 2). Es decir, el ordenamiento jurídico de la can prohíbe de manera expresa que los productos protegidos por una marca puedan ser modificados y comercializados, lo que consti-tuye una de las situaciones en las que el titular del derecho puede oponerse a la ulterior comercialización del mismo una vez se hayan dado las condiciones para el agotamiento del derecho. Ahora bien, el tjca no se ha pronunciado sobre los casos en los que estas modificaciones son necesarias para que el importador paralelo pueda acceder a los mercados de los países miembros. Sobre el particular, si llegase a realizar una interpretación similar a la sostenida por el tjce, en cuanto a las condiciones para el reetiquetado, reenvasado y sustitución de la marca, las restricciones sobre el comercio serían las mínimas posibles, ya que permitirían la modifi-cación de los productos (fomentando el libre comercio) y, al mismo tiempo, impondrían una serie de requisitos que garantizan la función esencial de la marca, con lo que se protege tanto a los consumidores como a los titulares de la marca de los actos de competencia desleal. Por otra parte, si opta por hacer una interpretación contraria, en la que no llegase a permitir ninguna alteración o modificación a los productos, estas medidas supondrían restricciones aún mayores al libre comercio en el mercado común. En cuanto al menoscabo de la reputación de la marca como excepción al agotamiento del derecho de marca, el tjca no se ha pronunciado. Sin embargo, es posible analizar en parte esta cuestión a la luz de la función esencial del derecho de marca. El tjca, mediante interpretación preju-dicial, ha determinado que "la finalidad que persiguen las acciones derivadas del ius prohibendi está dirigida a evitar que el doble uso de una marca idéntica o similar introduzca confusión en el mercado" (Proceso 11-IP-96, 1997, p. 34). La interpretación que hace la ompi en este sentido señala que el titular de la marca recobra su derecho de prohibir a terceros que realicen actos de uso de la marca que sean susceptibles de confundir al público consumidor sobre la verdadera procedencia empresarial del producto. Por lo anterior, en principio parece válido aceptar que el menoscabo a la reputación de una marca en la can consti-tuiría una excepción al agotamiento del derecho de marca, sin embargo, el tema no ha sido debatido por el bloque económico andino, entre otros factores porque allí no se ha desarrollado un mercado de productos de lujo y de prestigio tan ampliamente como en el mercado comunitario europeo. 8. Legislación interna y autoridad nacional competente El artículo 276 de la Decisión 486 señala que los países miembros de la can pueden regular aquellos asuntos no comprendidos en ella. El tjca, mediante interpretación prejudicial, ha concluido al respecto que los alcances de la regulación interna deben estar "inscritos en la filoso-fía y armonía jurídica que deben guardar con la norma comunitaria siempre prevaleciente" (Proceso 10-IP-94, 1995, p. 19). De esta manera, las disposiciones internas de los países miembros de la can en materia de agotamiento del derecho de marca solamente pueden reglamentar los vacíos o temas no tratados en la Decisión 486. En este sentido, en cada país andino hay una oficina nacio-nal competente y una autoridad nacional competente. La primera hace referencia al órgano administrativo encargado del registro de la propiedad industrial, mientras que la autoridad nacional competente es el órgano designado al efecto por la legislación nacional sobre la materia (Decisión 486, art. 273) Bolivia: Servicio Nacional de Propiedad Intelectual La oficina nacional competente en Bolivia es el Servicio Nacional de Propiedad Intelectual (Senapi). Fue creada por la Ley 1788 de 1997 y su misión es administrar en forma desconcentrada e integral el régimen de la propiedad intelectual en todos sus componentes (Decreto Supremo 28152, arts. 3 y 4). Para cumplir las funciones que le atribuye la ley, el Senapi cuenta con direcciones técnicas que se encargan de la evaluación y el procesamiento de las solicitudes de dere-chos de propiedad intelectual. La Dirección de Propiedad Intelectual, en particular, es la encargada de velar por el cumplimiento de las leyes, reglamentos, decretos, resolu-ciones, convenios, acuerdos internacionales y decisiones en materia de marcas y otros signos distintivos (Decreto Supremo 28152, art. 1 y 16). La ley reglamentaria de marcas, de 15 de enero de 1918, es la norma nacional que regula temas tales como los propietarios de marcas y de su registro de extinción, y las formalidades para el registro de marcas. Colombia: Superintendencia de Industria y Comercio Para Colombia, la oficina competente es la Superinten-dencia de Industria y Comercio (sic). El artículo 1.° del Decreto 2153 de 30 de diciembre de 1992 la define como "un organismo de carácter técnico, adscrito al Ministerio de Desarrollo Económico, que goza de autonomía admi-nistrativa, financiera y presupuestal". Su estructura fue reestructurada mediante el Decreto 4886 de diciembre 23 de 2011. Entre las funciones de este organismo, y que se relacionan con el agotamiento de derecho de marca, se encuentran: Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 50 51 62. Administrar el Sistema Nacional de la Propiedad Industrial y tramitar y decidir los asuntos relacionados con la misma. 63. Expedir las regulaciones que conforme a las normas supranacionales corresponden a la oficina nacional competente de propiedad industrial. 64. Impartir instrucciones en materia […] propiedad industrial […] y señalar los procedimientos para su cabal aplicación. (Decreto 4886, art.1) La legislación interna en materia de propiedad intelectual ha sido desarrollada por el Decreto 2591 de 2000, que reglamenta la Decisión 486. En este decreto se regulan, entre otros, las marcas y diseños industriales. En cuanto al agotamiento del derecho de marca, la Superintendencia no lo reglamenta en su derecho interno, por el contrario, sus conceptos y resoluciones se refieren al artículo 158 de la Decisión 486 y a las interpretaciones prejudiciales que realiza el tjca. Así, la doctrina colombiana se ha referido al agotamiento del derecho exclusivo de marca en el concepto 02007889 del 04 de abril de 2002. En especial, ha señalado que res-pecto a las importaciones paralelas: Un licenciatario con pacto de exclusividad sobre el uso de un signo puede verse eventualmente afectado con ocasión de la importación paralela y lícita por parte de terceros, de productos marcados con el signo objeto de la licencia. En este evento, tales productos en principio ingresarían al mercado local provenientes no directamente de operaciones de exportación realizadas por el licenciante, sino de operaciones de exportación realizadas por personas distintas del mismo, a partir de otros mercados donde los productos de este se encontraran. (párr. 26) Ecuador: Instituto Ecuatoriano de Propiedad Intelectual En Ecuador la oficina competente es el Instituto Ecuato-riano de Propiedad Intelectual (iepi). Creado por la Ley de Propiedad Intelectual en 1998, el iepi es "el organismo administrativo competente para propiciar, promover, fomentar, prevenir, proteger y defender, a nombre del Estado ecuatoriano, los derechos de propiedad intelectual […]" (art.3). Para cumplir las funciones asignadas, el iepi cuenta con la Dirección Nacional de Propiedad Industrial, que tiene en-tre sus funciones administrar los procesos de otorgamiento, registro o depósito, marcas, y administrar en materia de propiedad industrial los demás procesos administrativos contemplados en la ley (Ley de Propiedad Intelectual Codificada, art. 347 y 359). A diferencia de países como Colombia y Bolivia, que no hacen una trasposición a la legislación interna del agota-miento del derecho marca, Ecuador, mediante la Ley de Propiedad Intelectual, en su versión codificada, hace refe-rencia a la limitación del derecho que confiere el registro de marca para prohibir la ulterior comercialización de los productos: El derecho conferido por el registro de la marca no concede a su titular la posibilidad de prohibir el ingreso al país de productos marcados por dicho titular, su licenciatario o alguna otra persona autorizada para ello, que hubiesen sido vendidos o de otro modo introducidos lícitamente en el comercio nacional de cualquier país. (art. 219) Perú: Instituto Nacional de Defensa de la Competencia y de la Protección de la Propiedad Intelectual La oficina competente en la Republica de Perú es Instituto Nacional de Defensa de la Competencia y de la Protección de la Propiedad Intelectual (Indecopi). Creado por el Decreto Ley 25868, tiene entre sus funciones administrar el sistema de otorgamiento y protección de los derechos de propiedad intelectual en todas sus manifestaciones, conforme a lo previsto por la ley (Decreto Legislativo 1033, art. 2). El Indecopi cuenta con la Dirección de Signos Distintivos, que tiene como función, entre otras, proteger los derechos otorgados sobre marcas; así, puede otorgar, reconocer o limitar tales derechos luego de un debido procedimiento (Decreto Legislativo 1033, arts. 42 y 36). La Ley de Propiedad Industrial regula el tema referente a las marcas, así mismo, en el Decreto Legislativo 1075, de 27 de junio de 2008, se señalan disposiciones comple-mentarias a la Decisión 486, entre ellas, las relativas al registro de marcas. Sin embargo, este no hace referencia al agotamiento del derecho de marca, por lo que la legislación peruana no hace una trasposición interna del artículo 158 de la Decisión 486. 9. Conclusiones En referencia al agotamiento del derecho de marca en Su-ramérica, este ha sido desarrollado por los dos principales bloques económicos en la región: la can y el Mercosur, con el fin de fomentar el libre comercio. En este sentido, aunque las principales jurisprudencias han establecido el mismo límite al derecho de marca, han surgido diferencias respecto a su extensión y excepciones. Así pues, de los bloques económicos en Suramérica, la can es la que más ha profundizado en el tema, al imple-mentar una legislación armonizada para todos los países miembros. Frente a lo desarrollado por este bloque, son varios los puntos que hay que analizar. La primera cuestión es si el régimen adoptado por la can realmente aporta a los objetivos de fortalecimiento del mercado común, toda vez que hasta el momento estos bloques económicos no se han consolidado debido a las diferencias que afrontan sus países miembros. La can ha optado por el régimen internacional del ago-tamiento del derecho de marca y, dado que este bloque económico no ha alcanzado un alto grado de consolidación, es debatible que lo haya adoptado, puesto que el régimen comunitario brinda mayor fortalecimiento y consolidación del mercado común. En ese sentido, fomentan en mayor medida los objetivos de señalados en el ac, tales como la integración económica, la formación gradual de un mer-cado común latinoamericano, la disminución de la vulne-rabilidad externa y el mejoramiento de la posición de los países miembros en el contexto económico internacional. El agotamiento internacional, por su parte, sitúa en posi-ción de desventaja a las empresas de los países de la can frente a empresas de otros bloques económicos o países que adoptan el agotamiento comunitario o nacional. Aunque algunos autores han resaltado los efectos positivos que el agotamiento internacional tiene frente al agota-miento comunitario, no son claras las razones que llevaron al legislador andino a adoptar este régimen. Lo anterior da lugar al planteamiento de que si lo que se buscaba era fortalecer el mercado común y el libre comercio intracomu-nitario, optar por el agotamiento comunitario hubiera sido una mejor opción, en la medida en que permite proteger la economía, las inversiones nacionales o comunitarias e impulsaría el comercio entre los países miembros. Por otra parte, el tjca ha interpretado la normatividad andina del agotamiento del derecho de marca en algunos aspectos, entre ellos, lo que se entiende por introducción en el comercio, respecto del cual se contemplan los actos de comercio y no únicamente la comercialización, a diferencia del agotamiento de marca en el eee. La Decisión 486, por medio de la cual se determinan el Régimen Común sobre Propiedad Industrial en la Comu-nidad Andina y las demás normas que la rigen, solo puede ser interpretada por el tjca, ya que es el único órgano competente, de acuerdo a lo dispuesto en su tratado de creación y, sobre todo, porque con ello se asegura una apli-cación uniforme de las normas en toda la can (Concepto 02031947, 2002, párr. 5). En este sentido se entiende que la decisión es normativa o legislativa. Teniendo en cuenta lo anterior, es necesario precisar que el tjca no se ha pronunciado acerca de algunos temas específicos del artículo 158 de la Decisión 486 sobre el agotamiento del derecho de marca. Es decir, existen cues-tiones que no han sido objeto de interpretación prejudicial debido a que, hasta el momento, no se han presentado casos o situaciones que así lo requieran en este tema. Entre las cuestiones que se encuentran pendientes por aclarar se encuentra el consentimiento del titular, es decir, si este puede ser tácito o únicamente se acepta un consen-timiento expreso cuando un tercero invoca el agotamiento del derecho de marca. Por otra parte, tampoco ha aclarado si el consentimiento debe referirse a cada ejemplar del producto respecto del cual se invoca el agotamiento, aunque, al parecer, una interpretación semejante a la que hace el tjce sería la solución más viable. Ahora bien, la legislación andina considera que varios pue-den ser los casos en los que una vez agotado el derecho de marca el titular del derecho puede oponerse a su posterior comercialización. Ha manifestado que cuando los produc-tos y los envases o embalajes que estuviesen en contacto directo con ellos hubiesen sufrido alguna modificación, alteración o deterioro, el titular de la marca puede oponerse a los actos de comercio realizados por un tercero. Es decir, la modificación de los productos una vez comercializados le permite al titular del derecho invocar su ius prohibendi para impedir posteriores comercializaciones. Hasta el momento, el tjca no ha se ha referido a alteración de los productos cuando esta se sustente en la necesidad del importador para acceder a los mercados, y tampoco ha he-cho referencia a la reputación de la marca como factor que permita invocar su derecho cuando este se haya agotado. Respecto a este último, además de las consideraciones he-chas, cabe plantearse si el tjca adoptaría una interpretación similar a la que hace el ttjce para el caso específico de la comercialización de productos que gozan de una imagen de prestigio por parte de distribuidores autorizados o comer-ciantes paralelos en aquellos casos en los que la infracción Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 52 53 de las condiciones de comercialización impuestas por parte del titular de la marca producen un menoscabo de la sensación de lujo que emana de los productos. Finalmente, es necesario señalar que en la medida en que avancen en la integración del mercado comunitario andino, estas cuestiones serán desarrolladas por la legislación, ya que son necesarias para garantizar la función de la marca como instrumento para competir y para lograr el correcto funcionamiento del mercado. Referencias bibliográficas Basombrio, I. (2004). Integración andina: instituciones y derecho comunitario. Recuperado de http://www.cepal.org/brasil/ noticias/paginas/2/22962/BASOMBRIO-INTEGRA-CION% 20ANDINA-INSTITUCIONES%20Y%20 DERECHO.pdf Bercovitz, A. (2002). Apuntes de derecho mercantil (13ª ed.). Na-varra: Thomdon Reuters Aranzadi. Bercovitz, A. (2008). Concepto de marca. En Bercovitz, A. (Coord.), Comentarios a la Ley de Marcas (2ª ed.). Thom-son- Aranzadi. Callejon, M. (2001). Economía Industrial. Madrid: Civitas. Carbajo, F. (2009). La distribución selectiva y el comercio paralelo de productos de lujo. Bogotá: Grupo Editorial Ibáñez. Comisión de la Comunidad Andina. (14 de septiembre de 2000). Decisión 486. Recuperado de http://www.comunidadan-dina. org/Normativa.aspx?GruDoc=07 Comisión de la Comunidad Andina. (25 de junio de 2003). Decisión 563. Recuperado de http://www.sice.oas.org/ trade/JUNAC/Decisiones/DEC563S.asp#ACart1 Comisión del Mercado Único y Asuntos Jurídicos. (2001). Audición sobre el agotamiento de los derechos conferidos a las marcas registradas. Recuperado de http://www.europarl. europa.eu/meetdocs/committees/juri/20010410-hearin-g/ 4-ontribution-BeteluBazu-ES.doc Comité Económico y Social Europeo. (2001). Dictamen del Comité Económico y Social sobre el tema "El agotamiento de los derechos conferidos por la marca registrada". Recuperado de http://eur-lex.europa.eu/legal-content/ES/TXT/ PDF/?uri=CELEX:52001IE0042&from=ES Comunidad Andina. (2004). III Cumbre Presidencial Sudamerica-na Declaración del Cusco sobre la Comunidad Sudamericana de Naciones. Recuperada de http://intranet.comunidadan-dina. org/Documentos/DInformativos/SGdi693.doc Congreso Nacional de la República de Ecuador, Comisión de Le-gislación y Codificación. (2006). Codificación de la Ley de Propiedad Intelectual Codificación 2006-013. Recuperado de http://www.wipo.int/edocs/lexdocs/laws/es/ec/ec031es.pdf Consejo Presidencial Andino. (1990). Acta de la paz. Recuperado de http://www.comunidadandina.org/documentos/actas/ act30-11-90.htm Declaración de Guadalajara: Cumbre de América Latina, el Caribe y la Unión Europea. 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Laila Katrina del Pilar Rojas Santana, págs 40 - 55

O presente estudo trata a problemática da definição, por parte do direito fiscal, da base tributável e do procedimento da sua determinação na tributação do lucro empresarial. Constitui um dado de história do directo positivo que, na generalidade dos ordenamentos jurídicos, e desde os primórdios da tributação sobre o lucro mercantil, o direito tributário utilizou a contabilidade mercantil como um instrumento para o procedimento de determinação do rendimento a gravar. No entanto, apesar de uma aparente progressão na direcção de uma apregoada autonomia do procedimento de determinação do lucro tributável, que prossiga os seus fins de modo independente da contabilidade elaborada para fins mercantis e que ao mesmo tempo não pretenda exercer influência sobre a mesma; apesar do amplo debate travado em torno da possibilidade de uma desconexão entre lucro tributável e resultado contabilístico, até ao momento presente nenhum ordenamento, de entre os que comparamos neste estudo, logrou alcançar esta separação. Parece, pois, existir uma impossibilidade de cindir as duas entidades, como se a entidade rendimento tributável não pudesse ter uma realidade autónoma, ou como se se tratasse de uma realidade que não pode tomar consistência sem se concretizar como uma projecção da contabilidade mercantil. No entanto, do ponto de vista da técnica legislativa, o direito fiscal sempre estabeleceu uma relação ambígua com a contabilidade mercantil, não definindo nunca com suficiente precisão e em termos verbalmente claros, como se realiza, em que planos e com que limites se produz, a relação com a contabilidade mercantil. A necessidade de uma tal definição afigura-se inquestionável, uma vez que a contabilidade mercantil é uma realidade jurídica totalmente desenvolvida dentro de um ramo do ordenamento jurídico – o direito mercantil – diferente do direito tributário, que além o mais se caracteriza por ser um ramo do direito privado, prosseguindo, por tanto, fins totalmente distintos dos fins da tributação e regendo-se por uns princípios próprios, que fixam as suas raízes não direito civil e que, por conseguinte, não podem coincidir com os princípios do direito tributário. Poderia pensar-se que a questão se reconduz simplesmente, em última análise, à clássica problemática, situada não plano da interpretação e da aplicação das normas, da dependência ou independência qualificadora das normas tributárias perante os outros ramos do direito, e em particular o direito civil. Se assim fosse, a questão da relação entre a determinação do rendimento tributável e a contabilidade mercantil resolver-se-ia numa alternativa a dirimir pelo legislador: ou o direito tributário se serviria do conceito de lucro elaborado pelo direito civil com um carácter auxiliar, e então haveria que acudir ao substratum económico que constitui o objecto da imposição; ou, para se ligar à forma jurídica que a quantificação do lucro reveste não direito mercantil, aceita o conceito de lucro elaborado pelo direito civil. Sem prejuízo de que a problemática referida represente uma parte importante da questão sobre a qual se debruça este estudo, parece também, pelo menos a partir duma perspectiva apriorística, que não pode esgotar-se nesta mesma problemática a questão da relação entre a determinação do lucro tributável e a contabilidade mercantil. Pois quando, em relação à problemática da dependência ou independência qualificadora do direito tributário, se refere a ligação que o direito tributário estabelece, ou não estabelece, com uma "determinada forma jurídica" oriunda do direito civil, por "forma jurídica" pretende-se significar ainda um topos jurídico, um tipo abstracto do qual se serve a norma civil para classificar uma relação jurídica. Assim, quando a situação de facto à qual se vincula o imposto, reveste a forma de uma relação jurídica, a questão que se colocará, desde a perspectiva da dependência o independência qualificadora do direito tributário, é a de saber se essa relação jurídica deve valorar-se, isto é, deve "definir-se e classificar-se", com base na disposição legal de direito privado que enuncia o tipo abstracto, dando-lhe um nome próprio, fixando os seus aspectos essenciais e a sua regulação jurídica. Transposto para o campo específico do nosso tema de análise, o legislador fiscal estaria perante a seguinte alternativa: ou estabeleceria que o que constitui lucro para o direito mercantil, é também lucro para o direito fiscal; ou optaria por estabelecer uma qualificação própria da situação de facto "lucro". No entanto, com não pouca frequência, o direito tributário não opta por nenhuma destas hipóteses. Com efeito, mesmo nos casos em que o direito fiscal assume explicitamente a opção de uma qualificação autónoma do conceito de rendimento, que em aspectos pontuais pode divergir substancialmente do conceito mercantil, nunca deixa de estabelecer uma conexão entre a qualificação concreta que se realiza no direito tributário, e a qualificação concreta que para a mesma situação tenha sido realizada no direito mercantil. Isto para já não referir que, também em frequentes ocasiões, o direito fiscal se avoca a função de substituir-se ao direito mercantil, tanto na formulação do tipo abstracto "lucro", como na definição de alguns aspectos da sua regulação jurídica para efeitos privados. Afigura-se assim, que a questão da relação entre a determinação do lucro tributável e a contabilidade mercantil, dentro da problemática clássica da relação entre o direito tributário e os restantes ramos do direito, representará pelo menos um caso com bastantes peculiaridades. Um segundo dado histórico que se recolhe da evolução legislativa da tributação dor entendimento é que, em nenhum caso, esta relação entre o direito tributário e a contabilidade mercantil se mostrou isenta de problemas na interpretação e aplicação do direito, resultando deste facto consequências funestas, que perduram na actualidade tanto n plano da segurança jurídica como no plano mais pragmático dum acatamento pacífico das leis fiscais por parte dos contribuintes. Ao longo de toda a evolução da história da imposição sobre o rendimento, esta relação estabeleceu-se através de diversas formas e com vários graus e efeitos jurídicos. Nos ordenamentos continentais, de um modo geral – como em Espanha, desde a "Contribuição sobre os rendimentos da riqueza mobiliária" de 1900, o na Alemanha, desde as leis impositivas de Bremem e Saxónia de 1874 – esta relação instrumental foi formalmente estabelecida na legislação fiscal, ainda que por meio de umas fórmulas verbais de escassa precisão. Noutros ordenamentos, como o britânico, a mesma relação estabeleceu-se também, desde o início da imposição, de modo implícito, tendo sido sancionada tanto pela prática administrativa como pela jurisprudência. Noutros ordenamentos, como o francês ou o norte-americano, nos quais podemos constatar, desde cedo, a existência de uma base legislativa formulada com uma extrema imprecisão, coube à jurisprudência o papel decisivo na delimitação da aludida relação. Mas a jurisprudência destes países mostra-se ela mesma demasiado oscilante, para se poder extrair a partir desta fonte do direito uma delimitação precisa das relações entre os dois mencionados sectores do direito. A indefinição é, portanto, o traço que caracteriza a relação entre a determinação da base tributável e a contabilidade mercantil, na generalidade dos ordenamentos jurídicos e ao longo de toda a história da tributação do rendimento, até à actualidade. Esta relação da determinação da base tributável com a contabilidade mercantil, que não é uma relação simples mas que reveste múltiplos aspectos muito distintos, deve ser vista como um elemento da definição da obrigação tributária. Um elemento, aliás, de uma relevância especial, já que não só forma a pedra angular da definição da base tributável normativa, como influi decisivamente na quantificação da base tributável factual; e como se isto não fosse bastante, produzem-se ainda efeitos secundários da máxima relevância no âmbito de umas relações jurídicas situadas noutro sector do ordenamento jurídico, relações estas que não têm nenhuma conexão com a relação tributária. Referimo-nos às relações de direito mercantil, as quais se estabelecem entre o ente sujeito passivo do imposto, ao mesmo tempo com os titulares do capital social e com todos os terceiros interessados na prestação de contas mercantis. Do que dissemos anteriormente resulta, por força do princípio de legalidade da tributação, que a relação que se estabelece entre a determinação da base tributável e a contabilidade mercantil é uma questão que não pode ser deixada nas mãos de uma definição regulamentaria arbitraria ou de uma actuação discricionária por parte da administração tributária. A relação da qual nos ocupamos tem, pois, que ser estabelecida por lei, e além disto, em virtude da necessidade de certeza sem a qual o princípio de legalidade não se dá por satisfeito, tem que ser estabelecida mediante uma fórmula verbal dotada da precisão necessária para que poda considerar-se cumprido o requisito de uma definição legal dos elementos essenciais do pressuposto de facto tributário. No tem sido esta a situação legislativa existente em nenhum dos ordenamentos estudados se consideramos a maior parte da história da imposição sobre o rendimento do capital e, mesmo no momento actual, a situação legislativa vigente, na generalidade de estes ordenamentos, está longe de satisfazer os requisitos mencionados, com o rigor que a importância da questão exigiria. As leis tributárias nunca estabeleceram de modo claro e preciso, nenhum dos vários aspectos da relação entre a determinação da base tributável e a contabilidade mercantil. Nunca definiram a extensão com que se operava uma recepção das normas de direito mercantil reguladoras da contabilidade, através de uma definição correcta e rigorosa das fontes de direito mercantil abrangidas por esta recepção; não se definiu com rigor, si as normas valorativas especiais que o direito fiscal foi desenvolvendo, por vezes numa posição de antinomia e em outras ocasiões inclusivamente de concurso com as normas mercantis, tinham o seu âmbito de aplicação estritamente limitado ao cálculo da base tributável, ou se, pelo contrário, uma aplicação dessas normas também na elaboração dos estados financeiros mercantis, era uma condição para que um balanço mercantil pudesse ser considerado "correcto", de forma a excluir a possibilidade de um procedimento de liquidação sintética ou objectiva da base tributável, com a consequente redução da segurança jurídica para a posição do contribuinte na relação tributária; não se definiu se o contribuinte, tendo em conta os fins específicos da obrigação contabilística mercantil, distintos dos fins específicos da obrigação contabilística no âmbito da relação tributária, tinha o direito de realizar valorações distintas, com a observância das normas aplicáveis, no quadro dessas duas obrigações. Compreende-se assim, que esta relação entre o direito tributário e a contabilidade mercantil, desde os primórdios da imposição sobre o rendimento, tenha constituído uma fonte de problemas na interpretação e na aplicação do direito, com repercussões gravemente lesivas dos direitos do contribuinte. Podemos dizer, de modo genérico, que estes problemas decorrem da dificuldade que o direito tem em definir o que seja lucro, dificuldade esta que, por sua vez, não é mais do que um reflexo particular da dificuldade que a ciência económica tem para definir rendimento – aplicado o conceito de rendimento, neste caso, ao rendimento do capital – ou para definir um conceito de rendimento suficientemente analítico para que o cálculo da do rendimento, para qualquer dos fins do direito, possa ser regulado mediante umas normas jurídicas suficientemente precisas e seguras. Deste modo, poder-se-á também dizer que, reduzido à sua expressão mais simples, o problema da determinação da base tributável nos impostos sobre o rendimento do capital não nada mais do que o problema da definição de um conceito jurídico de rendimento. As fundações de um conceito jurídico de rendimento têm que ser procuradas no direito mercantil, já que este foi o ramo do direito que primeiramente se ocupou da obrigação de prestação de contas e de uma quantificação do lucro. Com efeito, como melhor se verá através da descrição que faremos de um conjunto de ordenamentos no I Capítulo, no dobrar da primeira metade do séc. XIX, em praticamente todos os ordenamentos estudados já se encontrava estabelecida a obrigação de prestação de contas e, de modo mais o menos expresso, a de quantificar o lucro, por força da necessidade de medir os dividendos que pudessem ser distribuídos aos titulares do capital societário. Ao passo que uma tributação do rendimento baseada em métodos de determinação directa do rendimento a gravar, se é certo que foi sendo introduzida gradualmente a partir de finais do séc. XIX, só se generalizou já em pleno séc. XX. Era, portanto, natural e inevitável, que o direito fiscal, desde estes primórdios, fizesse repousar a determinação do lucro tributável sobre os mecanismos do direito mercantil, a respeito tanto dos aspectos materiais da elaboração das contas como dos aspectos da sua aprovação. Assim, o direito fiscal viria a estabelecer uma relação, simultaneamente, com as normas que regulam materialmente o balanço mercantil e com o balanço mercantil concreto aprovado pelos sócios. Todavia, usualmente e na generalidade dos ordenamentos, o próprio direito mercantil também não adopta uma definição acabada de lucro, se por uma definição acabada entendemos um conceito que ofereça um grau razoável de segurança jurídica, isto é, um conceito que os distintos intérpretes do direito, seja no âmbito de uma relação mercantil ou de uma relação tributária, munidos apenas da metodologia jurídica, possam aplicar de um modo razoavelmente uniforme. De facto, constatamos que a lei mercantil, nos distintos ordenamentos, além de estabelecer alguns princípios muito gerais sobre a quantificação do lucro, incide sobretudo na regulação do processo através do qual se aprovam e se publicitam as contas empresariais, de modo que os interessados mais directos disponham dos meios necessários para exercer um controlo sobre aquelas contas. Desta maneira, a aprovação das contas empresariais torna-se fundamentalmente um acto que se diria, de certa forma, quase contratual, indubitavelmente de carácter privatístico, através do qual se logra uma composição equitativa do conjunto dos interesses emergentes das distintas relações mercantis. Assim, o legislador mercantil como que renuncia a delimitar precisamente o conceito de lucro porque confia em que o jogo dos interesses privados garantirá que o balanço empresarial traduza a imagem "verdadeira e justa" da situação patrimonial da empresa. Neste contexto, os princípios jurídicos contabilísticos do direito mercantil formam umas balizas bastante largas dentro das quais se pode mover este processo inter partes de aprovação do balanço. Assim, por exemplo, a lei mercantil estabelece usualmente o princípio da conservação o integridade do capital social. Mas normalmente não fornece regras suficientemente precisas sobre o que se deverá qualificar como capital o sobre como medir o capital. Cai nesta margem de indefinição, por exemplo, todo o problema da valoração dos intangíveis; ou o problema da capitalização dos investimentos em investigação e desenvolvimento versus dedução dos mesmos investimentos como gastos correntes; ou, mais simplesmente, o problema da valoração das perdas de utilidade económica por parte dos elementos do activo imobilizado. Este carácter indeterminado dos critérios jurídicos de valoração no âmbito do direito mercantil não significa que o direito se desinteresse e prive de uma tutela jurídica as questões de valoração que se situem dentro deste campo de indeterminação. O legislador mercantil considera, sim, que para a resolução dos distintos casos concretos, deve estabelecer uma margem de livre apreciação que é deixada nas mãos de quem aplica o direito. No entanto, uma vez que esta livre apreciação, em virtude da natureza peculiar da matéria à qual se refere – a valoração financeira – requer a ajuda de conhecimentos científicos específicos da ciência financeira, o direito mercantil estabelece um mecanismo jurídico que possibilita a intervenção, no acto jurídico de prestação das contas societárias, de umas entidades – os contabilistas e os auditores de contas – detentores de um conhecimento técnico especializado no tema da quantificação do património empresarial. Os contabilistas e auditores desempenham, pois, no processo jurídico que conduz à aprovação do balanço mercantil, o papel de aplicar o direito, tomando decisões valorativas dentro de margens de indeterminação deixadas pela lei, mediante a aplicação de critérios provenientes da ciência financeira. Até um certo ponto, podemos compará-lo ao papel que têm os notários na concepção e formalização dos contratos e outros negócios jurídicos, que o direito vê como demasiado complexos para que as solas partes interessadas possam por si sós, regular adequadamente os seus interesses. Têm, como estes, um conhecimento especializado e encontram-se providos, além disso, de fé pública. Mas enquanto a elaboração de um contrato é uma actividade totalmente normativa, já a elaboração do balanço se, por um lado, é também um acto mediante o qual se realiza uma composição equitativa de um conjunto de interesses privados, por outro lado, está vinculada à finalidade jurídica de traduzir em números, com veracidade, uma realidade económica, o que faz com que a sua actividade seja também, em parte, de natureza especulativa. Ao contabilista ou auditor pede-se, por tanto, que exerça a sua actividade com uma imparcialidade e uma objectividade que estejam acima dos interesses das partes nas relações jurídicas nas quais que se insere a prestação de contas. Mas enquanto estas entidades dispõem dos conhecimentos técnicos necessários para realizar a tarefa que lhes é pedida e estão, inclusivamente, dotados de fé pública, tudo isto não é suficiente para garantir a imparcialidade e a correcção das suas declarações. Surge assim o terceiro elemento no qual assenta o esquema do direito mercantil para garantir a verdade na quantificação do património das empresas, e este é uma regulamentação da actividade dos contadores e auditores, o seja a definição de um conjunto de pautas valorativas que uniformizam os critérios nos qual são os contadores e os auditores baseiam as suas apreciações. Estes critérios, podemos dizer, realizam a "fixação de uma dimensão quantitativa para a delimitação" das normas de indeterminadas estabelecidas pelo direito mercantil. De tudo o que dissemos anteriormente, podemos concluir que o direito contabilístico mercantil tem duas características que são da máxima importância para a relação que se estabelece entre a determinação da base tributável e a contabilidade mercantil. Uma é que esta regulação se caracteriza pela a presença de um largo número de normas com um alto grau de indeterminação; outra é que, para preencher a margem de livre apreciação que resulta da indeterminação da normas mercantis, o direito mercantil necessita de uns conhecimentos técnicos específicos da ciência financeira, e para esse efeito remete para a disciplina específica da actividade profissional dos contabilistas e auditores. Por seu turno, a regulação profissional contabilística é um fenómeno poliforme, o que o torna de difícil caracterização. Dentro dessa regulação existem normas que possuem a estrutura de princípios generais, a par de normas extremamente detalhadas. Existem verdadeiras normas jurídicas, a par de meras "recomendações". Perante esta situação normativa, a fim de salvar o princípio de imperatividad no qual assenta todo o sistema de regulação do balanço mercantil, o direito mercantil consagra, como um princípio fundamental director da actuação do confeccionador do balanço, o princípio da imagem verdadeira e justa que é, não obstante, o mais indeterminado de todos os conceitos jurídicos da regulação contabilística. O direito fiscal, ao fazer repousar a regulação do cálculo do rendimento tributável no direito contabilístico mercantil, realiza uma remissão normativa para todo esse complicado sistema de fontes de normas. Ora, se com a ajuda dos distintos mecanismos mencionados, o direito mercantil consegue realizar uma tutela relativamente eficaz dos interesses conexos com a prestação de contas mercantil, já no campo tributário, a generalidade da doutrina entende que os fins da tributação não podem alcançar uma realização satisfatória, si o legislador fiscal deixa àquele sistema de fontes a regulação da quantificação do rendimento tributável. São fundamentalmente de duas ordens os motivos avançados pela doutrina, para explicar a razão da inadequação do direito contabilístico mercantil aos fins da tributação. Segundo uma concepção amplamente difundida, o problema residiria nos diferentes fins que presidem à obrigação contabilística mercantil, e mais concretamente à obrigação de apresentar e demonstrar a quantificação do património e dos resultados, e à obrigação de quantificação do rendimento para efeitos fiscais. Embora resulte evidente que as duas obrigações têm finalidades distintas, também é certo que, nos dois casos, o balanço constitui unicamente um meio para alcançar aqueles fins e faltaria demonstrar que o mesmo balanço, preparado de acordo com as mesmas normas, não poderia satisfizer os fins de ambas as obrigações. A maior parte da doutrina prefere explicar a inadequação do direito contabilístico mercantil para a quantificação do rendimento tributável, a partir da inadequação das características próprias deste sistema normativo para satisfazer alguns dos princípios materiais de justiça tributária. O acentuado carácter de indeterminação das normas contabilísticas mercantis, violaria os princípios constitucionais de tipicidade, como expressão do princípio mais amplo de segurança jurídica, de igualdade na tributação – na medida em que se permitiria ao contribuinte decidir sobre a medida da sua capacidade económica - e de eficiência na tributação – na a medida em que a indeterminação das normas contabilísticas seria altamente propicia à elusão fiscal. A fim de solucionar estes problemas, o direito fiscal optou, em todos os ordenamentos estudados, por desenvolver uma regulação própria aplicável à quantificação do rendimento tributável. Mas fá-lo no quadro da remissão para o direito mercantil, o que implica que, para a quantificação do rendimento tributável, se disponha de dos corpos de normas formalmente separados, as normas formalmente inseridas no direito mercantil e as normas formalmente inseridas no direito tributário. Neste contexto, a quantificação da base tributável implica, por parte daquele que aplica o direito, a necessidade de definir a relação que se estabelece entre estes dois corpos de normas. Para uma concepção doutrinal, que tem que ser enquadrada num dado momento histórico, mas que teve uma ampla repercussão inclusivamente no plano legislativo em vários ordenamentos, as normas fiscais teriam uma função integradora da regulação mercantil, na a medida em que o seu objectivo seria transformar as normas indeterminadas do direito mercantil em normas precisas que oferecessem segurança jurídica. Esta concepção, atractiva na sua lógica formal, assentava na ideia – em si mesma uma fonte de complexos problemas - de que as normas valorativas do direito tributário se aplicariam, não só para a determinação do rendimento tributável, mas também para o próprio balanço mercantil. Observamos anteriormente que esta concepção deve ser considerada dentro de um determinado contexto histórico. Com efeito, se consideramos a relação existente entre o direito tributário e o direito mercantil (a propósito da questão específica da determinação do rendimento) numa perspectiva evolutiva, podemos distinguir uma primeira fase histórica, na qual o direito tributário ainda não tinha desenvolvido uma regulação própria para a valoração contabilística. Nesta fase, que podemos situar nos primeiros três a quatro decénios do sec. XX, vigorava em todos os ordenamentos estudados um sistema de balanço único, que devia ser elaborado de acordo com os princípios gerais de contabilidade e com os usos da contabilidade mercantil. Os amplos poderes conferidos à administração fiscal, no âmbito do procedimento de verificação, conduziriam a que, na realidade, os critérios fiscais se impusessem para a elaboração do balanço mercantil, que deveria servir de base ao cálculo da base tributável. A fase seguinte caracterizou-se pelo desenvolvimento de uma regulação fiscal sobre a quantificação do rendimento e, por sua vez, pela concepção de que esta regulação fiscal se aplicaria também, em geral, ao balanço mercantil. Esta concepção das normas fiscais como normas integradoras da regulação mercantil, explica a relação entre os dois sectores normativos, no pressuposto de que as normas fiscais são unicamente um desenvolvimento das normas mercantis. A referida concepção assenta, portanto, na premissa de que não existe uma antinomia material entre as normas mercantis e as normas fiscais. Não obstante, como resulta patente a partir da jurisprudência de alguns dos sistemas estudados, esta premissa não é verdadeira, já que as normas fiscais estão muitas vezes em contradição com os princípios valorativos do direito mercantil. Em Itália, os tribunais chegaram ao ponto de declarar a invalidade do balanço mercantil aprovado de acordo com as normas mercantis em numerosos casos. De facto, foi a falta de uma definição clara, por parte do legislador fiscal, das relações normativas entre a determinação do rendimento tributável e o balanço mercantil, desde que se consagrou formalmente uma conexão entre os dois actos jurídicos, o factor que provocou uma evolução dos dois sectores de regulação num sentido divergente. Originariamente, a conexão entre a determinação do rendimento tributável e o balanço mercantil estabeleceu-se num contexto de uma fraca regulação legislativa da contabilidade material. Além disso, a adesão do direito fiscal a um conceito de lucro oriundo do direito mercantil, baseado na teoria do balanço e no critério da competência económica, foi inicialmente recebida como uma conquista por parte dos interesses privados perante o fisco – ou do direito privado perante o direito tributário – já que significava, em aparência, uma submissão do procedimento de determinação da base tributável ao direito civil, "forma ancestral de protecção da liberdade e do património individuais". No entanto, uma conexão estabelecida em abstracto, entre a determinação do rendimento tributável e a contabilidade mercantil pode ser alcançada por duas vias, sendo, uma delas, aquela em a que as normas tributárias se adaptam ou deixam influenciar pelo direito mercantil, e outra, aquela em que o direito mercantil se submete às normas tributárias. Na falta de uma definição precisa das relações entre os dois sectores de regulação, as possibilidades de formas em que se pode exercer esta influencia recíproca são praticamente infinitas. Deste modo, o que sucedeu foi uma reacção defensiva por parte de cada um dos dois sectores do ordenamento perante o outro, reacção esta que originaria uma intensificação da regulação legal por parte dos dois sectores, o mercantil e o tributário, cada um tentando fortificar-se contra o segundo. Este fenómeno produziu efeitos positivos, como um aumento da segurança jurídica em alguns aspectos da valoração. O direito mercantil, pelo seu lado, levou a cabo um esforço de transformação de um conjunto de princípios não escritos e de usos em normas de carácter legal, o que implicou a construção de todo um sistema coerente de normas valorativas por parte da ciência financeira, e a supressão do sistema anterior, em boa medida assente no puro arbítrio e na ausência de verdadeiros critérios científicos. Um esforço correspondente foi desenvolvido pelo lado do direito fiscal, no sentido de consagrar legalmente um conjunto de critérios valorativos próprios que haviam começado por ser aplicados na prática administrativa. Num plano substantivo, não se pode afirmar que os dois sectores tenham divergido significativamente. Pelo contrário, observou-se uma tendência ao longo dos últimos lustres, na generalidade dos ordenamentos, para uma aproximação do direito tributário aos conceitos e princípios fundamentais que o direito mercantil utiliza para regular o balanço mercantil. Mas o direito mercantil desenvolveu uma regulação assente num princípio fundamental de livre apreciação por parte do redactor do balanço, que pode chegar ao ponto de impor o afastamento das normas valorativas legais nos casos nos que estas não se mostrem adequadas para traduzir a "verdade do balanço", enquanto o direito tributário desenvolveu uma regulação assente na estandardização dos juízos valorativos. A partir de um dado momento – que podemos situar, para a generalidade dos países, entre os anos sessenta e setenta – os mercantilistas começam a chamar a atenção para o facto de que, na realidade, as normas fiscais não podem considerar-se sempre como um desenvolvimento das normas mercantis, mas que, pelo contrário, em muitos casos se constata uma antinomia entre as duas classes de normas, gerando-se neste caso uma situação de conflito. Dentro do quadro dos princípios comuns sobre a interpretação e a aplicação das normas jurídicas, a situação solucionar-se-ia outorgando às normas fiscais o carácter de normas, já não integradoras, mas sim especiais, em relação ao direito mercantil. Esta é a concepção defendida na actualidade pela maior parte da doutrina, sobre a relação entre as normas fiscais e as normas mercantis. É igualmente a concepção que vemos impor-se progressivamente nas legislações dos diversos países, mas a evolução legislativa neste sentido tem sido lenta e difícil. Obviamente, a concepção das normas fiscais como normas especiais pressupõe a existência de um campo especial para a aplicação destas normas, ou, simetricamente, supõe a existência de um conjunto de situações às quais se aplicam as normas gerais. No entanto, o direito fiscal – sendo que este é um segundo aspecto da relação normativa entre a determinação do rendimento tributável e a contabilidade mercantil – estabelece o princípio do balanço único, isto é, o princípio de que o balanço que serve de base ao cálculo da base tributável é o próprio balanço mercantil. Este princípio pode não se encontrar – e de facto na maior parte dos casos não se encontra ou não se encontrou no passado – expresso na lei. Mas o direito fiscal, ao estabelecer um procedimento de estimação directa do rendimento tributável, prevê que este procedimento tome como base o balanço mercantil, unicamente quando o mesmo balanço se apresente "correctamente elaborado e conforme com as normas legais aplicáveis". Sempre que esta condição não se verifique, este facto preclude o direito do contribuinte à determinação directa e a administração passa a estar facultada para proceder a uma determinação sintética ou objectiva. Perante esta norma, e na falta de uma definição do carácter especial das normas fiscais, que defina com precisão o âmbito de aplicação das mesmas, a elaboração do balanço mercantil de acordo com o direito tributário aparece como uma condição prática, ainda que não normativa, para a aplicação do procedimento de determinação directa. Mais recentemente, o direito fiscal começou a dar uma consagração expressa ao princípio do balanço único, que mencionamos anteriormente. Em coerência com este princípio, a norma fiscal estabelece que determinadas valorações, sobretudo as mais favoráveis ao contribuinte, não podem ser admitidas no plano fiscal sem que tenham sido previamente incluídas no balanço mercantil. A consequência deste requisito legal, consistirá em que as normas fiscais se apliquem também, a final, ao balanço mercantil. Esta situação é a que se verifica na actualidade ou se verificou em todos os países estudados. Quando este efeito de "dependência inversa" se produz, o mesmo implica uma interferência do direito fiscal sobre a esfera das relações de direito privado do contribuinte, com a consequente restrição da sua liberdade de actuação. Vemos assim como a falta de unas normas jurídicas precisas, expressas mediante unas fórmulas verbais perfeitamente claras, que regulem a complexa relação entre a determinação do rendimento proveniente do capital, a efeitos de tributação, e a contabilidade mercantil, pode ser uma causa, e é-o em muitas ocasiones, de uma violação não só dos princípios materiais de justiça tributária, mas também de princípios constitucionais comuns, como o princípio de segurança jurídica ou o princípio de liberdade de actuação nas relações de direito privado. Sobre os problemas expostos cabe observar que, apesar das importantes diferencias que encontramos no plano das fórmulas concretas utilizadas nos diversos ordenamentos, que tais problemas têm a particularidade de se estender à generalidade dos países nos quais existe tributação do lucro empresarial, e isto tanto no que se refere aos países pertencentes ao sistema de common law, como aos que se agregam no subsistema romanístico. Esse facto fica a dever-se a que os distintos ordenamentos, no que respeita à determinação do lucro – talvez com uma maior intensidade que noutros sectores do Direito, por ser este um campo especialmente agreste para a ciência jurídica – evoluíram numa profunda interacção, em resultado da qual não só algumas soluções legislativas se foram reproduzindo, mas que também muitos dos erros e deficiências de uns sistemas se foram propagando aos restantes. Estas circunstancias determinaram que, na actualidade, nos problemas de interpretação e aplicação do direito que deixamos mencionados, seja possível encontrar um conjunto de aspectos estruturais comuns, e que por este motivo, seja possível e desejável fixar alguns conceitos com uma validade geral, que possam servir para a construção de uma teoria para a interpretação das disposições legais que em cada ordenamento se apresentam ao intérprete do direito. Por estes motivos, entendemos que seria útil começar a nossa indagação por realizar um estudo do tema no direito comparado. Elegemos para este efeito seis ordenamentos muito diversos, mas que mantêm entre si conexões muito estreitas. Consideramos que muitas das soluções que existem ou existiram em cada um dos referidos ordenamentos só podem ser plenamente compreendidas quando se descobrem as fontes de inspiração do legislador, e quantas vezes esta fonte se situa num debate doutrinal ou numa teoria que se desenvolveu noutro ordenamento. Além disso, a comparação entre os distintos ordenamentos permite situar as várias soluções que foram sendo adoptadas pelo legislador o pela jurisprudência no seu contexto histórico, e compreender que em muitas ocasiões estas soluções foram ditadas por condicionamentos externos à ciência do direito, como o desenvolvimento verificado no âmbito das teorias financeiras ou até na evolução do contexto das actividades económicas. O nosso estudo de direito comparado começa com uma descrição dos diversos ordenamentos. Para cada ordenamento, procuramos explicitar as normas jurídicas efectivamente vigentes, o que desde logo pressupõe levar a nossa indagação muito para além das simples disposições da lei. De facto, nesta problemática como em muitos outros campos do direito mas talvez aqui com uma especial notoriedade, as normas jurídicas só podem ser captadas na sua integridade se tivermos em conta todo um conjunto de aspectos conexos com a aplicação do direito. Entre estes aspectos destacam-se a jurisprudência e a própria doutrina, assim como a própria evolução legislativa que é quase sempre um reflexo das duas primeiras. A partir desta primeira descrição, podemos constatar que, apesar de que os problemas que se deparam, a propósito da interpretação e da aplicação do direito, são muito similares nos vários ordenamentos, as teorias que a ciência do direito propõe para explicar a relação normativa entre a determinação do lucro tributável e a contabilidade mercantil apresentam uma acentuada diversidade quanto aos conceitos que utilizam. Assim, a tarefa de comparar as normas existentes nos distintos ordenamentos resulta dificultada, pelo facto de não se dispor de uma linguagem comum, isto é, de uns conceitos gerais que se refiram àquelas normas e que, traduzindo as suas características essenciais, permitam agrupá-las o diferenciá-las, conforme o caso. Atentas estas razões, procuramos desenvolver, no segundo capítulo, fundamentos para uma teoria geral a propósito da relação que se estabelece entre a determinação da base tributável e a contabilidade mercantil. Consideramos que esta teoria deve assentar em três grandes problemas. O primeiro refere-se ao modo como se regula materialmente o cálculo do rendimento a gravar. Fundamentalmente, analisamos o problema da recepção, por parte do direito mercantil, das normas contabilísticas mercantis. Fazemo-lo sempre a partir de um enfoque geral, isto é, comum a todos os ordenamentos, razão pela qual deixamos de parte problemas específicos do sistema de fontes de cada ordenamento como, por exemplo, o problema, amplamente tratado na doutrina espanhola, do valor jurídico das resoluções do Instituto de Contabilidade e Auditoria de Contas. Além disto, analisamos a delicada questão do papel das normas contabilísticas de carácter técnico, o mesmo é dizer enunciadas pela a doutrina financeira, para a interpretação e a aplicação do direito. O segundo grande problema por nós considerado estrutural nesta problemática é o que se refere à relevância que tem para o cálculo da base tributável, o balanço mercantil concreto. Como procuramos demonstrar, uma regulação da relação entre a determinação da base tributável e a contabilidade mercantil que satisfaça os princípios materiais de justiça tributária, e concretamente de segurança jurídica, implica uma rigorosa separação deste aspecto, em relação à questão precedente. Este aspecto deve, por sua vez, ser dividido em duas importantes vertentes, que o legislador até à actualidade não conseguiu distinguir. São eles a vinculação do contribuinte às valorações que tenha realizado no seu balanço mercantil, e a vinculação da administração às mesmas valorações, no procedimento de verificação. Um terceiro problema é o que se refere à debatida questão da interferência das normas valorativas do direito fiscal na regulação ou na prática da elaboração do balanço mercantil. Este é o problema que tratamos no ponto quinto do segundo capítulo, sob o conceito de "dependência inversa". Finalmente, no ponto sexto do segundo capítulo, culminando a investigação levada a cabo ao longo do trabalho, realizamos uma síntese comparativa dos seis ordenamentos descritos no primeiro capítulo. Para esta síntese comparativa, começamos por demonstrar que as classificações tradicionais, baseadas no conceito de dependência, não fornecem um quadro conceptual operativo para uma distinção dos vários sistemas estudados. Um primeiro motivo da insuficiência da teoria da dependência, formulada nos termos descritos, para descrever e permitir realçar as diferenças entre os vários sistemas, reside no facto de que coloca um ênfase excessivo num aspecto procedimental, consistente em tomar o balanço mercantil como ponto de partida para o cálculo da base tributável, à qual se chega seguidamente mediante um mecanismo de correcção extracontabilística. Este aspecto procedimental, que existe na generalidade dos ordenamentos, resultou de uma prática administrativa, adoptada desde o início da tributação dos lucros empresariais, por razões de simplicidade. Mas nesta época, tanto nos ordenamentos continentais como nos ordenamentos anglo-americanos, não existia uma regulação do cálculo da base tributável formalmente separada da disciplina do balanço mercantil. Mesmo nos casos em que o legislador começou por adoptar o método de "caixa" (EEUU) ou o conceito de rendimento-acréscimo do direito mercantil, pudemos observar como esta divergência se manteve apenas por um curto período, pois o sistema, pressupondo a conservação de duas formas de quantificação do rendimento totalmente distintas, tornava-se demasiado oneroso, tanto para a administração como para os contribuintes, o que levou a uma recepção dos métodos e conceitos mercantis por parte do direito tributário. Neste contexto, o expedicente prático de calcular a base tributável a partir do balanço mercantil não apresentava dificuldades maiores. No entanto, a sitação que existe na actualidade é bastante distintas. Em praticamente todos os ordenamentos, o direito fiscal desenvolveu uma regulação específica que alcançou no momento actual uma apreciável densidade. Esta regulação específica não assenta num conceito de rendimento distinto, nos seus fundamentos, do que existe no direito mercantil. Pelo contrário, os conceitos de rendimento do direito mercantil e do direito fiscal são amplamente coincidentes. As normas valorativas especiais do direito fiscal têm como função principal, não a de fixar uns critérios distintos para chegar ao conceito de lucro, mas a de estabelecer uns limites quantitativos fixos e objectivos, dentro dos quais se pode mover o juízo valorativo discricional do redactor do balanço, com o único objectivo de aportar segurança e igualdade na quantificação da obrigação tributária. O que não significa que, em termos quantitativos, não seja possível uma divergência de magnitude apreciável, entre os valores que em abstracto podem resultar das normas fiscais em comparação com os valores que podem resultar das normas mercantis, uma vez que os limites fixados pelas normas fiscais podem implicar diferenças consideráveis em relação aos limites resultantes das normas mercantis. No contexto legislativo actual, o conceito de dependência, para que possa explicar as diferenças que existem entre os vários ordenamentos, tem que ser reformulado, precisamente para incidir sobre este ponto fundamental, que reside no modo pelo qual as normas valorativas especiais do direito fiscal devem ser aplicadas, em relação ao balanço mercantil concreto. Em termos genéricos, é necessário distinguir em primeiro lugar, se existe um princípio geral de dependência-prejudicialidade do cálculo da base tributável em relação ao balanço mercantil concreto. Mas, em segundo lugar, importa precisar os diferentes graus em que este princípio se encontra estabelecido. Assim, para manter o conceito de dependência como conceito fundamental para a distinção entre os diversos modos pelos quais se pode estabelecer a relação normativa entre a determinação da base tributável e a contabilidade mercantil, teremos que realizar algumas afinações do conceito. A primeira consistirá em que o conceito de dependência, com o sentido que interessa ao nosso propósito, e a "dependência-prejudicialidade", isto é, aquela espécie de conexão que implica que as valorações que se realizaram no balanço mercantil concreto se tornem vinculativas para o cálculo do lucro tributável. No entanto, ao aplicar este primeiro critério de distinção aos diversos ordenamentos estudados, constatamos que o princípio se encontra consagrado em praticamente todos estes ordenamentos. Com efeito, em nenhum dos sistemas estudados, o contribuinte dispõe de uma liberdade absoluta para realizar valorações diferentes no balanço mercantil e na determinação do lucro tributável. Na maioria das vezes, quando algum autor afirma que nos sistemas anglo-americanos o directo fiscal contempla a possibilidade de aplicar critérios de valoração distintos dos mercantis, a afirmação tem como referência as normas especiais, e dentro destas, em especial, as valorações que podem divergir das mercantis dentro de limites muito estritos. Na nossa opinião, se quiséssemos uma chave sociológica para compreender a razão pela qual, tradicionalmente, se consideram os sistemas anglo-americanos em contraposição com os sistemas continentais, esta ideia comum tem origem no facto de, normalmente, o sistema que se toma como base de comparação, ser o sistema francês. Este caracteriza-se por dois traços que não existem nos sistemas anglo-americanos, os quais são: i) uma ampla heterointegração da regulação do balanço mercantil por parte do direito fiscal; e ii) uma faixa ainda bastante larga de aplicação do mecanismo de dependência inversa, o que implica a aplicação de normas de carácter "favorável" está dependente de que as mesmas normas se apliquem também ao balanço mercantil. No entanto, ao estender aquela comparação a outros sistemas do conjunto dos ordenamentos, constatamos que aquelas características, na actualidade, encontram-se bastante atenuadas ou foram mesmo eliminadas. Assim, dentro dos denominados sistemas de dependência-prejudicialidade, teremos de distinguir diversos graus e diversas modalidades de dependência-prejudicialidade. Partindo, assim, da ideia de que em todos os modelos estudados, existe um princípio de dependência-prejudicialidade, devemos começar por enumerar as características que são comuns a todos estes sistemas. São elas: o A existência de princípios próprios da tributação do rendimento Uma primeira característica é a existência de unos princípios próprios dos impostos sobre o rendimento e de alguns princípios específicos da tributação do rendimento do capital, divergentes dos princípios que regem o direito mercantil. Exemplos deste tipo de princípios seriam os de igualdade tributária, segurança jurídica ou capacidade contributiva. Na realidade, este aspecto não representa uma característica particular de nenhum modelo normativo de relação entre a determinação do rendimento tributável e a contabilidade. Constitui, sim, um aspecto inevitável de qualquer sistema, já que a existêncai de uns princípios próprios da tributação do rendimento deriva da especificidade dos próprios fins da tributação e, consequentemente, do direito tributário. Assim, estes princípios próprios da tributação, devem ser considerados como uma concretização dos princípios gerais do direito tributário, em especial, dos princípios constitucionais de igualdade e segurança jurídica. o A existência de normas valorativas específicas Outra característica comum a todos os sistemas estudados é a existência, em conformidade com os princípios mencinados anteriormente, de umas normas valorativas do direito tributário, igualmente divergentes do direito mercantil. Neste tocante, uma diferença que se observa entre os sistemas anglo-americanos e os sistemas continentais, no que se refere às normas valorativas do direito tributário, é que no primeiro muitas das normas vigentes não são normas legais mas jurisprudenciais. Esta diferença, porém, não é mais do que um reflexo num campo particular de uma característica estrutural dos sistemas anglo-americanos, que é a proeminência que a jurisprudência tem nestes sistemas como fonte de direito. Não se trata, por conseguinte, de uma diferença relevante para a caracterização da relação que se estabelece entre a determinação da base tributável e o blanço mercantil. As normas valorativas próprias do direito fiscal desempenham, como vimos, várias funções. Em muitos casos, estas normas são divergentes das normas de direito mercantil, unicamente na medida em que fixam limites quantitativos rígidos para o juízo valorativo que o redactor do balanço deve realizar para a aplicação das normas mercantis, como sucede com os regimes de amortização do imobilizado. Noutros casos, a função destas normas é a de limitar o campo das valorações possíveis que podem resultar dos critérios mercantis, podendo por este motivo dizer-se que tais normas especiais resultam de uma concretização dos princípios de segurança jurídica, de igualdade e de eficiência na tributação. Outras vezes, trata-se de normas que estão mais directamente relacionadas com uma preocupação por parte do legislador fiscal de realizar uma medição correcta da capacidade contributiva. Estas normas servem para delimitar um determinado conceito de rendimento, que o legislador considera ser o que melhor representa a capacidade contributiva, como, por exemplo, quando a norma exclui do lucro tributável, os aumentos de valor resultantes de uma revalorização dos activos, ou ordena que na imputação temporal de custos e proveitos se o observe o critério da competência económica. Podemos incluir dentro de esta categoria de normas, todos os critérios conectados com o princípio de realização do rendimento elaborado pelo direito fiscal. Por exemplo, devem incluir-se nesta categoria as normas desenvolvidas pelos tribunais norte-americanos, como a regra de "todos os eventos" ou do "controlo de fundos". Finalmente, existe uma terceira classe de normas valorativas especiais no direito fiscal, que são as que estabelecem valorações consideradas normalmente de tipo subvencional, e cuja relação com os princípios gerais mencionados, é mais difícil de estabelecer. o Uma recepção formal do direito mercantil Uma terceira característica de todos os sistemas estudados é a existência de uma recepção, como regra geral, dos princípios e normas próprios da contabilidade mercantil. Mas também neste caso encontramos uma diferença estrutural, entre os sistemas anglo-americanos e os sistemas continentais, quanto à forma pela qual se opera esta recepção, diferença esta que pode ser interpretada erroneamente como uma diferença ao nível do próprio modelo de relação entre a determinação do lucro tributável e a contabilidade mercantil. Nos sistemas continentais, esta recepção do direito mercantil reconduz-se ao conceito de reenvio normativo, sendo portanto um instrumento de técnica legislativa perfeitamente conhecido e caracterizado. Já nos sistemas anglo-americanos, a recepção dos princípios contabilísticos mercantis, que a doutrina fiscalista designa como princípio de "tax conformity", não assume formalmente o perfil de um verdadeiro reenvio normativo. Uma vez mais, devemos considerar esta diferença no contexto das características estruturais de cada sistema. Nos países continentais, existe uma tradição de regulação jurídica da contabilidade, enquanto nos ordenamentos anglo-americanos existe uma tradição de regulação da mesma matéria por parte dos organismos representantes da classe profissional dos contabilistas e auditores de contas. Estas normas, comummente designadas como princípios correctos ou geralmente aceites, emanados em forma de declarações (statements) sobre o que constitui, num dado momento, a prática geralmente seguida ou considerada correcta, são normas extremamente detalhadas, razão pela qual constituem critérios de conduta bastante objectivos para a valoração de situações concretas, mas oferecem um grau de segurança menor que as normas contabilísticas do direito mercantil dos sistemas continentais, pois, ao contrário destas, não tão a natureza de normas jurídicas. A pesar de que esta falta de carácter de normas jurídicas não constituiría um impedimento definitivo para que o directo fiscal pudesse estabelecer um reenvio normativo em sentido técnico para os referidos princípios correctos ou geralmente aceites, na realidade o direito tributário, nos ordenamentos anglo-americanos, opta por não realizar um verdadeiro reenvio normativo para estes princípios. Estabelece, sim, uma presunção juris tantum de que um balanço mercantil elaborado de acordo com os princípios vertidos nos standards – isto é, os princípios correctos ou geralmente aceites – estão conformes com o princípio jurídico (que constitui, no entanto, um critério "falso", enquanto critério de valoração) da imagem "verdadeira e justa". Não obstante a diferença entre as duas técnicas legislativas, sem dúvida importante, não se poderá deixar de concluir que tanto nos ordenamentos continentais como nos ordenamentos anglo-americanos, o direito fiscal opera, mediante diferentes técnicas e com uns efeitos distintos, uma recepção das normas que regulam a contabilidade mercantil. Nos dois casos, no entanto, esta recepção está além do mais submetida a um princípio de prioridade do direito fiscal que não é mais, na realidade, do que uma consequência do carácter de lex specialis que as normas de direito fiscal, por força da norma geral remissiva, adquirem em relação às normas mercantis. o Conexão concreta Finalmente, em todos os sistemas que analisamos, a relação entre a determinação do lucro tributável e a contabilidade mercantil caracteriza-se pela existência de um princípio de conexão concreta, com o significado de uma relevância decisiva das valorações realizadas no balanço mercantil, para o cálculo da base tributável. Esta norma pode aparecer expressa ou pode encontrar-se implícita no sistema de normas jurídicas que regulam a determinação do lucro tributável. Uma vez mais, ainda que incorrendo no risco de uma repetição fastidiosa, devemos observar que a inexistência de uma norma expressa que consagre tal princípio num determinado ordenamento, como efectivamente sucede, por exemplo, no ordenamento britânico, não autoriza a conclusão de que o mesmo princípio não faz parte do direito positivo nesse ordenamento. Realmente, o princípio de conexão concreta aparece consagrado em termos precisos em muito poucos ordenamentos. O princípio está consagrado em termos precisos no ordenamento espanhol através do artigo 19.3 da Lei do Imposto sobre Sociedades, e no ordenamento italiano, no artigo 75 do testo único. Está consagrado, em termos que a doutrina alemã tem criticado incansavelmente, no §5 parágrafo 1 da Einkommensteuergesetz alemã. No direito francês, apesar de a doutrina francesa ver uma base legal para o princípio do balanço único no artigo 38 do Anexe III do Code General des Impôts, os contornos precisos do princípio têm sido objecto de uma elaboração jurisprudencial no contexto da teoria dos erros contabilísticos e das decisões de gestão, bem como da teoria da correlação simétrica dos balanços. No direito norte-americano, pode se considerar igualmente que este princípio tem uma base legal na secção 446 (b) do Revenue Code, mas o princípio foi definitivamente consagrado na prática administrativa e sancionado pela jurisprudência. Ainda que o princípio não se encontre expresso nem na legislação nem no direito jurisprudencial, a doutrina norte-americana dá conta de que o princípio de conexão concreta se aplica na prática e de que esta prática corresponde a uma convicção de obrigatoriedade por parte dos contribuintes. As quatro características que acabamos de mencionar são as características comuns a todos os ordenamentos estudados e nos quais vigora um sistema de conexão concreta. A pesar de que todas as características mencionadas desempenham um papel no funcionamento do modelo, é o último ponto o que realmente o distingue do modelo alternativo, de desconexão ou duplo balanço. -. As razões para esta uniformidade são de certo modo evidentes, pois decorrem dos fins e dos princípios fundamentais da tributação, como sejam a utilização da contabilidade mercantil como meio de prova da veracidade das valorações submetidas ao fisco e a consideração do lucro mercantil, grosso modu, como uma medida adequada da capacidade económica. No entanto, como observamos, também existem algumas diferenças entre os vários sistemas estudados, e estas diferenças, se não se situam no plano dos princípios fundamentais da tributação e não possuem, portanto, a relevância das características mencionadas anteriormente, têm também o seu valor no âmbito da nossa análise, na medida em que permitem ressaltar aspectos de técnica legislativa relacionados com o princípio de conexão concreta. Deixamos já mencionadas algumas das divergências de técnica legislativa que podemos encontrar entre os distintos sistemas, a propósito das diferenças estruturais existentes entre os ordenamentos anglo-americanos e os sistemas continentais. Devemos agora focalizar a nossa atenção sobre as divergências que possam existir entre os ordenamentos continentais. i) La heterointegración del derecho mercantil por parte del derecho fiscal Para seguir uma sequência correspondente à ordem cronológica da evolução do próprio princípio de conexão concreta, começaremos por referir a questão da heterointegração do direito mercantil por parte do direito fiscal. Este foi um fenómeno que se verificou em todos os ordenamentos continentais estudados, mas em diversos contextos. No ordenamento francês, no qual o direito mercantil se manteve numa postura de agnosticismo, a respeito das questões da valoração contabilística, até bastante mais tarde do que, por exemplo, sucedeu no direito alemão ou no direito italiano, a regulação dos aspectos materiais do balanço mercantil por parte do direito tributário consagrou-se como um aspecto estrutural do sistema das fontes de direito contabilístico. A tributação do rendimento deparou-se, assim, desde o seu alvor, com esta ausência de uma regulação legal da contabilidade material. Neste contexto, e por força da necessidade de certeza nas normas fiscais, o direito tributário desenvolveu uma disciplina legal da valoração contabilística. Assim, as normas do direito tributário, no ordenamento francês, integram materialmente o direito mercantil, segundo o entendimento unânime da doutrina e de acordo com uma concepção jurisprudencial não contestada. Noutros ordenamentos, como o alemão ou o italiano, a disciplina material do balanço desenvolveu-se desde cedo dentro do direito mercantil. A regulação fiscal, desenvolvida para responder às necessidades próprias da tributação, formou-se desde o seu início, numa situação de antinomia em relação ao direito mercantil. A aplicação da regulação fiscal ao balanço mercantil, nos casos em que se verificou, manifestou-se como um efeito não directamente desejado pelo legislador fiscal, mas como um reflexo indirecto da existência de um balanço único. Por um lado, as valorações realizadas no balanço mercantil eram prejudiciais para o cálculo da base tributável; por outro lado, a elaboração de um balanço mercantil conforme com as normas legais aplicáveis era uma condição para que a administração fiscal aceitasse o resultado constante do balanço; e finalmente, o direito fiscal fornecia critérios sobre o modo de calcular o resultado para fins fiscais, sem precisar se estes critérios tinham ou não um carácter especial em relação às normas mercantis. Nestes ordenamentos, pelas razões mencionadas e em virtude da antinomia gerada com as normas mercantis, a heterointegração da regulação mercantil por parte do direito fiscal constituiu uma fonte de problemas constantes na aplicação do direito, de tal forma que as situações de heterointegração têm vindo a ser gradualmente saneadas, mediante um ininterrupto aperfeiçoamento do mecanismo da aplicação extra-contabilística das normas fiscais. Em todos os ordenamentos continentais estudados, com excepção do francês, existe na actualidade uma separação clara entre os campos de aplicação e um princípio de não interferência recíproca entre o direito mercantil e o direito fiscal. ii) La dependencia inversa Diferente da mencionada heterointegração da regulação mercantil por parte do direito tributário, é o fenómeno da dependência inversa em sentido estrito, designação que reservamos para os casos nos quais o direito tributário estabelece normas de valoração que representam desvios ao conceito de lucro efectivo – normalmente estabelecidos como direitos de opção, isto é, como normas dispositivas – fazendo condicionando a sua utilização para efeitos fiscais a uma aplicação das mesmas valorações no balanço mercantil. Em termos mais sintéticos, poderemos também dizer que, neste sentido estrito, a dependência inversa significa a aplicação de um princípio de conexão concreta às normas valorativas do direito tributário que não têm como fim a determinação do lucro efectivo, mas sim subtrair à tributação ou diferir a submissão ao imposto de uma fracção do lucro efectivo, por razões de política fiscal. Algumas das considerações que elaboramos a respeito da heterointegração da regulação mercantil por parte do direito tributário têm aplicação também a propósito da dependência inversa. Com mais razão, estas normas geram uma antinomia com as normas mercantis, já que resultam contrárias aos princípios da determinação do resultado efectivo. Também a dependência inversa constituiu e continua a constituir uma fonte de problemas sérios na aplicação do direito. Alguns sistemas, como Espanha e Itália, praticamente suprimiram os casos de dependência inversa, enquanto se mantêm muitas situações de dependência inversa na Alemanha e em França.

Objetivos: Desarrollar una escala de probabilidad de morir por Infección respiratoria aguda en menores de un año, según los determinantes sociales de la salud. Metodología: Se revisó y analizó la información de la base de datos de la cohorte de nacidos vivos del 2011 en Bogotá, incluyendo 106.758 menores de edad, para establecer un modelo de regresión de Cox, que prediga la mortalidad por infección respiratoria aguda. Resultados: El riesgo de morir fue 2,5 veces entre los de bajo peso al nacer, ( 2500 gr), (IC 95% 1.3-4.66), en presencia de prematurez, HR 2,67 (IC 95% 1.4-5.09), pertenecer al sistema general de seguridad social subsidiado, riesgo HR 2.6 (IC 95% 1.62-4.15) y residir en localidades tales como: Bosa, Ciudad Bolívar, Santa Fe, Usme, Rafael Uribe, Barrios Unidos y Teusaquillo, riesgo HR 4,8 (IC95% 1.9-12). La escala de vulnerabilidad, predijo mejor el riesgo de morir por IRA, al comparar con los no fallecidos, que al comparar con los fallecidos por otras causas y presentó una discriminación aceptable. Conclusiones: Este estudio permitió identificar y cuantificar el peso de determinantes que se pueden relacionar con la predicción de muerte por IRA en menores de un año en Bogotá, los cuales han sido descritos por otros estudios a nivel mundial. Palabras clave: (MeSH terms): Proportional hazards models, Infant mortality, Respiratory Tract Diseases, Pneumonia, Social Determinants of Health. ; Abstract. Objectives: To develop a scale of probability of dying for acute respiratory infection in children under one year, according to the social determinants of health. Methodology: Data from the 2011 live birth cohort database in Bogotá, including 106,758 minors, were reviewed and analyzed to establish a Cox regression model predicting mortality from acute respiratory infection. Results: The risk of dying was 2.5 times among those with low birth weight (2500 g), (95% CI 1.3-4.66), in the presence of prematurity, HR 2.67 (95% CI 1.4-5.09 ), belong to the general subsidized social security system, risk HR 2.6 (IC 95% 1.62-4.15) and to reside in localities such as Bosa, Ciudad Bolívar, Santa Fe, Usme, Rafael Uribe, Barrios Unidos and Teusaquillo, risk HR 4,8 (95% CI 1.9-12). The vulnerability scale, better predicted the risk of dying from ARI, compared with those who did not died, compared to those who died from other causes and presented acceptable discrimination. Conclusions: This study allowed us to identify and quantify the weight of determinants that can be related to the prediction of ARI death in children under one year of age in Bogotá, which have been described by other studies worldwide. Key words: (MeSH terms): Proportional hazards models, Infant mortality, Respiratory Tract Diseases, Pneumonia, Social Determinants of Health. ; Maestría

Issue 62.4 of the Review for Religious, 2003. ; Church Dii~ection D evo tion a 1 Life Religious Life Pers 3ectives QUARTERLY 62.4 2003 Review for Religious (ISSN 0034-639X) is published bimonthly at Saint Louis University by the Jesuits of the Missouri Province. Editorial Office: 3601 Lindell Boulevard ¯ St. Louis, Missouri 63108-3393 Telephone: 314-977-7363 ¯ Fax: 314-977-7362 E-Mail: review@slu.edu ¯ V~Zeb site: www.reviewforreligious.org Manuscripts, books for review, and correspondence with the editor: Review for Religious ¯ 3601 Lindell Boulevard ° St. Louis, MO 63108-3393 Correspondence about the Canonical Counsel department: Elizabeth McDonough OP Mount St. Mary's Seminary; Emmitsburg, Maryland 21727 POSTMASTER Send address changes to Review for Religious ¯ P.O. Box 6070 ¯ Duluth, MN 55806. Periodical postage paid at St. Louis, Missouri, and additional mailing offices. See inside back cover for information on subscription rates. ©2003 Review for Religious Permission is herewith granted to copy any material (articles, poems, reviews) contained in this issue of Review for Religious for personal or internal use, or for th~ personal or internal use of specific library clients within the limits outlined in Sections 107 and/or 108 of the United States Copyright Law. MI copies made under this permission must bear notice of the source, date, and copyright owner on the first page. This permission is NOT extended to copying for commercial distribu-tion, advertising, institutional promotion, or for the crehtion of new collective works or anthologies. Such permission will only be considered on written application to the Editor, Review for Religious. fo r religious LIVING OUR CATHOLIC LEGACIES Editor ¯ Associate Editors Canonical Counsel Editor Editorial Staff Advisory Board David L. Fleming sJ Clare Boehmer ASC Philip C. Fischer SJ Elizabeth McDonough OP Mary Ann Foppe Tracy Gramm Judy Sharp Sr. Raymond Marie Gerard FSP Eugene Hensell OSB Ernest E. Larkin OCarm Louis and Angela Menard Bishop Carlos A. Sevilla SJ Miriam D. Ukeritis CSJ QUARTERLY 62.4 2003 contents 340 church direction Alphonsus's Perspective in the Post-Vatican II Church Nihal Abeyasingha CSSR highlights the God-given perspective of St. Alphonsus Liguori and suggests that such a perspective can be pgeserved even though the content of the Christian message has new dimensions after Vatican II. 354 Belief, Augustine, and the New Religiosity Paul Graham OSA enters us into a reflection on the shape of our faith, as opposed to its content, in contemporary Western society. devotional life 363 Rediscovering the Rosary Dennis J. Billy CSSR reviews the pope's apostolic letter on the rosary as a venerable form of prayer that will help Christians "to contemplate with Mary the ffice of Christ." 37O Mirroring Jesus: The Luminous Mysteries and Religious Life Mary Joseph Schultz SCC reflects on the luminous mysteries of the rosary not only as a new graced opportunity to deepen our faith by bringing the public life of Jesus into the rosary, but also as a special gift to vowed religious to reflect on essential elements of consecrated life. Review for Religious 379 reOi ious perspectives Why Newly Professed Religious Leave Peter Cantwell OFM reflects not only on what younger people are disillusioned by in religious life but also on what current members might provide as helps in a mutual effort to live the charism. 402 Ignatian Insights into Evangelical Poverty Donald C. Maldari SJ explores the richness and relevance of evangelical poverty and its relationship to theological hope in the spirituality of St. Ignatius Loyola. departments 338 Prisms 423 Canonical Counsel: Papal Enclosure 431 Book Reviews 440 Indexes L33-7-- 62.4 2003 Te naturalized British writer Hilaire Belloc (1870-1953) came to the United States for the first time with hope of winning a young lady's hand. He had met her and her mother earlier, when they were visiting England. Sometime during his unexpectedly 16ng and difficult land trip west to California to propose to her, Belloc was stimulated to write the following light verse: Kings live in palaces, pigs in sties, youth in expectation. Youth is wise. Despite Belloc's idealistic inspiration, we might hesitate to agree that such youthful expectation is wise. When our hopes, our expectations, are not realized, we can become disillusioned or bitter and angry or, perhaps, if we have a certain psychological makeup, resilient. As it happened, Belloc's marriage proposal was rejected by the young lady's mother, but he returned to England with his expectations intact. A year or so later, he took another trip to the United States with the same purpose in view, and this time he was successful. He married the young lady. Undoubtedly he felt that he had made his own the truth he had expressed in his verse. Our Catholic faith seems to agree with youth, even finding that living in expectation is a divine way of living. Jesus, after all, taught us to Review for Religious pray daily "Thy kingdom come." Certain times of the year, like Advent, and holy days like All Saints, All Souls, and Christmas highlight for us the virtue of hope or expectation. God has such divine expectations of each one of us that there is no limit to how often he forgives our wrongdoing. Likewise there are no restrictions on the graces of God's intimacy with his sons and daughters in Christ. Scripture would have us believe that God expects to delight in us. Expectation, then, considered in a Christian light, is not just for the young, but it is the graced quality of those who are called to be young in heart by their Christian baptism. Living in expectation, we look forward to growing in holiness. We have expectations about ourselves as saints, just as God does. Living in expectation, we look for the ways that God shines forth in the world he created and leads us towards God's reign. Entering into St. Paul's heart, we have expectations that God keeps working at the century-by-century fulfillment of his creation in Christ. We as members of Christ's Body expect to play our own part, with God, in bringing about this fullness of redemption. Of course, we all have our natural fear of dying, especially faced with its unknown pain and circumstances. But we as Christians can at the same time look towards death with expectation, welcoming our further identity with Christ in receiving death as one more gift of the Father so that we can rejoice in resurrected life forever. As we say in our Creed, we expect the res-urrection of the dead and the life of the world to come. Yes, to live in expectation is a profound Christian calling. Such living is rooted, not in youthfulness, but in God, and is sustained by God. We the baptized are meant to live in expectation. We devoutly pray for God's presence gracing us in this way. Then we are youthfully wise. David L. Fleming SJ 62.4 2003 church NIHAL ABEYASINGHA Alphonsus's Perspective in. the Post-Vatican I! Church direction Redemptorists were for a considerable period of their history called "hellfire preachers." And so indeed they were. At the time of Alphonsus Liguori, the founder of the Redemptorists, the preaching was accompanied by "audiovisuals" that would be considered macabre today--the exhibition of a skull, an imaginary dialogue with a damned soul, and thepreachers going around the town in the dark crying out "Save your soul!" Obviously, these procedures cannot and should not be duplicated today. But, if what he did represented a God-given perspective, I think it would be a pity to lose the perspective even today. In this article I intend to highligh,t Alphonsus's perspective and suggest tentatively that it can be preserved even though the content--or the awareness of the content--of the Christian message has new dimensions after Vatican Council II. Nihal Abeyasingha CSSR lives at 454/9 Piachaud Gardens; Peradeniya Road; Kandy, Sri Lanka. Review for Reli~ous Background of the Ministry of Alphonsus The Council of Tren.lt (1545-1563) met to counter the effect that Luther's andI other Reformation perspectives were having on the church. The perspectives were primarily doctrinal. They had serious implications, however, for the institutional and disciplinary structure of the church. There was pblarization: Scripture alone versus Scripture and Tradition;'I faith as commitment alone (tides fiducialis) versus faith ificluding content; only God and grace versus God in Christ acting through human ministry and grace being mediate.d through the church. When the council met in 1545, the attendance was poor, some forty bishops, most of the~m Italian. They began with disagreement, but by 1546 they decided to deal simulta-neously with both doctrifial and disciplinary issues. . The shadow of thel Reformation cast a permanent shadow on the council's deliberations. The result was an emphasis on 'what the Reformers had gotten wrong by Catholic criteria, ignorin, g altogether what they got right. (In the words of G.K. Chesterton, every heresy is the revenge of a forgotten ~r_~-uth.) Among other things, Trent stressed the veneration iof the saints, devotion to Mary, the Mass as sacrifice, th~ importance of suffrages for the dead, and other matters! against the Reformers, Spin-offs of these lines of thought in Catholic culture included stress on Euchanstac ad.orataon, a deemphasls of the role of the laity, and undu~e emphasis on the role of the . ordained minister who c.onfects the Eucharist. In the Catholic trad, ition the theology that followed was highly systematized, the disciplinary structure rigid and centrahzed. But the, ology also reflected attempts to find places of accord with Luther. For example, Michel de Bay of Louvain (+1589) thought of original sin as depriving human beingi of what constitutes the human condition--another vergion of Luther's understanding of humanity's "radical corruption." Bay's position was 62.4 2003 Abeyasingba ¯ Alpbonsus's Perspective Alphonsus's ministry was "popular," directed to the masses who lacked competent pastoral care. defended by Cornelius Jansen (+1638). Even though views such as these were repudiated by the church, they had effects on requirements for receiving the sacraments. I suggest that Alphonsus used the "last things" (death, judgment, heaven, and hell), which had a major impact on Luther, as a call to conversion for those in sin. The response of conversion that he sought was oriented towards the sacraments of recon-ciliation and the Eucharist, the ecclesial communion that is based on the true faith and true sacraments. Alphonsus's ministry was "popular," directed to the masses who lacked competent pastoral care. These people were steeped in superstition and magic, and lived in fear of frightful evils such as the devil coming into their lives. That is where Alphonsus started; he addressed their emotion of fear by proclaiming the last things. Beginning his preaching of the Christian message here, he le~l individuals to the sacraments. He wanted to make it as easy as possible for sinners to confess to a priest (in contrast to the Reformers' idea of confessing directly to God). He advocated a gentle manner with those who committed sins by almost unconscious habit and with those who fell again and again into the same sin (consuetudinarii and recidivt). In his time the laxist view allowed absolution as often as penitents confessed, while the rigorist view demanded thorough amendment of life before they could receive absolution. Mphonsus proposed a middle path of sound common sense. He said that absolution should be refused to consuetudinarii and recidivi unless there were clear signs of repentance, which he listed: tears, weeping, a lessening of the number of sins, notable efforts at amendment such Review for Reli~ous as fasting or almsgiviOg, evidence of a search for new means of improvement, spontaneous confession, special motivation such as the fear of some impending disaster, confession of sins previously and culpably omitted, prior restitution, new awardness, of guilt. He advocated that absolution be deferred only when the confessor was morally certain of the penitent's wrong disposition; that is, .for deferral he needed to make a prudent probable judgment about ,tpheen'i te"n t s' fundamental lack of sorrow. He said, too, ~at absolution is not to be deferred if there is danger of more harm than good being done.1 Through reconciliation followed by the Eucharist (the emphasis more on Holy Communion than on the Mass), people were weaned ,away from sin. What was taking place is pictured on thd cover Alphonsus designed for his book Selva: The Digni~ and Duties of the Priest. The priest is hearing confession .'in front of a large crucifix. Rays from the crucified Lo,"rd stream towards the penitent. Alphonsus's pastoral r~alism saw God's action in Christ reaching penitents thro.'ugh the sacramental mediation of the church. The perspelctive is close to that of Irenaeus of Lyon (+202): "God is~ man's glory, but it is man who receives the effect of Gbd's activity, who is the recipient of all God's wisdom and power. Just as a doctor proves himself in his patients, ~o God reveals himself in men." 2 Alphonsus facilitated reconciliation with a bias in favor of penitents because of his own trust in the power of God's grace. He-k~ew that generally the habitual sinners would fear death, judgment, hell, and the loss of heaven and so would approach sacramental recon-ciliation. He knew thht fear as a motive does not last long. He knew that "~erfect love casts out fear" (1 Jn 4:18). So, to lead therfi beyond fear and enable them to remain converted, to p'ersevere, he offered the motive of love and a support structure of prayer and fellowship, namely, confraternities. 62.4 2003 Abeyasingba * Alpbonsus'sPer~ective To sustain people's effort and stir up love in them, he presented considerations that would naturally lead to love. Look how much God loved you, sending his Son in human .form; that Son died for you amid unspeakable suffering; that intense love continues in his abiding presence, especially in the Eucharist. Will you not return love for love? In such works as The Practice oft be Love of Jesus Christ, he would go further into the qualities that true love for Jesus entails. He knew, of course, the sinner's obvious objection: I am too weak to respond with any degree of intensity of love. He forestalled that objection by his teaching on prayer. Christ has said, "Ask and you shall receive." Ask God--that is prayer. Because God has said it, you will receive. Everyone and anyone can do this much. He bolstered this position by citing respected authors and by telling stories of how sinners who did not stop praying " received a final chance to repent and be saved. Even daough many of the stories would be laughed at today, in those days they made his point effectively. Parish missions were considered finished only when all had had an opportunity for confession. After the mission Alphonsus established some ongoing programs: regular mental prayer in the church and confraternities where people supported one another with fellowship, prayer, and regular instruction to stay on the path of their conversion. There is a clear overall perspective in these programs. Today one can object that in this model popular piety and liturgy merely coexist and that the former can even take precedence over the latter.3 It is likely that Alphonsus knew of Ludovico Antonio Muratori, a 17th-century writer who in Della Regolata Devozione dei Cristiani (Norms for Christian Devotion) proposed a religiosity that drew from the liturgy and the Scriptures to offset superstition and magic, and that he also knew of Benedict XIV's important initiative of permitting the use of the Review for Religious Bible in the vernacular. But Alphonsus did not bring these perspectives into his work for the pastorally most abandoned, chiefly uneducated people inclined to superstition. It would make little sense. They might give a symbolic assent to the matter presented and engage in a symbolic act of conversion, but their lives would not be much changed. Alphonsus said that the test of a good sermon is when the people leave the church striking their breast and not talking about the preacher. A New Context As the church in mid-20th-century Europe was facing something of a crisis of neglect and indifference, some new theological perspectives and initiatives in Scripture, catechesis, and liturgy were appearing. Without intend!ng to imply that Redemptorists were in the forefront of the pre-Vatican II theological scene--in fact, they were not--I venture to suggest that two Redemptorists made a significant contribution to this evolving theology. They did this by examining the existing perspectives in the light of Alphonsus's call-response perspective (fear as initial stimulus leading to love in the long term). This was obvious in the German Bernard H~iring.4 EX. Durrwell, from France, highlighted the grandeur of the resurrection in God's redemptive plan so that believers could more attractively show those who were ignoring the Christian message the way to conversion and growth.5 After all, the motto of the Redemptorist congregation is "With him is plentiful redemption." Paul Hitz CSSR, of Switzerland, even though he did not receive much international notice, contributed to catechetics, which too is a call to grow as believers. Vatican II bro,ught into focus several aspects of theology for which 'Isome theologians had been disciplined. It rediscove~'ed the paschal mystery and, with that, found a new view df the ¯church: its being sacrament, I 62.4 2003 Abeyasingha ¯ Alphonsus's Perspective the common priesthood of all Christ's faithful (and some consequences of this), and a renewed liturgy.6 Alphonsus's Perspective in a Post-Vatican II Context Can Mphonsus's perspective fit in this post-Vatican II context? I do not know whether this question has been posed in this way. It is claimed that Alphonsus's perspective is embodied in a story that is loved, remembered, and lived by Redemptorists. Without assessing that claim, perhaps articulating some contemporary dimensions may not be out of place. In his Confessions Augustine (+430) made this prayerful observation: "Since the time I first learned of You, there is nothing of You I have discovered that I have not discovered by remembering." And what he discovered in responding to the Manichees, Donatists, and Pelagians of his time has influence even in our day. Perhaps one may suggest that a hint of a Vatican II perspective was already present in Alphonsus. In his Duetto (Dialogue with the Soul) he imagines a soul meeting Christ going to his death. The soul asks: "Where ¯ are you going?" Jesus replies: "I am going to die." The soul wants to follow him. Jesus asks the soul to give him his heart and then go and live, always remembering his (Jesus') love." In practice, one emotion seems dominant in the Redemptorist recognition of, and conversion from, sin, and that is joy, thankfulness that one is forgiven. "Father, you show your almighty power chiefly in your mercy and forgiveness" (opening prayer, 26th Sunday, Ordinary Time). Put this grateful joy felt by Redemptorists into the picture of alertness for clear signs of repentance--fear as a starting point of conversion, tears, fewer sins, fasting or almsgiving, seeking new ways to improve, and so forth--and perhaps you have something that at least resonates with the perspective of the Exsultet of the Easter Vigil, stemming from well Review for Religious before Vatican II: 'iWhat good would life have been for us had Christ not come as our Redeemer? Father, how wonderful your care for us! How boundless your merciful love! To ransom a slave you gave away your Son. O happy fault, O necessary sin of Adam, which gained for us so great a Redeemer!" Does this Redemptorist picture from before Vatican II fit in with post-Vatican II theological reflection? I think it does. After being careful to identify those who are in the greatest pastoral need, we must remember a few basic principles. First, it is important to touch people where they are. Where Muratori proposed drawing popular piety from Scripture and the liturgy, Alphonsus's program was to meet people where they were and then lead them beyond it. Second, a clear distinction needs to be made between stimulating conversion in the short term (Alphonsus used fear for this) and maintaining conversion in the long term. (For the latter, Alphonsus had only one prescription: love.) Third, how does one propose love? The short answer is: as a call that evokes a response, or an offer that invites acceptance. It is important to keep God's initiative in mind, as in the picture of rays from the crucified Jesus shining on the penitent. Alphonsus's call to love focuses on Jesus' passion: "Greater love than this.no one has, than that a person lay down his life for his friends." But this emphasis should include the following: "Therefore does the Father love me, because I lay down my life that I may take it up again" On 10:17-18). Death and resurrection are inseparable. Psychologically, selfless suffering unto death is deeply evocative of response, but it is not complete by itself.7 Rather than being isolated from the resurrection, Jesus' passion should be presented as a step on the journey to fullness of life. "The glory of God is man fully alive, and the life of man is the vision of God," says Irenaeus of 62.4 2003 Ab~yasingha ¯ Alphonsus'sPerspective Lyon. Incorporation into Christ's deat[h and resurrection in baptism should be the basic paradigm for preaching about death and resurrection. For there to be resurrection, there must be passion (suffering) and death; one chooses this journey because of the hope of resurrection. "Christ has passed beyond our sight, not to abandon us, but to be our hopE. Christ is the beginning, the head of the church; where he has gone, we hope to follow" (Preface 1, Ascension). The grandeur of that goal makes the call to conversion attractive today: "With him is plentiful redemption." It is well to remember that even on Good Friday, when the liturgy focuses on the suffering and death of Christ, it is not separated from the resurrection. (The Via Lucis, Stations of the Resurrection, may be one way to maintain the link between death and resurrection.) Note, too, that the apparitions of the risen Lord involved some renunciation (of previous expectations) and often a call to mission as a condition for recognizing the "stranger" as the very Jesus whom the disciples had known. This is the version of the resurrection as call to death and call to love that needs to be worked out in popular idiom for people today. The resurrection is contingent upon the Son's having taken human flesh. If the incarnation had not taken place, no death-cum-resurrection would be possible. This mystery highlights the incarnation as an emptying (Ph 2:6-11), the rich one becoming poor for our sakes (2 Co 8:9). Jesus' life in the flesh meant sharing our condition and emotions. But, because it was not a life limited to the flesh, he was raised to life in the Spirit (Rrn 1:1-4). In the liturgy we pray, "May this sacrament [Eucharist] restrain our earthly desires and enable us to grow in love of the things of heaven" (After Communion, Tuesday, First Week of Lent). The child Jesus shared in the development that every child goes through--from the first stages, whei'e self- Review for Religious reference is the norm, to the point of total unselfishness in love ("He loved them to the end" Jn 13:1). The incarnation is the call to grow. Here one does well to keep in mind that excellent training in a particular discipline (medicine, accountancy, or whatever) does not automatically mean that one is an adult in regard to one's religious growth (the commitment based on content that Catholic faith requires). Many adults remain at the level of children (often the faith content they had at confirmation) and think that a vague "feel good / do some good" religion is growth. God's invitation is to deeper growth, an incar-national growth guided by the Spirit. The journey from the Father to this world and back to the Father is the program for all Christians. It is eriacted (as a "today") in the Eucharist. There is a continuing call to recommitment, to baptism's death and resurrection themes. The Eucharist is a third focus of Alphonsus. For him, Jesus is the prisoner in the tabernacle, awaiting, calling, and welcoming those who come to visit him. But the Jesus of the tabernacle is first the Jesus who was born, lived, died, and rose again, who celebrated that Passover with his disciples and continues to do so in the community of believers. And this is perhaps the high point of the call: to recognize that we are betrayers who are called by the one betrayed (Jesus) to share a meal with him. For this he accepts what we offer (bread and wine, products of the earth and of human hands) and returns them to us transformed (his risen body and blood, the new creation). One can add some glosses to the Eucharistic narrative to highlight this perspective: "On the night he The journey from the Father to this world and back to the Father is the program for all Christians. 62.4 2003 Abeyasingba ¯ Alpbonsus's Perspective was betrayed [by his disciples, with whom we are all complicit], Jesus took bread [that supports life---he was not seeking revenge] and gave thanks [for everything, including the betrayal, life and its support, death, because this is the prelude to resurrection and glory] and shared it with his disciples [betrayers become .companions, "bread fellows"], saying [not only in word but in deed]: 'This is my body, which is broken for you' [the principle enunciated in the Gospels: 'Unless .the grain of wheat dies' and 'Take upyour cross']. Do this in memory of me [the call addressed to all his followers, sinner and saint alike, a call to 'do this' not only in word but also in deed].''8 Finally, for continuing the journey of conversion over the long haul, Alphonsus proposed a program of prayer. He emphasized, not the amount of prayer, but fidelity to it. A short prayer every day is better than a long period of prayer occasionally. Prayer means recognizing one's limitations, acknowledging one's need for God. Beginners in mental prayer need some method, but, as they grow, they should not let the method become a hindrance to prayer. When difficulties arise, they can fall back on the method. This advice of Alphonsus remains valid and relevant in our day, but support groups are needed too. For the community as a whole, Alphonsus proposed confraternities, which were support groups. Today's psychological research has identified the roots of various problems. Lay people should be encouraged to use .their skills to help others in various difficulties, even if it means merely lending an ear to one other person. When people feel that they havebeen heard and understood, they are often able to work their way through their own problems. Such support is very much in the competence of laypersons, and those devoted to pastoral care would do well to keep encouraging them to fulfill their special role in the world. Review for Religious Charisms as Life-Giving Roots The present article indicates the need for religious institutes not to take their agendas from current theology. Theology has its place, but institutes have their own particular orientations and perspectives. It is in rediscovering and living according to their foundational perspectives that religious institutes can make their authentic contributions. These solidly rooted agendas are indeed their very reason for existence. When Cyprian (+258) became bishop of Carthage, he made it a rule to do nothing on his private opinion without the counsel (consilium) of the presbyterate and the agreement (consensus) of the people. The two Latin words are significant. As the one who presided over the presbyterate, Cyprian needed their counsel. Often it would be far more "advanced"--aware of many more theological perspectives, one could say--than the laity. But he also wanted to have the consensus of the people, a fellow feeling of where they were. I suggest that Alphonsus started with the consensus of the laity and, as preacher of repentance, led them to commit their lives in love to Jesus, supporting one another along the journey. The challenge is to be "popular," to meet people where they are, but also to lead them beyond, in terms of call and response, invitation and acceptance. There will be changes in the content and style of post-Vatican II proclamation and ways of celebrating the sacraments, but the apostolic perspectives of Alphonsus and other founders can, I am convinced, well remain unchanged. Notes ' See Raphael Gallagher, "The Fate of the Moral Manual since Saint Alphonsus," in Histo,3v and Conscience: Studies in Honour of Father Sean O'Riordan CSSR, ed. Raphael Gallagher and Brendan McConvery (Dublin: Gill and Macmillan, 1989), pp. 212-239. 2 Irenaeus, Adversus haereses, 3.20.2. 62.4 2003 Abeyasingba * Alpbonsus's Perspective 3 See Directory on Popular Piety and the Litu'rgy: Principles and Guidelines (Vatican, 9 April 2002), §41: "The 'popular missions' emerged at this time and contributed greatly to the spread of the pious exercises. Liturgy and popular piety coexist in these exercises, even if somewhat imbalanced at times. The parochial missions set out to encourage the faithful to approach the sacrament of penance and to receive Holy Communion. They regarded pious exercises as a means of inducing conversion and of assuring popular participation in an act of worship." 4 See Bernard H~iring CSSR, The Law of Christ, 3 vols. (Westminster, Maryland: Newman Press, 1961o1966), and his later work, which is more diffuse and wide-ranging, Free and Faithful in Christ, 3 vols. (New York: Century, 1979). 5 EX. Durrwell CSSR, The Resurrection (London: Sheed and Ward, 1960). 6 See Directory, §§48-49: "History shows, first of all, that the correct relationship between the Liturgy and popular piety begins to be distorted with the attenuation among the faithful of certain values. essential to the Liturgy itself. The following may be numbered among the causes giving rise to this: ¯ a weakened awareness or indeed a diminished sense of the" paschal mystery and of its centrality for the history of salvation, of which the Liturgy is an actualization. Such inevitably occurs when the piety of the faithful, unconscious of the 'hierarchy of truths,' imperceptibly turns towards other salvific mysteries in the life of Christ, of the Blessed Virgin Mary, or indeed of the angels and saints; ¯ a weakening of a sense of the universal priesthood, in virtue of which the faithful offer 'spiritual sacrifices pleasing to God, through Jesus Christ' (1 Pt 2:5, Rm 12:1), and, according to their condition, participate fully in the church's worship. This is often accompanied by the phenomenon of a Liturgy dominated by clerics who also perform the functions not reserved to them and which, in turn, causes the faithful to have recourse to pious exercises through which they feel a sense of becoming active participants; ¯ unfamiliarity with the 'language' of the Liturgy--that is, its language, signs, symbols, and ritual gestures---causing much of the meaning of the celebration to elude the faithful. This unfamiliarity can even make them feel like outsiders to the liturgical action, and so they are quick to manifest their preference for pious exercises whose 'language' is closer to their own cultural development, or Review for Religious else for private devotions more in keeping with the details and demands of their daily life. "Each of these factors, and both in certain cases, not infrequently produce imbalances in the relationship between the Liturgy and popular piety, to the former's detriment and the latter's impoverishment. These should therefore be corrected through careful and persistent catechetical and pastoral work. "Conversely, the liturgical renewal and the heightened liturgical sense of the faithful have often recontex~ualized popular piety in its relationship with the Liturgy. Such should be regarded as a positive development and in conformity with the most profound orientation of Christian piety." 7 See Sean O'Riordan, "The Human Psychology of Repentance," Studia Moralia 21 (1983): 79-102, and "The Nature and Function of Pastoral Psychology," Studia Moralia 1 (1963): 348-387. 8 Karl Rahner, "The Episcopate and the Primacy," in Karl Rahner and Joseph Ratzinger, The Episcopate and the Primacy (New York: Herder and Herder, 1961), p. 25: "Essentially the church is the historically continuing presence in the world of the incarnate Word of God. She is the historical tangibility of the salvific will of God as revealed in Christ. Therefore the church is most tangibly and intensively an 'event' where (through the words of consecration) Christ himself is present in his own congregation as the crucified and resurrected Savior, the fount of salvation; where the redemption makes itself felt in the congregation by becoming sacramentally visible; where the 'New and Eternal Testament' which he founded on the cross is most palpably and actually present in the holy remembrance of its first institution. Therefore the celebration of the Eucharist is the most intensive event of the church." I would add that the consequence is that every word in the church must be understood in connection with the memorial dimension of the Eucharist (see I Co 11:26). It is like the prism which separates light intoits constituent colors and also refocuses the different colors into a unity. 62.4 2003 PAUL GRAHAM Belief, Augustine, and the New Religiosity ~/ nd what remains when disbelief has gone?" That striking line from Philip Larkin's poem "Church Going" poses a question that is characteristic of the times we live in. The problem today is not so much disbelief or unbelief, but belief. The onus is now on those who claim they do not believe in God. According to the European Values Study for 1999/2000, 77.4 percent of the sample surveyed believe in God. Even in secular Sweden, which has the lowest number of believers in God in Western Europe, the number is 53.4 percent. Clearly, unbelievers are in the minority. The agnostics, according to this scenario, are not those who are unsure about their belief in God, but those who are not sure they disbelieve. The line from Philip La~'kin's poem cap-tures beautifully the anxiety of the unbeliever who has a nagging suspicion that perhaps there is a God after all. The present-day anxiety, the anxiety of a post-Christian society, is in the possibility that there is a God. Paul Graham OSA is provincial of the English-Scottish province of the Augustinians. His address is Provincial Office; 15 Dorville Crescent; London W6 0HH; United Kingdom. Review fbr Religious In these circumstances, those of us who through our faith have been freed from the burden of unbelief--and it is a burden--have a corresponding responsibility not to take our belief for granted. Belief is something that grows and deepens; it is not static. In the famous words of St. Augustine: "Make progress, my brothers and sis-ters, examine yourselves honestly again and again. Put yourselves to the test. Do not be content with what you are, if you want to become what you are not yet . Always add something more, keep moving forward, always make progress" (Sermon 169). An important part of reflection on faith is its social context. The shape of our belief, as opposed to its con-tent, is influenced by the world around us. If we lived in 13th-century Italy, for instance, unbe-lief would not have been a problem; even the gross sinner would be expected to believe in God. Faith was characterize~l by an intense devotion to the person of Christ in his passion and in the Eucharist. Belief had a tangible feel about it then, and peo-ple were not afraid to express it publicly. In Poland during the Communist times, faith was shaped by the need to take a firm stand against state-controlled atheism. Belief in God was caught up in nationalism: to be Polish was to be Catholic, as being Irish in Ireland was until recently. The object of faith in these differenttimes and places remains the same: God in Jesus Christ. This leaves us with the question: In contemporary Western society, what is the shape of our faith? It is now fashionable to have a "spirituality" in these 2 l st-century "postsecular" times. The problem is not so much religious belief as what to believe in. People today have become spiritually gullible. G.K. Chesterton noted perceptively that, when people stop believing in the true People today have become spiritually gullible. 62.4 2003 Graham ¯ Belief, Augustine, and the New Religiosity God, they start believing in anything. One of the charac-teristics of this new religiosity is its individualism. People now pick and choose the bits of religion they want to believe in and reject the distasteful parts. It has become a lifestyle choice: a bit of Zen here, a bit of Feng Shui there, a touch of white magic perhaps, and even some aspects of Christianity--the nice bits. This is nondemanding, non-threatening religion, a pick-and-mix spirituality. It has become fashionable to make a distinction between "religion" and "spirituality." By "religion" is meant institutional religion, the church; by "spirituality" is meant the "good" things about religion without the awkward bits like the hierarchy and the church's teach-ings. One can now have a spirituality, even if it means rejecting or sitting loose to the institutional form of the church. The problem is, once you detach spirituality from religion, it can quickly become self-seeking and inward-looking. Belonging to the church prevents that from happening. The Latin word religio implies "ties," ."obligations." We are bound to one another and to God, in the church. Jonathan Sacks, the chief rabbi of Great Britain, has an interesting observation to make here (see Credo in The Times, 24 August 2002). He challenges those who claim to have a "spirituality" but reject organized reli-gion. Spirituality, he says, marks the beginning of a search for God, leading on to religion, to belonging to a community of believers; otherwise it tends to be escapist and self-indulgent. He illustrates this by referring to Robert Putnam, the Harvard sociologist, whose recent book Bowling Alone (2000) is about the breakdown of community in the United States as a result of growing individualism. The metaphor for this breakdown is to be found in ten-pin bowling. In the 1950s bowlers belonged to leagues and clubs and went bowling together, as teams. Today those leagues are no longer so Review for Religious popular, and people prefer to go bowling on their own. Sacks therefore declares, "Spirituality is what happens to religion when it goes 'Bowling Alone.'" Britain faces a similar problem of individualism. A recent sociological study (Changing Britain, Changing Lives, (London: Institute of Education, 2003), involving three birth-cohort studies of people born in 1946, 1958, and 1970, found that in the last fifty years there has been a marked decline in social cohesiveness and awareness, evidenced in the universal decline in voting, community activity, and church activity. The political philosopher Eric Hobsbawm is quoted in this study as saying, "Prosperity and privatization broke up what poverty and collectivity in the public place welded together" (p. 9). This individualizing tendency in society as a whole, I suggest, is influencing deeply the way we believe. St. Augustine understood this very well. Father Tom Martin OSA, in Our Restless Heart: The Augustinian Tradition (London: Darton, Longman and Todd, 2003), takes up this issue: "Does Augustinian spirituality lead to a privatized spirituality? While it is clear that Augustine privileges the heart and the journey within, he would be the first to decry any reading of him that would turn the Christian life into a solitary journey. It is always a shared pilgrimage, a community of fellow believers on a journey of faith to God" (p. 47). In another passage, speaking of the need to "return to one's heart," he says: "Yet for all this talk of 'heart,' this empl~asis on interiority, its inten-tion is never meant to lead to an introverted spirituality. What is fundamentally interior to me is, for Augustine, the point where I am also closest to my brothers and sis-ters in the human family. From the heart I come to Christian faith, become a member of the church, the Body of Christ . [Augustine's] insistence upon the heart is thus not a self-serving escape from responsibil-ity into interior religion and privatized faith" (p. 43). 62.4 2003 I believe this to be one of the greatest challenges to Christian faith today, the challenge posed by the privatization of belief. I have labored this point because I believe this to be one of the greatest challenges to Christian faith today, the challenge posed by th4 .privatization of belief. As Cardinal Hume once said, "faith is always personal but never private." Augustinian spirituality is one of the greatest safeguards we have. However, because of its emphasis on interiority and the need to find God within, it can very easily be hijacked by the "privatizers" of faith. Martin makes it quite clear that such an interpretation of Augustine is a distortion of his spirituality, which is at all times ecclesial, rooted in community, rooted in the church. "To remove or isolate or separate God or self or community within the thought of Augustine," he says, "would only result in a profound distortion of his spiri-tual vision" (p. 49). So, as we struggle with belief ina society that wants to reduce everything--whether fast food or spirituality-- to individual choice, Augustine provides us with a nec-essary corrective to the "McDonaldization" of religion, as a Scottish theologian calls it (John Drane, The McDonaldization of the Church, London: Darton, Longman and Todd, 2000). Return to your hearts by all means, but not to stay there, rather to encounter the God who opens up our hearts to those around us. Augustine himself was only too aware of the temptations of interiority. His first experiment in community life was with like-minded friends near Milan just after his bap-tism. He established a community apart from the hustle and bustle of life in order to spend time in contemplation and reflection: otium sanctum, "holy leisure." He brought Review for Religious this idealized form of Christian community back to North Africa, to Thagaste, where he established a lay community, but he had a.rude awakening. Visiting a church in Hippo one day to look for a candidate for his community, he was grabbed by the congregation and presented to the aging Bishop Valerius for ordination to the priesthood--and he wept. Augustine knew that from then on his life would no longer be his own. Gone for the rest of his life was any notion of otium sanctum. The life of contemplation would lead him now to share that contemplation with others. It is a paradox of his life, and indeed of the Christian life in general, that the journey within becomes at a certain point a journey outwards, to God and to others. Hence his famous observation in the City of God: "For no one ought to be so leisured as to take no thought in that leisure for the interest of his neighbor, nor so active as to feel no need for the contemplation of God" (xIx. 19). The current resurgence of interest in religion and spirituality is evidenced in the number of books in the "Mind, Body, and Spirit" sections in most bookstores. Often the Christian section is quite small in relation to other religions. Clearly, many are hungry for a spiritual view of life. It has become obvious that people cannot survive for long on unbelief and on a purely secular view of the world, in spite of the predictions of the proponents of the "theory of secularization," who are now eating humble pie. Harvey Cox has said: "Today it is secularity, not spirituality, that may be headed for extinction" (Fire from Heaven, London: Cassell, 1996, p. xv). People yearn for enchantment. Secularity does not feed the human spirit, which is made for God. The Vatican has responded to this phenomenon by publishing Jesus Christ, the Bearer of the Water of Life: A Christian Reflection on the "New Age" (Pontifical Councils for Culture and Interreligious Dialogue, 2003). It 62.4 2003 Graham ¯ Belie, Augustine, and the New Religiosity This new religiosity is largely non-Christian. acknowledges that this renewed interest in spirituality and religion in general is evidence of a spiritual hunger in the contemporary world. There is in people a deep desire for the transcendent. "Our hearts are restless," says Augustine, restless for the true God (Confessions, I. 1). The document sees in this new religiosity "a genuine yearning for a deeper spiritu-ality, for something that will touch their hearts, and for a way of making sense of a con-fusing and often alienating world" (1.5). It also notes many positive aspects of this religiosity: its criticism of materialism, its sense of the sacredness of life, and its concern for the environment. But there is a difficulty. This new religiosity is largely non-Christian. As the document says, "it is on the wh61e difficult to reconcile it with Christian doctrine and spir-ituality" (2). It is important to remember that we are all subject to these influences in society at large. One has only to mention the example of Cherie Blair, the wife of the British prime minister, who has publicly declared her allegiance both to the Catholic Church and to forms of New Ageism, such as the use of crystals. I have no wish to judge an individual case, merely to cite her as a very public example of what I believe to be a common misapprehension: that you can mix Christianity with alternative spiritualities and think there is nothing amiss. Some of it may be harmless, but one needs to be dis-criminating. The current tendency towards the privatization of faith and spiritual individualism is also picked up by the Vatican document, which refers to "spiritual narcissism" and the "private world of ego-fulfillment," quoting a well-known commentator On New Age (3.2). It also cautions against looking for religious experiences "engen- Review for Religious dered by turning in on oneself." This leads on to the fundamental point that "Christian prayer is not an exer-cise in self, contemplation, stillness, and self-emptying, but a dialogue of love" (3.4). Certain kinds of religion can easily become an ego trip, and this document is not afraid to say so. Augustine's search for God, expressed in his Confessions, appears on one level to be the classic "journey within," and indeed he gave succeeding generations the spiritual vocabulary for that necessary journey. But he is at pains to point out that, unbeknownst to himself, God was with him at all times on that journey. It was not so much a search for self as a search for the Truth outside of self. In a sense, it was God who went in search of Augustine, not the other way round. It was grace that prompted him to seek God in the first place: "You were within me, and I was in the world outside myself . You called me, you cried aloud to me, you broke the bar-rier of my deafness" (X.2 7). As Jesus says in John's Gospel, "you did not choose me; no, I chose you" (Jn 15:16). It is important to mention this, as Eastern forms of prayer and meditation are very popular. While there are many rich insights to be gained from these traditions, like the need for stillness and proper bodily posture, one has to remember that these are not Christian forms of prayer. They are mainly exercises to bring about an expe-rience of peace and enlightenment. But Christian prayer is not fundamentally about such experiences, unless they come as a grace from God. It is a relationship more than an individual experience of heightened consciousness or awareness. As the Vatican document points out, "life in Christ is not something so personal and private that it is restricted to the realm of consciousness. Nor is it merely a new level of awareness" (3.5). To quote a contemporary theologian speaking about Augustinian interiority, Christian prayer is not a "diving expedition into the soul" 62.4 2003 Graham ¯ Belief, Augustine, and the New Religiosity (John Milbank, Theology and Social Theory, London: Blackwell, 1990, p. 291), but an encounter with the living God in the person of Jesus Christ, the bearer of the water of life. Dry Rain It is as if a great party is under way: with every wind falling leaves, multicolored, natural confetti, gigantic golden snowflakes fr6m a sycamore. Autumnal dry rain in its festive, roundabout fashion waters next spring's growth, rots its way to fruitfulness, an ordinary embodiment of mercy, another promise of life from death, another reason to hope. Bonnie Thurston Review for Religious DENNIS J. BILLY Rediscovering the Rosary On 16 October 2002 Pope John Paul ~I promul-gated an apostolic letter on the rosary titled Rosarium Virginis Mariae. The purpose of the letter is to help Christians rediscover the rosary as a venerable form of prayer that will lead them "to contemplate with Mary the face of Christ" (§3). Addressed to the church's bishops, clergy, and faithful, the letter is continuous with the pope's earlier reflections in his apostolic letter on the new millennium, Novo millennio ineunte, where he insists on the importance of developing "schools of prayer" for helping the members of Christ's body to "set out in deep waters" (duc in altum) and experience the fullness of the gospel message. "With the rosary," the pope says, "the Christian people sits at the school of Mary and is led to contemplate th6 beauty on the face of Christ and to experience the depths Of his love" (~1). In order to help this process of reclaiming along, he has officially proclaimed a "Year of the devotional life Dennis J. Billy CSSR writes again from Collegio Sant'Alfonso; C.P. 2458; Roma 00100; Italy. 62.4 2003 Billy * Rediscovering the Rosary Rosary" spanning from October 2002 to October 2003 (§3). A Path of Contemplation In this letter the pope reiterates a statement he made in his letter on the new millennium: "What is needed is a Christian life distinguished above all in the art of prayer." He presents the rosary as a "path of contemplation" that developed in the West and represents a counterpart to Eastern Christianity's "prayer of the heart" or "Jesus Prayer." It numbers "among the finest and most praiseworthy traditions of Christian contemplation" (§5). !n order to reclaim its full meaning, however, the rosary must be prayed meditatively against a backdrop of solitude. It sustains rather than conflicts with the liturgy. If properly revitalized, the prayer will be in touch with its Christological center and will aid rather than impede ecumenical efforts (§4). The rosary, moreover, is proposed as a preeminent prayer for peace and as a way of helping families cope with the forces of disintegration that threaten them on both the ideological and practical levels (§6). Mary is presented in the letter as the model of Christian contemplation par excellence: "No one has ever devoted himself to the contemplation of the face of Christ as faithfully as Mary." Mary's gaze would at times be % questioning look," as when she found Jesus in the temple (see Lk 2:48). It would also be % penetrating gaze" capable of understanding Jesus and possibly even anticipating his decisions, as at the wedding at Cana (see Jn 2:5). It could also be % look of sorrow," as when she stood beneath the cross (see Jn 19:26-27) or % gaze radiant with the joy of the resurrection," as on Easter morning, or "a gaze afire with the outpouring of the Spirit" (§10), as on the day of Pentecost (see Ac 1:14). Re'levy for Religious Because the rosary starts with Mary's experience, the pope describes it as "an exquisitely contemplative prayer." Without this contemplative dimension, it would lose its meaning and risk becoming nothing more than "a mechanical repetition of formulas" (§12). When prayed with reverence and a reflective heart, the rosary enables believers to remember Christ with Mary, to learn Chris~ with Mary, and to be conformed to Christ with Mary, to pray to Christ with Mary, and to proclaim Christ with Mary (§§13-17). A Compendium of the Gospel "The rosary," for John Paul, "is one of the traditional paths of Christian prayer directed to the contemplation of the face of Christ" (§18). It is sometimes referred to as "a compendium of the gospel." To further emphasize its Christological depth, the pope has proposed five new mysteries, from Jesus' public life. In addition to the traditional joyful, sorrowful, and glorious mysteries, these "mysteries of light" are "(1) Jesus' baptism in the Jordan, (2) his self-manifestation at the wedding of Cana, (3)' his proclamation of the king-dom of God, with his call to conversion, (4) his transfiguration, and (5) his institution of the Eucharist, as the sacramental expression of the paschal mystery" (§21). These mysteries span Jesus' public ministry. The first is traditionally understood as the first action of his public ministry. The second and third present him respectively as a miracle worker and as preaching and teaching with The five mysteries lead us from the beginning to the end of Jesus' public ministry and focus on the key elements of his message. 62.4 2003 Billy * Rediscovering the Rosary authority. The fourth foreshadows the resurrection and presents Jesus as the culmination of the Law and the Prophets. The fifth is traditionally considered the last action of his public ministry. The five mysteries lead us from the beginning to the end of Jesus' public ministxy and focus on the key elements of his message. As prophetic actions that effect what they signify, Jesus' baptism and his institution of the Eucharist encapsulate the whole of his ministry and serve as fitting bookends for all that comes between. Although the pope leaves people free to follow the traditional format (§19), he is quick to point out that these five new mysteries round out the contemplative focus of the rosary by adding Jesus' .public life to the profound mysteries of the incarnation, the passion, and the resurreEtion that the other three series highlight. In doing so, he roots the rosary even deeper in the Gospel narratives and encourages the faithful to see the intimate unity of the whole of Jesus' redemptive mission. Because the mystery of Christ also reveals something "about the mystery of man, the pope goes on to point out the important anthropological significance of the rosary for believers: "Contemplating Christ's birth, they learn of the sanctity of life; seeing the household of Nazareth, they learn the original truth of the family according to God's plan; listening to the Master in the mysteries of his public ministry, they find the light which leads them to enter the kingdom of God; and, following him on the way to Calvary, they learn the meaning of salvific suffering. Finally, contemplating Christ and his Blessed Mother in glory, they see the goal toward which each of us is called, if we allow ourselves to be healed and transformed by the Holy Spirit" (§25). When reflected upon with care, each of the mysteries of the rosary says something significant about the mystery of human existence. Review for Religious Assimilating the Mystery The.pope also devotes considerable space to how believers should pray the rosary. He highlights the constituent elements of this method of contemplation, one rooted in "the inner logic of the incarnation," namely, that in Jesus God wanted to take on human features. It is well to announce each mystery, perhaps with a suitable icon that will open up the biblical scenario for those praying. The announcement is meant to lead the imagination to focus on a particular moment in the life of Christ (§29). A reading from Scripture, long or short depending on the circumstances, can follow, and then a brief period of silence (§§30 and 31). After these preparatory exercises, those praying lift their minds to the Father with the words of the Our Father. Then come ten Hail Marys followed by the Trinitarian doxology (and sometimes a short prayer) to conclude the decade (§§32-35). Beginning and finishing the rosary as a whole is done in a variety of ways. Some people begin with a verse of Psalm 70: "O God, come to my aid; O Lord make haste to help me." Others begin with the Creed, an Our Father, and three Hail Marys (§37). Some people habitually pray all twenty decades of the rosary in a single day. For those who say five decades a day, the pope suggests the following format: the joyful mysteries on Monday and Saturday, the sorrowful mysteries on Tuesday and Friday, the mysteries of light on Thursday, and the glorious mysteries on Wednesday and The rosary invites believers to open their hearts with Mary to the Word of God seeking to be born within them. 62.4 2003 Billy ¯ Rediscovering the Rosary Sunday (§38). The beads themselves are more than a mere counting device. Flowing from and converging upon the crucifix, they remind believers that their lives must be centered on Christ, and can be seen as "a chain which links us to God," a symbol of "the bond of communion and fraternity which unites us all in Christ" (§36). The pope makes one point very clear: "Although the repeated Hail Mary is addressed direcdy to Mary, it is to Jesus that the act of love is ultimately directed, with her and through her." The repetition suggests our ongoing desire "to be conformed ever more completely to Christ, the true program of the Christian life" (§26). As a "method of contemplation," the rosary invites believers to open their hearts with Mary to the Word of God seeking to be born within them. Like the liturgy, it is a prayer which engages "the whole person in all his complex psychological, physical, and relational reality" (§27). Ten Purposes The pope's apostolic letter serves ten basic purposes: (1) it provides a fitting Marian complement to Novo millennio ineunte, his earlier apostolic letter on the new millennium; (2) it emphasizes the contemplative dimension of the rosary and encourages believers to use it "to contemplate with Mary the face of Christ"; (3) it reviews the method typically used when praying it and shows how it corresponds to the inner logic of the incarnation; (4) it draws out the Christological basis of the rosary and asserts that, when used appropriately, it will further rather than hinder ecumenism; (5) it highlights the anthropological dimensions revealed in the various mysteries and shows how the rosary can lead to a deeper understanding of human, existence; (6) it affirms that the rosary sustains the liturgy rather than being in conflict with it; (7) it breathes new life into the rosary by adding new mysteries that will root it even more deeply Review for Religious in the Scripture; (8) it shows parents that the rosary can help hold their family together in the faith and can foster their children's spiritual growth and development; (9) it presents the rosary as a prayer that by its very nature can advance peace in the world; and (10) it designates the year October 2002-October 2003 as a special time for rediscovering the power and beauty of this ancient and venerable form of prayer. The goal in all of this is to help the faithful recognize the grea( gift they have in the rosary and use it in new and creative ways as they face the challenges ahead of them. In his conclusion, the pope asserts that the rosary is "a treasure to be rediscovered." It has something to offer to everyone: bishops, priests, deacons, religious, and laypersons. He asks all members of the church to take this old and venerable form of prayer once again to heart: "I look to all of you, brothers and sisters of every state of life, to you, Christian families, to you, the sick and elderly, and to you, young people: confidently take up the rosary once again. Rediscover the rosary in the light of Scripture, in harmony with the liturgy, and in the context of your daily lives" (§43). soundings for one of the sisters in the infirmary little does she know she teaches me how to eclipse her deafness. i am brief, no, spare in my attempts. at eighty, she is the poem: words are few mixing with her grief which ebbs like the tides at twilight Lou Ella Hickman IWBS 62.4 2003 MARY JOSEPH SCHULTZ Mirroring Jesus: The Luminous Mysteries and Religious Life TRhosea rHy-o-lOyc Ftoabtheer r2'0s0 n2a tmo iOncgt oobfe trh 2e0 Y03e-a-cr aomf et,he certainly not coincidentally, during a time of profound unrest, conflict, and anxiety. Our world and our church are in labor, struggling for a birth, a release, new life, The feelings of fear, hopelessness, and anxiety that have invaded the lives of all of us call for healing and a new vision. The luminous mysteries of the rosary offer all Christians a new perspective, a new graced opportunity to deepen our understanding and love of our faith, namely, by bringing the public life of Jesus into the rosary. Here we can find refreshment for our souls in these complicated and strife-filled days. We can also find here an additional special gift as vowed religious. I would like to examine the new mysteries in relation to ~onsecrated Mary Joseph Schultz SCC is president of Assumption College for Sisters, the only rerfiaining sister-formation college in the United States. Her address there is 350 Bernardsville Road; Mendham, New Jersey 07945. Revie-w for Religious life, reflecting on how each one can be linked to an essential element of it. The Baptism of Jesus--"You are my beloved Son. On you my fax;or rests" (Mk 1:11). Baptism the Foundation of Religious Life. By virtue of our baptism, all Christians are consecrated for evangelization. We are reborn in Christ; our life is no longer our own. This exalted reality of the indwelling, always challenging and sometimes downright scary, takes a lifetime, indeed an eternity, to grasp. We have been chosen by God to take on the image of his Son, to be his child in our world today. And naturally we cannot attempt this alone, but God's abiding presence, the surpassing gift of grace, enables and ennobles us from within. What does being reborn in Christ imply, particularly for a religious? We are doubly chosen. Cradle Catholics were first called by God through our own particular birth circumstances; converts to Catholicism followed a circuitous adaptive route to being cleansed, empowered, Christified. Whatever the circumstances of our baptism, we have been called and sent, challenged by the Spirit to put on Christ. But as religious our further call is yet more radical. By our call to religious life, the fire that burns in the heart of all Christians is ignited into a new flame of desire for deeper union, deeper consecration, through the gift of our lives. As John Paul II tells us in Vita consecrata, "in such a life baptismal consecration develops into a radical response in the following of Christ through acceptance of the evangelical counsels" (§14). Apart from the consecration of our baptism, it is unlikely that we would .have heard any call to religious life. It is baptism's sacramental spark that ignites the steady flame of Christianity. But, for the steady flame to be strong, it requires of everyone the living of the evangelical counsels. For religious there is a renewed 62.4 2003 Scbultz ¯ Mirroring yesus commitment to them. This is a new source of fuel, our life newly offered to God in all its aspects, like so many grains of incense. The religious life, often symbolized by burning candles too, takes on a new intensity and brings the baptismal vows into a concentrated focus. Perhaps this is why the profession of the evangelical counsels has never been elevated to being a sacrament in the Catholic Church (which some have proposed). It is so obviously an efflorescence of the permanent sacramental character of baptism already present. It is also a deepening of that already living root. The Wedding Feast of Cana--"Do whatever he tells you" (In 2:5). Obedience. In this wonderfully human and touching scene from the life of Jesus, we hear the only recorded words spoken by Mary during the public life of her Son: "They have no wine" and "Do whatever he tells you." Indeed, these words inaugurate his public life. And, for religious women and men, this scene and these words teach a lesson on the vow of obedience. During the thirty years or so since I began learning about the vows in the novitiate, obedience, of all the vows, has undergone the greatest transformation. It has also held the most difficult challenges. (As in most paschal realities, these are not unrelated developments.) My juvenile understanding of "blind" obedience and merely "doing what your superior tells you" has unfolded into a passionate desire to seek the will of God in all its manifestations. Let us face it, how many direct injunctions do community leaders issue during a year to the group as a whole or to me individually? My obedience must be daily and personal. It cannot be relegated to a once-a-year acceptance of my assigned apostolate, though that has sometimes been traumatic enough. Because of the gift of my vow of obedience, I Review for Religious must strive each and every day to hear God speaking to me in a multitude of people, places, and circumstances. I must keep my heart attentive to all of God's calls and then responsive, doing "whatever he tells you." The response could be as small as picking up the phone when I am already engrossed in another task, or lovingly setting aside my own agenda when a sister needs my help. It could be as large as accepting a call to community leadership, or adjusting to the death of a loved one. I laid down my will at my profession. The "freedom" I renounced back then has given rise to a new deeper freedom of spirit. I am free to pursue holiness through the directives of God mediated by my community leadership, other community members, and the circumstances of my life. United with my sisters in community, I stand before God's will, ready to discern and accept. This requires an ongoing grace of faith, a sense of responsibility for myself and others, and a growing awareness of my gifts and limitations. In due time Jesus takes the water of my desire and turns it into the wine of his desire for me. Because of the gift of my vow of obedience, I must strive each and every day to hear God speaking to me in a multitude of people, places, and circumstances. Proclamation of the Kingdom--"The kingdom of God is at hand" (Mk 1:15). Chastity. In the eyes of society today, chastity for the sake of the kingdom is perhaps the most mystifying and countercultural of the three vows. It has been much written about in the past two years alone. Vv'hy give up marriage and the practice of a holy sexuality when it is 62.4 2003 Scbultz ¯ Mirroring yesus such a gift of God, when the witness of true marital fidelity is so sorely needed in today's world? Precisely to proclaim the kingdom! As John Paul II tells us in Vita consecrata: "Yes, in Christ it is possible to love God with all one's heart, putting him above every other love, and thus to love every creature with the freedom of God!" (§88). Not only is it possible, if one has really been called to it and possesses the graced capacity for the vow, but it is a most powerful means for proclaiming the message of the kingdom. The pure love called forth by this vow flows .from the very life of the Trinity, a communitarian life and love revealed to us in Christ. This life, this very same love, is the "stuff" of the Good News that we are called to proclaim, first by our lives, then by words if necessary, as St. Francis would say. By the evangelical counsels consecrated persons are immersed in the life of the Trinity, freed from the constrictions of an exclusive love, able to be totally available for the mission of the church as lived according to the particular community's charism. My chastity enables my obedience to come to fruition as I am called from one ministry to another, one house to another, even from one moment to another. I can and should live my life unattached, in the light of faith, with the joyful freedom of the new heavens and the new earth (see Rv 21:1). I have died and risen with Christ, and I am called to live in the now of the kingdom. The life of a religious man or woman symbolizes what it in fact is, a contact point between Christ and his church--and God's kingdom is truly at hand. The Transfiguration--"And he was transfigured before them" (Mt 17:2). Poverty. This mystical event in the life of Jesus gives his three apostles a glimpse of who he really is. His Review for Religious divinity shines forth, and they behold the glorious face of the Son of God. In reflecting on this incident afterwards, did it not strike them over and over what a tremendous emptying had taken place when Jesus assumed our human nature and for thirty-three years walked the earth as ordinary as themselves? These apostles, unlettered though they were, could not help reflecting on what they had witnessed. They were able to surmise the real identity of the One who called them to follow, the One for whom they too were emptying themselves, relinquishing things in their discipleship. During the vision Peter had exclaimed, "Lord, how good that we are here!" (Mt 17:4). Then he wanted to install three tents and make the experience a more permanent one. Jesus, however, drew them out of their mystical reverie: "When they raised their eyes, they saw no one else but Jesus alone" (Mr 17:8). He walked with them down the mountain, back to ordinary reality. This was the ordinary-looking Jesus, the man they knew and were used to, the friend they were leaving their ordinary lives to follow. He was "himself" again, and asking them to say nothing of what they had seen. For religious women and men who have left all things to follow the Master, the transfiguration can serve as a meditation on our vow of poverty. Jesus in his divine frugality "left behind" his Godhead to assume humanity, but how divine this poverty is, this incarnation, this "taking the form of a slave and being born in the likeness For religious women and men who have left all things to follow the Master, the transfiguration can serve as a meditation on our vow of poverty. 62.4 2003 Scbultz ¯ Mirroring Jesus of men" (Ph 2:7)! While on his earthly mission, Jesus downplayed his divinity or kept it to himself except for this sacred moment when his human poverty became apparent by contrast. Later Calvary was seen as the ultimate of human pain and humiliation, not by contrast as on Tabor, but in the depths of its willing self-sacrifice. By religious poverty we voluntarily give up personal accumulation and full personal use of worldly goods, even such things as time and talent. This emptying for the sake of Christlike availability is a way of doing something radical for God. It is true imitation of Jesus, "who made himself poor though he was rich" (2 Co 8:9). Where better do we see this stark reality than on Tabor? Living this vow, following the pattern of Christ, calls us to be poor in fact as well as in spirit. Religious need to give evidence of a simple lifestyle, with variations according to community charisms. We need to follow the call to empty ourselves radically, in imitation of the One who for our sake modeled a life of emptiness perfecdy. We face the challenge, especially in a materialistic society, of opting not to have, not to be caught up in the consumer mentality that is so suffocating and numbing. This voluntary self-renunciation makes sense only with the humble Christ before our eyes as ideal and strength. The Institution of the Eucharist--"This is my body to be given for you" (Lk 22:19). Community and Holiness. Religious life without a focus on the Eucharist is, to me, unthinkable and unlivable. How better can we be Christ, fulfill our baptismal consecration, and live the evangelical counsels than by daily receiving our nourishment from his very body and blood, by becoming what we eat? The gift of the Eucharist is the divine imagination's chosen way to be with us always, even to the end of time. Tending toward the holiness to which all founders and foundresses Review for Religious aspired, whatever their historical milieu, the members of religious communities must seek the Source of their graced desire for holiness in their Eucharistic communion. Finding it there, they also nurture one another. The bond of community is one of the distinguishing marks of religious life. We came to accomplish together what none of us can do alone. As members of the Mystical Body by virtue of baptism, we draw strength, light, and urgent zeal for evangelization from the sacramental Christ. "In the celebration of the mystery of the Lord's body and blood, the unity and charity of those who have consecrated their lives to God are strengthened and increased" (Vita consecrata, §95). In communal worship, community members reflect on Jesus' act of servitude in the washing of feet, his giving of himself in service. Turning to one another, we daily echo his words about his body being given for us (see Lk 22:19). To you, my sister, to you, my brother, in community, I give the gift of my personhood. Becoming bread and wine for the world, becoming nourishment for God's pilgrim people through our various ministries, is what consecrated persons are called to. No matter what our apostolic works entail, no matter where or how we minister to God's people, whether through prayer or action, we as religious are called and consecrated for holiness. We owe it to the Mystical Body. We owe it to the world. Our call, though individually discerned and individually professed, is lived in common. Our holiness can never be a private matter. We must be and become ever more really what we have publicly professed. While I am by no means suggesting that religious are on a pedestal, we surely are in a fishbowl, especially in the last few years. We must be who we say we are. Today's people have the right to expect that, when they look at religious, they will truly catch a glimpse of 62.4 2003 Schultz ¯ Mirroring Jesus Christ and the gospel values he preached and lived. It is he who must shine forth publicly. It is he who mysteriously and subdy works thi'ough our dull and sinful human selves, alone and in community. For putting on Christ, for living our vows and making ourselves receptive to communal Eucharistic holiness, we can hope to find the rosary's luminous mysteries providing us with fresh encouragement. Mary, our mother and guiding star, will be there as we begin, and at the end, and in between. Exchanging Gifts Even then, in that first star-guided Giving of gifts imported from lands afar: Not the most practical or the most useful For a young household, those gifts are That they offer: gold (of course, money Matters at any season of any year), . But however richly boxed, their potpourris Of high-priced frankincense and myrrh Fail to feed a family; still, nothing At all was ever expected in return, Unlike our ritual passings back and forth Of pricy imports and baubles, meant to earn More than mere admiration: the like exchange Endlessly of acquisitions from off the shelves Of shops, while that first starlit gift-recipient Gives us back endlessly our ransomed selves. Nancy G. Westerfield Review for Religious PETER CANTWELL Why Newly Professed Religious Leave This article was written to assist Franciscan lead-ers. They and others found it helpful.Without rewriting .it at the risk of losing some of its orig-inal flav~r, I offer it to other religious in the continuin~ conversation about this vital issue. As Francis of Assisi neared death, he said to his brothers, "I have done what is mine to do; may Christ teach you what is yours to do.''1 Implied in these words is a challenge for his followers to discover anew in each generation how to express his ideals. There can never be one fixed expression of such a rich gospel charism, nor should there be. Every age, every season of life, and every culture requires us to dig deep into the gospel as Franci~ read it and find new ways to live his simple but demanding religious perspectives Peter Cantwell OFIM, a Franciscan friar, has been a lecturer and practitioner in individual, couples, and family therapy for thirty years, and is director of ongoing formation for the Australian Franciscan province. His address is St. Francis Xavier Church; 1087 Whitehorse Road; Box Hill, Victoria 3128; Australia. 62.4 2003 Cantwell ¯ Wby Newly Professed Religious Leave message. Failure to take up that challenge condemns us to irrelevance and extinction. Over recent years I have often reflected on why some young friars who join us with enthusiasm and excitement depart from our community soon after final commit-ment. Just at that moment when possibilities for min-istry open out, when there is the exciting chance to walk the path of Francis in our world, some choose to leave us. (Incidentally, I believe the following reflections also apply to why more young men do not join us.) These are my own personal musings on this vexing question, musings with which you, the reader, might dis-agree. Behind them lie some of my own story in the Franciscans and several of my deeply held beliefs about our life. For thirty years I have been involved in renewal programs for religious and in the screening program for candidates for our Australian province. As a professional counselor I have helped many religious and priests at the moment of their departure. Visiting other provinces of the order, I have observed similar phenomena. My teaching of counseling in secular and religious tertiary settings has enabled me to talk with adults about how they see religious life. Behind my reflections are one deep personal convic-tion and one fact. My conviction is that the message and ideals of Francis--of bringing the gospel's peace mes-sage to the world, of seeing beyond the allurement of consumerism, of having a special concern for the poor-- are what is most needed by today's world, particularly today's youth. There is no malaise in the ideals proposed to us by Francis. They are as radiant and relevant as ever they were. The fact about Franciscan religious life today is that there is a gap--though perhaps it is narrowing-- between Francis's ideals for us friars and the lived real-ity of our fraternal lives and ministries. We express 6ur ideals in ways that have lost their relevance. Because of Review for Religious this, some young religious cannot recognize the fire of Francis in our daily structures, and they seek to imple-ment their ideals elsewhere. I do not share the pessimism of friars who say they would not invite young people to join us. I find such defeatism thoroughly unlike Francis; it betrays an unwill-ingness to make changes that we need to make. I write these reflections with hope and rising excitement. Hope and possibility are being shown by those with daring and vision. Baggage We Still Carry with Us In thinking and (alking about why young friars leave, we have often focused on only part of the picture. Thus, some have said that young friars leave because their gen-eration is selfish and not willing to make a commitment. Recent developments in family therapy suggest looking to the big picture--the whole family or, in our case, the whole "system"--for the cure. Formerly, acting-out ado-lescents were usually treated with individual therapy, on the theory that there was something wrong within the adolescent: correct that and all would be fine. But often there was a relapse. Therapy began to realize that the problem might be a reflection of what was happening in the entire family--and that the entire family might need to change its way of operating. Certainly there are times when the difficulty is mostly within the individual, but people cannot not be affected by the systems in which they live. Can these insights help us understand why some friars leave? Is saying that young brothers leave because their generation is "selfish and unwilling to make com-mitments" being fair about the part the system of reli-gious life plays in their departure? When I joined religious life in the mid 1950s, it somewhat resembled what is sociologically called a "total 62.4 2003 Cantwell ¯ Why Newly Professed Religious Leave Francis founded his brotherhood as complementary to the monastic movement. institution," one where the identity of the institution assumes priority Over the identities of the individuals who make it up. We dressed identically; we were exhorted to behave the same. To stand out or be "sin-gular" might indicate pride. Community life was the con-veyer of grace, so conformity to a detailed daily regimen was expected. Personal relationships were discouraged because they endangered celibacy: We were trained to be self-contained and to let our conformity and work express our commitment. Though much is now chang-ing, the nonrelational tone of some communities can cause isolation in young friars. Contemporary research says that religious life had become caught in a monastic lifestyle that many founders did not want) Francis founded his brotherhood as com-plementary to the monastic movement. He deliberately did not want to be absorbed into monasticism. He founded us to be a stark challenge, even a shock, to both civil and ecclesiastical society through living the gospel in a radical and transparent way. After his death the brothers, channeled into the monastic movement, lost mobility, lostpublic visibility, and lost a credible lifestyle. One writer says that we were tamed by the insti-tutional church. We do not live on the edge anymore except by courageous individual choice.3 Young friars find these monastic remnants quaint and a block to their ide-alistic vision. Do we provide opportunity for them to live out their dreams, or are they merely educated to fit in? After the departure of a young brother, I have heard such remarks as "He lost his vocation. I could see it coming. He had all those friends outside community." l~eview for l~etigious These words may reflect a theologically crass way of describing a vocation, absolving the community of any contribution to the departure. The vocation seems to be pictured as something in a hermetically sealed container, given to the recipient by God, and totally immune to and separate from fraternal influences. On one level there is nothing mysterious about the growth of a vocation. I had never met a Franciscan till I did a retreat during the last year of high school. I was impressed by the Franciscan who gave the retreat. He had been a professional reporter with a bright economic future, but he gave it up to be a friar. I thought there must be something pretty good in that life. I approached him. He was interested in me, came to visit my family, kept contact, became a friend (with a big age difference). He nurtured my interest and fanned the small flame of inquiry. He gave me literature on Francis, and I discov-ered that Francis had made a similar decision seven hun-dred years earlier. Francis had everything he wanted, but realized it was not enough. Wow! I could feel excite-ment when I left home to join thefriars. My three broth-ers had all married and were pleased with their choices. I felt I was making an equally exciting choice. It was the start of an adventure, an adventure that has never stopped. Friars supported me and cared for me; I formed deep friendships over the years. These friends offered me opportunities, and they challenged me to live the life. Would my vocation have .grown without them? Could I have nurtured my personal "grace of vocation" without them? I doubt it. A vocation is a delicate seed. It needs warmth and careful watering, especially during the early days. The atmosphere, the environment, affects its interior and exterior development. In a recent article a young per-son says that "true rapport, indeed a real friendship, with one religious is more valuable in discernment than one 62.4 2003 Cant'well ¯ Why Newly Professed Religious Leave IIll hundred religious asking me if I am interested in their order . It is very important that religious communi-ties develop friendships with us that nurture growth in faith and commitment to God.''4 In looking at the place of larger systems in the devel-opment of a vocation, we must say a word about the church. As is the case in the order, there are many seeds of hope within the church today. But ~here is something else as well. In a secular university where I teach coun-seling a couple of days a week, I have wonderful students on the whole, postgraduate students of mature age. About a third of them are nonpracticing Catholics. We often have interesting discussions at lunch breaks. They find it hard to understand how someone who is more qualified in their profession than they are can be both-ered being highly involved in church matters. They are not angry with the church. They just find the church irrelevant. The church sometimes gives the impression that it does not need to listen to people's .needs, that it knows the questions they should be asking. But, as Giacomo Bini says, the church can spend its time answer-ing questions that people are not asking. A Change of Culture The worst way we friars can live our Franciscan com-mitment is to ape in our time what Francis did in his. Our age presents challenges different from his, and here lies the rub. As friars we are called to be mobile, not only with our dwellings and our phones, but with our thinking. Change is of the essence of decent physical, emotional, spiritual, communal growth. The strange thing is not that yeligious life is changing, but that it managed to stay the same for so long. "It is equilibrium, not change, that is fatal." 5 The challenge is that we need to change. Are we Willing? The following thoughts try to catch the spirit of our Review for Religious times, point out the needs that we have to answer, sketch the cultural milieu to which we have to be relevant with our exciting Message. To be relevant, we will have to make 180-degree turns in many areas. Years after we ourselves grew up, what are some of the characteristics of the culture in which our new friars have grown up? One dramatic change in today's society is a shift from a work world to a relational world. Recent research in Australia society shows that around one-fourth of the people between the ages of thirty and sixty are "down-shifters"; that is, they have changed careers or reduced work hours and taken a pay cut in order to have more time for family and friends: "The lifestyle has given them a wealth of new friends from a wide cross-section of backgrounds, and the dis-tinction of knowing the names 0f everyone who lives in their street.''6 Obviously not all people are choosing to make this shift, nor should they, but it represents a new emphasis in modern life, a move away from workplace efficiency toward the full growth of the human person. The young writer quoted earlier supports such adaptation: "One of the most com-monly found features of Generation X is its sense of iso-lation and its yearning for stable companionship . We Xers are drawn wherever we feel welcome and find friendship.''7 "Intimacy" (how I relate to another human being) is an important element of human growth, occurring in early adulthood and building on people's sense of iden-tity (who I am). In popular parlance, intimacy is often wrongly identified with sexual intimacy. Intimacy tech- One dramatic change in today's society is a shift from a work world to a relational world. 62.4 2003 Cantwell ¯ Why Newly Professed Religious Leave nically means the capacity to function "up close" to another person in any situation of life. There is no evi-dence that physical sexual intimacy is "necessary for mature development, but there is a wealth of evidence that having close friends, feeling cared for and loved, and being able to relate to others without unnecessary barriers are central to happiness. Closely allied to having healthy relationships is the search for true community. More so than previous gen-erations, today's young people meet many of their inti-macy needs by belonging to a group. A young person observes that in his view "religious life is special in pro-viding everyday community practices that foster spiri-tual growth in ways that are difficult to find on one's own.''8 The young today value being in a supportive envi-ronment more than having job security. The breakdown of traditional neighborhoods and the mobility of Western populations are the causes of much loneliness and isola-tion. The multitude of support groups--from therapy groups to reading groups--witnesses to contemporary culture's hunger for community. Young adults do not Seek community as a soft option: "We do not want community just to comfort, us and give us a sense of security. We want to be stretched and chal-lenged to serve God and others with the community life serving as a support that allows us to reach beyond our-selves in the service of God through prayer and works.''9 And they actually seek structures in community, but ones that are alive and thoughtful and provide human and spiritual support. Among the tertiary students I teach, I find it.easy to initiate a discussion on "spirituality," but mention the word religion and the energy for the discussion dimin-ishes. "Religion" is seen to be connected to mainstream churches, which are often experienced as irrelevant. The young seek a spirituality that builds on human whole- Review for Religious ness. For them being "fully spiritual" is being "fully human." They often experience mainstream church life as a spiritual desert. "Xers are known for their great spir-itual hunger. When this deep hunger for religious mean-ing has not been satisfied within the religious practice of families, many of us have looked outside of the tradi-tional familial practices to come into contact with the transcendent meaning that we crave." 10 Young adults today are perceptive about genuine-ness: the medium is the message. "Religious need to present, themselves as people who have benefited immensely from their vocation and have found peace, mission, love, and a passion for the gospel and for God through their decision."11 The culture of the young has little time for the phony, for performance that does not come from the heart. They are very sensitive to any gap between what we ask them to profess and what they observe us living. Do we ask them to profess "poverty" and then live like upper-middle-class people? "In sum, Xers are not going to make a radical countercultural decision unless they see a radical lifestyle being lived out, one that has benefits that married life does not.''12 We ask them to give up everything. What is the excit-ing challenge we offer them? I am convinced that the issue for today's world is "justice," especially for disenfranchised groups and par-ticularly those without a social voice. Issues of church dogma--while not in any sense unimportant--evoke lit-tle energy compared with issues of people's rights to just treatment. Daily newspapers are full of human-rights and justice issues. "Experience indicates that [young adults] have a very strong sense of the common good and of collective social and civic responsibility.''13 They have little truck with cover-ups and social dishonesty, and find the behavior of some church officials in recent sexual-abuse issues obnoxious. 62.4 2003 Cantwell ¯ Why Newly Professed Religious Leave Today's young adults demand authenticity of person and action. Seeds of New Life My hope for the future of our brotherly life comes from my conviction that Francis calls us to a style of fra-ternal living and mission for which there is a thirst in our culture. If our young adults are calling for transpar-ent authenticity in personal life, for communal life that is supportive and challenging, for relationships rather than material efficiency, for spiritualwholeness, and for engage-ment with justice and peace in our world. Are these things not the message of Francis of Assisi and the ideals that today's Franciscans have at heart? It would take us beyond the present article to elabo-rate on these five emphases, nor is it necessary. I would like simply to quote from our Rule, from the contem-porary document Priorities of the Order, and from sev-eral other sources to show that what the young seek has always been and is now central in theory to our life. Today's young adults demand authenticity of person and action. Nothing characterized the life of Francis more than his untiring personal conversion, his belief that the best message he could offer to people was the transparency of his own life, being a "living memory of the gospel ofJes.us.''14 His journey to La Verna was a call to purify his own life, to make it as close to his Lord's as possible. The stigmata was the recognition, the physical manifestation~ of the union of Francis's spirit with that of his Lord. For Francis, fraternity is the first witness of the apos-tolate. For him, our relationship with our brothers and, of course, with God is the foundation of our way of life. What statement on fraternity could be better than the one in our Rule (chapter vI)? "And wherever the broth-ers may be together or meet [other] brothers, let them Review for Religious give witness that they are members of the one family. And let each one confidently make known his need to the other, for, if a mother has such care and love for her son born according to the flesh, should not someone love and care for his brother according to the Spirit even more diligently? And, if any of them become sick, the other brothers should serve him as they would wish to be served themselves." 15 The recent publication from our general chapter offers the same challenge for fraternity: "The Project of Fraternal Life. should be drawn up. so as to help the ministers, guardians, and friars to build up a real and profound fraternal life, to cultivate human values like dialogue, deep-level communication, a family spirit, mutual friendship, courtesy, willingness to serve, joy, jus-tice, transparency." 16 And Giacomo Bini says: "What a paradise . . . the atmosphere of the community becomes when the mem-bers have learned how to get to know one another and to engage in dialogue with themselves, with God, and with the others . We must therefore invest all our talents in promoting a formation to fraternal relationships and to relations with God. No excuses are acceptable: neither age nor temperament nor 'venerable' tradition can dis-pense us from this duty.''~7 One of the most delightful characteristics of both Francis and Clare was their abil-ity to relate to the high and the lowly, the rich and the poor, the powerless and the powerful, with equal com-mitment of spirit. The primacy of the spiritual in young people's search is highlighted in one simple quotation from Francis's Rule: "Those brothers to whom the Lord has given the grace of working should do their work faithfully and devotedly so that, avoiding idleness, the enemy of the soul, they do not extinguish the Spirit of holy prayer and devotion to which all other things of our earthly exis- 62.4 2003 Cantwell * Wb~ Newl~ Professed Religious Leave tence must contribute." 18 And in Priorities of the Order we are told: "The contemplative dimension must be that priority which orientates and animates our whole life: the manner in which we seek and live the presence of God in every day also determines our concrete style of life and our manner of pastoral action in the Fraternity.''19 Francis has been strongly identified with the peace movement, and his peace prayer is recited by many inside and outside the church. Francis devoted his energies to the justice and peace issues of his time. His attempts to mediate between local warring towns and his journey to speak with the Sultan of Egypt are just some examples of his commitment to and preoccupation with peace between peoples. The present pope gathered religious leaders in Assisi when he wished the world to pray for peace. The increasing concern with justice and peace throughout our order--seen in recent publications from our JPIC office in Rome and in the heavy involvement of friars in different parts of the world--witnesses to the clear focus of our communities on these issues. Priorities of the Order sums up the same idea: "The friars in their lives and in their words should be promoters of justice, and heralds and builders of peace and reconciliation, so as to be prophetic signs which fearlessly denounce all that which destroys the dignity of man and of creation." 20 How We Can HelpClose the Gap I believe that some friars leave our fraternity soon after final commitment because the gap between the "lived experience" of fraternal life and ministry and the ideals that were fostered and experienced during initial formation becomes too broad. Great work has been done on initial formation in our order over recent decades, but with final commitment the friar experiences the more ordinary lifestyle of the brotherhood. This older system with its more impersonal tone, overly routinized prayer Review for Religious life, and rugged individualism leaves them feeling iso-lated and unsupported, and they become work-oriented. After years of counseling numerous religious who have left, it is hard for me to remember someone who departed because interesting ministry was unavailable. The common comment has been that life became "too damn lonely." How can the different parties help to close the gap in this time of transition? Times of transition involve cri-sis, and any crisis has two possibilities: opportunity if the crisis is faced, danger oth-erwise. Facing the crisis means avoiding any split by keeping the conversation going, talking of differences and commonali-ties. No one side ever has the whole truth; the truth is a shared truth. I note much good-will on the part of older friars and enthusiasm on the part of the younger ones. There is much "good wine" in both generations. Given this good environment for cooperation, how can we work together? Are there practical moves we can all make? The follow-ing are some of my random suggestions, and maybe you can come up with others: We need to continue moving away from monastic-style buildings towards more ordinary homes. We need to find more visible, credible, and transparent ways of living. For many friars brought up on the older model, where relationships were discouraged and closeness was taboo, this change could present challenges. Contemporary research on religious life indicates that there is a move towards small groups immersed in local communities where there can be a more relational life. "We have need in our society for a countercultural way of life that wit- No one side ever has the whole truth; the truth is a shared truth. 62.4 2003 Cant'well ¯ Why Newly Professed Religious Leave nesses to the gospel call to transcend hedonism, greed, and the desire to dominate.''21 Living in more ordinary houses also makes us more mobile. If we need to do something different, we just sell and buy an ordinary house and are not stuck with a monastery to sell. But young friars .are often looking (like Francis) for a deeper challenge than "living in ordinary houses." They would like to live more simply than their ¯ surrounding culture. They are looking for a palpable sacrifice expressed in our way of living. Smaller houses also demand some of the ordinary decencies of day-to-day living that can be avoided in large houses: "How was your day?" "Sorry!" "Thank you." "May I--?" (Incidentally, the increasing tendency for religious to live alone in ordinary dwellings avoids, in my view, one of the fundamental witnesses of religious commitment.) My own picture of future community life has us liv-ing in ordinary houses and going from there to work. This provides some kind of boundary between work and fraternity. The very acts of leaving home for work and returning home after work are important symbolically. There is no reason why a parish community could not live in an ordinary house within the parish. Friars whose ministry is giving retreats or giving parish missions or working with the poor in the immediate neighborhood or teaching in a nearby school could live fraternally in an ordinary house. We should be slow to build homes or offices specifically for ourselves. If we need office space, we can always buy or rent--then move more easily if the need arises. The move to smaller community living requires more "conscious formation in relationships. Many of the broth-ers in my age group missed out on the "intimacy" stage of formation. There was no encouragement towards friend.ships, towards closeness, towards just ordinary con-nection with other friars. Often those who joined reli- Review for Religious gious life as late vocations have already experienced this stage of development. Gentle encouragement for older religious towards a more relational life can be a big help. Larger communities are sometimes necessary, espe-cially for those who are ill or need more attention, but a large building does not have to impede good fraternity. Attitude is the ruling factor. For instance, even a large din-ing room can be made homey through the use of smaller tables and random seating. House meetings can address, besides strictly busi-ness agendas, matters such as "How are we with each other?" Simple questions like "What is going well in the community?" and "What needs to happen for our life together to be even better?" focus on the positive and require friars to look ahead rather than grumble about difficulties. Such questions create space for friars' needs to be attended to regularly--a good principle of group dynamics. Having a community night--no scheduled work and no work" unless urge.nt--can really help to build frater-nity. Make the night a little special. The meal might be special or served differently or eaten later. The spiritual aspect of our lives should be present. A Eucharist that is thoughtfully prepared is one option, or a special variation on the prayer of the breviary. We need to keep reviewing our commitment to our min-istries, Youth are looking for an exciting ministry that gives witness to our Franciscan values. No ministry is excluded for us, but each ministry must flow out of who we are. The area of our lives which has been most tamed by the institutional church is that of ministry. We have become very mainstream. "Is the societal need that moved us into these works many years ago still relevant? Is the countercultural stance that characterized the socially radical and politica!ly subversive vision of the founders still operative?''22 62.4 2003 Cantwell ¯ Why Newly Professed Religious Leave Why are we doing what we are doing? One reason offered is "We have been doing it for a long time." Not good enough. Another is "We are doing good work and the people love us." I hope that the people will always love us, but that is not a sufficient reason to stay or.go. One danger is that, as priests become fewer, we will be tempted to fill slots for demanding bishops. We speak much about preferential option for the poor. Some of the exciting ventures in our order--and quite ordinary ones as well--are focused on this societal need. In my own province we have a small community of friars living in a housing settlement. They are doing great work in ordinary ways: forming neighborhood groups to keep the suburb clean, finding furniture for the needy, helping build local community support groups, being resources for addressing neighborhood troubles. Young men who are thinking of joining us rightly ask: "Why are you Franciscans doing that particular min-istry?" Can we answer them? I believe the recently introduced custom of mentoring younger friars is an excellent idea that deserves being imple-mented. Being a mentor has been challenging for me, and I believe that it has helped build bridges. Being mentored by more experienced friars has helped me enormously. Meetings of young friars and even meetings, of young reli-gious from different congregations provide support through the sharing of experiences and thus getting a sense of solidarity in a common venture. When the meeting has involved only friars, they have appreciated the presence of the provincial administration for some of the time during the meeting. Meetings of friars in which the experiences of the differ-ent age groups are shared can help build bridges. Recently in my province we asked our two newly professed friars, who had completed a very good novitiate in another Review for Religious pro-~ince, to share with us their experience of the novi-tiate. The theme was expanded to include what young people seek in religious life. Young and old enjoyed the experience. Often what seems like bad will is lack of information. I believe that young friars benefit enormously from hearing the experiences of the older friars, and that sharings like these help close the gap between generations. The proviso is always the priority on listening, coming to learn and understand, rather than being a know-all on either side. In particular, are we attentive to the promptings of the Spirit in the young friars? Do their contributions have their rightful effect on policy decisions? Have we helped them to be skilled at the culture gap? I want to make special mention of the great wisdom and contribution of the older friars. Often in this paper I have referred to age gaps. More correctly, they are cul-ture gaps. Some of the most up-to-date, psychologically flexible, and spiritually wise friars are those who have borne the heat of the day and who are able to offer their wisdom to any who listen. Keeping the conversation going between the different age groups is important in a time of transition. If we do not talk to each other, we build up fantasies of what "that other group" is thinking or doing. I believe we all have lo~s of goodwill, and behind our unwillingness is often fear. When I was prenovitiate director, I used to invite any friar who was passing through the area to "come and talk to the prenovices." The common worry was: "What will I talk about? I don't understand young people?" My response was: "Simply tell them what it has been like for you to be a follower of Francis." We had many enjoy-abl. e evenings, and imagined barriers were broken down. A prayer life that is simple but refreshing is the core of my fraternal life. There are many simple ways to vary common prayer: sing the hymn or play a CD, have some-one read the canticle reflectively, have silence instead of 62.4 2003 Cantwell * Wby Newly Professed Religious Leave Youth hearken to religious callings that offer a countercultural witness to the cultural trends of greed, power, consumerism, individualism. one of the psalms, omit a psalm and have a longer gospel reading or a nonscriptural reading. These suggestions do not require hours of preparation, but they draw us out of a numbing routine that certainly does not refresh my spirit. Faith sharing, too, deepens the experience of fraternity. There is often fear when faith sharing is mentioned: par-ticipants feel they will be asked to bare their souls before the brethren. I like to begin such sessions by saying that it is fine for any friar to be totally silent if that is his wish. One group with which I meet has a simple shared prayer that goes like this. First of all a text is read, usually from the Scriptures. After a short silence anyone who wishes shares just a phrase or word that stood out for him (no embellishment). The text is read a ,second time followed ¯ by a few minutes of silence. Then anyone who wishes . tells briefly what that text means to him or her. Finally we round off with a prayer. I always come away with some small inspiration. We will probably become poorer as a fraternity. Youth hearken to religious callings that offer a countercultural witness to the cultural trends of greed, power, con-sumerism, individualism. One of the most difficult chal-lenges I personally find is not taking the standards of average Australian society as the ones-for my own life. Some young friars have said that, when they joined the order, they went "up" in their standard of living. Can I live in such a way that, when lay people visit the com- Revie~ for Religious munity (or my room), they would find a simplicity of lifestyle that would make them think? Can we use for others the money people generously give us for our min-istry- and maintain a simple lifestyle in our fraternities? I believe Francis would want us to. As our numbers become smaller, we will probably become poorer as an order. I believe that will not do us any harm. When people--of whatever culture or race-- find that we are actually living side by side with them and are in need, they will provide for us. Finally, dare we do something new and exciting when numbers are going down--or even because numbers are going down? If young friars experience only the closing down of houses and nothing else, they might just feel they are on a sinking ship. If I Were a Young Man. If I were a young man with many bright opportuni-ties in Life before me, what kind: of Franciscan religious life would inspire me to join the fraternity? ¯ When I met individual friars, I would want to see the light in their eyes (like I found in the first friar I met) that would tell me they lived life with a passion. ¯ When I visited the communities~ I would want to feel genuinely welcomed (and I reckon I would quickly work out whether it was genuine, or not), not just another statistic. As I joined in community prayer, I would hope to find it fairly simple and thoughtful, not a rushed ver-sion of monastic prayei'. I would not want a lot of prayer--rather a quality about what I experience. And a certain atmosphere of silence at some times of the day would appeal to me. ¯ At recreation I would want to feel that the friars really wanted to have fun together and were not just going through another routine. I would be listening for such ordinary comments as "How was your day? What 62.4 2003 Cantwell ¯ Why Newly Professed Religious Leave were the results of Brother Juniper's visit to the doctor? Who has a new joke to tell?" ¯ I would want to talk to the older friars, to find out how they had experienced following Francis, to learn from their endurance and patience. I would want them to pray for my young journey and have confidence that I could make a contribution, even though different from theirs. I would want them to listen to my hopes, and I would want to hear theirs. Could they translate their struggles into something meaningful to me? ¯ I would hope the kitchen is a place where we all contribute--simple good food and good wine being essential to life. ¯ When they told me about their works, however simple, I would want to ask them why they did those particular things. How does the fire in their belly moti-vate what they do? I would be particularly excited about working for justice, for those without a social voice, for those who feel abandoned by our society. ¯ I would want to experience a rich diversity of min-istries: parishes (why this parish?), retreat work, work with the disadvantaged, skilled individuals doing some unusual ministries. The common denominator v~ould be the "Franciscan need." ¯ I would want to think that there is a certain mobil-ity about the brotherhood, that the friars have their ears to the ground ready to respond to new needs. ¯ I would want the accommodations to be simple yet comfortable--and that the rooms not be so self-contained as to be able to survive a nuclear attack. I would want the neighbors to call in when they think it important--and to be able to share our prayer life. But I would also hope there was a certain sacred space just for the community. ¯ I would want to feel encouraged to give rein to my dreams, to feel there is space for new wine as well as old. ¯ I would be most affected by friars who palpably Review for Religious enjoyed and passionately lived their lives, and who felt fulfilled as human beings and followers of Francis. Franciscan Fire I believe our world today is crying out for precisely those human and spiritual attitudes that Francis of Assisi lived so courageously. Through no bad will, we seem to have lost some of Francis's fire through excessive struc-tures and institutionalization. There is excitement in rediscovering it today, seeing the spark in people's eyes when they hear of Francis. Why do young friars leave? The ultimate answers are all individual. But some leave because the gap between the ideals of Francis and the lived experience of Franciscan life is or appears too great. Rather than blame either side--for blame simply darkens the space between us--can we see these departures as a call to stir the fire in our own lives? Numbers do not really mat-ter. Whether we are few or many is irrelevant, provided that friars are not leaving our midst because we are uncertain trumpets of truly good news. Our task is to echo credibly the ringing values of the poor man of Assisi. Francis and Clare became living and prophetic words to the people of their time. We are challenged to do the same, not alone but in tune with the Spirit. Let the last word be Oscar Romero's: This is what we are about. We plant the seed that one day will grow. We water seeds already planted, knowing that they hold future promise. We lay foundations that will need further development. We provide yeast that produces effects far beyond our capabilities. We cannot do everything, and there is a sense of liberation in realizing that. 62.4 2003 Cantwell ¯ Why Newly Professed Religious Leave This enables us to do something, and to do it very well. It may be incomplete, but it is a beginning, a step along the way, an opportunity for the Lord's grace to enter and do the rest. We may never see the end results, but that is the difference between the master builder and the worker. We are workers, not master builders; ministers, not messiahs. We are prophets of a future not our own. Notes 1 Murray 8odo, The Way of St. Francis (Cincinnati: St. Anthony Messenger Press, 1995), p. xvi. 2 Michael J. Breen (ed.), A Fire in the Forest: Religious Lift in Ireland, survey by John A. Weafer (Dublin: Veritas, 2001). 3 Johannes Baptist Metz, Followers of Christ: The Religious Life and the Church, trans. Thomas Linton (New York: Paulist Press, 1977). 4 Matthew T. Eggemeier, "Generation X and Religious Life: A Personal View," Review for Religious 59, no. 5 (September-October 2000): 485 and 484. s Breen and Weafer, Fire, p. 61. 6 Sydney Morning Herald, 11-12 January 2003, p. 12. 7 Eggemeier, "Generation X," p. 482. 8 Eggemeier, "Generation X," p. 482. 9 Eggemeier, "Generation X," p. 483. 10 Eggemeier, "Generation X," p. 481. 11 Eggemeier, "Generation X," p. 486. 12 Eggemeier, "Generation X," pp. 486-487. 13 Lori Spanbauer, "Snapshot of the Millennial Generation," Horizon 27, no. 2 (2001-2002): 15. ,4 Giacomo Bini, Clare of Assisi: A Song of Praise (Rome: Franciscan Press, 2002), p. 15. is Rule and General Constitutions of the Order of Friars Minor (Pulaski, Wisconsin: Franciscan Publishers, 1974), p. 29. 16 Priorities of the Order, General Chapter 1997 (Rome: Franciscan Press, 1998), pp. 8-9. 17 Giacomo Bini, Clare, p. 55. Review for Religious 18 Rule and General Constitutions, p. 28. ~9 Priorities of the Order, p. 6. 2o Priorities of the Order, p. 11. 2~ Breen and Weafer, Fire, p. 68. 2~ Breen and Weafer, Fire, p. 106. Seminary Woods The oak leaves quietly drift from the tall trees, landing softly on the lake, their edges curled skyward as they float along, blown by a gentle breeze. Father, may my hands ever be lifted to you in prayer, as I am blown about life's surface, a little leaf made to glorify your Name. Christine Diensberg OSF 62.4 2003 DONALD C. MALDARI Ignatian Insights into Evangelical Poverty Over the centuries Christian spirituality has, ironically, valued the practice of poverty as an aid to becoming rich in holiness. The inspiration for this evaluation of poverty comes first from its most limpid example, that of the kenosis (emptying) of the Son of God in the incarnation (Ph 2:7) and then from the lives of every person whom Christianity considers a saint. Catholic tradition recommends the practice of the "evangelical counsels" to all Christians as aids in their growth in holiness.~ They are manifold ascetical practices, especially obedience, poverty, and chastity, designed to counter sinful tendencies. They aim at checking human delusions of independence from God, such as pride and self-centeredness. They promote a relationship with God animated by the theological virtues of faith, hope, and love.2 They all appear oddly paradoxical, like pursuing wealth by way of poverty. Ignatius Loyola's spirituality sheds light on this paradox for all struggling to find hope. The young Ignatius sought fulfillment in the ways that conformed to the values of his or really any Donald C. Maldari SJ is an assistant professor in the Department of Religious Studies; Le Moyne College; Syracuse, New York 13 214. Review for Religious materialistic society: in riches and honor. His life was driven by the pursuit of courtly honor and of physical gratification. His convalescence from a serious wound at the battle of Pamplona forced him into a poverty of sorts: a lack of distractions that afforded him the opportunity to find authentic fulfillment in a newfound relationship with God. Upon reflection Ignatius concluded that the riches and honors that people seek may lead to a pride that is self-destructive. This pride obstructs a life-giving relationship with God. In order to battle against the suicidal temptation to self-sufficiency that riches, honors, and pride offer, Ignatius turned to evangelical poverty. Along with the great tradition of Christianity, the mature Ignatius understood evangelical poverty neither as destitution nor as austere disdain for material goods to earn divine favor. Destitution wounds the inherent dignity of human persons by depriving them of what they require to develop as God desires. Disdain for material goods denies the goodness with which God endowed creation. As is evident from the First Principle and Foundation of his Spiritual Exercises, Ignatius, on the contrary, rejoiced in the vocation to fulfillment that God extends to all people and recommended using created things for that purpose (SpEx §23). He grew to understand evangelical poverty as a spiritual attitude and material lifestyle that promotes the most fulfilling creaturely relationship with the Creator. That relationship is made possible by the life that flows from God to creatures, that is, by grace, and the hope that animates creatures and draws them into participation in the very life of God. There appears, therefore, to be a relationship between evangelical poverty and theological hope in the spirituality of Ignatius. Ignatius pursues evangelical poverty as a means of cultivating theological hope. This hope puts Ignatius in direct contact with God, as is 62.4 2003 Maldari ¯ I~natian Insights into Evangelical Povert~ Ignatius's spirituality of poverty and hope is countercultural, as is Christianity itself. characteristic of the theological virtues. One can trace the development of Ignatius's embrace of evangelical poverty in his Autobiography, and one can glimpse the results in the fragments of his Spiritual Diary that have survived. In these fragments one is privy to Ignatius's growing relationship with the Holy Trinity, which he perceives as a community of love that shares all it is and has. It, too, lives evangelical poverty! In his Spiritual Exercises Ignatius invites exercitants to develop their own relationships with the triune God. Ignatius's spirituality of poverty and hope is countercultural, as is Christianity itself. The Gospels assert that those who wish to live authentically need to lose their lives whereas those who selfishly cling to their lives destroy them. Sacrifice, the root meaning of which is "to make holy," seems inevitably to involve some sort of renunciation. The Christian tradition believes that this renunciation is necessary because of the sinful and selfish inclinations of humankind. Evangelical poverty is one of the sacrifices which Christianity values. The hope which it cultivates nourishes people, allowing them to participate even now in the life of God. Ignatius's Understanding of Evangelical Poverty Ignatius's Autobiography reveals a man who grows in his love for God. He attributes to God the initiative in their relationship, but recognizes that people can cooperate with God by taking graced action in developing the relationship. Ignatius grew in his recognition of the Son, the Second Person of the Trinity, as the mediator between God and humanity. He encounters the Son in all creation, Review for Religious which, created through him, is charged with his presence. He encounters him in a privileged way in the incarnate Christ, the fullness of the revelation of God. In Christ Ignatius experiences the dynamic of salvation: the descent of the Son into the human situation in order to effect the ascent of humanity into the life and work of God. As mentioned above, Ignatius relates to God not only in his divine unity but also as the divine community of the Holy Trinity. Poverty, which he refers to as a "mother," plays a crucial role in the development of Ignatius's relationship with this community (Constitutions, §287). As Maurice Giuliani opines, he even recognizes it in the Holy Trinity and in each of its members: The poverty of Jesus who does the work of his Father, the poverty of the divine Persons whose richness is the love which they have for each other, the poverty of the creature who wholeheartedly desires "reverence and respect" along with fidelity and service. How could Ignatius, thus interiorly instructed, henceforth choose anything else but this way of material poverty, a visible sign of human poverty vis-a-vis God and participation in the poverty of God himself?.3 Poverty was an ascetical practice for Ignatius. He understood asceticism as the exercise a person undertakes to attain a goal. His understanding of it developed from an integration of the insights of Christian tradition with insights drawn from his own experiences.4 He used it as an aid to his relationship with the Trinity.5 Javier Osuna Gil suggests that one consider Ignatius's understanding of asceticism from three perspectives: (1) as an effort to remove all disorder, all impediment, whatever makes us less free to receive the transforming action of God, who embraces us with his Love; (2) as a task for transforming oneself into an agile and flexible "instrument" of God, 62.4 2003 Maldari ¯ Ignatian Insights into Evangelical Poverty with increasing availability; and (3) as a way of "carrying the cross," the necessary cost of the historical impact between the project of Jesus and the project of this world.6 Ignatius uses ascetical practices in order to promote the disposition of sinners who seek to respond to Jesus' invitation to follow him and to cooperate in his mission.7 The Spiritual Exercises themselves are ascetical in character in that they are means of preparing and disposing our soul to rid itself of all its disordered affections and then, after their removal, of seeking and finding God's will in the ordering of our life for the salvation of our soul. (SpEx §1) They propose to facilitate the self-communication of God to the exercitant (SpEx § 15). In 1544 Ignatius penned a short document titled The Deliberation on Poverty that provides an insight into his discernment regarding the prescriptions on poverty in the Constitutions of the Society of Jesus. In this document one perceives Ignatius's use of evangelical poverty as an ascetical practice intended to promote his relationship with Christ. Manuel Ruiz Jurado distinguishes three motivations for Ignatius's choice of absolute poverty in this text: ascetic-mystical, apostolic, and Christocentric. The ascetic-mystical reasons include the recognition that poverty promotes absolute hope only in God because it separates one from reliance on secular things.8 The apostolic reasons include giving greater edification through example, having freedom to travel in imitation of Christ and the first apostles, whom Christ charged to live in poverty, and relying for consoling hope, not on secular goods, but on God alone.9 The Christocentric reasons include the desire to imitate Christ, who was poor and faced great adversities and who contin