Suchergebnisse

Introducción La vida social humana se sustenta en la cooperación de una forma diferente respecto a otras especies. Los científicos han indagado en la evolución de la cooperación desde distintos puntos de vista (Trivers, 1971; Dawkins, 1976; Axelrod y Hamilton, 1981; Axelrod, 1984; Caporael et al., 1989; Boyd & Richerson, 1990; Wilson & Sober, 1994; Bergstrom, 2002; Boyd et al., 2003; Gintis et al., 2003; Bowles & Gintis, 2004; Gintis et al., 2008; Boyd et al., 2010) pero ninguna de tales explicaciones dan cuenta de la complejidad de las relaciones cooperativas humanas. En este trabajo de tesis se analizan las relaciones cooperativas destacando su relación intrínseca con las relaciones de confianza. ¿Por qué cooperamos? ¿Cuál es la influencia de la confianza en la cooperación y qué papel juega la historia evolutiva en este puzle? Tomando en consideración las formas sociales adoptadas por nuestros antepasados humanos, es posible pensar en ciertos rasgos cognitivos y psicológicos específicos relevantes para entender las relaciones actuales de cooperación y, en un sentido más amplio, las relaciones sociales. El objetivo es, en definitiva, enmarcar las relaciones sociales humanas en un entorno evolutivo para explicar comportamientos sociales que existen en la actualidad. Contenido de la investigación Esta tesis trata de responder a las cuestiones planteadas anteriormente basándose primero en la relación que existe entre la evolución de la socialidad y la cognición humanas, como hipótesis de partida a contrastar en estudios posteriores. Desde esta perspectiva y, utilizando una metodología multidisciplinar procedente de disciplinas tales como la Sociología, Psicología y Antropología, se diseña un plan de investigación que trata de profundizar en mayor medida en dichos temas. El trabajo de tesis parte inicialmente de una revisión crítica sobre estudios que tratan de relacionar el comportamiento social en primates y la evolución del neocórtex –la Hipótesis del Cerebro Social de Dunbar (Dunbar, 1992; Dunbar, 1998; Dunbar & Shultz, 2007; Shultz & Dunbar, 2007; Dunbar, 2010). De dicha revisión, resulta evidente la necesidad de utilizar un enfoque más matizado para explicar la enorme complejidad de las relaciones sociales humanas. Para ello, ofrece un enorme interés el análisis de la influencia del mecanismo psicológico de la confianza. No obstante, los estudios de Dunbar, especialmente aquellos relacionados con las características propias de los grupos sociales humanos en relación a la capacidad cognitiva, son continuamente revisados a lo largo de todo este trabajo. Posteriormente se propone un marco teórico sobre los factores que influyen en la confianza (Parsons, 1970; Barber, 1983; Good, 1988; Yamagishi, 1998; Glaeser et al., 2000; Uslaner, 2002; Six, 2005; Bjørnskov, 2006; Hardin, 2006) y su posible configuración en un entorno evolutivo. Sobre esta base teórica, se diseña el posterior trabajo empírico, siempre teniendo en cuenta la hipótesis de que el ser humano tiene un comportamiento social ampliamente influenciado por un contexto de relaciones dentro de los pequeños grupos en los que ha convivido durante la mayor parte de su historia evolutiva. El marco teórico explica los elementos que conforman la confianza, la tipología y su posible configuración a lo largo de la historia evolutiva. Constituyen el substrato utilizado para llevar a término el análisis de la confianza y del comportamiento cooperativo en los siguientes trabajos empíricos. Los estudios empíricos siguen un plan basado en un diseño propio, procedente de la revisión de la literatura (Fey, 1955; Rosenberg, 1957; Wrightsman, 1964, 1974; Rotter, 1967; Survey Research Center, 1969; Christie & Geis, 1970; Johnson-George & Swap, 1982; Rempel et al., 1985; World Values Survey Association, 2009), con cuestionarios para medir el nivel de confianza general y personal en un grupo. Además se usa un juego experimental – dilema del prisionero con algunas variantes– que demuestra el comportamiento cooperativo real de los individuos. El juego se realiza en condiciones de confianza y de no confianza entre los miembros de un mismo grupo. El estudio piloto se lleva a cabo inicialmente en dos grupos diferentes. Los resultados muestran ya la influencia de las relaciones cercanas de confianza personal en la cooperación y el interés de analizar las redes de confianza (Radcliffe-Brown, 1940; Barnes, 1954; Milgram, 1967; Mitchell, 1969; Wasserman & Faust, 1994; Molina, J.L., 2001; White & Harary, 2001; Newman et al., 2003; Freeman, 2004; Eguíluz et al., 2005; Fowler & Christakis, 2010) en mayor profundidad. Los resultados de este trabajo se confirman en un estudio similar posterior con otros grupos más numerosos y más comparables entre sí. Los nuevos resultados muestran cómo la cooperación se relaciona en buena medida con un compromiso afectivo de reciprocidad que proviene de la confianza personal, como elemento adaptativo hacia una cooperación más exitosa, incluso en condiciones de anonimato y pese a la posibilidad de causar un perjuicio en el individuo a corto plazo. Además, el estudio incluye un análisis en profundidad de las redes de confianza de estos grupos para constatar la importancia que ciertas topologías de redes de confianza pueden tener en la cohesión general de un grupo. La última parte de la tesis presenta una perspectiva más antropológica con la realización de trabajo de campo en dos zonas caracterizadas por su gran diversidad étnica: el norte de Ghana y Oaxaca, en México. Estos lugares permiten estudiar cómo interaccionan los grupos y por qué mantienen sus identidades étnicas a pesar de una historia en común. Se pretende analizar si los mecanismos de la confianza personal que aparecen a nivel individual pueden trasladarse también a grupos más grandes o a sociedades. En este caso, además de la observación directa de los grupos y de la inclusión de su contexto histórico, social, económico y político, se utilizan entrevistas y redes personales de cooperación. En el trabajo de Ghana (Rattray, 1931, 1932; Syme, 1932; Tait, 1961; Hilton, 1962; Hart, 1971; Drucker-Brown, 1975, 1992; Fussy, 1979; Laari, 1987; Awedoba, 1989, 2001; Wilks, 1989; Assimeng, 1990; Kotey, 1995; Schlottner, 2000; Oppong, 2002; Tonah, 2005), se hace un recorrido por el contexto de los grupos y se explican las características de sus redes de confianza y cooperación. En este trabajo, se observa la eficacia de la diversificación étnica como medio para crear pequeños grupos más resistentes a la hora de enfrentarse a entornos difíciles. Se muestra también la adopción de formas culturales que permiten extender los mecanismos de la confianza personal en colectivos mayores. En el último trabajo se comparan los resultados anteriores con los de México (Chance, 1979; Zeithin, 1990; Campbell, 1993; Oseguera, 2004; Reina Aoyama, 2004; Barabas, 2006, 2008; Trejo Barrientos, 2006; Spores, 2008; Joyce, 2010; Nahmad Sitton, 2013), en un análisis cross-cultural para identificar posibles elementos "universales" en las redes de confianza y cooperación y también las influencias culturales. Conclusiones Mediante los anteriores trabajos se muestra que la confianza es uno de los mecanismos cognitivos y psicológicos más anclado en la historia evolutiva humana. Su origen evolutivo se observa en los resultados de esta tesis: al demostrarse la mayor influencia de la confianza personal sobre la confianza general a la hora de influir en la cooperación, la cual necesita de las relaciones cercanas y por tanto del pequeño grupo para su aparición –dadas las limitaciones cognitivas y temporales para mantener este tipo de relaciones con gran número de personas–, y su fuerte conexión con aspectos emocionales inconscientes –uno de los mecanismo más primitivos en los seres humanos. De hecho, tanto en el trabajo empírico como en el de campo, aparece la configuración de redes de confianza en torno a pequeños grupos. La confianza personal también puede extenderse a colectivos mayores. Incluso en las grandes sociedades más desarrolladas los individuos siguen creando sus pequeños grupos en todos los ámbitos de su vida. Sin embargo, en algunas sociedades, donde existen mayores dificultades de supervivencia, como las analizadas en esta tesis, se observan determinadas herramientas culturales que sirven para extender la confianza personal a un mayor número de personas: conceptos tales como grupos étnicos, clanes, linajes, familias, comunalidad, municipalidad en el caso oaxaqueño, valores internalizados, etc… son eficaces en este sentido. De este modo, la cultura provee de los mecanismos necesarios para crear fuertes lazos de cohesión basados en los elementos emocionales. La mayor cohesión y una actitud más abierta de confianza que surgen de tales herramientas culturales ayudan a enfrentarse a los entornos de forma más eficaz. Así pues, se podría predecir que a medida que los entornos resultan más difíciles, aparece una mayor diversificación de los grupos. Con la comparación de los resultados de Ghana y México, se profundiza en mayor medida en los elementos comunes en las redes de confianza y cooperación –aspectos universales–: los grupos pequeños y distintos niveles de emocionalidad implícita en los vínculos de confianza; y aquellos elementos culturales que se adecuan al contexto histórico y a la situación económica de los grupos, para crear una mayor o menor cohesión de sus miembros en función de sus necesidades. De este modo, además de identificarse en el campo diferentes indicadores para medir la confianza, también se identifican ciertas formas culturales que parecen más eficaces que otras a la hora de cohesionar los grupos, a saber, los valores y el sentimiento de identidad y pertenencia grupal, frente a la normatividad. ; Introducció La vida social humana es basa en la cooperació i la confiança d'una manera diferent de la d'altres espècies. Els científics han investigat la cooperació humana des de diferents punts de vista (Trivers, 1971; Dawkins, 1976; Axelrod y Hamilton, 1981; Axelrod, 1984; Caporael et al., 1989; Boyd & Richerson, 1990; Wilson & Sober, 1994; Bergstrom, 2002; Boyd et al., 2003; Gintis et al., 2003; Bowles & Gintis, 2004; Gintis et al., 2008; Boyd et al., 2010), però encara hi ha moltes preguntes sobre l'evolució de la cooperació sense explicació. Aquest treball de tesi analitza les relacions cooperatives emfasitzant la seva relació intrínseca amb les relacions de confiança. Per què cooperem? Quina és la influència de la confiança en la cooperació i el paper de la història evolutiva en aquest trencaclosques? Tenint en compte les formes socials adoptades pels avantpassats humans, és possible pensar en certs trets cognitius i psicològics específics que podrien tenir una importància clau per entendre les actuals relacions de cooperació i, en un sentit més ampli, les relacions socials. L'objectiu de la tesi és, en definitiva, emmarcar les relacions socials en un entorn evolutiu per explicar els comportaments socials que existeixen avui en dia. Contingut de la investigació Aquesta tesi tracta de respondre les preguntes anteriors, a partir de la relació entre l'evolució de la sociabilitat i la cognició humà, com hipòtesi inicial per contrastar els estudis posteriors. Des d'aquesta perspectiva i utilitzant una metodologia multidisciplinària de la Psicologia, Antropologia i Sociologia, es va dissenyar un pla de recerca que pretén aprofundir en aquest plantejament. Amb aquest objectiu en ment, el treball de tesi es basa inicialment en una revisió crítica d'estudis anteriors que intenten relacionar el comportament social dels primats i l'evolució del neocórtex –la Hipòtesi del Cervell Social de Dunbar (Dunbar, 1992; Dunbar, 1998; Dunbar & Shultz, 2007; Shultz & Dunbar, 2007; Dunbar, 2010). Aquesta revisió mostra clarament la necessitat d'un enfocament més matisat per explicar aquesta relació a causa de l'enorme complexitat de les relacions socials humanes. Per això, l'estudi de la influència del mecanisme psicològic de la confiança ofereix un interès enorme. No obstant això, els estudis de Dunbar, especialment aquells relacionats amb les característiques dels grups socials humans en relació amb la seva capacitat cognitiva, sóntinguts en compte al llarg de tot aquest treball. Després d'aquesta revisió es proposa un marc teòric sobre els factors que influeixen en la confiança (Parsons, 1970; Barber, 1983; Good, 1988; Yamagishi, 1998; Glaeser et al., 2000; Uslaner, 2002; Six, 2005; Bjørnskov, 2006; Hardin, 2006) i la seva possible configuració en un entorn evolutiu. En base a aquest marc teòric, es dissenyen els treballs empírics posteriors, sempre tenint en compte la hipòtesi que l'ésser humà té un comportament social àmpliament influenciat per un context de relacions dintre de petits grups. Aquest és el context social en que han viscut els humans durant la major part de la seva història evolutiva. El marc teòric explica els elements que conformen la confiança, la tipologia i la seva possible configuració al llarg de la història evolutiva. Constitueix el substrat utilitzat per dur a terme l'anàlisi de la confiança i del comportament cooperatiu en els següents treballs empírics. Aquests estudis empírics segueixen un pla basat en un disseny propi, a partir de la revisió de la literatura (Fey, 1955; Rosenberg, 1957; Wrightsman, 1964, 1974; Rotter, 1967; Survey Research Center, 1969; Christie & Geis, 1970; Johnson- George & Swap, 1982; Rempel et al., 1985; World Values Survey Association, 2009), amb qüestionaris per mesurar el nivell de confiança personal i general en un grup. També s'utilitza un joc experimental –el dilema del presoner amb algunes variacions– que demostra el comportament cooperatiu efectiu dels individus. El joc es realitza en condicions de confiança i sense confiança entre els membres d'un mateix grup. L'estudi pilot inicial es realitza en dos grups diferents. Els resultats ja mostren la influència de les relacions estretes de confiança personal en la cooperació i l'interès de anàlisi de xarxes de confiança (Radcliffe-Brown, 1940; Barnes, 1954; Milgram, 1967; Mitchell, 1969; Wasserman & Faust, 1994; Molina, J.L., 2001; White & Harary, 2001; Newman et al., 2003; Freeman, 2004; Eguíluz et al., 2005; Fowler & Christakis, 2010) en major profunditat. Els resultats d'aquest treball es confirmen en un similar estudi posterior amb altres grups més nombrosos i més comparables entre si. Els nous resultats mostren com la cooperació s'incrementa en gran mesura si es dóna un compromís afectiu inconscient de reciprocitat que ve de la confiança personal, com un element adaptatiu cap a una cooperació més efectiva i recíproca, fins i tot en condicions d'anonimat i malgrat la possibilitat de causar un prejudici en el curt termini. A més, l'estudi inclou una anàlisi en profunditat de les xarxes de confiança d'aquests grups per determinar la importància que poden tenir certes topologies de xarxes de confiança en la cohesió general d'un grup. En la darrera part de la tesi, s'utilitza una perspectiva més antropològica amb la realització de treballs de camp en dues àrees que es caracteritzen per la seva gran diversitat ètnica: nord de Ghana i Oaxaca, a Mèxic. Aquests llocs permeten estudiar com interactuen els grups i per què es mantenen les seves identitats ètniques malgrat una història i un territori en comú. Es pretén examinar també si els mecanismes de la confiança personal, que funcionen clarament a nivell individual, poden trobar-se també en grups grans o societats de gran escala. En aquest cas, a més de l'observació directa dels grups i la inclusió del seu context històric, social, econòmic i polític, s'utilitzen entrevistes i xarxes personals de cooperació. En el treball de Ghana (Rattray, 1931, 1932;) Syme, 1932; Tait, 1961; Hilton, 1962; Hart, 1971; Drucker-Brown, 1975, 1992; Primmirat, 1979; Laari, 1987; Awedoba, 1989, 2001; Wilks, 1989; Assimeng, 1990; Kotey, 1995; Schlottner, 2000; Oppong, 2002; Tonah, 2005), es mostra el context dels grups i s'explica les característiques de les seves xarxes de confiança i cooperació. En aquest estudi es posa de manifest l''eficàcia del fenomen de la diversificació ètnic com un mitjà per crear petits grups més resistents quan s'enfronten amb entorns difícils. També s'analitza l'adopció de formes culturals que permeten ampliar el mecanisme de la confiança personal a grups més grans. En l'últim treball de la tesi es comparen els anteriors resultats de Ghana amb els de Mèxic (Chance, 1979; Zeithin, 1990; Campbell, 1993; Oseguera, 2004; Reina Aoyama, 2004; Webmoney, 2006, 2008; Trejo Barrientos, 2006; Espores, 2008; Joyce, 2010; Nahmad Sitton, 2013), en una anàlisi intercultural per identificar possibles elements "universals" a les xarxes de confiança i cooperació i així com les influències culturals que modulen aquestes predisposicions humanes en cada cas. Conclusions Els diversos treballs en conjunt mostren que la confiança és un mecanisme cognitiu i psicològic ancorat en la història evolutiva humana, que ha jugat un paper important en l'evolució de la cooperació que caracteritza les societats humanes. El seu origen evolutiu es desprèn dels resultats d'aquesta tesi: es demostra que la confiança personal té més influència que la confiança general en la cooperació, que la confiança necessita relacions properes i, per tant, del petit grup per la seva aparició – tenint en compte les limitacions cognitives per mantenir aquestes relacions amb un gran nombre de persones– i la seva estreta connexió amb aspectes emocionals inconscients – un dels mecanismes més primitiu en humans. De fet, la configuració de les xarxes de confiança en petits grups apareixen tant als treballs empírics com als treballs de camp,. La confiança personal també es pot ampliar a col·lectius més grans. Fins i tot a les societats més desenvolupades les persones continuen creant els grups reduïts en tots els àmbits de la seva vida. No obstant això, en algunes societats, on hi ha importants dificultats de supervivència, com les analitzades en aquesta tesi, hi ha certes eines culturals que serveixen per ampliar la confiança personal a un major nombre de persones: conceptes com grups ètnics, clans, llinatges, famílies, coincidència, "comunalidad" i municipi en cas d'Oaxaca, valors interioritzats, etc. són eficaços en aquest sentit. Així, la cultura proporciona els mecanismes necessaris per a crear uns vincles forts de cohesió basats en elements emocionals. Una major cohesió i una actitud més oberta de confiança derivada de tals eines culturals ajuden a enfrontar-se als ambients més eficaçment. Així, es podria predir que quan els entorns són més difícils, es mostrarà una major diversificació dels grups. Amb la comparació dels resultats de Ghana i Mèxic, s'aprofundeix en major mesura en els elements comuns en les xarxes de confiança i cooperació –aspectes universals–: petits grups i diferents nivells d'emocionalitat implícita en els vincles de confiança; i elements culturals que s'adeqüin al context històric i la situació econòmica dels grups, per crear una més o menys cohesió dels seus integrants segons les seves necessitats. Així, a més d'identificar en el camp diferents indicadors i eines per mesurar la confiança, són també identificades certes formes culturals que semblen més eficaces que altres quan es tracta d'unir els grups, és a dir, els valors i el sentit d'identitat i grup de pertinença, davant les normes i l'autoritat. ; Introduction Human social life is sustained by cooperation in a different way with respect to other species. Scientists have investigated human cooperation from different points of view (Trivers, 1971; Dawkins, 1976; Axelrod y Hamilton, 1981; Axelrod, 1984; Caporael et al., 1989; Boyd & Richerson, 1990; Wilson & Sober, 1994; Bergstrom, 2002; Boyd et al., 2003; Gintis et al., 2003; Bowles & Gintis, 2004; Gintis et al., 2008; Boyd et al., 2010) but many questions about the evolution of cooperation remain open. In this dissertation the cooperative relationships are analyzed emphasizing its intrinsic link with trust relationships. Why do we cooperate? What is the influence of trust on cooperation and which role does human evolutionary history play in this puzzle? Considering the social forms our ancestors lived by, it is possible to think in certain cognitive and psychological traits that might have a key importance in order to understand the relationships of cooperation and, in a wider sense, the social relationships it made possible. The goal is, in short, framing social relationships in an evolutionary framework in order to explain the social behaviors of nowadays. Content of research This work attempts to answer these questions firstly on the basis of the relation between the evolution of human sociality and cognition, as a hypothesis to be tested in the following studies. From this perspective and using a multidisciplinary methodology including Sociology, Psychology and Anthropology, a research plan was designed in order to further examine these topics. This dissertation starts with a critical review of some previous studies that relate the social behavior in primates to the evolution of the neocortex –Dunbar's Social Brain Hypothesis (Dunbar, 1992; Dunbar, 1998; Dunbar & Shultz, 2007; Shultz & Dunbar, 2007; Dunbar, 2010). This review shows the need for a more nuanced approach in order to explain this dependence because of the enormous complexity of human social relationships. To achieve this goal, the analysis of the psychological mechanism of trust offers a huge interest. However, Dunbar's studies, especially those that relate human social groups to cognitive ability, are continuously in the background throughout all this work. Next, a theoretical framework is introduced to characterize trust and the factors that influence it (Parsons, 1970; Barber, 1983; Good, 1988; Yamagishi, 1998; Glaeser et al., 2000; Uslaner, 2002; Six, 2005; Bjørnskov, 2006; Hardin, 2006), as well as their possible configuration in an evolutionary environment. On the basis of this theoretical framework the subsequent empirical work is designed, always keeping in mind the assumption that humans have a social behavior widely influenced by a context of relationships within small groups. They are the social configuration humans lived most of their evolutionary history. In the theoretical framework the elements that make up trust, its typology and its possible configuration in the evolutionary history are explained. This work is the substrate used to groundthe analysis of trust and cooperative behavior carried out in the following empirical works. These empirical studies follow an original plan, grounded in a literature review (Fey, 1955; Rosenberg, 1957; Wrightsman, 1964, 1974; Rotter, 1967; Survey Research Center, 1969; Christie & Geis, 1970; Johnson-George & Swap, 1982; Rempel et al., 1985; World Values Survey Association, 2009), which involves the development of new questionnaires to measure the level of general and personal trust in a group. In addition, an experimental game –a prisoner's dilemma with some variants– is included in order to show the effective cooperative behavior of participants. The game is played in conditions of trust and non-trust among the members of the group. The pilot study is initially conducted in two different groups. The results already show the influence of close relationships of personal trust in cooperation and the interest of analyze trust networks (Radcliffe-Brown, 1940; Barnes, 1954; Milgram, 1967; Mitchell, 1969; Wasserman & Faust, 1994; Molina, J.L., 2001; White & Harary, 2001; Newman et al., 2003; Freeman, 2004; Eguíluz et al., 2005; Fowler & Christakis, 2010) more deeply. The results of this work are confirmed in a subsequent similar study with other more numerous and more comparable groups. The new results show how cooperation relates largely to an affective commitment of reciprocity that comes from personal trust, as adaptive element towards a more successful cooperation, even in conditions of anonymity, and despite the possibility of causing a cost in individuals in the short term. In addition, the study includes an analysis in depth of these groups' trust networks to analyze the importance that certain topologies of trust networks can have on the general cohesion of a group. The last part of the dissertation shows a more anthropological perspective with the completion of fieldwork in two areas characterized by a great ethnic diversity: Northern Ghana and Oaxaca, in Mexico. These locations allow study how groups interact and why they keep their ethnic identities despite a history and a territory in common. To examine whether the personal trust mechanisms present at an individual level can be also extended to larger groups or societies is aimed. In this case, in addition to the direct observation of groups and the inclusion of its historical, social, economic and political context, interviews and personal networks of cooperation are used. The work of Ghana (Rattray, 1931, 1932) Syme, 1932; Tait, 1961; Hilton, 1962; Hart, 1971; Drucker-Brown, 1975, 1992; Primmirat, 1979; Laari, 1987; Awedoba, 1989, 2001; Wilks, 1989; Assimeng, 1990; Kotey, 1995; Schlottner, 2000; Oppong, 2002; Tonah, 2005) shows the context of groups and the features of their trust networks of trust and cooperation are explained . In this work, the effectiveness of ethnic diversification as a means to create small groups more resilient when face with difficult environments is shown. The adoption of cultural forms that allow extend personal trust in larger collectives is also presented. The last work compares the Ghana results with those of Mexico (Chance, 1979; Zeithin, 1990; Campbell, 1993; Oseguera, 2004; Queen Aoyama, 2004; Barabas, 2006, 2008; Trejo Barrientos, 2006; Spores, 2008; Joyce, 2010; Nahmad Sitton, 2013), in a cross-cultural analysis to identify possible "universal" elements in trust and cooperation networks, and also cultural influences. Conclusions The previous works show that trust is a cognitive and psychological mechanism anchored in human evolutionary history. Their evolutionary origin is supported by the results of this dissertation: to demonstrate the higher influence of personal trust than general trust in fostering cooperation. Close relationships are needed for personal trust and they require small groups for its emergence –given the cognitive and temporal constraints required in order to keep such relationships with a larger number of people. Close relationships also involve an emotional dimension –a most primitive mechanism in humans. In fact, small group dynamics was found both in experimental games and in fieldwork. Personal trust also plays a role in large scale societies, where individuals continue to create their small groups in all areas of their life. However, in those societies where survival is more difficult and resources scarce certain cultural tools (such as values or norms) appear whose function is to extend personal trust to a greater number of people: groups such as ethnic groups, clans, lineages, families, commonalities, municipalities (as in the Oaxaca case). Thus, culture provides the necessary mechanisms to create strong bonds of cohesion based on emotional elements beyond the small group. Greater cohesion and a more open attitude of trust arising from such cultural tools help at time to face environments more efficiently. Thus, it could be predicted that more difficult environments show a greater group diversification. In addition, the comparison of Ghana and Mexico results allows a deeper analysis of the common elements of trust and cooperation networks -their universal aspects-: small groups and different levels of emotionality implied in the bonds of trust; and cultural elements that are suited to the historical context and the economic situation of groups, to create a more or less cohesion of its members according to their needs. Thus, in addition to identify in the field several indicators to measure trust, more effective cultural forms to foster cooperation is also identified: the values and the sense of identity of group membership, instead of formal regulations and authority.

[spa] La vida social humana se sustenta en la cooperación de una forma diferente respecto a otras especies. Los científicos han indagado en la evolución de la cooperación desde distintos puntos de vista (Trivers, 1971; Dawkins, 1976; Axelrod y Hamilton, 1981; Axelrod, 1984; Caporael et al., 1989; Boyd & Richerson, 1990; Wilson & Sober, 1994; Bergstrom, 2002; Boyd et al., 2003; Gintis et al., 2003; Bowles & Gintis, 2004; Gintis et al., 2008; Boyd et al., 2010) pero ninguna de tales explicaciones dan cuenta de la complejidad de las relaciones cooperativas humanas. En este trabajo de tesis se analizan las relaciones cooperativas destacando su relación intrínseca con las relaciones de confianza. ¿Por qué cooperamos? ¿Cuál es la influencia de la confianza en la cooperación y qué papel juega la historia evolutiva en este puzle? Tomando en consideración las formas sociales adoptadas por nuestros antepasados humanos, es posible pensar en ciertos rasgos cognitivos y psicológicos específicos relevantes para entender las relaciones actuales de cooperación y, en un sentido más amplio, las relaciones sociales. El objetivo es, en definitiva, enmarcar las relaciones sociales humanas en un entorno evolutivo para explicar comportamientos sociales que existen en la actualidad. Contenido de la investigación Esta tesis trata de responder a las cuestiones planteadas anteriormente basándose primero en la relación que existe entre la evolución de la socialidad y la cognición humanas, como hipótesis de partida a contrastar en estudios posteriores. Desde esta perspectiva y, utilizando una metodología multidisciplinar procedente de disciplinas tales como la Sociología, Psicología y Antropología, se diseña un plan de investigación que trata de profundizar en mayor medida en dichos temas. El trabajo de tesis parte inicialmente de una revisión crítica sobre estudios que tratan de relacionar el comportamiento social en primates y la evolución del neocórtex –la Hipótesis del Cerebro Social de Dunbar (Dunbar, 1992; Dunbar, 1998; Dunbar & Shultz, 2007; Shultz & Dunbar, 2007; Dunbar, 2010). De dicha revisión, resulta evidente la necesidad de utilizar un enfoque más matizado para explicar la enorme complejidad de las relaciones sociales humanas. Para ello, ofrece un enorme interés el análisis de la influencia del mecanismo psicológico de la confianza. No obstante, los estudios de Dunbar, especialmente aquellos relacionados con las características propias de los grupos sociales humanos en relación a la capacidad cognitiva, son continuamente revisados a lo largo de todo este trabajo. Posteriormente se propone un marco teórico sobre los factores que influyen en la confianza (Parsons, 1970; Barber, 1983; Good, 1988; Yamagishi, 1998; Glaeser et al., 2000; Uslaner, 2002; Six, 2005; Bjørnskov, 2006; Hardin, 2006) y su posible configuración en un entorno evolutivo. Sobre esta base teórica, se diseña el posterior trabajo empírico, siempre teniendo en cuenta la hipótesis de que el ser humano tiene un comportamiento social ampliamente influenciado por un contexto de relaciones dentro de los pequeños grupos en los que ha convivido durante la mayor parte de su historia evolutiva. El marco teórico explica los elementos que conforman la confianza, la tipología y su posible configuración a lo largo de la historia evolutiva. Constituyen el substrato utilizado para llevar a término el análisis de la confianza y del comportamiento cooperativo en los siguientes trabajos empíricos. Los estudios empíricos siguen un plan basado en un diseño propio, procedente de la revisión de la literatura (Fey, 1955; Rosenberg, 1957; Wrightsman, 1964, 1974; Rotter, 1967; Survey Research Center, 1969; Christie & Geis, 1970; Johnson-George & Swap, 1982; Rempel et al., 1985; World Values Survey Association, 2009), con cuestionarios para medir el nivel de confianza general y personal en un grupo. Además se usa un juego experimental – dilema del prisionero con algunas variantes– que demuestra el comportamiento cooperativo real de los individuos. El juego se realiza en condiciones de confianza y de no confianza entre los miembros de un mismo grupo. El estudio piloto se lleva a cabo inicialmente en dos grupos diferentes. Los resultados muestran ya la influencia de las relaciones cercanas de confianza personal en la cooperación y el interés de analizar las redes de confianza (Radcliffe-Brown, 1940; Barnes, 1954; Milgram, 1967; Mitchell, 1969; Wasserman & Faust, 1994; Molina, J.L., 2001; White & Harary, 2001; Newman et al., 2003; Freeman, 2004; Eguíluz et al., 2005; Fowler & Christakis, 2010) en mayor profundidad. Los resultados de este trabajo se confirman en un estudio similar posterior con otros grupos más numerosos y más comparables entre sí. Los nuevos resultados muestran cómo la cooperación se relaciona en buena medida con un compromiso afectivo de reciprocidad que proviene de la confianza personal, como elemento adaptativo hacia una cooperación más exitosa, incluso en condiciones de anonimato y pese a la posibilidad de causar un perjuicio en el individuo a corto plazo. Además, el estudio incluye un análisis en profundidad de las redes de confianza de estos grupos para constatar la importancia que ciertas topologías de redes de confianza pueden tener en la cohesión general de un grupo. La última parte de la tesis presenta una perspectiva más antropológica con la realización de trabajo de campo en dos zonas caracterizadas por su gran diversidad étnica: el norte de Ghana y Oaxaca, en México. Estos lugares permiten estudiar cómo interaccionan los grupos y por qué mantienen sus identidades étnicas a pesar de una historia en común. Se pretende analizar si los mecanismos de la confianza personal que aparecen a nivel individual pueden trasladarse también a grupos más grandes o a sociedades. En este caso, además de la observación directa de los grupos y de la inclusión de su contexto histórico, social, económico y político, se utilizan entrevistas y redes personales de cooperación. En el trabajo de Ghana (Rattray, 1931, 1932; Syme, 1932; Tait, 1961; Hilton, 1962; Hart, 1971; Drucker-Brown, 1975, 1992; Fussy, 1979; Laari, 1987; Awedoba, 1989, 2001; Wilks, 1989; Assimeng, 1990; Kotey, 1995; Schlottner, 2000; Oppong, 2002; Tonah, 2005), se hace un recorrido por el contexto de los grupos y se explican las características de sus redes de confianza y cooperación. En este trabajo, se observa la eficacia de la diversificación étnica como medio para crear pequeños grupos más resistentes a la hora de enfrentarse a entornos difíciles. Se muestra también la adopción de formas culturales que permiten extender los mecanismos de la confianza personal en colectivos mayores. En el último trabajo se comparan los resultados anteriores con los de México (Chance, 1979; Zeithin, 1990; Campbell, 1993; Oseguera, 2004; Reina Aoyama, 2004; Barabas, 2006, 2008; Trejo Barrientos, 2006; Spores, 2008; Joyce, 2010; Nahmad Sitton, 2013), en un análisis cross-cultural para identificar posibles elementos "universales" en las redes de confianza y cooperación y también las influencias culturales. Conclusiones Mediante los anteriores trabajos se muestra que la confianza es uno de los mecanismos cognitivos y psicológicos más anclado en la historia evolutiva humana. Su origen evolutivo se observa en los resultados de esta tesis: al demostrarse la mayor influencia de la confianza personal sobre la confianza general a la hora de influir en la cooperación, la cual necesita de las relaciones cercanas y por tanto del pequeño grupo para su aparición –dadas las limitaciones cognitivas y temporales para mantener este tipo de relaciones con gran número de personas–, y su fuerte conexión con aspectos emocionales inconscientes –uno de los mecanismo más primitivos en los seres humanos. De hecho, tanto en el trabajo empírico como en el de campo, aparece la configuración de redes de confianza en torno a pequeños grupos. La confianza personal también puede extenderse a colectivos mayores. Incluso en las grandes sociedades más desarrolladas los individuos siguen creando sus pequeños grupos en todos los ámbitos de su vida. Sin embargo, en algunas sociedades, donde existen mayores dificultades de supervivencia, como las analizadas en esta tesis, se observan determinadas herramientas culturales que sirven para extender la confianza personal a un mayor número de personas: conceptos tales como grupos étnicos, clanes, linajes, familias, comunalidad, municipalidad en el caso oaxaqueño, valores internalizados, etc… son eficaces en este sentido. De este modo, la cultura provee de los mecanismos necesarios para crear fuertes lazos de cohesión basados en los elementos emocionales. La mayor cohesión y una actitud más abierta de confianza que surgen de tales herramientas culturales ayudan a enfrentarse a los entornos de forma más eficaz. Así pues, se podría predecir que a medida que los entornos resultan más difíciles, aparece una mayor diversificación de los grupos. Con la comparación de los resultados de Ghana y México, se profundiza en mayor medida en los elementos comunes en las redes de confianza y cooperación –aspectos universales–: los grupos pequeños y distintos niveles de emocionalidad implícita en los vínculos de confianza; y aquellos elementos culturales que se adecuan al contexto histórico y a la situación económica de los grupos, para crear una mayor o menor cohesión de sus miembros en función de sus necesidades. De este modo, además de identificarse en el campo diferentes indicadores para medir la confianza, también se identifican ciertas formas culturales que parecen más eficaces que otras a la hora de cohesionar los grupos, a saber, los valores y el sentimiento de identidad y pertenencia grupal, frente a la normatividad. ; [cat] La vida social humana es basa en la cooperació i la confiança d'una manera diferent de la d'altres espècies. Els científics han investigat la cooperació humana des de diferents punts de vista (Trivers, 1971; Dawkins, 1976; Axelrod y Hamilton, 1981; Axelrod, 1984; Caporael et al., 1989; Boyd & Richerson, 1990; Wilson & Sober, 1994; Bergstrom, 2002; Boyd et al., 2003; Gintis et al., 2003; Bowles & Gintis, 2004; Gintis et al., 2008; Boyd et al., 2010), però encara hi ha moltes preguntes sobre l'evolució de la cooperació sense explicació. Aquest treball de tesi analitza les relacions cooperatives emfasitzant la seva relació intrínseca amb les relacions de confiança. Per què cooperem? Quina és la influència de la confiança en la cooperació i el paper de la història evolutiva en aquest trencaclosques? Tenint en compte les formes socials adoptades pels avantpassats humans, és possible pensar en certs trets cognitius i psicològics específics que podrien tenir una importància clau per entendre les actuals relacions de cooperació i, en un sentit més ampli, les relacions socials. L'objectiu de la tesi és, en definitiva, emmarcar les relacions socials en un entorn evolutiu per explicar els comportaments socials que existeixen avui en dia. Contingut de la investigació Aquesta tesi tracta de respondre les preguntes anteriors, a partir de la relació entre l'evolució de la sociabilitat i la cognició humà, com hipòtesi inicial per contrastar els estudis posteriors. Des d'aquesta perspectiva i utilitzant una metodologia multidisciplinària de la Psicologia, Antropologia i Sociologia, es va dissenyar un pla de recerca que pretén aprofundir en aquest plantejament. Amb aquest objectiu en ment, el treball de tesi es basa inicialment en una revisió crítica d'estudis anteriors que intenten relacionar el comportament social dels primats i l'evolució del neocórtex –la Hipòtesi del Cervell Social de Dunbar (Dunbar, 1992; Dunbar, 1998; Dunbar & Shultz, 2007; Shultz & Dunbar, 2007; Dunbar, 2010). Aquesta revisió mostra clarament la necessitat d'un enfocament més matisat per explicar aquesta relació a causa de l'enorme complexitat de les relacions socials humanes. Per això, l'estudi de la influència del mecanisme psicològic de la confiança ofereix un interès enorme. No obstant això, els estudis de Dunbar, especialment aquells relacionats amb les característiques dels grups socials humans en relació amb la seva capacitat cognitiva, sóntinguts en compte al llarg de tot aquest treball. Després d'aquesta revisió es proposa un marc teòric sobre els factors que influeixen en la confiança (Parsons, 1970; Barber, 1983; Good, 1988; Yamagishi, 1998; Glaeser et al., 2000; Uslaner, 2002; Six, 2005; Bjørnskov, 2006; Hardin, 2006) i la seva possible configuració en un entorn evolutiu. En base a aquest marc teòric, es dissenyen els treballs empírics posteriors, sempre tenint en compte la hipòtesi que l'ésser humà té un comportament social àmpliament influenciat per un context de relacions dintre de petits grups. Aquest és el context social en que han viscut els humans durant la major part de la seva història evolutiva. El marc teòric explica els elements que conformen la confiança, la tipologia i la seva possible configuració al llarg de la història evolutiva. Constitueix el substrat utilitzat per dur a terme l'anàlisi de la confiança i del comportament cooperatiu en els següents treballs empírics. Aquests estudis empírics segueixen un pla basat en un disseny propi, a partir de la revisió de la literatura (Fey, 1955; Rosenberg, 1957; Wrightsman, 1964, 1974; Rotter, 1967; Survey Research Center, 1969; Christie & Geis, 1970; Johnson- George & Swap, 1982; Rempel et al., 1985; World Values Survey Association, 2009), amb qüestionaris per mesurar el nivell de confiança personal i general en un grup. També s'utilitza un joc experimental –el dilema del presoner amb algunes variacions– que demostra el comportament cooperatiu efectiu dels individus. El joc es realitza en condicions de confiança i sense confiança entre els membres d'un mateix grup. L'estudi pilot inicial es realitza en dos grups diferents. Els resultats ja mostren la influència de les relacions estretes de confiança personal en la cooperació i l'interès de anàlisi de xarxes de confiança (Radcliffe-Brown, 1940; Barnes, 1954; Milgram, 1967; Mitchell, 1969; Wasserman & Faust, 1994; Molina, J.L., 2001; White & Harary, 2001; Newman et al., 2003; Freeman, 2004; Eguíluz et al., 2005; Fowler & Christakis, 2010) en major profunditat. Els resultats d'aquest treball es confirmen en un similar estudi posterior amb altres grups més nombrosos i més comparables entre si. Els nous resultats mostren com la cooperació s'incrementa en gran mesura si es dóna un compromís afectiu inconscient de reciprocitat que ve de la confiança personal, com un element adaptatiu cap a una cooperació més efectiva i recíproca, fins i tot en condicions d'anonimat i malgrat la possibilitat de causar un prejudici en el curt termini. A més, l'estudi inclou una anàlisi en profunditat de les xarxes de confiança d'aquests grups per determinar la importància que poden tenir certes topologies de xarxes de confiança en la cohesió general d'un grup. En la darrera part de la tesi, s'utilitza una perspectiva més antropològica amb la realització de treballs de camp en dues àrees que es caracteritzen per la seva gran diversitat ètnica: nord de Ghana i Oaxaca, a Mèxic. Aquests llocs permeten estudiar com interactuen els grups i per què es mantenen les seves identitats ètniques malgrat una història i un territori en comú. Es pretén examinar també si els mecanismes de la confiança personal, que funcionen clarament a nivell individual, poden trobar-se també en grups grans o societats de gran escala. En aquest cas, a més de l'observació directa dels grups i la inclusió del seu context històric, social, econòmic i polític, s'utilitzen entrevistes i xarxes personals de cooperació. En el treball de Ghana (Rattray, 1931, 1932;) Syme, 1932; Tait, 1961; Hilton, 1962; Hart, 1971; Drucker-Brown, 1975, 1992; Primmirat, 1979; Laari, 1987; Awedoba, 1989, 2001; Wilks, 1989; Assimeng, 1990; Kotey, 1995; Schlottner, 2000; Oppong, 2002; Tonah, 2005), es mostra el context dels grups i s'explica les característiques de les seves xarxes de confiança i cooperació. En aquest estudi es posa de manifest l''eficàcia del fenomen de la diversificació ètnic com un mitjà per crear petits grups més resistents quan s'enfronten amb entorns difícils. També s'analitza l'adopció de formes culturals que permeten ampliar el mecanisme de la confiança personal a grups més grans. En l'últim treball de la tesi es comparen els anteriors resultats de Ghana amb els de Mèxic (Chance, 1979; Zeithin, 1990; Campbell, 1993; Oseguera, 2004; Reina Aoyama, 2004; Webmoney, 2006, 2008; Trejo Barrientos, 2006; Espores, 2008; Joyce, 2010; Nahmad Sitton, 2013), en una anàlisi intercultural per identificar possibles elements "universals" a les xarxes de confiança i cooperació i així com les influències culturals que modulen aquestes predisposicions humanes en cada cas. Conclusions Els diversos treballs en conjunt mostren que la confiança és un mecanisme cognitiu i psicològic ancorat en la història evolutiva humana, que ha jugat un paper important en l'evolució de la cooperació que caracteritza les societats humanes. El seu origen evolutiu es desprèn dels resultats d'aquesta tesi: es demostra que la confiança personal té més influència que la confiança general en la cooperació, que la confiança necessita relacions properes i, per tant, del petit grup per la seva aparició – tenint en compte les limitacions cognitives per mantenir aquestes relacions amb un gran nombre de persones– i la seva estreta connexió amb aspectes emocionals inconscients – un dels mecanismes més primitiu en humans. De fet, la configuració de les xarxes de confiança en petits grups apareixen tant als treballs empírics com als treballs de camp,. La confiança personal també es pot ampliar a col·lectius més grans. Fins i tot a les societats més desenvolupades les persones continuen creant els grups reduïts en tots els àmbits de la seva vida. No obstant això, en algunes societats, on hi ha importants dificultats de supervivència, com les analitzades en aquesta tesi, hi ha certes eines culturals que serveixen per ampliar la confiança personal a un major nombre de persones: conceptes com grups ètnics, clans, llinatges, famílies, coincidència, "comunalidad" i municipi en cas d'Oaxaca, valors interioritzats, etc. són eficaços en aquest sentit. Així, la cultura proporciona els mecanismes necessaris per a crear uns vincles forts de cohesió basats en elements emocionals. Una major cohesió i una actitud més oberta de confiança derivada de tals eines culturals ajuden a enfrontar-se als ambients més eficaçment. Així, es podria predir que quan els entorns són més difícils, es mostrarà una major diversificació dels grups. Amb la comparació dels resultats de Ghana i Mèxic, s'aprofundeix en major mesura en els elements comuns en les xarxes de confiança i cooperació –aspectes universals–: petits grups i diferents nivells d'emocionalitat implícita en els vincles de confiança; i elements culturals que s'adeqüin al context històric i la situació econòmica dels grups, per crear una més o menys cohesió dels seus integrants segons les seves necessitats. Així, a més d'identificar en el camp diferents indicadors i eines per mesurar la confiança, són també identificades certes formes culturals que semblen més eficaces que altres quan es tracta d'unir els grups, és a dir, els valors i el sentit d'identitat i grup de pertinença, davant les normes i l'autoritat. ; [eng] Human social life is sustained by cooperation in a different way with respect to other species. Scientists have investigated human cooperation from different points of view (Trivers, 1971; Dawkins, 1976; Axelrod y Hamilton, 1981; Axelrod, 1984; Caporael et al., 1989; Boyd & Richerson, 1990; Wilson & Sober, 1994; Bergstrom, 2002; Boyd et al., 2003; Gintis et al., 2003; Bowles & Gintis, 2004; Gintis et al., 2008; Boyd et al., 2010) but many questions about the evolution of cooperation remain open. In this dissertation the cooperative relationships are analyzed emphasizing its intrinsic link with trust relationships. Why do we cooperate? What is the influence of trust on cooperation and which role does human evolutionary history play in this puzzle? Considering the social forms our ancestors lived by, it is possible to think in certain cognitive and psychological traits that might have a key importance in order to understand the relationships of cooperation and, in a wider sense, the social relationships it made possible. The goal is, in short, framing social relationships in an evolutionary framework in order to explain the social behaviors of nowadays. Content of research This work attempts to answer these questions firstly on the basis of the relation between the evolution of human sociality and cognition, as a hypothesis to be tested in the following studies. From this perspective and using a multidisciplinary methodology including Sociology, Psychology and Anthropology, a research plan was designed in order to further examine these topics. This dissertation starts with a critical review of some previous studies that relate the social behavior in primates to the evolution of the neocortex –Dunbar's Social Brain Hypothesis (Dunbar, 1992; Dunbar, 1998; Dunbar & Shultz, 2007; Shultz & Dunbar, 2007; Dunbar, 2010). This review shows the need for a more nuanced approach in order to explain this dependence because of the enormous complexity of human social relationships. To achieve this goal, the analysis of the psychological mechanism of trust offers a huge interest. However, Dunbar's studies, especially those that relate human social groups to cognitive ability, are continuously in the background throughout all this work. Next, a theoretical framework is introduced to characterize trust and the factors that influence it (Parsons, 1970; Barber, 1983; Good, 1988; Yamagishi, 1998; Glaeser et al., 2000; Uslaner, 2002; Six, 2005; Bjørnskov, 2006; Hardin, 2006), as well as their possible configuration in an evolutionary environment. On the basis of this theoretical framework the subsequent empirical work is designed, always keeping in mind the assumption that humans have a social behavior widely influenced by a context of relationships within small groups. They are the social configuration humans lived most of their evolutionary history. In the theoretical framework the elements that make up trust, its typology and its possible configuration in the evolutionary history are explained. This work is the substrate used to groundthe analysis of trust and cooperative behavior carried out in the following empirical works. These empirical studies follow an original plan, grounded in a literature review (Fey, 1955; Rosenberg, 1957; Wrightsman, 1964, 1974; Rotter, 1967; Survey Research Center, 1969; Christie & Geis, 1970; Johnson-George & Swap, 1982; Rempel et al., 1985; World Values Survey Association, 2009), which involves the development of new questionnaires to measure the level of general and personal trust in a group. In addition, an experimental game –a prisoner's dilemma with some variants– is included in order to show the effective cooperative behavior of participants. The game is played in conditions of trust and non-trust among the members of the group. The pilot study is initially conducted in two different groups. The results already show the influence of close relationships of personal trust in cooperation and the interest of analyze trust networks (Radcliffe-Brown, 1940; Barnes, 1954; Milgram, 1967; Mitchell, 1969; Wasserman & Faust, 1994; Molina, J.L., 2001; White & Harary, 2001; Newman et al., 2003; Freeman, 2004; Eguíluz et al., 2005; Fowler & Christakis, 2010) more deeply. The results of this work are confirmed in a subsequent similar study with other more numerous and more comparable groups. The new results show how cooperation relates largely to an affective commitment of reciprocity that comes from personal trust, as adaptive element towards a more successful cooperation, even in conditions of anonymity, and despite the possibility of causing a cost in individuals in the short term. In addition, the study includes an analysis in depth of these groups' trust networks to analyze the importance that certain topologies of trust networks can have on the general cohesion of a group. The last part of the dissertation shows a more anthropological perspective with the completion of fieldwork in two areas characterized by a great ethnic diversity: Northern Ghana and Oaxaca, in Mexico. These locations allow study how groups interact and why they keep their ethnic identities despite a history and a territory in common. To examine whether the personal trust mechanisms present at an individual level can be also extended to larger groups or societies is aimed. In this case, in addition to the direct observation of groups and the inclusion of its historical, social, economic and political context, interviews and personal networks of cooperation are used. The work of Ghana (Rattray, 1931, 1932) Syme, 1932; Tait, 1961; Hilton, 1962; Hart, 1971; Drucker-Brown, 1975, 1992; Primmirat, 1979; Laari, 1987; Awedoba, 1989, 2001; Wilks, 1989; Assimeng, 1990; Kotey, 1995; Schlottner, 2000; Oppong, 2002; Tonah, 2005) shows the context of groups and the features of their trust networks of trust and cooperation are explained . In this work, the effectiveness of ethnic diversification as a means to create small groups more resilient when face with difficult environments is shown. The adoption of cultural forms that allow extend personal trust in larger collectives is also presented. The last work compares the Ghana results with those of Mexico (Chance, 1979; Zeithin, 1990; Campbell, 1993; Oseguera, 2004; Queen Aoyama, 2004; Barabas, 2006, 2008; Trejo Barrientos, 2006; Spores, 2008; Joyce, 2010; Nahmad Sitton, 2013), in a cross-cultural analysis to identify possible "universal" elements in trust and cooperation networks, and also cultural influences. Conclusions The previous works show that trust is a cognitive and psychological mechanism anchored in human evolutionary history. Their evolutionary origin is supported by the results of this dissertation: to demonstrate the higher influence of personal trust than general trust in fostering cooperation. Close relationships are needed for personal trust and they require small groups for its emergence –given the cognitive and temporal constraints required in order to keep such relationships with a larger number of people. Close relationships also involve an emotional dimension –a most primitive mechanism in humans. In fact, small group dynamics was found both in experimental games and in fieldwork. Personal trust also plays a role in large scale societies, where individuals continue to create their small groups in all areas of their life. However, in those societies where survival is more difficult and resources scarce certain cultural tools (such as values or norms) appear whose function is to extend personal trust to a greater number of people: groups such as ethnic groups, clans, lineages, families, commonalities, municipalities (as in the Oaxaca case). Thus, culture provides the necessary mechanisms to create strong bonds of cohesion based on emotional elements beyond the small group. Greater cohesion and a more open attitude of trust arising from such cultural tools help at time to face environments more efficiently. Thus, it could be predicted that more difficult environments show a greater group diversification. In addition, the comparison of Ghana and Mexico results allows a deeper analysis of the common elements of trust and cooperation networks -their universal aspects-: small groups and different levels of emotionality implied in the bonds of trust; and cultural elements that are suited to the historical context and the economic situation of groups, to create a more or less cohesion of its members according to their needs. Thus, in addition to identify in the field several indicators to measure trust, more effective cultural forms to foster cooperation is also identified: the values and the sense of identity of group membership, instead of formal regulations and authority.

2008/2009 ; Lo studio si prefigge di indagare come la produzione normativa comunitaria abbia influenzato il diritto penale nazionale fino a delineare i tratti di un diritto penale di matrice europea. Ai fini dell'individuazione dei rapporti intercorrenti tra i due sistemi, è stata prescelta come chiave di lettura trasversale la materia ambientale. L'introduzione mira a porre le basi dell'analisi, ripercorrendo, seppur in forma riassuntiva le tappe dell'evoluzione dell'Unione europea, sotto il profilo del progressivo ampliamento delle finalità e delle competenze della stessa: nata con finalità prevalentemente economiche, quali la creazione di un mercato unico diretto alla libera circolazione delle merci, delle persone e capitali, l'Unione espanse le sue competenze verso la creazione di uno spazio di libertà, sicurezza e giustizia, inaugurando nuove forme di cooperazione, prefissandosi finalità politiche generali e servendosi per questi fini di un solido quadro istituzionale. Al progresso economico e sociale, alla creazione di uno spazio senza frontiere interne ed ad un'unione monetaria si affiancò la prospettiva di una politica estera di sicurezza e di difesa comune, di una tutela dei diritti e degli interessi dei cittadini dei suoi Stati membri, mediante una cittadinanza comune dell'Unione, nonché di una cooperazione nel settore della giustizia e degli affari interni. A fianco delle politiche comunitarie (primo pilastro) attuate per mezzo di una cessione di sovranità dei singoli Stati a vantaggio delle Istituzioni europee, sorsero nuove forme di cooperazione, di natura intergovernativa, in materia di politica estera e di sicurezza comune (secondo pilastro) e di giustizia e affari interni (terzo pilastro), poi mutata in cooperazione di polizia giudiziaria in materia penale. La nascita e l'espansione delle Comunità Europee fece emergere, svilupparsi ed affermarsi una serie di beni giuridici meritevoli di tutela su più livelli, a carattere nazionale e sovranazionale. Se ne distinguono principalmente due categorie: i beni "istituzionali", c.d. comunitari, strettamente funzionali all'esistenza dell'Unione ed allo svolgimento dei compiti ad essa connessi, ed i beni "satellite" rispetto ai precedenti, c.d. di estensione comunitaria, originariamente tutelati dagli ordinamenti nazionali e solo recentemente attratti nei piani di tutela comunitaria, con la caratteristica di essere beni "normativi" e connessi ad un sistema giuridico di riferimento ma destinatari di una tutela integrata da parte del diritto comunitario derivato. Trova poi posto una nuova categoria di beni, nascenti dalla regolamentazione comunitaria e comprendente i diritti derivanti dalla cittadinanza comunitaria, il diritto di circolazione e soggiorno, nonché la tutela del consumatore e dell'ambiente. La domanda di tutela dei beni di rilevanza comunitaria si trasforma inevitabilmente in una richiesta di intervento effettivo che comprende, in base ad una valutazione qualitativa, di sussidiarietà, di meritevolezza della pena e di necessità della stessa, anche ipotesi di tutela penale. Infatti, la "necessità di pena" in queste ipotesi deve essere intesa quale necessità di pena sovranazionale, ai fini di evitare un inefficace e disarmonico intervento rimesso agli Stati. Un tanto ha portato nel corso degli anni ad una europeizzazione dei diritti penali nazionali, vincolando le scelte dei legislatori interni in ordine ai comportamenti da sanzionare, alla natura ed alla misura della sanzione, nonché alla prospettiva di un diritto penale europeo, che conferisse all'Unione, e poi anche alla Comunità, un effettivo e diretto potere di intervento. Ne è esempio il bene ambiente che si caratterizza per una significativa "bidimensionalità", possedendo rilevanza nazionale e sovranazionale e rientrando peraltro tra quei beni di rilevanza comunitaria per cui si richiede una efficace ed uniforme tutela. L'interesse giuridico in questa direzione si rinviene nella comunanza dei tipi di condotte illecite che pongono in pericolo o ledono il bene giuridico tutelato. Tali condotte sono la fonte dei c.d. spillowers o effetti transnazionali, eventi in senso naturalistico o giuridico che si riverberano all'interno dei paesi della Comunità Europea, senza che operino barriere politico-geografiche di sorta. Le conseguenze fisiche ed economiche che una tale criminalità transnazionale porta con sè rende necessario un intervento comunitario, non risultando invece efficace né possibile l'intervento del singolo Stato membro. E' per tali motivi che il diritto ambientale ha avuto anche storicamente una dimensione in primis internazionale ed europea e solo successivamente nazionale. La tutela ambientale ha rappresentato una costante dell'azione della Comunità che ha consentito una progressione verso la normativizzazione in materia ambientale, inizialmente attraverso convenzioni, decisioni quadro, regolamenti e direttive, poi in misura sempre più vincolante a livello dei Trattati, divenendo con il Trattato di Maastricht politica fondamentale dell'Unione e con Amsterdam un valore autonomo, indipendente dalle scelte economiche. L'interesse crescente a livello europeo e comunitario ha contribuito all'implementazione e all'armonizzazione delle normative nazionali, destinatarie degli impulsi di sensibilizzazione e di orientamento verso obiettivi comuni di tutela. La normativa interna ne ha subito gli influssi, presentando fattispecie costruite tramite il rinvio, in forma definitoria o di completamento, di norme extrapenali di derivazione comunitaria. Un tale meccanismo normativo, pur consentendo un agevole mutamento della norma penale, ha posto di fronte a problemi interpretativi e di legittimità costituzionale, le Corti nazionali ed europee. L'influenza comunitaria si è fatta ancora più evidente nella misura in cui le Istituzioni europee hanno formulato una specifica domanda di criminalizzazione, nella formulazione del precetto e della sanzione, aprendo il varco alla prospettiva di un vero e proprio diritto penale europeo. Sotto queste premesse, il primo capitolo si propone di indagare se, nonostante l'assenza di un'affermazione sulla potestà punitiva comunitaria possa esistere un'influenza dell'attività normativa delle Istituzioni europee nella formazione del precetto e della sanzione penale. Si prendono le mosse dall'attività di una cooperazione giudiziaria in materia penale", attuata attraverso "posizioni comuni" ed "azioni comuni" e la cooperazione in materia penale, nell'ambito, c.d. Terzo pilastro, che, seppure distinto da quello propriamente comunitario, rientra a pieno titolo nelle competenze dell'Unione europea. Gli strumenti del terzo pilastro sono espressivi di un sistema misto, lasciando ad ogni singolo Stato un ulteriore livello di discrezionalità sia nella fase della firma e della ratifica, con riserve o eccezioni, sia nella fase successiva alla sua adesione, consentendo la scelta di mezzi funzionali al raggiungimento del risultato, e rispettando così il principio di riserva di legge e di sovranità nazionale. Ma gli strumenti utilizzati, la mancanza di diretta efficacia degli stessi, la discrezionalità nella fase attuativa e il carattere facoltativo della competenza pregiudiziale della Corte di Giustizia, hanno reso progressivamente necessario, o quantomeno auspicabile, nelle materie comunitarie in senso proprio, un intervento più cogente, con capacità di penetrazione nell'ordinamento interno e prerogative giurisdizionali affidate alla Corte di Giustizia, azionabile solo con gli strumenti del primo pilastro. Si ripercorrono, dunque, le tappe essenziali in base alle quali viene affermato e riconosciuto il principio di prevalenza dell'ordinamento comunitario, al quale, neppure il diritto penale, con la sua forza di resistenza, risulta impermeabile. Si è di fronte a due ordinamenti coordinati ma autonomi e separati per cui l'ordinamento comunitario è considerato come integrato negli ordinamenti giuridici degli Stati membri, con la conseguente impossibilità per gli Stati membri di far prevalere contro un ordinamento giuridico da essi accettato a condizione di reciprocità, un provvedimento unilaterale ulteriore. Vi è dunque una modifica de facto dell'assetto costituzionale delle fonti del diritto, risultando una ritrazione degli ambiti normativi di pertinenza dell'ordinamento interno ed una contestuale affermazione di alcuni ambiti propri invece dell'ordinamento comunitario. La prevalenza del diritto comunitario deve però conciliarsi con il principio di legalità in quanto la valenza garantistica del principio, derivante dall'attribuzione all'organo democraticamente eletto del potere di individuare le condotte da sottoporre a pena, non risulta adeguatamente rispettata dall'attribuzione di una potestà penale ad un'entità, quale la Comunità, il cui assetto istituzionale ed operativo non soddisfa a pieno i criteri di democraticità e rappresentatività che tale potestà esige. Dal punto di vista nazionale, il mancato rispetto del principio di legalità, sotto l'aspetto della riserva di legge e di quello della determinatezza si pone come ostacolo primo all'applicazione diretta delle norme comunitarie al fine di comminare una sanzione penale: la potestà punitiva è sempre stata soggetta al rispetto dei limiti del principio di legalità nelle forme della riserva di legge e tassatività e non può cedere neppure di fronte agli interventi normativi diretti o riflessi della Comunità. La conclusione che sembra soddisfare tutte le istanze e conciliare le problematiche nascenti dall'incontro dei due sistemi punitivi, deve ricercarsi in una tutela mediata degli interessi, assicurata tramite l'intervento dell'apparato sanzionatorio degli Stati membri. Infatti, le fisiologiche lacune di tutela dell'ordinamento comunitario che appare sprovvisto di autonomi strumenti di tutela idonei ad assicurare il corretto funzionamento risultano colmate dal ricorso alle risorse sanzionatorie degli Stati membri che vengono chiamati a mettere il proprio sistema giuridico al servizio delle esigenze di tutela degli interessi dell'ente sovranazionale. Il diritto penale subisce, dunque, alla pari di tutti gli altri settori normativi, gli effetti scaturenti dal processo di integrazione europea fondanti sul principio di prevalenza e diretta efficacia del diritto comunitario. Allo stato attuale, ciò che può essere definito come diritto penale europeo, dunque, è caratterizzato "dall'incontro tra il principio di prevalenza del diritto comunitario e quello di riserva di legge del diritto penale, che determina un universo giuridico paradossale, composto per un verso da norme, quelle comunitarie, prevalenti ma incompetenti e per altro verso da altre norme, quelle penali nazionali, competenti in via esclusiva ma subordinate alle prime". Ad una domanda espressa del diritto comunitario a tutela dei beni creati dalle sue attività, deve corrispondere un'offerta di tutela del legislatore nazionale, formando in tal modo un diritto penale comunitario risultante dalla stratificazione di più livelli normativi. Nonostante le problematiche sottese all'intervento penalistico, non si può negare come si sia attuata una progressiva armonizzazione delle sanzioni nel quadro europeo, in seno alle organizzazioni internazionali, nell'ambito del terzo pilastro e dunque, nella sede comunitaria. In questo ambito la prima armonizzazione è avvenuta ad opera dell'attività creatrice della giurisprudenza, e solo successivamente a livello normativo. La Corte ha incrementato la domanda di tutela fino a giungere, non solo alla richiesta di sanzioni efficaci, proporzionate e dissuasive ma anche di natura penale. La rivoluzionaria sentenza del 13 settembre 2005 ha legittimato, infatti, una competenza normativa comunitaria in materia penale, prevedendo la possibilità di una domanda esplicita di tutela penale per mezzo di direttive. L'assenza di una specifica indicazione in merito alla scelta del contenuto delle prescrizioni penali ha lasciato che si sviluppasse, in seno alla Commissione, l'idea che la Comunità potesse giungere fino ad indicare misura e specie delle sanzioni, vincolando il legislatore nazionale in limiti edittali predeterminati. E' però la Corte di Giustizia, in una successiva statuizione a chiarire il punto e specificare che il contenuto delle direttive oltre a segnalare agli Stati l'opzione della tutela penale in talune materie di rilevanza comunitaria, ed a descrivere i requisiti costitutivi delle fattispecie incriminatrici, garantendo uno standard di tutela penale, non possa giungere a stabilire la tipologia delle sanzioni penali e i correlativi minimi e massimi edittali. Riassumendo la questione ai minimi termini si può affermare che l'Unione europea diviene definitivamente competente a svolgere il giudizio di necessità di pena, ma non ad esercitare la potestà punitiva, concezione accolta anche dal neonato Trattato di Lisbona. Il secondo capitolo si occupa quindi di indagare quale sia la risposta nazionale a fronte della domanda operata in sede comunitaria e dunque di delineare quali mutamenti operino a livello normativo penale. Si distingue a tal proposito tra l'influenza diretta e l'influenza riflessa. La prima consiste in quegli obblighi di criminalizzazione espressa a cui l'ordinamento ha dato ingresso solo recentemente al fine di tutelare beni ed interessi riconducibili alla Comunità europea, con provvedimenti vincolanti e precisi. L'attività normativa comunitaria così strutturata condurrebbe alla creazione di vere e proprie norme incriminatrici e disposizioni sanzionatorie di produzione sovranazionale direttamente applicabili nell'ordinamento interno. Si è già sottolineato come questo rappresenti però il punto più problematico, nell'affidare ad Istituzioni non democraticamente elette il potere punitivo, tradizionalmente detenuto dallo Stato nazionale. Si ritiene che possa ricomprendersi nell'influenza lato sensu diretta anche quell'attività normativa di natura comunitaria che si concretizza in obblighi di criminalizzazione, sia a livello del precetto che della sanzione, contenute in atti vincolanti, seppur non direttamente efficaci. Le ipotesi di influenza riflessa, invece, indicano tutte quelle interferenze che non sono perseguite come scopo primario dal diritto comunitario ma che ugualmente si producono, senza alcun intervento dei legislatori nazionali, in forza del normale incontro del diritto sovranazionale col diritto penale interno. Il fondamento dell'efficacia riflessa è da rinvenire nel principio di preminenza del diritto comunitario secondo cui "le disposizioni del Trattato e gli atti delle Istituzioni, qualora siano direttamente applicabili, hanno l'effetto, nei rapporti col diritto interno di rendere ipso iure inapplicabile, per il fatto stesso della loro entrata in vigore, qualsiasi disposizione contrastante della legislazione nazionale preesistente, nonchè di impedire la valida formazione di atti legislativi nazionali, nella misura in cui questi fossero incompatibili con norme comunitarie". Spetterà, dunque, a qualsiasi giudice nazionale "applicare integralmente il diritto comunitario e tutelare i diritti che questo attribuisce ai singoli, disapplicando le disposizioni eventualmente contrastanti della legge interna, sia anteriore, sia successiva alla norma comunitaria". Il primo tipo di influenza riflessa del diritto comunitario è rappresentato dall'influenza c.d. interpretativa che, proprio in forza del principio del primato del diritto comunitario, comporta che il diritto interno debba essere interpretato conformemente alle fonti comunitarie: il giudice, dunque, ravvisato un contrasto tra norme nazionali e disposizioni comunitarie ha la facoltà di risolverlo, ricercando un'interpretazione comunitariamente conforme della norma nazionale senza giungere alla disapplicazione della stessa. Il secondo aspetto di incidenza riflessa del diritto comunitario sul diritto penale è da rinvenirsi negli elementi normativi della fattispecie. Vi è, infatti, l'ipotesi che le norme extrapenali che integrano la fattispecie punitiva nazionale siano norme comunitarie, antecedenti o successive alla norma nazionale: in tal modo la normativa interna subisce un processo di influenza comunitaria in forza della definizione degli elementi normativi da parte della norma sovranazionale. La normativa comunitaria, sostituendosi o integrando la normativa extrapenale richiamata ai fini definitori può determinare una diversa estensione dell'incriminazione. La forma maggiormente incisiva di influenza è operata in forza dell'integrazione ad opera della fonte comunitaria che, a fronte della tecnica del rinvio, completa con elementi specializzanti il precetto nazionale. Nell'ambito degli effetti riflessi del diritto comunitario, l'intervento maggiormente incisivo sul diritto interno è esercitato dall'influenza disapplicatrice, promanante da un'incompatibilità a livello normativo tra diritto interno e diritto comunitario. In forza del principio di prevalenza dell'ordinamento comunitario sull'ordinamento interno, è ormai consolidato che le norme interne, e, dunque, anche le fattispecie penali, debbano essere disapplicate se in contrasto con gli atti comunitari, dotati dei requisiti di efficacia diretta e di diretta applicabilità. In presenza di due norme contemporaneamente applicabili ed in contrasto tra di loro, il giudice nazionale dovrà procedere alla disapplicazione della norma interna contrastante così operando una vera e propria modifica dell'ambito del penalmente rilevante. La disapplicazione produce, pertanto, il risultato di riplasmare e comprimere in maniera significativa gli ambiti del penalmente rilevante. Il contrasto della norma interna può derivare dall'incompatibilità con norme o principi, espliciti o impliciti, a carattere generale, con fonte nel diritto comunitario primario, sia con disposizioni più o meno specifiche, contenute in atti di diritto comunitario derivato, quali regolamenti e direttive chiare, precise, dettagliate e incondizionate. La disapplicazione può coinvolgere il precetto o la relativa sanzione e può essere di carattere totale, causando un'integrale inapplicabilità della fattispecie, o parziale, comportando l'incompatibilità solo di alcune fattispecie o soluzioni sanzionatorie. Ed ancora, la disapplicazione può produrre effetti riduttivi o espansivi del penalmente rilevante: nel primo caso la norma sovranazionale che riconosce un diritto, una facoltà legittima al cittadino, opera come esimente, riducendo l'area di applicazione della fattispecie sanzionatoria, diversa è l'ipotesi in cui l'influenza, ancora discussa su tal punto dell'ordinamento comunitario, comporti un'espansione dei comportamenti penalmente rilevanti. Più problematici risultano quelli che autorevole dottrina definisce "conflitti triadici" ove una norma nazionale in attuazione di un principio comunitario sia sostituita da una successiva norma nazionale più favorevole ma in contrasto con gli obblighi comunitari. Il contrasto tra la norma comunitaria e la norma nazionale sopravvenuta ha come effetto, in queste ipotesi, di provocare l'applicazione di un'altra norma nazionale e non la diretta applicazione della norma comunitaria, sprovvista di effetti diretti. Il terzo capitolo giunge infine al fulcro del problema trattando la materia ambientale come il fil rouge che consente di ripercorrere l'evoluzione del diritto penale europeo ed indagare sulle prospettive di un possibile intervento penale da parte degli organi comunitari. L'intervento europeo, proprio per la trasversalità della materia ambientale, si è manifestato con differenti intensità: a seconda dello strumento normativo prescelto è variata la discrezionalità lasciata agli Stati nell'attuazione delle previsioni comunitarie. La normativa europea ha, quindi, interessato anche il diritto penale nazionale, nell'ambito della costruzione della fattispecie ambientale, operando in chiave sanzionatoria di condotte definite altrove. La fonte sovranazionale, sia pure a mezzo del legislatore nazionale, contribuisce a delineare il nucleo di disvalore della fattispecie, in particolare quella ambientale eterointegrata da fonti di natura tecnicistica, e pertanto costantemente soggetta ai mutamenti normativi ed alle indicazioni delle Istituzioni comunitarie. Un tanto ha condotto ben presto ad affrontare numerosi problemi interpretativi, di compatibilità tra norme così ad evidenziare la costante incidenza degli effetti riflessi esercitati dal diritto comunitario sul diritto nazionale. Infine, di primario interesse, anche in un'ottica de iure condendo, sono gli effetti diretti, progressivamente più incisivi, che a partire dal perseguimento della finalità di armonizzazione dei sistemi penali con gli strumenti del terzo pilastro, hanno aperto un varco ad un sistema di tutela rafforzato a livello strettamente comunitario degli illeciti connessi alla protezione dell'ambiente. Si può legittimamente affermare che i più significativi passi per un'armonizzazione dei diritti penali nazionali, e per la creazione di un diritto penale europeo abbiano riguardato proprio la materia ambientale. La questione ambientale, quindi, è divenuta non solo punto cruciale della politica economica, ma ha segnato il dibattito istituzionale sulle competenze dei pilastri comunitari e sull'eventuale legittimazione al ricorso degli strumenti comunitari anche in campo penale. Nell'ambito degli effetti che l'ordinamento comunitario ha esercitato nel diritto interno in materia ambientale, deve aversi riguardo alla complicata evoluzione normativa e giurisprudenziale della definizione di rifiuto, fulcro della specifica disciplina di settore e di numerosissimi atti normativi che ad essa rinviano o che la presuppongono. Infatti, proprio in tema di rifiuti, vi è stata una delle prime concretizzazioni dell'esigenza di armonizzazione in materia ambientale, dettata dalla potenziale attitudine offensiva degli stessi, nei confronti dell'ambiente e della salute umana, in assenza di un apparato normativo che consentisse di disciplinarne la gestione e lo smaltimento finale. La delimitazione dei confini della nozione di rifiuto si rivela particolarmente determinante in quanto condiziona e determina l'operatività di tutta la normativa in materia, nonché l'efficacia della stessa, risultando nozione di riferimento dell'intero sistema giuridico di protezione ambientale. Il concetto di rifiuto concorre alla determinazione dell'illiceità penale delle condotte, delimitando, nel suo espandersi e comprimersi, i confini della protezione, in campo amministrativo e penale, dei beni ambientali. Accanto al meccanismo di influenza riflessa, è da ravvisare come in materia ambientale si sia sviluppata l'evoluzione di un possibile diritto penale europeo, e dunque di una esplicita influenza dell'ordinamento sovrannazionale nelle scelte di criminalizzazione nazionali. L'occasione di contrasto deve rinvenirsi nell'annullamento da parte della Corte di Giustizia della decisione quadro, adottata dal Consiglio il 27 gennaio 2003, sul presupposto che la Comunità ha un potere di armonizzazione delle legislazioni penali degli Stati membri in tutte le materie nelle quali esista già una normativa comunitaria di settore extrapenale: i provvedimenti in materia penale possono pertanto essere adottati in ambito comunitario ove strumentali ad assicurare una maggiore efficacia alle politiche comunitarie. La competenza penale e la possibilità di istituire un espresso obbligo diretto di criminalizzazione comunitaria, si spostano dal terzo al primo pilastro in quelle materie di evidente interesse comunitario, quali appunto la tutela ambientale. L'argomento ha portata rivoluzionaria nella misura in cui indirettamente apre il varco al riconoscimento di una competenza "generale" della Comunità in funzione del ravvicinamento delle legislazioni di carattere penale, laddove questo miri all'effettività del diritto comunitario, minacciato da gravi violazioni. La decisione riconosce il potere alle Istituzioni comunitarie, sottraendolo ai settori di cooperazione intergovernativa, di obbligare gli Stati ad introdurre sanzioni penali armonizzate, proporzionali, effettive e dissuasive in risposta alle violazioni gravi delle proprie disposizioni. Non solo, dunque, viene riconosciuto alla Comunità un potere di incriminazione attraverso direttive, ma è altresì legittimato un ampio ricorso agli strumenti normativi del diritto comunitario classico, con un corrispondente ed inevitabile declino degli ambiti di operatività del terzo pilastro, per l'armonizzazione delle norme penali interne agli ordinamenti nazionali nelle materie rientranti nelle competenze comunitarie, provocando una conseguente comunitarizzazione delle misure volte a fissare gli elementi minimi delle fattispecie incriminatrici e delle correlative sanzioni. Pochi anni dopo la Corte ha ridimensionato in modo significativo il dictum della precedente statuizione, negando alla Comunità il potere di definire la tipologia e la misura delle pene attraverso atti normativi vincolanti: alle direttive compete la facoltà di obbligare gli Stati a garantire uno standard di tutela penale in taluni settori, attraverso l'apprestamento di sanzioni efficaci, proporzionate e dissuasive, senza avere la facoltà di vincolare la scelta del legislatore nazionale in relazione alla species ed al quantum. La decisione, seppur di compromesso segna un punto di volta nel riconoscere l'incidenza effettiva del diritto comunitario sul diritto penale: il divieto di indicare le sanzioni è limitato alle direttive, lasciando invece alle decisioni quadro la possibilità di prescrivere il quantum delle sanzioni penali da adottare a livello nazionale per il perseguimento degli obiettivi comunitari, vincolando le scelte nazionali. Dal punto di vista degli obiettivi di criminalizzazione, non viene pertanto superata la frammentazione tra precetto e sanzione, permanendo, a causa della persistente resistenza degli Stati membri a detenere la potestà punitiva in materia penale, una divisione tra il momento precettivo, deferito alle istituzioni comunitarie, e quello sanzionatorio, di competenza nazionale. Le due statuizioni trovano la loro applicazione pratica, proprio nella direttiva 2008/99 sui reati ambientali risultando terreno di sintesi tra le spinte espansionistiche provenienti dalla Commissione e quelle conservatrici del Consiglio, nonché luogo di mediazione tra i diversi modelli di incriminazione degli ordinamenti nazionali, fornendo un minimo comune denominatore di tutela di fonte sovranazionale. Si è così configurato un sistema multilivello ove i legislatori nazionali sono condizionati nel loro potere discrezionale dalle indicazioni formalizzate dalle Istituzioni comunitarie. Dal punto di vista funzionale, l'obiettivo della direttiva è quello di ottenere che gli Stati membri introducano nel diritto penale disposizioni che possano garantire un adeguato livello di tutela ambientale. La direttiva presenta rilevanti elementi di novità, in primis appunto per gli obblighi formali di penalizzazione imposti, nell'ambito del primo pilastro . Il Trattato di Lisbona accoglie sotto alcuni aspetti l'evoluzione giurisprudenziale della Corte ma non ne sviluppa le problematiche in modo soddisfacente, deludendo le aspettative in merito al riconoscimento di una vera e propria potestà punitiva comunitaria. Il Trattato seleziona, come si è visto, tre ambiti di intervento per le direttive a contenuto penale per i fenomeni criminali tassativamente indicati al par. 1 dell'art. 83, per i fenomeni criminali diversi da quelli tassativamente elencati, per i quali occorre una decisione del Consiglio adottata all'unanimità e previa approvazione del Parlamento, ed in tutti i casi in cui la fissazione di norme minime su reati e pene risulti indispensabile per dare efficace attuazione alle politiche comunitarie, per i settori già oggetto di armonizzazione (art. 83 par. 2). L'ambiente, pur avendo avuto un ruolo nevralgico nell'evoluzione della competenza penale, e risultando oggetto di una incrementata tutela nel Trattato, non compare tra le materie tassativamente elencate, riscontrando un'evidente battuta d'arresto, deferendo inevitabilmente l'individuazione delle linee evolutive all'attività giurisprudenziale. Il quarto capitolo, infine, si ripropone di evidenziare le prospettive di un possibile penale europeo, unificato o quantomeno armonizzato, partendo dai pregressi tentativi di codificazione, quali il Corpus Juris, gli Europa delikte, il progetto alternativo, ed infine la Costituzione europea. I tentativi di armonizzazione e unificazione sopra citati hanno costituito banco di prova per un diritto penale europeo, seppur settoriale, ponendo, nell'esame dei pregi e dei limiti dei diversi progetti, le basi per un nuovo intervento sovrannazionale più mirato. La prospettiva che si deve prendere in considerazione al momento non riguarda solamente la possibile concretizzazione dei progetti qui delineati, quanto piuttosto l'esigenza che tale unificazione ed armonizzazione si spinga verso differenti ed ulteriori settori che progressivamente hanno acquisito una rilevanza comunitaria. I beni istituzionali della pubblica funzione europea, la moneta unica, gli interessi finanziari dell'Unione nonché l'ambiente possono già essere considerati, ad esempio, come un nucleo, condiviso, di interessi sovrannazionali per i quali sussistono in capo agli ordinamenti nazionali penetranti obblighi di tutela penale. Anche in ordine a tali beni si dovrebbero prospettare dei micro-sistemi di tutela penale ulteriore e sovraordinati che, proprio in ragione del carattere settoriale, pur rispettando le identità nazionali, si imporrebbero alla normativa nazionale, sostituendola o integrandola, nei settori di competenza. La finalità auspicata sarebbe quella di giungere ad una "mise en compatibilité" degli interventi nazionali con quelli sovrannazionali in determinati settori, diretta ad instaurare un "pluralisme juridique ordonnè" ed a garantire la coesistenza di una pluralità di norme di natura e valenza differenti, regolata da un sistema di criteri ordinatori ispirati alla flessibilità ed alla complessità che consentano di tradurre le inevitabili interferenze ed i reciproci rinvii da un ordinamento istituzionale all'altro. La politica criminale europea dovrebbe, dunque, risultare come un sistema misto e graduato su diversi livelli di incidenza, con forme di normazione sovrannazionale direttamente vincolante, per quei beni che risultino meritevoli e necessitanti una tutela penale esaustivamente definita a livello sovrannazionale ed, invece, forme di normazione armonizzatrice di diversa intensità sui sistemi nazionali, nel caso di beni di interesse comune o di beni sovrannazionali non necessitanti la predisposizione di una tutela accentrata e unificata a livello sovrannazionale. Sarebbe necessario, piuttosto, a tal fine far ricorso ad alcuni principi generali in materia penale che possano ispirare l'intero ordinamento sovrannazionale, chiamati ad orientare, vincolandoli, gli interventi europei di penalizzazione diretta e di armonizzazione, nonché le misure nazionali di tutela ed assicurare una coerenza complessiva della politica criminale europea. In tale prospettiva gioca un ruolo di prim'ordine la Carta dei diritti fondamentali dell'Unione in quanto referente primario dei valori fondanti l'Unione e dunque, per ciò stesso, condivisi. La formalizzazione dei principi ivi contenuti, in particolare di quelli relativi alla materia penale potrebbe fornire la base per costituire una teoria generale dell'intervento penale, quale consacrazione e concretizzazione a livello sovrannazionale di quel patrimonio comune di ideali e tradizioni politiche, di rispetto delle libertà e di preminenza del diritto. La prospettiva più realistica, nel breve periodo è proprio quella di procedere ad un'unificazione ed un'armonizzazione riguardo a beni e interessi condivisi, lasciando un margine di discrezionalità al legislatore nazionale. Prendendo le mosse dal Trattato di Lisbona, non si può escludere, invece, come, accanto alle misure di armonizzazione fin ora attuate col tramite delle direttive, vi possa essere la prospettiva sul lungo periodo della creazione di un diritto penale di tipo federale, accanto ai codici penali nazionali, demandando alla Comunità la definizione di norme minime relative alla definizione dei reati e delle sanzioni in alcune determinate materie in sfere di criminalità particolarmente grave. Allo stato, quindi, si può ritenere che vi sia stata un'opera visibile di armonizzazione, anche a livello normativo, evolutasi nella scelta degli strumenti del primo pilastro, maggiormente vincolanti, e nelle materie da sottoporre a tutela. Ne abbiamo l'esempio visibile in materia ambientale con tre direttive in settori differenti che hanno imposto norme minime, definizioni, fattispecie incriminatorie e obblighi di penalizzazione, proprio accogliendo i presupposti di una normativa comunitaria settoriale. Il riscontro a livello nazionale, che si attende in tempi brevi, dovrebbe portare ad una chiarificazione, seppur parziale, del diritto interno ambientale, introducendo modifiche in linea con gli standards europei e consentendo, anche a livello processuale "di usare efficaci metodi di indagine e di assistenza, all'interno di uno Stato membro o tra diversi Stati membri". E' indiscutibile come il diritto penale non sia più una materia riservata in modo esclusivo al legislatore di ciascuno Stato membro, e si stiano delineando dei campi di azione in cui il diritto europeo può concorrere alla effettiva configurazione del sistema penale nazionale. ; XXII Ciclo ; 1981

¨The actions taken by the Armed Forces are not a mere overthrow of a government but rather the final closing of a historical cycle and the opening of a new one in which respect for human rights is not only borne out by the rule of law and of international declarations, but is also the result of our profound and Christian belief in the preeminent dignity of man as a fundamental value.¨ (…) ¨It will be the objectives of the Armed Forces to restore the validity of the values of Christian morality, of national tradition and of the dignity to be an Argentinean; (…) a final solution to subversion in order to firmly found a reorganized Argentina on the values of Western and Christian civilization by eradicating, once and for all, the vices which afflict the nation. This immense task will require trust and sacrifice but has only one beneficiary the Argentinean people¨ (1). With these words the military junta addressed the Argentines after taking over the government through a coup d'état the 24th of March 1976. Already in this first official communication it is possible to find the strong messianic discourse where the armed forces were fulfilling their holy mission to protect the Christian-national identity of the country.For the first time in the history of Argentina catholic-nationalism, as a nationalist ideology, had an absolute control of the State and was backed by the entrepreneurship and by important sectors of the middle class.(2) The military junta, leaded by Jorge Rafael Videla, was the perfect embodiment of a permanent alliance between religion and fatherland. The armed forces were compelled, being the institution that gave birth to the nation, to fulfill a decisive role in the "holy mission" to morally regenerate the country. This would have allowed Argentina, and therefore all of the Western-Christian civilization, to not just vanquish communism but, also, all of its roots like liberalism, democracy and agnosticism. The military, alongside the Argentinean Catholic Church and its supporters, were convinced that the final battle of the "third world war" was taking place in Argentina. Generals Ramon Camps and Menéndez would even call the "Argentinean theater of operations" as third world war, where they thought the international subversive movements were playing a pivotal role (3). This extremely eschatological feeling was completely different from other similar Cold War scenarios in other developing countries. In Argentina the "final showdown against international communism" syndrome was exacerbated by this alliance between the sword and the cross that would fight communism in order to make a "healthy" society possible, which would lead the way to the regeneration of the "atheist infected" western world. This expectation was the pillar of messianic spirit that justified the extermination plan.But the Proceso de Reorganización Nacional (National Reorganization Process), as the military junta denominated the period that begun with the coup d'état, was more than an extermination plan; it aimed at a total "restoration" of society. The speech given by Lieutenant Jorge Eduardo Goleri at a book burning gathering in Córdoba in April 1976 clearly shows what the Junta was aiming for: "God's will requires that the military preserves the natural order manifest in the Western and Christian civilization to which Argentina is integral, but the East had organized a massive international conspiracy to subvert that civilization by restructuring society in accordance with the seditious and atheistic doctrine of communism. We are facing the imminent doom of our way of being Christian under the assault of subversion"(4).The Junta regarded itself as the creative agent of historical destiny(5). In their eschatological mindset they were analogous to the Messiah. They saw themselves as the mythological/biblical Hero that defended the most sacred/holy interests and appeared when a series of afflictions required his abilities of salvation. The Hero needed a nemesis in order to act and what better foe than international communism. But the latter was constructed in a Manichean, epical and apocalyptical manner. The myth of the Hero was opposite to the myth of a "Metaphysical Enemy". The former would engage in a Mythological/Holy War against an invisible but encompassing "Evil". Violent acts from left-wing guerrilla groups, which the Junta labeled as terrorism, perfectly ascribed that ontological description. Communism, with its terrorist offspring, was foreign, atheist and ideological. The military, then, had to combat it not just in the streets or countryside; but in the people's minds, and souls, as well. Guerrilla fighters were just the armed side; the roots of communism, meaning of terrorism and anti-Catholicism, were to be found in individuals that had ideas contrary to the Juntas' weltanschauung. They were ideas that opposed the catholic foundations of the nation and the society that it embodied.The Junta's adversary was an essentially ideological foe as General Videla stated to a British journalist: "A terrorist (read communist or atheist) is not just someone with a gun or a bomb, but also someone who spreads ideas which are contrary to Western and Christian civilization" and he continued, "…Subversion is all action that seeks the alteration or the destruction of the people's moral criteria and form of life, with the end of seizing power and imposing a new form based upon a different scale of values"(6). The guerrilla was not the most dangerous enemy; because in military terms it was already defeated before the Junta took power. The nemeses were communism, liberalism and democracy, ideologies that advocated an "Anti-Christian Revolution" that subverted the catholic foundations of the country(7). Accordingly, the subversive was guilty of the most serious crime against the Augustinian concept of "Common Good". In this latter sense, the battle against that invisible, but spiritual, Evil was a conflict inside each one of us. Like Massera said: "…the Third World War is not only fought in battlefields but, more importantly, in the believer's soul" (8). This Holy War mobilized the Junta as a "warrior-savior", as a modern crusader fighting for God and freedom from foreign atheist ideologies. This, in part, self-perceived holy mission strengthened the Junta's self-image as Christ's vicar, as crusading defender of Christianity and its Natural Order from the "pagan agents and antinational beings of the Antichrist"(9). Not surprisingly, the military profession was defined by Monsignor Bonamín as a profession of religiosity. Consequently, it is no wander that before the armed forces toppled Isabel Peron's government, they asked for the Catholic Church benediction the night before the coup(10). The Argentinean Catholic Church was as deeply as it could possibly be involved in this crusade. The Crusade's sanctification by the ChurchAfter Videla and Massera were blessed by the heads of the Argentinean Episcopate the night before the coup, Parana's Archbishop and military Bishop Adolfo Tortolo announced that the Catholic Church would positively cooperate with the new government (11). The Church was actively supporting and legitimizing the imminent armed forces' putsch. This probably did not surprise the future Junta's leaders. In December 1975, just three months before the coup d'état, Tortolo had called for the military to inaugurate a "purification process" and his subordinate Bonamín had stated, during the mass in front of future Junta leader General Viola, that Christ wanted the armed forces to be beyond their function in the future (12). The vicars of Christ on Earth were actually telling the military what were their Lord's orders. This symbiosis between the sword and the cross continued even after the first accusations of human rights violations against the Junta. On October 1976, Tortolo declared that he did not know of any evidence that proved that human rights were being violated or abused. In 1977 he went even further by affirming that the Church thought that the armed forces were acting accordingly to the special demands of the present juncture; meaning that the military was fulfilling its duty (13). The same with Bonamín's declarations regarding the role of the armed forces: "…it was written, it was in God's plan that Argentina did not have to lose its greatness and it was saved by its natural custodian: the army"; "…Providence has given the army the duty to govern, from the Presidency to the intervention in a trade union"; and finally "…the anti-guerrilla fight is a battle for the Republic of Argentina, for its integrity, but also for its altars (…) This fight is a fight in morality's defense, of men's dignity, ultimately a fight in God's defense (…) That is why I ask for the divine protection in this dirty war to which we are committed to." (14)The vast majority of the Argentinean Catholic Church favored and strongly supported the military junta's government and repression. Only four of the eighty-four clerical members of the Argentinean Episcopate publicly denounced the regime's repression (15). However, the Church was not just backing the Junta because it legitimized its sacred duty to defend the fatherland or because it identified itself in the Junta's messianic mission; but because Church also had to deal with its own internal enemies. The Argentinean Catholic Church was, perhaps, the most conservative Latin-American national Church. It was strongly in disagreement with the three most important progressive movements inside the Catholic Church: the Second Vatican Council, the Third World Priesthood Movement and the Latin-American Episcopal Council of Medellin. The Theological Liberation Movement that spread through Latin America during the 60s and 70s was extremely popular among young Argentineans. Several priests identified themselves with the Movement and tried to bring change to the Argentinean Church through their communal and pastoral actions among poor sectors. Additionally, several Montoneros' members were former catholic school's students that had radicalized, in part, because of their experience with the Theological Liberation Movement. The Catholic Church, then, supported, or did not protest too much against, the "internal cleansing" done by the military; like the killing of Father Mujica, Angelleli and four Palotines clerics among other cases (16).Lastly, the Catholic Church was involved in a much sinister way with the Junta's actions. The heads of the Argentinean Church knew about the repressive methods being used by the security and armed forces and chose not to condemn them. They considered them as necessary sacrifices for the Common Good. Nevertheless, several clerics went further by assisting and taking an active part in the implementation of torture and other repressive mechanisms used by the Junta. More than two hundred prelates participated in four different ways: offering confession/absolution to the victims before being executed or thrown into the sea; assisting the torturers by playing the "good cop" role; being themselves the torturers; and, by confessing and spiritually assisting the torturers and other victimizers (17). The priest Christian von Wernich is, maybe, one of the best examples of the fusion between the cross and the sword. Not only he assisted the torturers in their tasks, he even was involved in the kidnapping and torture of several desaparecidos and in the infiltration of exiled groups in New York (18). He, among others like Archbishop Plaza, Fathers Astigueta, Castillo and Perlanda López that also assisted torture sessions, justified the repressive methods, not considering them sins, by legitimizing their, and the military, behavior under the Augustinian and De Vitorian doctrines of "just war". The support of the Catholic Church for the fight against subversion and its blessing was a pivotal element in the implementation of the plan of extermination and its suppressive mechanisms. The repressive methods, chosen by the Junta, were not void themselves of a messianic and divine nature. Divine and Redemptory Violence The three main types of violent acts that reflected the Junta's Messianic crusade, which were an integral part of their repressive methods, were: torture, thevictim's throwing into the sea and the appropriation of the victims' children by families deemed proper by the military. These violent means, chosen by the perpetrators to perpetually annihilate the ideas that were subverting the Argentinean Catholic traditions, were constructed under the discourse of "love" in two different ways: firstly, the kind of love upheld by Thomas Aquinas where the authority could legitimately kill evil-doers when the formers were motivated by charity. The crusading Junta envisaged that the repressive methods it used had a transcendental value. That type of violence was constructive rather than destructive, insofar as it was able to eradicate evil in order to create good (19). Love was considered the reason for an act of violence, for a punishment that redeemed the sinner, disregarding whether the latter survived the penitence. General Ramón Camps, commenting of how the detention centers perfected the victims through torture, said: "It is love that prioritizes and legitimates the actions of soldiers. The use of force to put an end to violence does not imply hate since it is nothing other than the difficult search for the restoration of love. In the war we are fighting, love of social body that we want to protect is what comes first in all of our actions" (20). Massera and Videla also referred to the dictatorship's repression as an "act of love" or "work that began with love"(21). All these statements reflected how the just war's discourse of Christian charity was in their minds by giving love a pivotal place.Secondly, there was another, and more complex, kind of love in the Junta's Christian-inspired crusade, which contrasted with the former metaphysical type and appeared exclusively in the torture tables of the detention centers, and should be labeled as sexual love. The torture sessions were filled of sexual symbolisms and discourse. The eroticism present in the torments was the exteriorization of the torturer's sexual -religiously repressed- desires into the body -the sexual surrogate totem- of the tortured. Consequently, the act of torture symbolized the act of sex(22). Like Jacobo Timerman perfectly put it, the Junta's violence was the emotional and erotic expression of a militarized nation (23).An expression orchestrated by the use of the picana. The latter was the preferred torture instrument used by the torturers for many reasons. Historically, it was first used by the nationalists during Uriburu's dictatorship and it was extremely effective in administering the desired amount of pain. However, symbolically, thepicana represented, better than other torments, the rawest manifestation of the Junta's conception of power related to "love's twofold sense". Considering torture as a Christian act of love, the picana was the necessary instrument to get a confession from the torturer that would eventually get him redemption. But thepicana had to fill a "void space". According to the perpetrators the victims were atheists (then they were not Argentines), which meant that in order to get any kind of absolution they had to, somehow, recognize and accept the Word of Christ. The Word would fill the empty victims; but first the picana would have to fill them with the will to "repent" and "convert". Once the tortured had received several electric shocks, they would receive and recite the Word by being ordered by the torturers to deliver Catholic prayers (24). Through these confessions the Junta's self perceived role of being the vicars of Christ on Earth was realized every time. They had defeated the atheist enemy but, employing Christian charity, they also had won the battle for the subversives' souls. Redemption was offered to anyone, even the irrecoverable cases. Even if their bodies were deprived of life their souls were saved. One of the ways that the ones not redeemed during confession were granted spiritual salvation was by the purifying power of water. By throwing them into the sea alive they were bestowing them a new, or first, "baptism" (25). It was the perpetrators' holy mission to redeem the victims' souls in life or in death. The picana, when considering torture as a sexual act, was also a phallic symbol. The torturer would make use of the picana-phallus to inflict pain and, at the same time, through the victim's screams and spasms satisfy his own repressed sexual desires. The perpetrator would systematically use the picana-phallus in the erogenous parts of the body. The body of the tortured would then transform into the sexual object of the repressor's desires. A sinful object that had to be purified with repent or conversion but only after the torturer's sexual desire had been satisfied (26). Symbols of divine violence can be found in other examples of torture sessions during the Junta's dictatorship. The torturers would yell at the captives, and would also made them say, "Viva Cristo Rey" and would make them thank God for another day by make them recite prayers before sleep. The picana was sometimes referred as "giving holy communion" as well as water-boarding was named "baptism". Among the many names that the torture chambers were given by the perpetrators there were: "the confessionary" and "the altar" (27). The latter clearly reflects the idea of sacrifice embedded in the repressors' minds. Regarding the victims' religious creeds the torturers would make a distinction between the recoverable and irrecoverable cases. Among the former ones there would be victims that had a catholic background because they had gone to catholic schools or because they knew how to recite prayers (28). Nevertheless, being catholic was not synonym of survival. The irrecoverable Catholics would only have their souls saved, but not their lives. Amid the desaparecidos there were an important proportion of Jews. About 1% of the Argentine population was of Jewish origin, but 20% of desaparecidos shared the same religious background (29). The Junta believed in an international communist conspiracy that, like the Nazis before, was leaded by the Jewry. Being Jewish meant being a Bolshevik. Additionally, the Junta's Messianic trope further propelled the kidnapping and execution of the community that, according to them, was responsible for Christ's crucifixion (30). Lastly, the appropriation of the desaparecidos children by the military was, perhaps, the most sinister of the Messianic-inspired repressive acts done by the military., The kidnapped pregnant women that gave birth in captivity, after being tortured regardless of their condition, were deprived of their children. The newborns were appropriated by families that would rise according to Catholic tradition. Motivated by Christian charity and its doctrine, these children would avoid the atheism, Judaism or wrongly conceived Catholicism that their parents would have offered them. These newborns were, according to the Junta, truly "innocent" and deserved to have the chance to live a proper life in genuine catholic families. Concluding RemarksThe Messianic ideology during the dictatorship was present not only in the Junta's ideology, but also in its discourse and repressive methods. Even if not everything that happened during the military regime can be explained through the catholic-nationalist ideology, the latter provides the essential motivation for the government. It is difficult to imagine that the magnitude, and chosen methods, of the repression would have been the same without the Messianic trope. By comparing the level of Argentinean repression to other military regimes of the Southern Cone in the same period, the distinction is remarkable. Not only the repressive mechanisms used by the Argentinean dictatorship were distinct, and more sadist and cruel, than the Chilean, Uruguayan and Brazilian cases, but the amount of Argentina's desaparecidos dwarfs those cases.Additionally, the Argentinean Catholic Church was the only one to completely back the regime and its repressive methods. In Chile, for example, the heads of the Church were divided in supporting Pinochet. Ultimately, the majority of the Church would condemn the Chilean regime. Regarding the political leadership, there are no religious discourses that serve as justification for the regimes in the other Southern Cone's dictatorships. The military juntas of those countries never legitimized their governments or their respective coup d'états in God's will or the salvation of Christian-Western civilization. National security and the fear of communism were their justification. Even if the regimes were ideologically justified, these were never of a religious nature like in the Argentinean case. It is probably the catholic-nationalist ideology, matured in the 30s, augmented by the international communist conspiracy typical of the Cold War that prompted the Junta in Argentina to completely wipeout what they perceived as atheist and foreign elements in society. Without a Messianic military that was ready to fight a crusade in order to restore order to the nation and without the blessing and active support from the Church, the repression would not have had the size and the horror that it had. The armed forces were fighting what they thought was the last crusade of the 20th century against the atheist forces of communism. The "Third World War" was already happening to them. Winning it was more than strategic, it was a holy mission. (1) Excerpts from a radio announcement made by the Junta after taking control of the State. Cited in Loveman, David and Davies, M. Thomas; The Politics of Antipolitics: The Military in Latin America; University of Nebraska Press; Lincoln; 1978; pp. 177. (2) See Novaro, Marcos and Palermo, Vicente; La Dictadura Militar; Paidos; Buenos Aires; 2003. (3) See Clarin, June the 26th 1976. Cited in Novaro, Marcos and Palermo, Vicente; La Dictadura Militar; Paidos; Buenos Aires; 2003; pp. 93. (4) Cited in Frontalini, Daniel and Caiati, Maria C.; El mito de la guerra sucia; CELS; Buenos Aires; 1984; pp. 90. Note how the East is viewed as the geopolitical source of "evil" similar to the Nazis' fear of the East. (5) See Graziano, Frank; Divine Violence. Spectacle, Psychosexuality, & Radical Christianity in the Argentine "Dirty War"; Westview Press; Boulder; 1992; pp. 120.(6) See CONADEP; Nunca Más; Eudeba; Buenos Aires; 1984; pp. 342. (7) See Castro Castillo, Marcial; Fuerzas armadas: Ética y represión; Nuevo Orden; Buenos Aires; 1979; pp.120. (8) Massera, Emilio; El país que queremos; FEPA; Buenos Aires; 1981; pp. 44. This concept of an internal and spiritual struggle is common to all religious fanatic ideologies. For example the original significance of Jihad was that of the soul's struggle against temptation. The concept would later evolve to holy war. (9) As subversives were defined by Ramon Agosti. Cited in Verbitsky, Horacio; La última batalla de la tercera guerra mundial; Legasa; Buenos Aires; 1984; pp.16. (10) La Nación, March the 25th 1976; cited in Mignone, Emilio; Iglesia y Dictadura; Colihue; Buenos Aires; 1986; pp.25. (11) See Mignone, Emilio; Iglesia y Dictadura; Colihue; Buenos Aires; 1986; pp.25. Additionally, Tortolo was Videla's private confessor. (12) Ibid; pp. 25(13) Ibid; pp. 26-28. (14) Ibid; pp. 30-31. (15) See Novaro, Marcos and Palermo, Vicente; La Dictadura Militar; Paidos; Buenos Aires; 2003; pp. 99 (16) Ibid; pp. 97(17) See Mignone, Emilio; Iglesia y Dictadura; Colihue; Buenos Aires; 1986; and CONADEP;Nunca Más; Eudeba; Buenos Aires; 1984; pp. 342-360. (18) See Mignone, Emilio; Iglesia y Dictadura; Colihue; Buenos Aires; 1986pp.179-188. (19) Graziano, Frank; Divine Violence. Spectacle, Psychosexuality, & Radical Christianity in the Argentine "Dirty War"; Westview Press; Boulder; 1992; pp.152(20) See Camps, Ramón; Caso Timerman: punto final; Tribuna Abierta; Buenos Aires; 1982; pp. 21. (21) CONADEP; Nunca Más; Eudeba; Buenos Aires; 1984; pp. 348. Additionaly, it is interesting to notice how Carl Schimitt's political theology theory is translated into the Junta's discourse. In this sense, the Junta's actions would be a Schimittian case of politics not being able to be dettached from religion. This, in turn, would contradict several secularization theories. See, Schimitt, Carl, Political Theology: Four Chapters on the Concept of Sovereignity, Chicago Univertisty Press, Chica, 2006.(22) Interestingly, Saint Augustine described copulation in such a dreadful way that it seemed like an act of torture. See Foucault, Michel; Historia de la Sexualidad: Vol. 1, La voluntada del saber; Siglo XXI; Buenos Aires; 2008; pp. 37. (23) See Timerman Jacobo; Preso sin nombre, celda sin número; De la Flor; Buenos Aires; 2002; pp. 17. (24) See CONADEP; Nunca Más; Eudeba; Buenos Aires; 1984; pp. 347-360; and Graziano, Frank; Divine Violence. Spectacle, Psychosexuality, & Radical Christianity in the Argentine "Dirty War"; Westview Press; Boulder; 1992; pp. 166. (25) It is rather interesting to note that throwing victims alive into the sea or rivers was a common killing method used by other strongly catholic Messianic inspired authoritarian regimes or groups. The falangistas would throw communists, anarchists and socialists (and whoever they thought was not catholic enough) to the rivers during the Spanish Civil War. The Algerian French and later the OAS would throw FLN suspects to the Mediterranean during the Algerian War of Independence. Even in Argentina, during the 1930s, the nationalists were talking about pushing the communists into the sea. A more detailed research should be conducted on this issue. Probably the Spanish Inquisition's torture methods, involving boiled water or a pool where the suspected heretics would drown, clearly influenced all of these cases into using natural sources of water to purify their sacred lands from the nonbelievers. (26) For more on torture as a sexual act and the picana as phallus see Graziano, Frank; Divine Violence. Spectacle, Psychosexuality, & Radical Christianity in the Argentine "Dirty War"; Westview Press; Boulder; 1992; pp. 158-190. (27) CONADEP; Nunca Más; Eudeba; Buenos Aires; 1984; pp. 26-50. (28) Many tortured victims remember how the torturers were clearly surprised to see the formers wearing crosses after making them take out their clothes. In some of these cases the torturers would say to the victims that their life would be saved because they were Christians but had lost their way and it would be the repressors' task to show them the right path. (29) See Novaro, Marcos and Palermo, Vicente; La Dictadura Militar; Paidos; Buenos Aires; 2003; pp. 115. (30) During the trial of torturer known as Jorge "El Tigre" Acosta a witness remembered him saying, after killing a captive while torturing him, that he was happy that he had died because he was going to be freed but he did not want a Jew to walk freely in Argentina; all Jews were guilty because they had killed Christ. See Diario Perfil; "Juicio al Tigre Acosta por el asesinato de Hugo Tarnopolsky"; May the 12th 2007. *Estudiante de Doctorado, New School for Social Research, New YorkMaestría en Estudios Internacionales, Universidad Torcuato Di Tella, Buenos AiresÁrea de Especialización: Procesos de formación del Estado moderno, sociología de la guerra, terrorismo, genocidio, conflictos étnicos, nacionalismos y minorías.E-mail: guere469@newschool.edu

E-COMMUNICATION AND DIGITAL CONTENTS IN THE XXI CENTURY ART MUSEUMS Resumen:El artículo busca mostrar las nuevas maneras de operar y los tipos de relación con los públicos que han generado las nuevas tecnologías de la información y la web 2.0 en tres museos de arte ubicados en Madrid. El artículo parte con una reflexión teórica sobre la cultura y la comunicación digital hasta ejemplificar de qué manera los museos han hecho uso y han aprovechado estas nuevas posibilidades para sus fines didácticos y de comunicación. Palabras clave: Cultura digital, comunicación, web 2.0, TIC, museos de arte. Abstract:This article aims to show the operation processes and types of relationships with the public that have been generated by the new information technologies and the web 2.0 in three art museums located in Madrid. The article starts with a theorical reflection about culture and digital communication until it exemplifies the way in which museums have made use of this possibilities for their didactic purposes and communication strategies. Keywords: Digital culture, communication, web 2.0, TIC, art museums * * * * * 1. Cultura digital y nuevas tecnologías Las sociedades actuales están caracterizadas por los cambios acelerados, la globalización, las migraciones, los problemas ambientales, los avances tecnológicos, las nuevas dinámicas de comunicación, las nuevas maneras de relacionarse. Estas sociedades contemporáneas, en los últimos años han pasado a conocerse como "aldeas globales", y se han convertido en contextos cambiantes, condicionadas por trasformaciones que generan nuevas necesidades y exigen diferentes maneras de operar. En este marco, surge un nuevo paradigma: las nuevas tecnologías de la información y la comunicación, en donde se desarrollan otras maneras de acceso a la información dando paso a un nuevo tipo de comunicación: la cultura digital. La cultura digital es entendida como una nueva forma de relacionarse y generar conocimiento. Hugo Lewin (2014), señala que nos encontramos en la era de la comunicación digital o e-comunicación, en donde la cultura digital se posiciona en un espacio de intercambios simbólicos y el usuario se convierte en el eje de la comunicación. La cultura digital ofrece plataformas en donde la interrelación es participativa, los usuarios no solo consumen información sino que contribuyen a la construcción de la misma. Estas plataformas se han convertido es un espacio importante para el diálogo ya que "[…] presentan poderosos espacios en red para la (re)construcción de la vida social, en la cual las motivaciones sociales, políticas y culturales prevalecen frente a otras basadas en el mercado". (Aleksandra Uzelac, 2014:32). Las nuevas tecnologías han impactado notablemente en el estilo de vida de las personas, ampliando las maneras para acercarse a la información. El ámbito digital ha permitido acceder a la gente más fácilmente a la cultura, educación, salud, etc., convirtiéndose en un medio para relacionarse entre las personas y el mundo, facilitando las posibilidades de acceso a distintos ámbitos que hasta el momento no estaban disponibles para todos. Marco Urresti (2014), en su artículo "La comunicación digital y las políticas del Estado como intervención cultural", explica, refiriéndose a la cultura digital, que la realidad social actual está compuesta de circuitos informativos contenedores de mensajes para transmitir órdenes y disposiciones. Estos circuitos se convierten en recursos fundamentales para el funcionamiento de las distintas instancias que componen la realidad. Por otro lado, destaca el importante rol que han adquirido las tecnologías de la información y la comunicación en el entorno digital para la gestión de cualquier institución, ya que además del alcance que tienen, acortan las distancias territoriales, ahorran tiempo de trabajo, maximizan el rendimiento de las fuerzas productivas y abaratan costos. La cultura digital e internet han modificado los modos de comunicación entre las personas y las formas de acceso a la información, convirtiéndose en un importante medio de difusión de contenidos. Sin embargo, es importante mencionar que para el acceso y uso de toda la sociedad de estas herramientas es necesario poner en marcha políticas públicas para la creación de infraestructuras para el acceso y formación de las tecnologías para todos los sectores de la sociedad. La cultura digital puede estar orientada a ser un espacio de comunicación activo y participativo. Como señala Insa Alba (2009), para explotar todas las posibilidades que ofrecen las nuevas tecnologías es necesario implementar cuatro acciones para el desarrollo de las políticas de cultura digital: - La experimentación, para posibilitar a los creadores y agentes el acceso a las prácticas artísticas colectivas. - La producción discursiva, relacionada con creadores, gestores, público, (es necesario lograr una interacción entre todos, para mejorar la comprensión de los fenómenos y procesos artísticos). - La gestión a través de plataformas y redes para aumentar la participación de los públicos. - La divulgación tecnodigital, fundamentada sobre modelos de pensamiento crítico. En este sentido, visto el alcance de las nuevas tecnologías e internet a la hora de orientar gustos, opciones y valores, es importante recalcar el aporte de estos instrumentos como medio para la difusión de la diversidad cultural y el fomento del diálogo intercultural. Para fomentar la diversidad cultural en los contenidos digitales, según el informe de la UNESCO "Comunicación y contenidos digitales. Invertir en la diversidad cultural y en el diálogo intercultural", es necesario promover políticas que contribuyan al fomento del pluralismo y la libre circulación de ideas, aprovechando las posibilidades que ofrecen los nuevos medios y la participación de los usuarios. Así, es importante comprender que: Internet tiene potencial para apoyar la democracia comunicacional por medio de una serie de iniciativas culturales innovadoras que eluden las fuentes de información predominantes: el fomento de la identidad en el seno de las diásporas, el apoyo a estructuras que defienden los intereses de culturas minoritarias, comunidades en línea, grupos militantes y personas con intereses culturales comunes. (UNESCO, 2009:20) Este nuevo marco tecnológico no ha sido ajeno al mundo de la cultura que ha reconocido el impacto positivo de las nuevas tendencias de comunicación y se han ido adaptando a los nuevos códigos y hábitos de consumo en la red, aprovechando de esta manera la oportunidad para difundir sus contenidos, la información cultural, aumentar la participación del público en sus actividades y crear nuevas audiencias, otorgando a las nuevas tecnologías un papel importante en los procesos de producción y consumo cultural. Los contenidos digitales pueden contribuir a la diversidad cultural, para esto es necesario producir contenidos innovadores para garantizar la integración de la diversidad cultural en el sector cultural, ampliar el acceso y fomentar nuevas estrategias tanto de información como de comunicación y por último, obtener una representación equilibrada de las distintas partes de la sociedad. (UNESCO, 2014) La cultura digital e internet han ofrecido a las instituciones culturales la posibilidad de actuar como plataformas en donde los procesos de experimentación y producción son participativos, dando de esta manera la posibilidad de construir cultura de una manera colectiva. Insa Alba (2009), afirma que el verdadero reto de los gestores culturales al enfrentarse a la cultura digital consiste en "despertar una sensibilidad estética que desconecte para conectar" y tener la capacidad de transformar el espacio virtual a un espacio de aprendizaje y comunicación activo. Estas nuevas tecnologías además de haber cambiado la manera tradicional en que la cultura incide en la organización social y la experiencia artística, han sacado a la luz "[…] nuevos elementos de debate sobre aspectos que han estado en el centro de la definición de las políticas culturales contemporáneas, como son el acceso a la cultura y la participación cultural de la ciudadanía, los derechos culturales o la relación entre cultura, economía y sociedad". (Martínez, 2004: 3) Las instituciones culturales han tenido que adaptarse a este cambio de escenario, -resultado del desarrollo de las nuevas tecnologías y la cultura digital-, y han ido incorporando nuevas estrategias institucionales intentando establecer un diálogo con los nuevos públicos y de esta manera responder a este nuevo paradigma. Este hecho se ha visto en una serie de acciones reflejadas en estrategias de participación, promoción, comunicación y difusión de actividades culturales o contenidos como son: la edición y publicación de páginas web, las redes sociales, los blogs, chats, listas de correo, el streaming, las visitas virtuales a colecciones y bibliotecas, las convocatorias para proyectos artísticos en red, los dispositivos móviles, las apps, el crowdfunding, entre otros, todos esos instrumentos brindan la posibilidad de interacción y ofrecen la posibilidad de acrecentar la experiencia del visitante y cubrir las necesidades del público contemporáneo. Hugo Lewin (2014) se refiere a cinco aspectos propuestos por Carlos Scolari que conforman la nueva comunicación: la digitalización de los productos culturales, la multimedialidad donde conviven en un mismo soporte medios y lenguajes, la navegación hipertextual, la reticularidad, es decir, una configuración muchos-a-muchos y por último a interactividad. Desde hace varias décadas, se ha visto una evolución de enfoques en el ámbito museológico. Los museos a lo largo de la historia se han ido adaptando a su entorno y este fenómeno no es ajeno a los nuevos contextos de la era digital. A partir de la década de los noventa, el museo se ha ido integrado al mundo digital y ha ido incorporado la tecnología como herramienta para cumplir sus objetivos de comunicación, difusión y acceso a sus contenidos a través de una serie de estrategias digitales. Las demandas del público contemporáneo han exigido a los museos generar nuevas identidades e integrarse al mundo global. En la actualidad, las nuevas tecnologías, internet y la web 2.0 han supuesto un cambio de paradigma dentro del ámbito museístico, los museos han incorporado estas nuevas estrategias virtuales y se han ido apoyando en plataformas de la web 2.0 como: flickr, youtube, vimeo, facebook, twitter, entre otros, para acceder más fácilmente al público, de esta manera asegurar una participación más activa y ofrecer una experiencia complementaria a la visita física. Las páginas web interactivas, las pantallas tecnológicas táctiles, la geolocalización, la realidad aumentada, los códigos QR, los podcast, las redes sociales, la digitalización de documentos, el crowdfunding, son estrategias que han conseguido que el museo traspase sus muros, convirtiéndolo en un lugar más social y dinámico. Con la innovación tecnológica y la web 2.0 las posibilidades de comunicación y de difusión del museo se multiplican, así como la participación del público para la interacción y la construcción de contenidos, en este sentido, la web 2.0 da la posibilidad al público además de la participación directa, generar información y ser parte del proceso informativo. Debido al alcance global y social de estas herramientas se han convertido en un medio fundamental para la comunicación, difusión de los contenidos y la participación de los públicos en los museos. Como explica Lewin: "los sistemas de comunicación actuales van más allá; aumentan la interconexión entre los usuarios y las posibilidades de modificar los objetos culturales". (2014:125) Las redes sociales reportan una serie de ventajas al sector cultural, permiten la participación directa de la sociedad civil y generan intercambios de contenidos, las instituciones culturales a través de las redes sociales pueden conocer mejor a sus usuarios, interactuar con ellos y a través de esta relación se puede obtener evaluaciones de su gestión, opiniones de las actividades propuestas, además se pueden obtener estadísticas. Las redes sociales son un tipo de marketing eficaz y mucho más económico que el tradicional, la información nos llega filtrada y a través de un "marketing de recomendación", tienen gran capacidad de convocatoria y movilización, contribuyen a una participación más accesible, incluso se han convertido en fuentes de financiación y micro-mecenazgo. El mantenimiento habitual de las redes sociales es una tarea fundamental, es importante crear una plataforma interactiva, novedosa y cercana con los usuarios para garantizar el éxito de las mismas. Uno de los problemas fundamentales a los que se enfrentan las instituciones culturales es la falta de asistencia del sector juvenil a sus actividades, en ese sentido, las redes sociales en la red constituyen una importante herramienta para atraer a las nuevas generaciones a los espacios culturales. Los museos se han ido adaptando paulatinamente a los cambios propuestos por la cultura digital e internet, varios de los museos más representativos del mundo han ido integrando la tecnología y los dispositivos para la difusión de sus contenidos. Además, han apostado por la creación de entornos de experiencia centrados en el público, direccionando su acción de acuerdo a los nuevos retos que requieren las nuevas tecnologías y las nuevas necesidades de los usuarios y públicos. Uno de los objetivos fundamentales de los museos es acercar sus contenidos a la sociedad, en ese sentido, la comunicación y difusión en el museo tiene una función primordial. Los museos en la actualidad enfocan la comunicación como parte principal en su estrategia organizativa, ellos han ido incorporando las nuevas tecnologías, internet y los nuevos modelos de relaciones para mejorar y lograr una comunicación directa con los públicos. Adaptarse a estos cambios no ha sido una tarea fácil, sin embargo; ya se han visto resultados positivos de los procesos de creación de comunidades culturales en los museos más representativos en el mundo, a través de redes como facebook, twiter, o youtube y de la incorporación de las nuevas tecnologías para la difusión de los contenidos del museo y el enriquecimiento de la visita del público. La razón fundamental para utilizar las redes sociales como estrategia comunicativa en los museos consiste en crear comunidades para compartir experiencias culturales y artísticas, como resultado de este proceso de interacción se pueden obtener "[…] dos efectos inmediatos: por una parte, compromiso y cercanía (engagement en la terminología del marketing) y por otra, difusión, más allá de lo que otros medios de comunicación son capaces de conseguir y a mucho menor precio". (De la Peña:2014:103). 1.1 Museos de arte, nuevas tecnologías y web 2.0 El Museo de Arte Contemporáneo Reina Sofía (MNCARS)[1] de Madrid constituye uno de los ejemplos paradigmáticos en cuanto a buenas prácticas en el uso los nuevos contenidos digitales, la estrategia de comunicación propuesta para las redes sociales y el uso de su página web como plataforma de distribución de los contenidos del Museo. El Museo Reina Sofía en lo que tiene que ver con el uso de las nuevas tecnologías y la presencia en la red ha planteado a través del Plan General de actuación 2014-2017, los siguientes objetivos y proyectos: - Dinamizar el diálogo entre el Museo y sus públicos a través de las tecnologías de la información y las comunicaciones, a través de la investigación y desarrollo de aplicaciones (apps) para dispositivos móviles y otras tecnologías de comunicación, que ofrezcan acceso a contenidos del Museo y el aumento de la presencia del Museo en las redes sociales y de su capacidad de interacción y expansión, desarrollo de programas online, web, y otras herramientas digitales. - Fomentar la edición y distribución digital de las publicaciones para ampliar y facilitar su difusión. - Desarrollar un programa de acción educativa para los diversos públicos con discapacidad, y mejora de la accesibilidad teniendo en cuenta los nuevos recursos tecnológicos. El Museo desde el 2004 con la aparición de las redes sociales ha buscado diversificar su acción online y responder a las necesidades de los usuarios y los nuevos públicos, obteniendo resultados positivos, en primer lugar ha logrado crear una potente comunidad en la red y en segundo lugar ha logrado un importante acercamiento e interacción con el público. Para el contacto en red con los usuarios el Museo utiliza las redes de facebook y twiter, a través de su cuenta propone las distintas actividades que organiza el museo, como inauguraciones de exposiciones, información sobre talleres, las conferencias se suelen transmitir en directo a través de twiter, de esta manera ofrece la posibilidad de producir un feedback entre el conferenciante, el público virtual y presencial. La cuenta de facebook del Museo, es una página activa, en donde se ofrece información y se debate sobre la actividad del Museo, la comunidad es participativa y se percibe una constante interrelación entre el público y la institución. La página cuenta con más de 37.000 seguidores. Además, el Museo usa las plataformas de twiter, delicious y flircks. Los nuevos canales de comunicación del museo han conseguido cubrir sus propósitos logrando establecer una plataforma virtual en donde convergen la comunicación y la participación activa del público. Esta comunicación interactiva y cercana se convierte en una ventaja para el Museo ya que el aporte de "Los nuevos sistemas de recomendación de contenidos culturales basados en la satisfacción real de anteriores visitas permitirán a los gestores culturales recomendar visitas de forma muy personalizada ya que conocerán las afinidades reales de sus clientes, así como el grado de satisfacción de las mismas". (Dosdoce.com Museos en la era digital, 2013:4) El Museo del Prado de Madrid[2] en su Plan estratégico 2013-2016, cuenta con el apartado "Prado online" en donde se proponen los lineamientos para el desarrollo de los recursos web y de los canales digitales del Museo. El Plan propone las líneas de actuación para el desarrollo de los canales y plataformas digitales para el cumplimiento de los siguientes objetivos: incrementar el conocimiento sobre la Colección y las actividades del Museo a través de internet; optimizar y facilitar el acceso online a contenidos e información sobre el Museo independientemente del lugar, dispositivo y plataforma de acceso y crear comunidad a través de las redes sociales participando en el diálogo actual sobre arte y museos. Las líneas de actuación se ejecutarán a partir de tres programas: el primero es el "Prado Web", consiste en incrementar el acceso, utilidad y conocimiento de la colección a través de su página web, para esto propone un nuevo diseño, estructura y funcionalidad de la página web a través de la reestructuración y ampliación de los contenidos del canal y la actualización tecnológica, otra propuesta dentro de este programa es la creación del nuevo website del canal Prado database por el cual se podrán acceder al catálogo actualizado y completo de la base de datos documentales de la colección del Museo; el segundo programa es el "Prado mobile" que tiene como objetivo la ampliación de la disponibilidad on line para el visitante y el usuario de contenidos multimedia. Una de las acciones prioritarias en este programa consiste en la creación de un programa para el desarrollo de las apps específicas para diferentes usos y públicos, diversos dispositivos y plataformas, el último programa propuesto es el "Prado. Redes Sociales", el programa tiene el objetivo de ampliar la presencia del museo en las redes sociales para ampliar la comunicación, cooperación e interacción del museo con los usuarios e instituciones interesadas. El Museo propone un plan de coordinación de las actividades de las distintas áreas del museo para los gestores de las redes sociales orientado a la difusión diaria de la actividad y los contenidos científicos y educativos de la institución y para promover la implicación de los usuarios con la institución por medio de concursos, encuentros on line, etc. Por último, el Museo del Prado hace la evaluación constante de la pertinencia en el uso de las redes sociales, el perfeccionamiento de las estrategias de comunicación on line y el monitoreo de las nuevas tendencias en redes sociales. El Museo del Prado tiene un apartado en su página web para el acceso directo a las páginas de las redes de facebook, twiter, instagran, pinterest, spotify y los canales rrss desde donde destaca las noticias más relevantes de las redes. De la Peña, explica en su artículo la importancia de las redes sociales para crear, financiar, impulsar y dar futuro a la cultura, al mismo tiempo señala sobre la creación de la cultura en las sociedades actuales que: La creación cultural ha de diseñarse tomando en cuenta esta nueva realidad, sabiendo que existe una cultura digital en la que confluir para encontrarse con su público más activo. Hay que abrir la cultura a esta nueva cultura digital y al mismo tiempo aprovechar lo que puede aportar y el ahorro que puede suponer en todo lo que suponga difusión. Hacerlo bien precisa de estrategia, de objetivos claros y de medición constante. (De la Peña, 2014:104). En cuanto a los contenidos digitales el Prado cuenta con la página web que potencia la interactividad directa y participativa con los usuarios y permite abarcar la actividad educativa, investigativa y científica el Museo, las aplicaciones para teléfonos celulares y tablets: La guía del Prado que proporciona información acerca de los contenidos del Museo y fomenta la interacividad. "Second cavas" que ofrece un estudio detallado de 14 obras en formato gigapixel de la colección del Museo, además ofrece radiografías e infrarrojos de los cuadros. Por último, tenemos a la aplicación "Photo Prado" es una aplicación de realidad aumentada que permite la realización de fotografías, el dispositivo reconoce puntos específicos y se crea una foto entre los visitantes y las obras, superando de esta manera los límites del Museo. Como hemos visto, además de las redes sociales los Museos se han decantado por incorporar a su estrategia de comunicación y educación las aplicaciones digitales para los dispositivos móviles conocidas como las "apps", disponibles por lo general para los smartphones y las tablets. Estos recursos se han convertido en una de las tendencias más importantes dentro de la comunicación y difusión del museo debido a las posibilidades que ofrecen para enriquecer la visita del público y por la facilidad que brindan para acceder a los contenidos desde cualquier parte del mundo. En los últimos años los museos se han ido posicionando como importantes espacios de cultura y aprendizaje, son espacios en los que han surgido proyectos que han significado verdaderas revoluciones didácticas. El área educativa de los Museos no ha desaprovechado la oportunidad que ofrecen los recursos digitales y la web, han surgido varios propuestas didácticas on line aportando varios proyectos educativos innovadores. Una iniciativa interesante para atraer la atención de los nuevos públicos de la red es a través de la gamificación, este es un recurso que toma los planteamientos de los juegos para involucrar a los usuarios, varios museos han realizado esta práctica con éxito, algunos de ellos han compartido los juegos en las redes sociales para acrecentar la difusión de la colección o las exposiciones temporales, el crecimiento de la comunidad y aumentar de interés de los "fans" por el mundo del arte. Existen varias propuestas del uso de este recurso en los museos españoles, el Museo del Prado cuenta con la sección llamada "Mi Prado", en este canal se pueden diseñar recorridos temáticos potenciado las cualidades curatoriales de los usuarios, de la misma manera están disponibles juegos que tienen el propósito de presentar las obras de colección a los usuarios a través de técnicas lúdicas. El Museo Thyssen-Bornemisza[3] de Madrid ha realizado una verdadera innovación tecnológica experimentando nuevas formas de transmitir conocimiento a través de las diferentes posibilidades que aportan las nuevas tecnologías e incorporado los recursos de la red y de la web 2.0 con fines educativos. En este sentido el Museo ha propuesto un programa de educación conocido como Educathyssen, es un proyecto del área de educación que cuenta con su propio espacio virtual, y a su vez está conectado con la página web principal. En esta página encontraremos los diferentes programas educativos y las acciones de apoyo interpretativo, divulgativo y de mediación entre el público y el Museo. El programa debido a su carácter innovador se ha convertido en uno de los referentes metodológicos en educación a nivel Iberoamericano. Educathyssen.org[4], es un portal que usa las tecnologías de la información y la comunicación como recurso educativo, está concebido como un espacio de reflexión y encuentro para el aprendizaje, el disfrute del arte y el intercambio del conocimiento de los contenidos del Museo a través de las nuevas tecnologías y las posibilidades que ofrece la red y los diferentes canales. En esta página web, que en si constituye un recurso didáctico, encontramos varios proyectos educativos que usan las tecnologías de la información y comunicación como medio y herramienta de apoyo para el aprendizaje, como son los juegos y los videos educativos e informativos. Dentro del área de los juegos tenemos a uno de los más importantes proyectos de la estrategia digital propuesta por el área de educación, se trata de Nubla, es un juego estudiado y cuidado metodológicamente por especialistas, con el propósito de desarrollar acciones educativas en torno a la tecnología y los videojuegos. El videojuego es un laboratorio de innovación que tiene el objetivo de potenciar la creatividad de los usuarios por medio del arte y de acercarlos al Museo a través de la tecnología. El juego consiste en descubrir el pasado y la relación con las obras de arte, de un personaje que vive en el interior de los cuadros a través de diferentes rompecabezas. Estos rompecabezas tienen que ver con conceptos como el arte, la conservación, en un contexto de diferentes disciplinas. El juego ha sido diseñado por un equipo multidisciplinar de jóvenes programadores, diseñadores, ilustradores, historiadores, entre otros. Cuenta con disponibilidad además de la web, para dispositivos móviles con apps compatibles para tablets y smartphones. Como recursos educativos, además del área de juegos podemos encontrar propuestas como: Viaje al Oeste, es un viaje interactivo protagonizado por pintores amantes de la aventura, especialmente los norteamericanos del siglo XIX, es una experiencia que a través de los relatos de los artistas nos permite conocer sus biografías y los mapas de contexto. Experiment now!, a través de la participación lúdica de los participantes da a conocer las obras más importantes del Museo y las exposiciones temporales a través de un punto de vista didáctico. Publicaciones educativas "Quiosco Thyssen", son publicaciones digitales con carácter educativo. Itinerarios artísticos: son cuatro itinerarios propuestos para conocer la evolución del espacio en la pintura y la historia de las técnicas artísticas. En cuanto a los recursos de la web 2.0 para la comunicación y difusión de las actividades, el Museo cuenta con un canal en youtube donde publica toda la información de las actividades en formato video, el registro fotográfico de todas las actividades del Museo se puede encontrar en la cuenta de flickr, la presencia en las redes sociales y en la web 2.0 la encontramos en el perfil de twiter y la cuenta de facebook, que es usada con carácter sobretodo informativo. Todos estos canales han tenido gran aceptación y cuentan con un número importante de participación en Iberoamérica. Como hemos visto, la cultura digital y las nuevas tecnologías ofrecen numerosas posibilidades para enriquecer la comunicación, la investigación y la educación en un museo. Los resultados de la investigación del equipo de Dosdoce.com realizado en el año 2013, "Los Museos en la era digital. Uso de nuevas tecnologías Antes, Durante y Después de visitar un museo, centro cultural o galería de arte", muestran que existe un alto porcentaje de acceso por parte del público a las redes sociales y a los dispositivos móviles antes de la exposición, sin embargo; el nivel va disminuyendo durante la visita y después de la visita los índices son bajos por lo que recomienda potenciar las actividades y propiciar la interacción para el momento y después de la exposición. Por otro lado, la investigación antes citada, sugiere una serie de acciones para optimizar el desarrollo de las estrategias de comunicación y difusión de las colecciones y actividades de los museos como establecer una retroalimentación entre las acciones analógicas y digitales para enriquecer la experiencia del visitante, relacionar la estrategia digital a la estrategia global de la organización y extenderse a todos los departamentos de la institución para la captación de nuevas audiencias. Por último destaca que tanto la experiencia virtual como la analógica se complementan mutuamente. Conclusión Los Museos se han ido adaptando a las posibilidades que brindan las nuevas tecnologías, además de lograr una integración de una comunidad para los fines del museo, han incorporado las tecnologías 2.0 como pilares fundamentales para el desarrollo de las estrategias de comunicación, difusión, educación e investigación de las instituciones. Las herramientas de las redes sociales y los recursos digitales han contribuido a lograr una participación del público más accesible y han permitido que la experiencia de la visita al museo se convierta en una interacción comunitaria. Varios estudios han constatado que el impacto del uso de las nuevas tecnologías y las redes sociales en los Museos ha sido positivo, por esta razón, consideramos que es importante adaptarse y hacer uso de las posibilidades que nos brindan las nuevas tecnologías y la web 2.0 pero sin perder la esencia del Museo. [1] Página web del Museo de Arte Contemporáneo Reina Sofía (España), disponible en: http://www.museoreinasofia.es/en[2] Página web del Museo del Prado (España), disponible en: https://www.museodelprado.es/en[3] Página web disponible en: http://www.museothyssen.org/thyssen/home[4] Página web disponible en: http://www.educathyssen.org/

El género ensayístico, cultivado como vehículo exclusivo de expresión literaria, tiene larga tradición en nuestro continente. El Uruguay ha dado a las letras nada menos que un maestro del estilo como es sin duda alguna José Enrique Rodó, y más contemporáneamente al ensayista por excelencia —estudioso de Rodó y del propio ensayo en cuanto estructura de expresión literaria— que se llamó Carlos Real de Azúa.En el concierto de su promoción, la conocida como "del 45", Real fue el ensayista puro y casi único, sin olvidarnos del estimable caso de Washington Lockhart (con intereses y alcances más acotados). Bordeó la crítica literaria, pero trascendiéndola por la brillantez de estilo y la amplitud de miras conceptuales que nunca descuidaron lo sociológico, lo filosófico y lo ético. Se internó en la historiografía, sin dejarse atrapar por el canto de sirenas de tan estimulante especialidad. Recaló por fin en la ciencia política, pero la aridez de la misma no pudo aminorar la vitalidad tan personal de su estructura textual.La cabal condición "ensayística" de la escritura de Real de Azúa es de unánime consenso crítico. Ángel Rama sintetiza esto cuando afirma, a propósito de su muerte —ocurrida en l977, en medio del vergonzante silencio que impuso la Dictadura en torno a su nombre— que: ". fue uno de los ensayistas claves de América Latina, a pesar de que su nombre trascendió poco las fronteras de su país y de que sólo mediada su carrera extendió a otras áreas del continente la investigación histórica y estética que había concentrado sobre la región platense a la que perteneció raigalmente". Podríamos afirmar, sin desmesura, que encontró en este género un modo de expresión único, al punto que son ensayo en sentido estricto hasta sus larguísimas cartas en tantas polémicas en las cuales participara con apasionamiento, y hasta su hablar —matizado por un tartamudeo peculiar— tenía la respiración estilística, el regodeo, la morosa delectación propia de esa forma literaria.Real, dotado como bien se ha dicho para ser un cultor eficaz de otras direcciones de las letras, y sin duda probablemente en más de una especialidad, encontró sin embargo en el ensayo mucho más que un mero vehículo de expresión: la cabal tonalidad para la manifestación de su espíritu rico y complejo. Por eso pudo llegar a desarrollarlo con una libertad y rigor infrecuentes. De "arborescente" calificó a su estilo Rodríguez Monegal; en él la digresión y el "entre paréntesis" son elementos usuales y hasta a veces esenciales. Muchos han marcado la condición difícil y hasta laberíntica de su decir, en el cual las extensas notas al pie de página son una recurrencia. Preocupado por el matiz y por la variedad, Real es sin embargo minucioso en la precisión de conceptos o ideas. Esto establece una curiosa dialéctica: como una oscilación se podría decir, que nos lleva siempre en sus reflexiones de lo delineado con preocupación científica a la ambigüedad lúdica, o viceversa.Para quien no lo ha leído, vale advertir que esta condición proteica, múltiple, nada convencional de la escritura de Real, no la vuelve en absoluto críptica como algunos han considerado, sino que comprendiendo y aceptando su lógica peculiar —que prefiere rodear los asuntos que trata, y llegar hasta ellos por vías originales— comienza el libre disfrute de esa "alegría de ser inteligente" (que con acierto atribuyera a su persona la profesora Mercedes Ramírez). Detrás de las adensadas y multiplicadas referencias, hijas de una amplísima y universal cultura, se esconde en sus escritos algo no común en la ensayística: la posibilidad del estricto goce, aún para lectores no particularmente interesados en el tema; aunque sí requieren de una cierta formación en quien los lee, para saber apreciar las a veces demasiado sutiles alusiones, los deliberados sobreentendidos, la multiplicidad de analogías en diferentes planos.Los variados caminos "reales"El primero de sus libros data de l943 y se titula España de cerca y de lejos. Obra de juventud, significó más que nada un balance personal y cierre de cuentas crítico con su precoz fervor falangista en tiempos de la Guerra Civil Española, a propósito de un viaje a la España de Franco y a un riguroso cotejo de las idealidades con los crudos hechos. Lo más interesante en él es que —en perspectiva de tiempo— se trata de un texto en el cual ya estaban germinando aquellas ideas e inquietudes que luego iría desarrollando a lo largo de su vida, sobre todo en lo que tiene que ver con su peculiar perspectiva sobre el Nacionalismo, las relaciones entre lo político-social y lo ético, así como también la vinculación entre la praxis concreta y ciertos arquetipos ideales a los que será —soterrada pero decididamente— fiel, más allá de las contingencias y avatares de su propia personal y zigzagueante peripecia en el campo político (que pasó por cierta zona del coloradismo, se volcó luego a la experiencia ruralista de Benito Nardone, y derivó por fin en cierta izquierda nacionalista y en el Frente Amplio). En puridad, nunca dejó de ser un conservador atípico, transitando caminos no usuales y problemáticos, desmoronando con agudo sentido crítico lo aceptado, lo institucionalizado por rutina o pereza. Su óptica tangencial, marginal en el más fecundo de los sentidos, acompañará su quehacer en todos los campos que con inusual intensidad va a transitar.El minucioso análisis literarioSu reflexión en materia literaria y estética —paralela a la docencia, desde muy joven llevada a cabo en la primera disciplina y luego a nivel de formación de profesores en la segunda— se encuentra desperdigada en revistas y periódicos, en prólogos y hasta en noticias acerca de autores (en un destino que ha sido similar en toda la ensayística Latinoamericana, gran parte de la cual se pierde en la precariedad e inmediatez del soporte periodístico). Sobre todo va a ser a través del semanario Marcha, de tanta importancia intelectual en el Río de la Plata y también en todo el Continente, que logrará su expansión adecuada la pluma de Real de Azúa; aún a costa de "huelgas" de tipógrafos en relación concretamente a sus colaboraciones, las que solían crecer a más del doble en el proceso de corrección, con el agregado de profusas notas al pie, todo esto realizado a último momento y en las propias pruebas de galera. En Marcha quedó plasmada, casi siempre en dos o más páginas bien colmadas, su voraz y multiplicada inquietud literaria, asentada sobre todo en Iberoamérica y más que nada en la zona platense.Dentro de sus proteicos intereses en tal sentido, la presencia de Rodó fue una constante: desde un juvenil trabajo de l936 a su último prólogo a los Motivos de Proteo (1), ya avanzados los setenta. Entre tanto, hay otro prólogo a la misma obra —de l953— para una edición del Ministerio de Instrucción Pública; está el prólogo a El mirador de Próspero, de l965 y en la misma colección estatal; tenemos el trabajo titulado El problema de la valoración de Rodó (2) y otros como Rodó en sus papeles: a propósito de la exposición (3), Rodó y Zorrilla de San Martín (4), José Enrique Rodó (5), Rodó y su pensamiento (6). Real explicitó muchas veces que no le entusiasmaba especialmente el autor de Ariel, pero este volver durante años a su obra —más allá de casuales circunstancias de compromiso que no todo lo explican— tiene seguramente su razón profunda. Rodó fue nuestro ensayista más puro en el inmediato pasado, y Real de Azúa no sólo un brillante cultor del género sino y a la postre su teórico más lúcido por aquí. Rodó encarnaba a su vez lo sacralizado culturalmente —"hay que dinamitar, o por lo menos dinamizar los monolitos literarios", declaraba nuestro autor—, y a su vez y por eso mismo resultaba en el fondo un estereotipo que encerraba un enigma para la mayoría, y que requería como tarea cultural impostergable una relectura crítica, un rescate de sus vigencias y un desglose de todo aquello ya periclitado en sus páginas. A través de Rodó y de lo que éste simbolizaba, Real desmenuzó importantes rasgos de la misma estructura cultural oficial uruguaya posterior al Novecientos.Pero la inquietud en cuanto al análisis literario ha sido en él —dada su universal, múltiple avidez intelectual— amplísima. En lo nacional, en rápida mirada a sus textos principales, comprobamos que se ha interesado por Gustavo Gallinal, por Raúl Montero Bustamante (a propósito de su muerte), por Zorrilla, por el Mario Benedetti de los comienzos, y por el ensayo en su conjunto siempre, y por la relación entre pensamiento y literatura en el siglo XIX particularmente, y la eclosión cultural de comienzos de éste lo tuvo —con su imprescindible Ambiente espiritual del Novecientos (7)— entre sus más lúcidos y penetrantes intérpretes. En lo que hace a Latinoamérica en las letras, le interesaron desde Ezequiel Martínez Estrada hasta Eduardo Mallea, de Beatriz Guido a José Vasconcelos, de Manuel Gálvez a Ricardo Latchman, y como temas generales el Modernismo y sus vértices ideológicos, y también los perfiles básicos de la novela del continente.No sería gratuito, para redondear el bosquejo del extenso mapa abarcado en su reflexión sobre el tópico literario, apuntar su acercamiento al poeta anglo-norteamericano T. S. Eliot —sobre quien escribiera en Marcha y Tribuna Católica, en el año l949— , además de una sostenida atención en torno a los aspectos críticos de la literatura anglosajona. También, su preocupación en torno a los autores que tocaron el tema de la Iglesia Católica y su crítica, como es el caso de Peyrefitte (al que dedicó dos entregas en Marcha, en l956).La vocación historiográficaSi la producción de Real hubiera quedado en este inteligente, original, personalísimo encare del hecho literario, ocuparía sin duda y de todos modos un lugar destacado en la ensayística de su generación. Sin embargo, cuando se manifestaba ya plenamente en él ese intelectual dotado de amplísima cultura, interesado y al día sin descuidar lo permanente, capaz —por su visión penetrante de los contextos históricos, sociológicos y culturales— de trascender la crítica literaria y pasar a la teoría (a la cual se acercó en cuanto docente, y sobre la que dejaría mucho texto inédito), el centro de sus preocupaciones se derivó decididamente hacia la historia, o "historia de las ideas" siendo más estrictos. No fue algo sorpresivo, sino que ya cohabitaban distintos intereses en sus escritos, como se puede bien corroborar chequeando sus diversas colaboraciones. Lo nuevo fue su entusiasta, definido pasarse al campo historiográfico desde fines de los años cincuenta.En esta área, donde desplegó tan profusa como variada y lúcida tarea —extendida además en polémicas diversas que se proyectaron incluso a la década del setenta (como la sostenida, impublicable en ese año 75, con José Pedro Barrán, a través de sendas cartas públicas expuestas en la cartelera de la Editorial Banda Oriental) — resultan decisivos sus libros El patriciado uruguayo (8), y El impulso y su freno: tres décadas de Batllismo y las raíces de la crisis uruguaya (9). En el primero Real vivisecciona la clase alta más tradicional en el país casi desde dentro —ya que provenía de una familia de tales características— pero logrando en la demanda la adecuada distancia para el análisis comprensivo pero no menos riguroso. Ello no le impide momentos, muy bien logrados, donde no oculta sino que devela su complicidad personal con ese sector, cuando recuerda por ejemplo que: "En el Montevideo de los diez, de los veinte, de los treinta, en sus casas de la Ciudad Vieja cada vez más amenazadas por la piqueta y la oficina pública, en sus quintas del Prado, en sus decrecientes estancias, todavía la vieja clase siguió marcando un melancólico magisterio de modales, un invisible canon del gusto". Su acercamiento al tema es estricto en los datos históricos, fundamentado en lo sociológico, pero centrado más en las personalidades decisivas, en sus realizaciones y errores, que en los aconteceres corporativos o en los avatares de conjunto. Culmina este ensayo, recordando el origen patricio de los dos grandes conductores cívicos de raigambre popular en los partidos tradicionales durante la primera mitad del siglo pasado: José Batlle y Ordóñez y Luis Alberto de Herrera.Al peculiar país que logró plasmar el primero está dedicado El impulso y su freno. En síntesis, es el más logrado diagnóstico acerca de las potencialidades y carencias del fenómeno social y político que colmó las primeras décadas del siglo XX; a pesar de su perspectiva de base anti-batllista —por su catolicismo, Real de Azúa simpatizaba en forma más natural con el coloradismo independiente, al que había apoyado incluso años antes en la figura de Pablo Blanco Acevedo— mantiene una saludable distancia de ese lugar común de la diatriba, mostrando comprensión y penetración en el balance que ya era posible en los sesenta en cuanto a lo que había sido el país batllista.Con estas obras, Real se afilia a la corriente historiográfica revisionista, entonces en auge en ambas márgenes del Plata, aunque lo hace de un modo matizado, con su habitual sutileza, sin los extremos a veces caricaturescos y maniqueos de otros autores. Por cierto que su pensar histórico no queda aquí, sino que se extenderá hacia otros horizontes: el Federalismo artiguista; la figura paradojal y atractiva de Bernardo Berro, a quien calificara de manera certera como "el puritano en la tormenta"; el período Militarista en el siglo XIX; la Defensa de Paysandú; la polémica figura de Herrera. También le despertaron interés reiterado los escritos de viajeros que recalaban en el Montevideo del 800, y aún los de esta centuria.La política como objeto de estudioY otra vez, cuando ahora —cerca del año 70— la nutrida y valiosa pléyade de los nuevos historiadores veía en Real de Azúa a uno de los suyos, tal vez el que estaba destinado a profundizar la invalorable obra muchas veces de equipo que se estaba concretando entonces, nuevamente el ensayista hace lo que en forma gráfica calificaríamos de "mutis por el foro". Su inquietud, su casi nerviosismo cultural, le conducen a precipitarse en una línea de trabajo que ya venía abriéndose paso en su producción: la Ciencia Política y aledaños, en la que se embarcaría de modo constante hasta su muerte.Ese ámbito, que sugestivamente había inaugurado su primigenio España de cerca y de lejos, se desarrolló luego a partir de su libro Tercera posición, Nacionalismo revolucionario y Tercer Mundo (10), pasando por trabajos tales como Elites y desarrollo en América Latina (11), o El poder de la cúspide: élites, sectores dirigentes, clase dominante (de l970), encontrando su definido tono en Política, poder y partidos en el Uruguay de hoy (12). Luego vino la etapa de su obra más especializada en el tema —la que no obstante, a pesar de las referencias, apoyaturas y términos técnicos, no por ello pierde su raigal "vis" ensayística— integrada por títulos como La teoría política latinoamericana: una actividad cuestionada (13), Una sociedad amortiguadora (de l973), y El clivaje mundial euro- centro periferia (14).Por supuesto que en su obra de Ciencia Política, la preocupación por un destino más amplio que el de la comarca se vuelve más recurrente y explícita. Aparece cuando se refiere a las élites en América Latina, de la teoría política tal como se la encara en esta zona del mundo, y en sus agudas observaciones acerca de la relación entre el Sur periférico y la zona eurocéntrica desarrollada. Más allá de todo esto, es interesante comprobar cómo su inquietud por el destino común —histórico y futuro— de estos pueblos, se filtra en tantas páginas, acotaciones, trabajos, referidos en su temática central al Uruguay.Leyéndolo con cuidado, comprenderemos que fue un pragmático, sí, pero que nunca dejó de lado la entonación moral —en el mejor de los sentidos— para "iluminar" los múltiples asuntos que le ocuparon intelectualmente. Le interesó más, en ciencia política por ejemplo, el análisis del poder y de los grupos vinculados a él —la anatomía de los mismos— que el conflicto y la dinámica de las clases sociales, el que por otra parte no negaba.En este importante y definitivo sector de su producción, es donde podemos seguir el proceso —ya marcado en la dimensión histórica de su tarea— de su reflexión latinoamericanista, la cual no es posible disociar de su concepción del Nacionalismo y de su idea en cuanto a la Tercera Posición (tan en boga en el universo intelectual de los años cincuenta y sesenta). Es también en esta zona de su escritura, aunque la posibilidad es grande en lo historiográfico, donde sí es factible rastrear sus basamentos filosófico-ideológicos. Se ha apuntado bien que para este autor personalidades claves del pensar contemporáneo, fundantes diríamos, como Freud y Marx, no solamente no influyeron en él sino que tampoco le interesaron especialmente como tópico. Si bien al último le dedicó un trabajo donde dice que: "Si bien Marx y sus seguidores no realizaron ninguna aportación deliberada al tema de las élites o de la clase gobernante o dirigente, no existe un sólo planteo de estas categorías que no haya estado imantado por las posiciones marxistas; que no las tenga en cuenta, polémicamente —aún en forma tácita, oculta— en cada uno de los pasos de su argumentación". Una de las influencias decisivas en el estudio de los temas sociales la tuvo en mitad de la década del cuarenta, a partir de la lectura de Max Weber, con el cual es filiable directamente, aunque mantuvo un constante arraigo a sus orígenes, ese cristianismo peculiar que aunaba en confesión explícita la línea aristotélico-tomista (valorando en ella su condición de antídoto contra el peligro de "idealismo") pero además cierto existencialismo.El estudioso de la Estética, el teórico del ensayo, el original antólogoSin duda, el Real de Azúa más conocido es el vinculado a la historiografía, y en segundo lugar el de los últimos años dedicados casi a pleno a las cuestiones de la ciencia política (área dentro de la cual habría podido llegar a completar una obra única en este medio —por sus características: cabalgando entre el estilo depurado y el rigor científico— , que lo hubiera llevado incluso a bordear la "filosofía de la historia" como bien se ha sostenido, a no ser porque la muerte vino a clausurar un proceso productivo que estaba lejos de agotarse). Pero existe otro Real, menos público, más especializado, del que disfrutaron por ejemplo sus alumnos del IPA.Hay un texto titulado Conocimiento y goce, de larga ineditez como tantos otros suyos, cuya datación es ubicable en los primeros años sesenta. En él aprovecha a establecer la crítica "historicismo y estética", o "conceptualismo e inefabilidad". Se basa en el uso adecuado de un concierto de citas que apuntalan su propio discurso, algo que logra hacer como pocos, con esa limpidez y buen criterio propios que dejan entrever vastas pero bien asimiladas lecturas. De entrada, se acerca a la antinomia más frecuente en los estudios literarios: la de crítica y creación, que es nada menos la que hace a la viabilidad de la misma crítica. "Se enfrentan así por un lado" -dice- "un tipo de experiencia intelectualmente borrosa, hedonística, radicalmente sensorial, gozosamente y confesadamente irracional. Por el otro reclaman sus fueros la lucidez, la inteligencia, la aspiración a un pleno calibrar lo que gustamos". Y avala su propia opinión al respecto de un modo indirecto, apelando a una cita de T. S. Eliot, que en su parte final establece: "Es cierto que no gozamos completamente de un poema a menos que lo entendamos y, por otro lado, es igualmente cierto que no lo entendemos completamente si no gozamos de él".Luego, avanzando el trabajo concluirá en la proposición primaria y básica: para que haya pleno goce debe haber como condición previa conocimiento, lo que después va reafirmando y especificando. Por fin concluye en que: "El conocimiento literario en todo lo que implica de abstracción de lo individual, generalización de experiencias singulares es la única vía de enseñanza, el único medio con que es posible poner al sujeto no entrenado en el camino de realizar por sí mismo una serie ilimitada de informadas experiencias literarias. En suma: que el enseñar es en cierto modo poner al enseñado en unos andadores que son la formación de criterios de dilucidación y valoración". "Que esos andadores deban después abandonarse es tan cierto como que, prologalmente, son imprescindibles".Es lástima que Real no haya dedicado a esta vertiente de sus inquietudes un mayor, más extenso y profundo desarrollo, pero, contemporáneamente a la escritura de estas páginas ya había prendido en él la pasión historiográfica, impulsándolo a dejar por el camino —no en sus clases, pero sí en el texto— el tópico literario.Junto al germinal teórico de la estética que recién procuramos mostrar, vale destacar al teórico del ensayo, rol en el cual es único entre nosotros. Todo surgió al encomendársele por parte de la Universidad de la República, en l964, la concreción de la Antología del Ensayo Uruguayo Contemporáneo; como era su característica más acentuada, el prólogo fue un torrencial, brillante, disfrutable ensayo acerca del ensayo, donde tienta incluso una teoría sobre el género.Su tarea de antólogo en este caso interesa de por sí, desde el momento que las notas informativas en relación a los autores incluidos —a veces largas— son una de las partes más disfrutables de esos dos tomos (sin desmerecer muchos de los bien elegidos fragmentos de la mayoría de los antologados). Incluye en la selección a gente que comenzó a publicar a partir del año l9l5, extendiéndola hasta casi el momento de la edición, logrando agrupar cuarenta y un ensayistas de un período de cincuenta años. Siendo estrictos, debemos admitir que el prólogo de Real de Azúa y muchas de sus notas son lo mejor de estos dos volúmenes, dejando algo que desear quizá algunas de las inclusiones, así como también unas —pocas— ausencias. No se puede negar la originalidad del antólogo, riguroso por un lado al tomar como punto de partida una delimitación estricta de los márgenes de su labor, pero a la vez capaz de mezclar armoniosamente autores en sí disímiles.Hace suyo en este caso el feliz hallazgo de Alfonso Reyes, cuando define al ensayo como "agencia verbal del espíritu", destacando su vocación de estilo definida (sin la cual un texto no es tal), su alejamiento de las especializaciones (filosóficas, científicas, históricas, de crítica artística en el sentido más convencional). Pone el énfasis en el carácter no sistemático y libre del ensayo, que muchas veces roza la divagación para acercarse así desde un ángulo inédito al tema que trata. Lo vislumbra tan equidistante del especialista intelectual en cualquier rama como así del periodismo en lo que éste tiene de bien característico, es decir su caducidad rápida e irremediable. Recién a partir de un bosquejo claro, inconfundible, de lo que es realmente lo ensayístico, es que Real pasa a justificar su concreta selección.Latinoamérica en el pensamiento de Real de AzúaEntre uno de sus posibles tópicos constantes estuvo la reflexión sobre el país —la patria chica uruguaya— y también América Latina, a la cual sentía auténticamente como Patria Grande. Esta le preocupó, en Literatura, en sendos trabajos acerca de la novelística continental, en cuanto al Modernismo (como es sabido, nuestra "vanguardia" más genuina). Con perspectiva cultural más amplia, en José Vasconcelos: la revolución y sus bemoles (15), y sobre todo en Historia invisible e historia esotérica: personajes y claves del debate latinoamericano (16).En Ambiente espiritual del 900, Real apunta con su acostumbrada lucidez:"Diversos libros —algunos de ellos ejemplares, como la Historia de la Cultura en la América Hispánica de Pedro Henríquez Ureña— nos han mostrado el proceso cultural americano en una organización formal que, si no es falsa, resulta, por lo menos, una sola de las dos caras o planos de la rica evolución de nuestro espíritu. Se ha dado, y se da, en estos países, el proceso cultural como lógica secuencia personal, y grupal de creaciones, de empresas y de actitudes. Neoclasicismo, tiene, según esta perspectiva (que es también un método) su etapa de lucha, sus hombres y obras representativas, sus planos de pasaje y agotamiento. Pero en Hispanoamérica, mucho más acendradamente que en Europa, tales procesos no agotan la realidad de la cultura como vigencia objetiva de cada medio y época, como sistema actuante de convicciones de vastos sectores letrados y semiletrados, verdaderos protagonistas de la vida del continente".Con similar precisión, en un tema ya socio-económico y político —al delinear las clases altas en Latinoamérica, tierra de oligarquía — dice: "Inmensurable es el impacto del fenómeno imperialista en el proceso social latinoamericano pero sobre todo lo es en el de la conformación, cambio y robustecimiento de sus sectores superiores. Si el hecho general de éste, características específicas adquirió en los casos nacionales en que una economía de enclave —esto es, sin conexiones sustanciales con el ámbito circundante y sí, en cambio, con el centro de la economía dominante—, cobró vuelo hasta significar lo que alguien ha llamado un poder externo, fuera de los alcances del sistema político nacional e incluso más fuerte que él". En este trabajo Real de Azúa analiza, de manera impecable y sintética, el acontecer histórico que llevó a gran parte de las élites de poder del continente a oficiar como sector gerencial de los intereses imperiales, desmitificando en la demanda el concepto recurrido de "burguesía nacional".En relación a la perspectiva uruguaya, y a la contraposición de la misma con la posible en otros puntos de América Latina, observa, en Uruguay: el ensayo y las ideas en l957 que fuera publicado en la revista argentina Ficción: "El tema del país, la toma de conciencia de la circunstancia, es la gran piedra de toque de la ensayística americana. Es también la gran pobreza de la nuestra". Y más adelante: "Aquí, como en otras claves, nuestra condición periférica en América, nuestra situación distante de los más típicos desniveles y dramatismos del continente, ha determinado que el tema americano sea —más quietamente, más puramente— una inquietud, una nostalgia, un remordimiento sin formas operantes". Y en otra parte del mismo texto, bosquejando lo que entendía como una fidelidad a lo nacional, vivenciado auténticamente, lo definía —en casi ars vitae de su propio camino— así: "aceptar la circunstancia (mundial, sudamericana, uruguaya y hasta montevideana). Asumir, sufriéndola, la fealdad, el desorden, la injusticia del mundo que nos rodea. Buscar, desde ellas, las maneras de una actitud: el sereno deber, a la manera clásica, o el asco patético, o la furia desmelenada (que todas caben). En suma: los caminos de acción o de contemplación, de descripción o de ventura, que Dios nos señale".En este hurgar al vuelo en la múltiple obra de Real de Azúa, es interesante detenerse también, siempre en lo que hace al tema latinoamericanista, en la síntesis que realiza en relación a las equívocas influencias del pensamiento rodoniano en el continente: "El discurso de Rodó promovió, al margen y a contrapelo del propio autor, demasiado equilibrado para recargar las tintas de su cuadro, cierto vacuo orgullo, cierta engolada presunción de lo hispanoamericano. Ese orgullo descansó invariablemente en la grosera antítesis del norte y el sur, de lo sajón y lo latino, como oposición de materia y espíritu, de Calibán y Ariel.No tengo espacio ahora para destacar que esta posición significó siempre una irresponsable caricatura, que no apoyó casi nunca la crítica solvente y ello desde el más inmediato l900 hasta casi nuestros días. Ni entonces la suscribieron Pedro Henríquez Ureña, Francisco García Calderón, Juan Carlos Blanco, José de la Riva Agüero o Juan Valera, ni lo hicieron después Ramiro de Maeztu, Zaldumbide, Alfredo Colmo o Juan Larrea" (17).El latinoamericanismo de Real, a su vez, se corresponde armónicamente a la riqueza, profundidad, e incluso vastedad de su cultura: por ende no es dicotómico, ni telurista, sino bien uruguayo en su impronta; no comulga, no obstante, con ninguna de las rémoras de la visión insular del país que el Batllismo dejó entre los ingredientes de su difusa ideología (en esto fue más atípico que la mayoría de sus pares intelectuales, no negando en la instancia su raíz patricia, su arraigo en la más genuina tradición nacionalista, su cristianismo incluso que lo vacunaba de esos extremos esterilizados y tartufescos del laicismo vernáculo). Hay en este autor una compleja dialéctica entre la fidelidad a algunas ideas entrañables y fundantes de su pensamiento, y su permanente actualización, pesquisable para quien siga su producción cronológicamente; también, una ambivalencia que no deja de ser equilibrada, que hace a la complejidad de su pensar, entre el cosmopolitismo y el localismo. En suma: es la suya una interpretación de lo latinoamericano, que sin eludir la problematicidad y dramatismo coyuntural de los momentos de su mayor creatividad —años cincuenta, sesenta y setenta— proyecta hacia un futuro (que es hoy) puntas fermentales, líneas que algún día deberán continuarse. Por la cuidada mesura en sus esbozos de teoría, lejos está de lo postulado apenas una generación atrás. Lo de Real es, en este tema como en tantos otros que desarrolló, parafraseando a Umberto Eco una "obra abierta", que incita, que invita, que permite pensar a partir de una lectura que abre puertas a lo que vendrá.A modo de culminaciónSe apuntó con acierto alguna vez la paradojal situación de este escritor: tan leído y valorado —porque lo era, a pesar de las múltiples quejas ante la supuesta dificultad de su estilo— en aquellos años de plenitud de trabajo que van desde mediados de los cincuenta hasta pasado el setenta, y tan soterradamente dejado de lado —más allá de citas y referencias— luego de su muerte. Si bien el tiempo oscuro de los años setenta colaboró a echar sobre su obra un grueso manto de silenciamiento, eso no explica del todo las causas de la extensión de tal anomalía mucho después, con la excepción del momento del décimo aniversario de su desaparición. Estamos ante un autor que las nuevas generaciones tienen dificultad en ubicar, o directamente desconocen, y que otros mayores han cuasi olvidado. El desafío tal vez radique en revalorar en su totalidad este corpus textual vasto y complejo, variado y atractivo, dentro del cual hay tanto para ayudarnos a pensar este presente problemático y el confuso futuro que se avecina, así como para mejorar en mucho nuestra vida cultural y nuestra vida a secas. Hay aquí intensa labor para editores, críticos, investigadores, estudiosos, y sobretodo nuevos ensayistas. *Poeta, narrador, ensayista, periodista cultural, investigador y autor de numerosas obras de crítica literaria,docente de Facultad de Comunicación, Universidad ORT. REFERENCIAS1- Ediciones Biblioteca Ayacucho, de Venezuela.2- Cuadernos de Marcha, l967.3- Escritura, l947.4- Tribuna Católica, l950.5- Almanaque del Banco de Seguros, l952.6- Marcha, l954.7- Publicado originalmente por la revista Número en l950, y reeditado en l984 por Arca.8- Publicado por Asir, en l96l.9- Bajo el sello de EBO, en l964.10- Escrito en l963, e inédito por décadas.11- En La sociología subdesarrollante, volumen colectivo de l969 publicado por Aportes.12- Siglo XXI, Buenos Aires, l97l.13- Columbia University, Nueva York, l973.14- Cuadernos del Ciesu, l976.15- Publicado por el Departamento de Literatura Hispanoamericana de Facultad de Humanidades, en l966.16- Arca-Calicanto, l975, donde se reúnen varios de sus ensayos.17- Es fragmento de Rodó y Zorrilla de San Martín: tres momentos de un diálogo intelectual, publicado en agosto de l950 en la revista montevideana Tribuna Católica.

Como fundamento del sistema intermodal de carga para la Región Andina de Colombia se requiere una estructuración de la red ferroviaria, para implementar una red de transporte soportada en dos ejes fundamentales: la hidrovía del Magdalena y el corredor férreo del Río Cauca con extensión desde Buenaventura hasta Urabá; ambos enlazados por un ferrocarril de montaña que parte de Puerto López en la hidrovía del Meta, pasa por el Altiplano, baja a la Dorada, y llega al Km 41 donde se articularía al Tren de Occidente y al Nuevo Ferrocarril de Antioquia saliendo por Urabá y por Cupica, dos puertos profundos unidos por un sistema bimodal: el Ferrocarril y la Hidrovía del Atrato

El objetivo principal de esta Tesis Doctoral es evaluar el desempeño financiero de las inversiones socialmente responsables (ISR). En las últimas décadas, la gestión de inversiones ha experimentado un proceso progresivo de adaptación en el que los objetivos financieros convencionales se han complementado con atributos no financieros como los criterios medioambientales, sociales y de gobernanza (ESG). Esta tendencia refleja una creciente conciencia sobre cuestiones ambientales, sociales y éticas que influye de manera importante en las decisiones de compra de los inversores (Mollet y Ziegler, 2014). La ISR atrae a inversores que desean ir más allá de la utilidad financiera de sus inversiones y que esperan una utilidad no financiera que refleje sus valores sociales (Auer, 2016; Auer y Schuhmacher, 2016). Los aspectos ESG se están convirtiendo en una parte importante del proceso de toma de decisiones de los inversores al ayudarles a identificar oportunidades y riesgos en el largo plazo. De acuerdo con el Global Sustainable Investment Review de 2016, en 2016 hubo 22,89 billones de dólares gestionados profesionalmente en el marco de estrategias de inversión responsable a nivel mundial, lo que representa un aumento del 25% desde 2014. En 2016, el 53% de los gestores en Europa utilizaron estrategias de inversión responsable, siendo esta proporción del 22% en EE.UU. y del 51% en Australia/Nueva Zelanda. Esta tendencia se ha ratificado para los dos últimos años. Los gestores de activos estadounidenses consideraron criterios ESG en su gestión por valor de 11,6 billones de dólares, un 44 por ciento más que los 8,1 billones de dólares de 2016 (USSIF, 2018). El informe EUROSIF (2018) también revela un crecimiento sostenido en Europa de las estrategias de inversión sostenibles. Los dos últimos años (2016-2018) muestran signos manifiestos de que la ISR se está convirtiendo en parte integrante de la gestión de los fondos europeos. La idea básica de la ISR es aplicar un conjunto de filtros al universo de inversión disponible con el fin de seleccionar o excluir activos en función de criterios ESG (Auer, 2016). En la práctica, existen diferentes estrategias ISR, como la integración, la selección positiva/best-in-class, la selección ética/negativa, la gobernanza, el compromiso, etc., todas ellas con el objetivo de dirigir los fondos hacia empresas socialmente responsables con proyectos y políticas constructivas y sostenibles. Desde la perspectiva de los inversores, la cuestión crítica es si la selección de acciones socialmente responsable conduce a ganancias o pérdidas en términos de rendimiento financiero. Por parte de las empresas, la cuestión es si el gasto de recursos en prácticas de responsabilidad social de las empresas (RSE) redundará en beneficio de la empresa y aumentará su valor. Si hacer el bien (social y medioambiental) está vinculado a hacerlo bien (financieramente), las empresas podrían verse incentivadas a comportarse de manera más sostenible. Una relación positiva entre el desempeño social y el financiero legitimaría incluso la RSE sobre razones económicas (Margolis et al. 2009). El crecimiento de la ISR y sus consecuencias ha estimulado la realización de estudios empíricos evaluando su comportamiento financiero. Una parte importante de la literatura se ha centrado en el rendimiento financiero de los fondos de inversión ISR. En general, estos estudios encuentran que no hay diferencias significativas en el desempeño financiero de fondos ISR y fondos de tipo convencional (Leite et al. 2018)2. Sin embargo, la evaluación del impacto financiero de la ISR mediante el análisis del rendimiento de los fondos de inversión ISR gestionados activamente presenta algunas deficiencias. Por ejemplo, como señalan Brammer et al (2006) y Kempf y Osthoff (2007), existen efectos confusos -como las habilidades de gestión del gestor y los honorarios y tasas por la gestión- que pueden dificultar la identificación del rendimiento de las ISR. Además, la evidencia de Utz y Wimmer (2014), Humphrey et al. (2016), y Statman y Glushkov (2016) sugiere que la etiqueta "socialmente responsable" puede ser una estrategia de marketing de los fondos, lo que suscitaría dudas entre los inversores sobre si un fondo ISR es realmente socialmente responsable. En consecuencia, los inversores pueden tener dificultades para saber en qué medida un fondo ISR tiene realmente en cuenta los criterios sociales en su proceso de selección. Para superar las limitaciones asociadas a los estudios sobre fondos de inversión ISR gestionados activamente, un enfoque alternativo para evaluar los efectos financieros de la ISR consiste en analizar el rendimiento de carteras sintéticas formadas utilizando características sociales, medioambientales y de gobernanza de las empresas. En esta Tesis Doctoral, seguimos este enfoque para evaluar las inversiones socialmente responsables. Esta Tesis Doctoral está organizada en dos secciones. La primera incluye los capítulos 1 y 2 en los que se evalúan algunos aspectos metodológicos relacionados con una medida de rendimiento financiero que se utiliza para evaluar el rendimiento financiero de la ISR en la sección dos. La segunda sección incluye los capítulos 3, 4, 5 y 6 en los que se evalúa el desempeño financiero de la ISR desde diferentes perspectivas. Primera Sección. En el Capítulo 1 se evalúa la utilidad de una estrategia de inversión sectorial basada en el modelo de tres factores de Fama y French (1992). En este capítulo desarrollamos un proceso de inversión, que hasta donde sabemos es nuevo, incluyendo en una cartera acciones que están infravaloradas con respecto a sus índices sectoriales, es decir, tomamos como factor de mercado relevante el índice sectorial al que pertenecen las empresas. Nuestro principal objetivo en este capítulo es comprobar si es posible conseguir de forma consistente una rentabilidad extraordinaria mediante una estrategia sectorial basada en el modelo de Fama y French (1992) para la toma de decisiones de inversión. En el Capítulo 2 se evalúa si el modelo Fama y French (1992) puede convertirse en una herramienta más versátil y flexible, capaz de incorporar las variaciones en las características de las empresas de una forma más dinámica. Específicamente, prestamos atención al procedimiento que siguen Fama y French (1992) para formar los factores de riesgo. Ellos toman datos anuales y evalúan las carteras de valor y tamaño una vez al año, manteniéndolas invariables durante todo el período. Sin embargo, observamos que las características de las empresas pueden variar durante un periodo de 12 meses. Argumentamos que en ese periodo la valoración de una empresa puede cambiar como resultado de, por ejemplo, variaciones en su precio de mercado, su tamaño o su precio en libros; sin embargo el modelo de Fama y French (1992) no refleja con precisión esta dinámica. Nuestro principal objetivo en este capítulo es probar la eficacia del modelo tomando datos mensuales y reformando las carteras de valor y tamaño al final de cada mes para desarrollar una herramienta más dinámica y adaptable. Segunda Sección. En el Capítulo 3 se evalúa el rendimiento financiero de carteras que pueden formar inversores minoristas con conciencia social en comparación con inversiones convencionales. Observamos que la mayoría de los estudios previos que evalúan el rendimiento financiero de la ISR se llevan a cabo desde la perspectiva de las decisiones de inversión de los inversores institucionales y no desde la perspectiva de los inversores particulares que desean mantener carteras ISR. Sin embargo, ha habido un aumento considerable de la popularidad de la ISR entre los inversores minoristas (Benijts, 2010). Nilsson (2015) destaca que los inversores particulares optan por dedicar al menos una parte de sus fondos a inversiones que incluyan algún tipo de preocupación social o medioambiental, convirtiéndose así en un factor importante en la configuración de la ISR. Según el Global Sustainable Investment Review de 2016, aunque el mercado ISR en la mayoría de las regiones está dominado por inversores institucionales profesionales, el interés de los inversores particulares por la ISR está adquiriendo relevancia. De hecho, la proporción relativa de inversiones en ISR al por menor en Canadá, Europa y Estados Unidos aumentó del 13 por ciento en 2014 al 26 por ciento a comienzos de 2016 (GSIA, 2016). El objetivo de este capítulo es evaluar el rendimiento de las carteras que pueden formar los inversores minoristas socialmente responsables en comparación con las inversiones convencionales. Utilizamos varias medidas de rendimiento financiero; entre otras, la desarrollada en el capítulo 2 de esta Tesis Doctoral. Como punto relevante para los inversores minoristas, para la selección de las empresas socialmente responsables acudimos a una fuente de información de acceso libre al público a la que puede acceder cualquier inversor minorista. Adicionalmente, en este capítulo analizamos el impacto que pueden tener diferentes estados del mercado (alcistas y bajistas) sobre el rendimiento financiero de las carteras ISR. Investigaciones recientes muestran que el rendimiento de fondos de renta variable ISR (Nofsinger y Varma, 2014; Becchetti et al., 2015, Leite y Cortez, 2015), fondos de renta fija de ISR (Henke, 2016) y empresas socialmente responsables (Brzeszczyński y McIntosh, 2014; Carvalho y Areal, 2016) son sensibles a diferentes estados del mercado. En el Capítulo 4 evaluamos el desempeño financiero de carteras de acciones construidas con criterios de RSC a nivel internacional. Observamos que los estudios previos que abordan el desempeño de las carteras sintéticas socialmente responsables adolecen de algunas limitaciones e inconsistencias, a saber: (1) la mayoría de los estudios previos se centran en los mercados bursátiles de EE.UU. y Europa; (2) con la excepción de Badía et al. (2017), los estudios anteriores no comparan el desempeño de las carteras de ISR de diferentes regiones del mundo; (3) existen estudios que miden la RSC sólo a través de una de sus dimensiones individuales, mientras que otros consideran medidas agregadas de la RSC; (4) la mayoría de los estudios no evalúan la influencia de la industria en el desempeño financiero de las carteras de acciones ISR; (5) en varios de los estudios que evalúan a empresas europeas, se utilizan muestras de tamaño reducido; (6) falta evidencia actualizada; y (7) algunos investigadores simplemente dividen los períodos de análisis en subperíodos para evaluar el ―efecto de tiempo‖, sin embargo, es posible que se haya descuidado un efecto importante, el impacto de diferentes estados del mercado sobre el rendimiento financiero. Nuestro principal objetivo en este capítulo es evaluar el rendimiento financiero de carteras construidas sobre la base de criterios RSC superando las limitaciones previas. Formamos carteras de acciones con valoraciones de sostenibilidad altas y bajas e investigamos el rendimiento de dichas carteras utilizando modelos multifactoriales. En este capítulo, ampliamos el análisis sobre el impacto de la utilización de filtros socialmente responsables en el rendimiento de las carteras de inversión a otras áreas geográficas (Norteamérica, Europa, Japón y Asia-Pacífico); comparamos el rendimiento financiero de las carteras ISR de estas regiones entre sí; formamos carteras basadas en una medida agregada de RSE, así como en tres de sus dimensiones específicas ESG; evaluamos la influencia de la industria en el rendimiento financiero de las carteras de acciones ISR; y, por último, evaluamos el rendimiento financiero de las carteras de acciones ISR en diferentes estados de los mercados: alcistas, bajistas y períodos de mercados mixtos. En el Capítulo 5 evaluamos el rendimiento financiero de carteras de deuda pública formadas según criterios ESG. Observamos que, aunque el concepto de ISR se relacionó originalmente con la selección de acciones, la proporción de inversores que aplican criterios ISR a bonos ha crecido significativamente en los últimos años. Según el Foro Europeo de Inversión Sostenible (EUROSIF, 2016), la renta variable representaba más del 30% de los activos de ISR en diciembre de 2015, lo que supone un descenso significativo respecto al 50% del año anterior. Por otra parte, se ha producido un fuerte aumento de los bonos, que han pasado del 40% registrado en diciembre de 2013 al 64%. Tanto los bonos corporativos como los bonos gubernamentales experimentaron un crecimiento notable. En este sentido, las implicaciones financieras de los procesos de selección ESG sobre bonos corporativos pueden estar estrechamente relacionadas con la selección de acciones, ya que los bonos corporativos están asociados a empresas. De hecho, estudios previos (por ejemplo, Derwall y Koedijk, 2009; Leite y Cortez, 2016) que evalúan el desempeño financiero de fondos que invierten en bonos de renta fija socialmente responsables, encuentran que en promedio tuvieron un desempeño similar al de los fondos convencionales. Estos resultados están en línea con la mayoría de los estudios empíricos sobre el desempeño de los fondos ISR que muestran que tienden a tener un desempeño similar al de sus pares convencionales (Revelly y Viviani, 2015). Sin embargo, los procesos de selección ESG sobre bonos gubernamentales, dado que no están relacionados con las empresas, pueden ayudar a comprender las consecuencias de la ISR para activos alternativos. A pesar del crecimiento del mercado de deuda pública ISR y del desarrollo de calificaciones de los países basadas en factores ESG en los últimos años, se ha pasado por alto el vínculo entre la rentabilidad de la deuda pública y el rendimiento de los países en términos de preocupaciones ESG. De hecho, hasta donde sabemos, ninguna investigación previa ha evaluado el rendimiento financiero de las inversiones responsables en bonos gubernamentales. El objetivo principal de este capítulo es llenar este vacío. Evaluamos el rendimiento financiero de carteras de deuda pública formadas según criterios ESG. A diferencia de estudios previos, en los que se aplican calificaciones de sostenibilidad de las empresas, se utilizan calificaciones de sostenibilidad relacionadas con los países. En el capítulo 6 se estudia un aspecto poco evaluado de la RSE: la distinción entre inversiones en cuestiones de sostenibilidad materiales e inmateriales. Sólo las empresas que se centran en cuestiones de sostenibilidad material asociadas a sus operaciones principales deberían lograr una ventaja competitiva y obtener un mayor rendimiento social y financiero. Las actividades de RSE y las innovaciones relacionadas deben realizarse sobre aspectos materiales, ya que de lo contrario no se debería espera un efecto positivo en el rendimiento financiero. De hecho, las inversiones en cuestiones inmateriales pueden implicar costes empresariales adicionales sin un rendimiento social y financiero asociado. Para las empresas es importante centrarse en las cuestiones materiales ya que de este modo invierten en aspectos sociales que realmente afectan a sus operaciones. A pesar de que temas como la seguridad de los productos, el cambio climático y la intensidad en el uso de los recursos tienen impactos en varias industrias, como señalan Herz and Rogers (2016), esos efectos a menudo varían en gran medida de una industria a otra. Los riesgos pueden estar en todas partes, aunque también son particulares. Como consecuencia, las empresas de diferentes industrias tienen sus perfiles de sostenibilidad particulares. Es probable que una empresa que invierte sobre temas de sostenibilidad material en su industria logre un desempeño financiero positivo. Mientras tanto, es probable que una empresa que invierte en cuestiones de sostenibilidad materiales pero también inmateriales no logre un rendimiento financiero superior. En este capítulo, el objetivo principal es evaluar el rendimiento financiero de carteras de acciones formadas en función de cuestiones de RSC materiales e inmateriales. Khan et al (2016) muestran que las empresas estadounidenses con un fuerte desempeño en aspectos materiales superan a las empresas con un desempeño pobre en temas materiales. Nuestro conjunto de datos incluye empresas de estadounidenses y Europa. De este modo, ampliamos las pruebas anteriores de Khan et al. (2016) a las empresas europeas. La evaluación de las empresas estadounidenses y europeas es particularmente interesante dada la heterogeneidad de las pautas de desarrollo de la ISR en los distintos países (Neher y Hebb, 2015). En este capítulo utilizamos las puntuaciones de las empresas a partir de un conjunto de datos original que integra los estándares del Mapa de Materialidad SASB que, hasta donde sabemos, no se ha utilizado antes en este contexto. ; The main objective of this Doctoral Thesis is to evaluate the financial performance of socially responsible investments (SRI). In recent decades, investment management has undergone a progressive adaption process in which conventional financial objectives are increasingly being complemented by non-financial attributes such as environment, social and governance (ESG) criteria. This trend reflects an increasing awareness of environmental, social, and ethical issues that is strongly influencing the purchase decisions of investors (Mollet and Ziegler, 2014). SRI appeals to investors who wish to go beyond the financial utility of their investments and also derive non-financial utility from holding securities that reflect their social values (Auer, 2016; Auer and Schuhmacher, 2016). Additionally, ESG issues are becoming an important part of investors' decision-making process by helping them to identify firms' long-term opportunities and risks. According to the 2016 Global Sustainable Investment Review, in 2016 there were $22.89 trillion of assets being professionally managed under responsible investment strategies globally, representing an increase of 25% since 2014. In 2016, 53% of managers in Europe used responsible investment strategies, this proportion being 22% in the US and 51% in Australia/New Zealand. This tendency has been ratified recently for the last two years. US asset managers considered ESG criteria across $11.6 trillion in assets, up 44 percent from $8.1 trillion in 2016 (USSIF, 2018). The EUROSIF (2018) report discloses sustained growth for most sustainable and responsible investment strategies. The past two years (2016-2018) show manifest signs of SRI becoming integral to European fund management. The basic idea of SRI is to apply a set of screens to the available investment universe, in order to select or exclude assets based on ESG criteria (Auer, 2016). In practice, there is a range of SRI strategies, such as integration, positive/best-in-class screening, ethical/negative screening, governance and engagement, etc. All of these aim to drive funds towards socially responsible firms with constructive sustainable projects and policies. From an investors' perspective, the critical issue is whether socially responsible stock selection leads to gains or losses in terms of financial performance. On the firms' side, the question is whether spending resources on corporate social responsibility (CSR) practices will render benefits for the firm and increase its value. If doing good is indeed linked to doing well, firms may be led to behave in a more sustainable way. A positive relationship between social and financial performance would even legitimize CSR on economic grounds (Margolis et al. 2009). The growth of SRI and its consequences has stimulated empirical studies assessing financial behaviours. An important stream of the literature has focused on the financial performance of SRI mutual funds. In general, these studies find that there are no significant differences between the performance of SRI mutual funds and conventional funds (Leite et al. 2018). However, assessing the financial impact of SRI by evaluating the performance of actively managed SRI mutual funds has some shortcomings. For instance, as Brammer et al. (2006), and Kempf and Osthoff (2007) point out, there are confounding effects - such as fund manager skills and management fees - that may make it difficult to identify the performance that is due to the social characteristics of the underlying holdings. Furthermore, the evidence of Utz and Wimmer (2014), Humphrey et al. (2016), and Statman and Glushkov (2016) suggests that the 'socially responsible' label may be more akin to a marketing strategy, thus raising doubts among investors that an SRI fund is really socially responsible. As a consequence, investors may find it difficult to know the extent to which an SRI fund is really considering social criteria in its selection process. To overcome the limitations associated to studies on actively managed SRI mutual funds, an alternative approach to evaluate the financial effects of SRI involves evaluating the performance of synthetic portfolios formed on assets' social characteristics. In this Doctoral Thesis, we follow this approach to evaluating socially responsible investments. This Doctoral Thesis is organized in two sections. The first includes chapters 1 and 2 in which we evaluate some methodological aspects related to a financial performance measure which is used to assess the financial performance of SRI in Section two. The second Section includes Chapters 3, 4, 5, and 6 in which we evaluate the financial performance of SRI from different perspectives. First Section. In Chapter 1 we assess the usefulness of a sector investment strategy based on the three-factor Fama and French (1992) model. We develop an investment process that is, as far as we know, new by including stocks that are undervalued with respect to their sector indices in a portfolio. We take as the relevant market factor the sector index to which firms belong. We base the strategy on the difficulty entailed in effectively choosing the appropriate market portfolio (Roll, 1977).Our main objective in this chapter is to test whether it is possible to consistently achieve extra-financial returns by means of a sector strategy using the Fama and French model (1992) as a basis for decision-making. In Chapter 2 we evaluate whether the Fama and French (1992) model may be adapted to become a more versatile and flexible tool, capable of incorporating variations of firms characteristics in a more dynamic form. We pay attention to the procedure that Fama and French (1992) follow to form the risk factors. They take annual data, and the value and size portfolios are assessed once a year, maintaining invariability during the whole period. However, we note that firms' characteristics can change during any given 12-month period. We argue that, over time, firms' valuation may change as a result of variations in its market price, size or book price, and we are aware that the Fama and French (1992) model does not accurately reflect these dynamics. Our main objective in this chapter is to test the effectiveness of the model by taking month-to-month data and reforming the value and size portfolios at the end of each month, aiming to develop a more dynamic and adaptable tool. Second Section. In Chapter 3 we evaluate the financial performance of portfolios that can be formed by socially conscious retail investors compared to conventional investments. We note that most previous studies evaluating the financial performance of SRI are conducted from the perspective of institutional investors' investment decisions and not from the perspective of retail investors who wish to hold SRI portfolios. Nonetheless, there has been a considerable increase in the popularity of SRI among retail investors (Benijts, 2010). Nilsson (2015) highlights that retail investors choose to devote at least part of their funds to investments that include some kind of social or environmental concerns, thereby having become an important factor in shaping SRI. According to the 2016 Global Sustainable Investment Review, although the SRI market in most of the regions is dominated by professional institutional investors, retail investors' interest in SRI is gaining relevance. Indeed, the relative proportion of retail SRI investments in Canada, Europe and the United States increased from 13 percent in 2014 to 26 percent at the start of 2016 (GSIA, 2016). Furthermore, over one third of SRI assets in the United States come from retail investors. The objective of this chapter is to assess the performance of portfolios that can be formed by socially responsible retail investors compared to conventional investments. We use several financial performance measures. Among others, that developed in chapter 2 of this Doctoral Thesis. As a relevant point to retail investors, we use stocks listed on a source freely available to the public that any retail investor may access. Additionally, we analyse the impact of different market states on the financial performance of SRI portfolios. Recent research shows that the performance of SRI equity funds (Nofsinger and Varma, 2014; Becchetti et al., 2015, Leite and Cortez, 2015), SRI fixed-income funds (Henke, 2016), and socially responsible stocks (Brzeszczyński and McIntosh, 2014; Carvalho and Areal, 2016) is sensitive to different market states (e.g., expansion and recession periods). In Chapter 4 we evaluate the financial performance of international stock portfolios based on CSR criteria. We note that previous studies that address the performance of socially screened synthetic portfolios suffer from some limitations and inconsistencies, namely, (1) the majority of prior evidence only refers to the US and European stock markets; (2) with the exception of Badía et al. (2017), previous studies do not compare the performance of SRI portfolios of different regions worldwide; (3) there are studies that measure CSR through one of its individual dimension only, whereas others consider an aggregate construct of CSR; (4) most studies do not evaluate the influence of specific industries on the financial performance of SRI stock portfolios; (5) in several studies assessing European firms, undersized samples are used; (6) up-to-date evidence is lacking; and (7) some researchers who split sample periods merely into sub-periods to evaluate a 'time effect', i.e., whether SRI returns were better in earlier years and yet declined in more recent periods, may have neglected an important effect, specifically, the impact of different market states. Our main objective in this chapter is to evaluate the financial performance of international stock portfolios based on CSR criteria aiming to overcome previous limitations in the evaluation of SRI stock portfolio performance. We form portfolios of stocks with high and low sustainability scores and investigate the performance of such portfolios using multi-factor models. In this chapter, we extend the analysis on the impact of including socially responsible screens on investment portfolios performance to additional geographical areas (North America, Europe, Japan, and Asia Pacific); we compare the financial performance of SRI portfolios of these regions to each other; we form portfolios based on an aggregate measure of CSR as well as on three of its specific ESG dimensions; we evaluate the influence of specific industries on the financial performance of SRI stock portfolios; and finally, we assess the financial performance of SRI stock portfolios over different market states: bear, bull and mixed market periods. In Chapter 5 we evaluate the financial performance of government bond portfolios formed according to ESG criteria. We note that although the concept of SRI was originally related to stock selection, the proportion of portfolio investors applying SRI criteria to bonds has grown significantly in recent years. According to the European Sustainable Investment Forum (EUROSIF, 2016), equities represented over 30% of SRI assets in December 2015, a significant decrease from the previous year's 50%. Meanwhile, there was a strong increase in bonds from the 40% registered in December 2013 to 64%. Both corporate bonds and government bonds underwent a remarkable growth. The former rose from 21.3% to 51.17% of the bond allocation, while the latter increased from 16.6% to 41.26%.In this regard, the financial implications of ESG screening processes on corporate bonds may be closely related to stock selections since corporate bonds are associated with firms. Indeed, previous studies (e.g., Derwall and Koedijk, 2009; Leite and Cortez, 2016) which evaluate the financial performance of mutual funds that invest in socially responsible fixed-income stocks, find that the average SRI bond funds performed similarly to conventional funds. These results are in line with most empirical studies about the performance of SRI funds, which show that they tend to have a similar performance to their conventional peers (Revelly and Viviani, 2015). However, ESG screening processes on government bonds, since they are not related to firms, can help gain an in-depth understanding of SRI consequences for alternative assets. Despite the SRI government bond market growth and the development of country ratings based on ESG factors in recent years, the link between government bond returns and country performance in terms of ESG concerns has been overlooked. In fact, to the best of our knowledge, no previous research has evaluated the financial performance of responsible government bond investments. The main objective of this chapter is to fill this gap. We assess the financial performance of government bond portfolios formed according to ESG criteria. We thus open a discussion on the financial performance of SRI for an alternative asset to firms.In contrast to previous studies, which apply firm sustainability ratings, we use sustainability ratings related to countries. In Chapter 6 we ascertain a less assessed aspect in CSR: distinguishing between investments in material versus immaterial sustainability issues. We note that only firms focused on material sustainability issues associated with their main operations should achieve a competitive advantage and obtain a higher social and financial performance. CSR activities and innovations should be performed on material aspects since otherwise a positive effect on financial performance is not expected. Indeed, investments on immaterial issues may involve additional corporate costs without a social and financial performance associated return. Focusing on material issues is important for firms since they do investments in social aspects that truly affect their operations. Despite issues as prod¬uct safety, climate change, and resource intensity have impacts across several industries, as Hertz et al. (2016) note, those effects often vary to a great extent from one industry to the next. Risks may be everywhere, although they are indeed also particular. As a consequence, firms of specific industries have their particular sustainability profiles. Thus, a firm investing and reporting on material sustainability issues is likely achieved positive financial performance. Meanwhile, a firm investing on material but also on immaterial sustainability issues is likely not achieved superior financial performance. In this chapter, the main objective is to assess the financial performance of stock portfolios formed according to material and immaterial CSR issues. Khan et al. (2016) show that US firms with strong performance on material aspects outperform firms with poor performance on material topics. Our dataset includes companies from US and Europe. We thus extend the previous evidence of Khan et al. (2016) to European firms. Evaluating firms from US and Europe is particularly interesting given the heterogeneity in the patterns of development of SRI across countries (Neher and Hebb, 2015). Furthermore, we use firm' scores from an original dataset that integrates the SASB Materiality Map standards which, to our knowledge, has not been used before.

This essay continues with a discussion concerning the intersection between indigenous technological adoption/adaptation and the range of perspectives with respect to local communities' use of technology in general. Analytical instruments will be presented at the end of this article. First, however, the reader will have the opportunity to examine the 'views' of outsiders with respect to the debate surrounding sustainability, environmental management and territorial ordering. Responses to an on-line survey concerning the above issues together with my own comments, will add to the discussion. ; Gestión ambiental; Ordenamiento Territorial; Sostenibilidad; TIC; Usos ; 1 TECHNOLOGY IN NORTHWEST AMAZONIA (NWA) VIEWS OF VIEWS: SUSTAINABILITY, ENVIRONMENTAL MANAGEMENT AND TERRITORIAL ORDERING A contribution to a Political Ecology for Northwest Amazonia1 This essay continues with a discussion concerning the intersection between indigenous technological adoption/adaptation and the range of perspectives with respect to local communities' use of technology in general2. Analytical instruments will be presented at the end of this article. First, however, the reader will have the opportunity to examine the 'views' of outsiders with respect to the debate surrounding sustainability, environmental management and territorial ordering. Responses to an on-line survey concerning the above issues together with my own comments, will add to the discussion. Aims Initially there were two aims behind the construction of a website. One of was to overcome impediments to my personal mobility and direct access3. ICT facilitated communications with other interested people and helped solicit their views on indigenous management of the forest and their opinions with respect to the process of territorial ordering in Amazonia. The other aim was to serve the process of opening up political opportunities for NWA's inhabitants. Grassroots organisations all around the globe were (and are) establishing links through ICT. The indigenous peoples of Amazonia may attempt the same and this experience could, in the future, be an instrument of education for NWA. The introduction of such technology among indigenous peoples, if possible, will have impacts, which will to be judged as positive or negative, depending of the political interests of the observer and the moment of observation. It is argued here, that despite there being no indisputable positive or negative effects of technological transfer, it would be contrary to indigenous people's rights to self-determination to prevent the promotion of ICT among them. We wish to question conservative forces: if governments, corporations, NGOs and even international drug dealers and terrorist groups are using ICT to fortify their political positions, why should indigenous peoples be denied access to it? The access (or lack of it) of grassroots organisations to ICT facilitates (or impedes) the 1 The author wishes to thank: Jim Connor and Mark Bennett of Imperial College, the former for his advice on the use of Arcview-GIS and the latter for helping to write the cgi-script form for the website. Thanks are also due to: Stuart Peters from the University of Surrey for training in Web- Page design; Adriana Rico from Páginas.Net for valuable advice during the design process and Alvaro Ocampo for a detailed critique of Kumoro.com before it went live. I also wish to thank the Board of Puerto Rastrojo Foundation, which gave me permission to use their vegetation map as a base for the Yaigojé vegetation map that appears on the web-site. Finally thanks to all the people that took the time to fill out the on-line survey. Their contributions made this chapter possible. 2 This discussion was introduced in "Technology in Northwest Amazonia: Sketches from Inside" (Forero 2002b). 3 A restriction of one of the scholarships the author was granted as well as guerrilla incursions at the time, prevented the author from going back to NWA. 2 development of their rights to be informed (and educated) in accordance with the actual historical context of a globalising corporate economy and cultural hybridisation. For indigenous peoples, as well as for other ethnic minorities, financial resources to set up ICT are extremely limited compared to those of corporations, governments and even NGOs. The establishment of an ICT network for indigenous peoples' organisations in NWA remains a Utopia. But without a Utopian vision there is no aim for social mobilisation; this is something that was underlined by responses to the on-line survey. Fieldwork in NWA involved the author in the territorial ordering process, helping with the formation of indigenous people's organisations, and getting involved in communities' economic and educational projects. My work in NWA can thus be characterised as participatory action research (PAR) and one way of continuing to engage in PAR without going back to the field was to set up a website, wait for an opportunity to share my experience with the people of NWA and promote projects that would allow them to take over the website and use it for their own projects4. Deconstruction of an Internet generated discourse Elsewhere the author has dealt with descriptions and deconstructions of discourses of indigenous and institutional organisations, be they NGOs, churches, governmental or international. This process of deconstruction has included the author's own work among indigenous organisations and NGOs, which was one of the aims of "Indigenous knowledge and the scientific mind: activism or colonialism?" (Forero 2002a). I wish to explain the inclusion of governmental and non-governmental organisations within the category 'institutional'. There are great differences as well as important coincidences in governmental actions and the work of NGOs in developing countries due to the limited nature and poor quality of State-driven action in such nations. E.g. in Colombia, COAMA, the largest NGO network in NWA, has been involved in the political administrative reforms, and served as a consultant in matters of education, health and sustainable production. Furthermore, COAMA staff accompanied indigenous peoples in all these processes and without their intervention it is doubtful that many of the indigenous political organisations of Amazonia would ever have succeeded in their quest for legal recognition5. NGOs and governmental institutions may pursue similar political aims and share administrative structures. Inasmuch as small organisations are successful, (and usually this success is a result of strong personal commitment to a cause and personal knowledge of all members of the organisation), they tend to obtain more funds, which in turn forces them to become increasingly bureaucratic. As 4 At the time of writing (May 2002) the author was preparing to visit NWA at the invitation of indigenous leaders, including the Co-ordinator of an education committee who wanted to discuss the roll of ICT in education. 5 See Forero, Laborde et al. 1998 and the interview with the director of COAMA Martín von Hildebrand, in The Ecologist 2002 (Vol. 32 No.1-February). 3 organisations grow, individual members have fewer opportunities to get to know each other personally and maintain an accordance of principles, aims and political means. This is not to say that NGOs are condemned to be inefficient bureaucratic institutions, (which is not uncommon among developing countries' governmental institutions). But it is important to draw attention to the risk that when resources are pumping in and recruitment is growing there is more chance of becoming detached from grassroots sensibilities with respect to issues and less chance of correctly interpreting local developmental idioms. Views of Indigenous Environmental Management The design, production and publishing of a website on the development of a political ecology for NWA, taking the Yaigojé Resguardo as a study case, may seem a very simple task with little impact. But it proved to be a very delicate matter that involved exhausting work. The production of a map of the Yaigojé Resguardo, (which was to be included on the website) has been explained elsewhere, although it is worth mentioning something about the methodology involved. The author accompanied shamans (who were selected by indigenous leaders from the Apaporis) on several trips in which all the recognised sacred places of the Apaporis River and some of its tributaries where identified. The shamans learn the names of the places during their training. These names are recited in myths, chants and spells. The shamans carry, as they say, the map within themselves. It is impressive to see these men point to a place and give its name without hesitation. It is like this even when they have never been in that place before. It is impressive that this orally transmitted geography corresponds so precisely to the physical aspects that start to become relevant for people who, like the author, have different epistemological instruments for their interpretations of the world. While visiting the sacred places shamans spoke of trips they had made previously. In the case of shamanistic trips, visits did not actually involve physical journeys, but what were referred to as trips en pensamiento, en espíritu (in thought, in spirit). While accompanying them I recorded the geographical co-ordinates using a satellite guided geographical positioning system (GPS). The geographical co-ordinates thus generated were converted to plane co-ordinates and a map was generated using AUTOCAD software. Translations, drawings and reflections about this map-making process are included in a MSc thesis of the University of Warwick (Forero 1999). The work I will describe now, although partially derived from my work with the shamans is distinct in character and intention from that reported in Forero (1999). The use of technological gadgetry allowed me partially to reflect the Tukano world in a way that non-indigenous people could understand. And although this was a significant and, I believe, useful undertaking the real knowledge of the territory lies within the shamans with whom I worked. The fact that the 'indigenous territorial' aspects of the website are illustrated with maps is a by-product of the technology. A more significant value of the work (and the reason behind the shamans' wish to become involved in mapping) is that the maps were going to provide evidence for the legal process through which the ACIYA 4 indigenous organisation would claim rights over lands outside the recognised Resguardo Indigenous Reserve (Forero, Laborde et al. 1998). This work was successful and an extension to the Resguardo was indeed granted. Work on the website began by making a provisional outline of the desired end product. The original plan included six pages: Introduction (Home), vegetation map, traditional territorial map, discussion (an introduction to the political ecology of the Yaigojé Resguardo), bibliography (for those looking for references to NWA and the Yaigojé in particular), and a questionnaire that would generate the information from which this chapter has been developed6. The contrasting discourses obtained from the questionnaires Although I shall refer to percentages in this section, there is no intention of making any predictions based on statistical analyses. Neither is it suggested that the analysis of questionnaires can provide an objective account of outsiders' opinions with respect to the politics of the environment and people of NWA. The following notes are not representative in that sense and such was never the intention of the exercise. What is intended is that the reader gets an insight into the perceptions of survey respondents. What is important in a qualitative data analysis, like this, is to present differential tendencies. If discourses are constituents of reality then the confusing scenario of political confrontation in NWA should be linked to the visions and perspectives of all of us, including the views of people that have never been in Amazonia but nonetheless hold an opinion. And, if there is a marked difference between indigenous and exogenous perspectives with respect to sustainability and environmental management in Amazonia, which relates to whether people have visited NWA or not, this should be reflected in the answers to the surveys. The information generated from the on-line survey was collected between May and December of 2001. Eight hundred invitations were sent through e-mail. They were sent mainly to academics and organisations working on indigenous issues, conservation or sustainable development in NWA. One of these invitations reached COLNODO7 and the ICT network asked if we wished to submit the website in a weekly contest for the best new website, which we did and subsequently won! This meant that COLNODO subscribers were notified and invited to visit the site. But we have no idea how many hits were derived from COLNODO invitation. What we know is that during these 8 months we received 51 completed survey forms. This is a 6.4% response rate to the original 800 invitations8. 6 The survey form is in Appendix 1and, a summary of the technical work involved in the construction of the web-site is in Appendix 2. 7 "COLNODO is a Colombian communications network serving organizations dedicated to community development. It is operated by the non-profit organization called Colombian Association of Non-Governmental Organizations for Email Communication" (http://www.colnodo.org.co/summary_english.html). For a critical review of COLNODO work the interested reader could consult Gómez, R. 1998. 8 This response rate is rather low relative to postal questionnaire surveys, but we are unable to assess it relative other on-line surveys. 5 For the purposes of the analysis respondents (R) were divided into two groups: those claiming to have visited NWA (VA – 29% of R) and those claiming not to have visited the region (NVA – 71% of R). With respect to occupation, 68% of R come from the academic sector, including five anthropologists (almost 10% of R) all of whom had visited NWA. In contrast, although there were the same number of environmental managers as anthropologists answering the questionnaire, none had visited NWA. With respect to gender, the percentage of male (53%) and female (47%) respondents is similar across both VA and NVA groups. In terms of age, there were four groups: 1) 18 to 24, 2) 25 to 34, 3) 35 to 50, and 4) over 50. For R the percentages were: 8%, 47%, 35% and 10% respectively. The majority of respondents belong to the second group, between 25 to 34 years of age. However with respect to age groups the composition of VA and NVA groups differs: 56% of the NVA group belong to this second age cohort (25-34), while the majority of the VA group (47%) is between 35 and 50. Additionally, 13% of the VA group are over 50. 61% of the NVA group are between 18 and 34 years of age, while 60% of those that have visited Amazonia are over 35. A comparison of age among the survey respondents thus shows that those that have visited Amazonia (VA) tend to be older than those that have not (NVA). To distinguish among the views held by survey respondents we have to present the responses to each of the questions of the survey. We have made some associations of responses with the intention of outlining the different tendencies that we identify, but the reader might identify others. Before we do so a word about the view of respondents with respect to the website itself should be said. Website evaluation An evaluation of the web-site made by users was included in the questionnaire. Respondents were asked to rate the site between four categories: poor, fair, good and excellent. These categories were chosen as follows: 0, 2, 32 and 15 respectively. Two of the respondents did not offer a rating for the site. Additionally, respondents had the opportunity to suggest improvements. Some respondents suggested changes in design: modification of fonts and colours (some changes had already taken place). There were those who asked for more pictures, a photo album, more links and the construction of a chat room. With respect to the content, some wanted more ethnographic data, another more on political ecology, others asked for better visibility of the maps, while others called for additional links to related sites, and/or more information in general. One suggestion was to make the website less personalised, while another expressed interest in knowing more about the author's research project. Others asked for an enhanced bibliography. Some changes had already taken place by the time these comments were analysed but further changes are still being undertaken at the time of writing. With respect to the questionnaire, two people suggested larger windows to facilitate vision and to be able to comment largely, in contrast, another suggested encouraging more 'yes/no' responses. An important suggestion was: "Perhaps it is now appropriate to include some questions on communication 6 and information flows" (S52). Although not sought explicitly, information was gathered with respect to the use of ICT in the territorial ordering process of Amazonia. One of the respondents suggested that in future the website should be used by indigenous peoples of the Yaigojé. This has been the intention of the author, which has made a visit to Yaigojé (summer 2002) with intention to advance in that direction. Access to ICT for the indigenous peoples of the Yaigojé Resguardo is very limited but present. Future modification of the site will respond to indigenous peoples' feedback. During the visit few indigenous people gave their opinions on the website but several discussions on the roll of ICT in developmental processes took place9. Q1 - Are development and sustainability compatible? A clear response to Question 1 was that this depends on the definition of both terms: "It is impossible to answer this question as it is, as both terms are open to interpretation… " (S26). The question could have been and was read as: Is sustainable development attainable? Respondent S26 continued: "I think sustainable development is possible but hard to achieve in an environment of often conflicting interests and values (economic vs. environmental vs. cultural.)… " One respondent (S22) did not answer this particular question, and two others seemed to be confused (S38 and S41). Forty respondents (78% of R) answered that they were or could be compatible, although there are differences in the way they perceived this compatibility. Development first There were few respondents that failed to question the meaning of 'development' as concept or practice: the developmental project. These responses somehow postulated that certain environmental concerns should be acknowledged and dealt with in order for the development processes to continue: "Yes… . Development as the integration of western technologies or increase of income per capita, can be carefully done by implementing appropriate technologies into the productive activities of the communities. Sustainability defined as a continuous productivity level over the long term." (S2); "Yes. It is only a question of integration of environmental considerations in all we do and adjustment of behaviours accordingly." (S12); "Yes, because there can never be sustainability without development. People have, first to develop for them to have a sense of sustainability." (S13); "Yes, I do. The point is how you can reach a determinate "state" of development without undermining financial, ecological and human capacities in a determinate site (or taking into account their characteristics)." (S40) SD: human - environmental security There were others that perceived the compatibility or the possibility of sustainable development as the chance to diminish human/environmental security risks: "Yes of course in the long run - otherwise life is not possible." (S18); 9 The author is currently preparing a report that will summarise some of these discussions. 7 "Yes. Both are necessary for the survival of the area." (S21); "Si. Solo las acciones en el hoy nos pueden garantizar acciones en el mañana. (Yes. Only by taking action now we can guarantee we could act tomorrow)." (S23); "Yes, development should always be sustainable otherwise there are costs that are not taken into account. i.e. cost of pollution" (S39); "We don't have any choice. We have to make development and sustainability compatible as it's the only way we can survive and at the same time preserve the earth for future generations." (S42) Pessimism, in the sense that without SD life will no longer be possible, was to be repeated in the responses to all of the survey questions. Sustainability is an aim The majority of the respondents that believed development and sustainability to be compatible or capable of becoming compatible, were also of the opinion that the goal of sustainable development had not yet been achieved. Some of them discussed requisite conditions for achieving sustainability. They either underlined the importance of accepting sustainability as a guiding principle for development policy and interventions or/(and) exemplified ways in which sustainable practices might be instituted: "They have to be. I think they are because they have to be. I am optimistic that eventually it will be seen as natural to have sustainable development, but the problem is when this attitude kicks in." (S3) "Depends on how you define the two terms. If you mean that human quality of life can improve while maintaining the natural resource base, I think this is possible but very difficult to achieve." (S5) "Yes, but development in qualitative and not in quantitative terms." (S8) "Yes… there can be sustainable development in an ecological sense of the word - which means installing 'best ecological practice' in planning development." (S24) "No solo lo creo sino que estoy seguro que ambos pueden ser compatibles. Un desarrollo sin considerar ciertos indicadores de sustentabilidad/ sotenibilidad no es posible o viceversa. Uno y otro deberan de ir al parejo tratando de limar los conflictos que a menudo surgen cuando se pretende no un desarrollo pero un crecimiento economico sin considerar la parte social/cultural o ecologica. (Not only I believe that the two can be compatible, I am certain. Development without considering certain indicators of sustainability is impossible or vice versa. Both should go hand in hand, trying to solve the social, cultural and ecological problems that often arise when economic growth rather than sustainable development is the goal)." (S 25) "Sim, no alto rio Negro onde trabalho a ideia e essa: implementar um programa regional de desenvolvimento indedgena sustentado. (Yes, in the Upper Black River, where I work, the idea is precisely to implement a regional programme for sustainable indigenous development)" (S29) "Yes they are. The problem is with the material and energy growth and its compatibility with some environmental standards, like critical thresholds and so on." (S35) "Yes. The only way is by avoiding rapid over-development and having good planning."(S37) ".El concepto de desarrollo sostenible lo veo mucho mas como algo a lo que se quiere llegar, es una nocion implementada por parte de las politicas gubernamentales y ong's donde lo que se 8 procura con estos es el aprovechamiento al maximo de los recursos con un minimo impacto ambiental y social. (I see the concept of sustainable development as goal towards which we heading. It is an idea implemented through governmental and non-governmental policies which aim at maximum exploitation of resources with a minimum of environmental and social impacts)." (S48) "Yes, because they represent the best option to keep for human life." (S51) The need for local definitions Among the respondents that considered sustainability and development compatible if certain conditions were met, there is group of responses that emphasised the need for local definitions of 'sustainability' and 'development', or 'sustainable development': "They can be compatible providing that development is targeted at the right level i.e. small scale and in-keeping with the natural resources and environment." (S5) "Depende de las condiciones y del desarrollo para quién? Por lo tanto el desarrollo es sostenible si es buscado y logrado por la misma comunidad local (It depends on the conditions and on the question 'Development for whom'? Development can only be sustainable if it is sought and implemented by the local community itself)" (S20) "Yes but mainly if made through indigenous methodologies in their territories in Amazonia" (S27) "Yes. There is work done in northern Scandinavia where the "sammi" (lapps) have been given economical support and encouraged to create their own parliament. They have programs protecting their way of life, language and customs. The Norwegian broadcasting company NRK sends news in the language and coastal dialects. All this, at least for Norwegian sammi (lapps) has been key factors in late developments where communities have developed economically achieving great sustainability, contributing, not only to their well being, but to the sustainability of the inhospitable sub-artic regions." (S31) "Yes - but only if there is an 'appropriate' deployment of tools, techniques and processes of development in line with local community needs." (S52) Semantics and the economic imperative Interestingly, one respondent was very pessimistic about the possibilities for sustainable development even when it was sought and pursued at the local level. This respondent brought into the equation the idea that people are driven by monetary benefits to deplete their environment, even though they know that such practices are unsustainable: "To a certain degree, yes. I think that monetary considerations will always outweigh humanitarian concerns and it is very hard to convince people who are seeking a living from sometimes-meagre resources that it is in their own good to give consideration to long-term sustainable use of their resources. It is usually easier and cheaper to move on to the next area when one area has been depleted." (S17) This last argument derives from a rationality that considers poor people to be collaborators in their own misery. In this particular response there was no questioning of the developmental project or the social structures within which people are stimulated to act regardless of the future; but it did address 'monetary considerations' as the driving force. 9 Those responses that argued that the concepts are incompatible claimed an intrinsic contradiction in "sustainable development": "Development of any kind cannot sustain anything." (S4). Instead of blaming the people (needy or not), the proponents of incompatibility pointed their fingers at 'the system'; contemporary capitalist structures, the current developmental project and the prevailing economic model are seen as unavoidably contrary to sustainable practices: "No because development is premised upon economic gain, and capitalism is inherently unsustainable" (S10); "The problem with sustainability is that the economic model is not compatible with social, economic and ecological aspects at the same time and proportion. The neo-liberal model promotes the economic aspect leaving as secondary the social and ecological." (S19); "No, because development does not imply a recognition of limits or the necessity to preserve the natural and human resources used to achieve it. It is an economic concept, which has bases in the apparently unlimited uses of resources… " (S47); "… Si lo entemos [desarrollo] como crecimiento economico, por supuesto que no son compatibles. Ya que el crecimiento economico, tal y como lo plantean los economistas, excluye de raiz criterios sociales, culturales y ambientales requeridos para la sustentabilidad." (If we understand development as economic growth, of course they [sustainability and development] are not compatible. This is because economic growth, as economist have brought it up, excludes from its bases the environmental, cultural and social requirements of sustainability)" (S34) S.D. inconsistent with the present There are less radical rejections of the compatibility, which do not portray sustainable development as a contradiction itself but rather as inconsistent with current economic and ecological trends. The point such respondents make is that the necessary conditions for sustainable development are currently, rather than inherently unattainable: "… The current model of industrial development, where 'development' means material economic growth, is unlikely to be sustainable on a long term basis for the majority of the world population." (S1) "Present development of our world is clearly not sustainable" (S33) "Yes, they are compatible. But in a different social and economic order, not in the one the world is living now… " (S36) "Yes, if we change the way development is understood, for instance, development is associated to living styles resembling to those Europe and USA have, which are a lot related to consumption. But we could live in a healthier and more compatible way with our environment if we change our pattern of consumption and the generalised idea of development nowadays, it would be turning it into "only use what I need and get from nature, exclusively this, not until I just can't get anymore from it", 'cause I over pressed the place, to obtain more benefits. So, at last, this could be possible but in the long term, I hope not when there's nothing left to do." (S45) 10 Greening politics Some responses expressed doubts about the compatibility of sustainability and development. These doubts arise from the apparent use of "sustainability" as a green rhetoric, the aim of which is the continuation of projects that degrade the environment or human rights: ". usually development translates into cutting down natural habitats without regard to "sustaining" cultures" (S32); "In theory 'yes' but much depends on the definition of the terms and societies' acceptance of equal human rights and obligations to others." (S7) "Los conceptos de desarrollo y de sostenibilidad resultan ser bastantes amplios y ambiguos. En la mayoria de los casos cuando se plantean proyectos de desarrollo se trata de relacionarlos directamente con proyectos que resulten ser favorables para el medio ambiente. Como si un concepto llevara implicito otro, sin embargo creo que lo que se esta haciendo desde hace algunos años es precisamente disfrazar los proyectos de desarrollo para que sean aprobados bajo el nombre de mantenimiento del medio ambiente." (The concepts of sustainability and development are very ambiguous. In the majority of cases, there is an attempt to portray development projects as environmentally friendly[, a]s if one concept implied the other. However, I believe that what has been happening for the last few years is a camouflaging of development projects, in order to get them approved under the heading of environmental management) (S48). Reflections on responses to Q110: If "all development is not 'absolute' but will have a beginning and an end" (S24) then, "[d]evelopment of any kind cannot sustain anything." (S4). The impossibility of re-establishing high quality energy after it has been transform into low quality energy (or entropy) is a characteristic feature of closed systems, this would leave us with a world in decline where there is no possibility of sustaining anything. It could be argued that this is the case, as we cannot even guarantee perpetual solar energy flow. But this is perhaps taking the concept of sustainability too far, leaving us with no possibility for discussion. The central political discussion arising from the different responses revolves around the contradiction between those arguments of compatibility that leave the development project unquestioned and those that reject any possibility of compatibility because of a profound questioning of development. Between the two, the picture is blurred, undefined, open and elusive. There does not appear to be any significant correspondence between the two opposite groups of respondents in relation to whether they have been in Amazonia or not. Three out of five of the respondents claiming that there is absolutely no compatibility between development and sustainability have been in Amazonia; but so have two out of four of the respondents that left the development project unquestioned. However, it may be of some significance that none of those that accepted 'sustainable development' are related to social sciences. Those respondents with academic backgrounds in the social sciences all fit into groups 10 A schematic summary can be found in Table 1, Appendix 3. 11 that see sustainable development as a principle, something to be defined locally or as a reformist greening of politics. None of them were found in the group arguing for absolute incompatibility. The middle ground, where the picture is most blurred, came from the majority of respondents by whom it was argued that sustainable development may be possible but that they were unsure about how it might be achieved. Although these responses varied from those expressing suspiciousness (those pointing out the rhetoric of sustainability) to hope: "They have to be. I think they are because they have to be". This acceptance of a possibility of sustainable development, despite the semantic contradiction and current political rhetorical manipulation of the term, reflects a process of thinking and acting that is deeply rooted in Utopian beliefs. This 'sustainability' will happen in the future, in another time, when local communities take control of their lives and their resources, when environmental protection is taken seriously, when today's actions reflect our responsibility toward the future, etc. According to one of the respondents even continuous increases in productivity will be possible, when the proper technology has been developed. Q2 - Is there a relationship between indigenous reserves (IR) and protected areas (PA)? In Colombia IR are called "Resguardos Indígenas" or "Resguardos de Tierras". The term resguardo, literally means protection. Its meaning is not too different from that given to natural conservation areas of different grades: áreas protegidas, protected areas (PA). Both, IR and PA, emphasise the need for an area to be specially protected. Some of the respondents of this question pointed out an implicit relationship between IR and PA perhaps departing of this meaning: "… In a general sense, indigenous reserves are protected areas; they are protected from outside influence for the benefit of the indigenous people… " (S1); "Yes there are relationships. Both have natural systems and environmental quality that requires some level of conservation and protection" (S9); "Yes , for obvious reason. Because the protected reserves are a birth child of indigenous reserves and because we do not want to lose the nature environment the relationship should be maintained." (S13); "Yes, indigenous reserves are protected areas" (S28) As in the case of Q1 (Do you think that development and sustainability are compatible?) some respondents pointed out that it would depend on what we understand by the two terms: "Depends on the sort of protected area or what we mean with protected area… " (S25). "There could be" (S38); "It could be, but I am not sure" (S46); "… this has to be context specific" (S1). Five respondents simply said "yes" (S37, S18, S22, S43, S50) and one simply said "no" (S15). However many of the respondents did go on to qualify the relationship in some way. 12 Harmony or the need for it Some of the affirmative responses portrayed indigenous peoples as the guardians of the environment while others offered concrete examples of this viewpoint: "Si. Las culturas indigenas han demostrado que sus culturas han vivido armonicamente con su entorno durante miles de años" (Yes. Indigenous peoples have demonstrated that their cultures have lived in harmony with their environment during millennia). (S23); "Empirical evidence through statistical analysis has shown (particularly in Colombia in the north west region of the Sierra Nevada) that there is a direct relation between conservation and indigenous reserves. So, the answer is "yes, I do think so". (S40) There were those that referred to the need for a harmonic relationship because: 1) the environment should be protected for the benefit of indigenous peoples: "… indigenous reserves are related with spaces or areas that the government leaves for indigenous people and protected areas are where the local authorities or government provide the ($) resources in order to protect them" (S19); "Existe una relación, historica y cultural, respecto a su territorio, esto debe ser respetado y protegido para las mismas comunidades indigenas" (There is an historic and cultural relationship with respect to their territories. This should be respected and protected by indigenous communities for their own sake (S20). 2) the protection is fundamental for biodiversity conservation: "… Podria ser que se proteja un area porque existe cierta flora o fauna que esta en peligro de extincion. Por ejemplo, muchos animales que viven en la selva solo se aparean una vez al año en cierta temporada y si estos son interrumpidos por presencia humana su decendencia podria verse aun mas en peligro de extincion… " (It may be that an area is protected because there are endangered flora or fauna. For example, there are many rainforest animals that mate once a year or seasonally; if they are interrupted by human activities their progeny could be further endangered) (S25); "… development there should be restricted for the sake of conservation" (S33) 3) sustainable practices could be developed based on indigenous peoples' experiences: "Yes. By protecting areas where almost all indigenous people are more and more confined, there will be a way to preserve indigenous experiences in order for these experiences to contribute to a sustainable development." (S11). Utopia There were also those sorts of answers that reflected a feeling of hope or a sense of Utopia, in which a harmonic, positive relationship was acknowledged as desirable but not yet achieved: "I imagine IR to equate with PA in some way. Perhaps naively. IR is implicitly protected from external development forces, but not necessarily internal." (S3); "There can be. If people are continuing a way of life that has been sustainable in the past and are able to develop sustainably (… ) there is no reason why both should not coexist." (S6); "Most indigenous reserves must be also protected areas. How to effectively do it? I don't know." (S36); "In countries with mindless and irresponsible politicians and business people, it should be mandatory that 'indigenous reserves' must be synonymous with 'protected areas'. (S42) 13 Contamination and cultural imposition Some respondents signalled the risk of contamination, this is of indigenous peoples being influenced by a mestizo culture and therefore driven to break the presumed harmonic relationship with the natural environment. This may be seen as a lost opportunity, that of the rest of humanity to learn from indigenous experiences or, that of given indigenous people to assert managerial control: "Yes, as indigenous populations tend to live in harmony with nature these areas tend to require protection from the outside world. (S12); "… I also think it is difficult to put it into practice since indigenous people want to be part of the economic system and therefore there is a risk of depletion. Anyway who is better to protect certain areas than the people who have lived there for hundred of years!!!" (S39); "Yes, in fact, so far as I know, many of our indigenous people live in these protected areas, where most of them have been able to live in a sustainable way, I say most of them, because others are affected by the mestizo men that live nearby or want to get something from that place due to its economic importance, affecting these natural areas." (S45) It was pointed out that both types of jurisdiction, IR and PA, derived from a cultural-historical process, in which self-determination was not accounted for: "Yes, a very imperialistic one - especially in the Americas (including Canada). It is an old regressive link between the two, in the 60s and 70s this paternalistic viewpoint saw indigenous culture as static --which is wrong!" (S24); "Yes, they both seem to be defined by the ruling 'white' government." (S26) A respondent that had visited Amazonia (VA) added that there is resistance to this imposition, at least as far as indigenous peoples of Colombia are concerned: "yes-especially when indigenous management systems are practised in spite of the models of dominant society in Colombia" (S27). Similarly, another VA respondent suggested that in Colombia there are no friendly relationships between IR and PA: "It depends from country to country, but in Colombia no" (S10)! Analytical responses The analysis provided by some of the respondents tended to localise the relationship: to put it into the historical process. The analysis underlined the main problem for a "non-confrontational" relationship between IR and PA regimes. As they are designations that came about without public participation and from a rationality that is especially alien to indigenous peoples, when IRs and PAs overlap, competition for management arises. These type of answers either acknowledged that the relationship happens through overlap, or mentioned the difficulties of hitting indigenous rights and conservation target simultaneously: "Freedom of choice for all people, in terms of lifestyle, cultural heritage can translate into giving management control to indigenous people in protected areas. However the balance between sustainable economic development for indigenous people and at the same time protecting the environment is a difficult topic to discuss at a macro level. Individual environmental and socio-cultural circumstances need to be fully accounted for and explicitly articulated." (S7) "Yo creo que existe una relacion estrecha entre reservas indigenas y areas protegidas alrededor del mundo. Ya que estas dos figuras juridicas en muchos casos (p.e. Colombia) se encuentran translapadas." (I believe there is a close relationship between indigenous reserves and protected areas around the world. It derives from the fact that in many cases these two jurisdictions overlap) (S34). 14 "There is a relationship when they overlap, which I think happens often." (S44) "Los resguardos y las reservas indigenas han tenido la tendencia a considerarse y definirse como areas protegidas, sin embargo me parece importante tener en cuenta que al establecer los limites territoriales entre los resguardos quedan zonas intermedias que no pertenecen necesariamente a algun resguardo, y esto hace de un modo u otro que tambien se presenten roces con diferentes actores. Por la misma razon que al no estar circunscrito en un resguardo aparentemente se consideraría como un area no protegida… " (It has been the tendency to consider the resguardos and indigenous reserves as protected areas. However, I think it is worth considering that when the resguardo boundaries are established, there are zones in-between not ascribed to any resguardo. And this makes it somehow possible for different [political] actors to get confrontational. This happens as a consequence of the non-ascription of the in-between zone, which is not considered as protected area… ) (S48) However it came about and assuming that both jurisdictions are somehow competing, some respondents argued that IR should be more effective, as it gives responsibility to the people for their own lives: "Yes, although I think indigenous reserves serve to protect the environment/area better. This is because they are protected by local people who value the resources and use them in a traditional and more sustainable way. Protected areas can be designated/run by Governments and this can remove the responsibility from the indigenous peoples." (S5); "Yes. I think that indigenous reserves do offer more protection than protected areas because it gives local people more incentive to use sustainable practices. They can see it being in their own interests" (S17) In contrast, one respondent argued: "Maybe there is, but I don't believe in reserves" (S35). And a second respondent (VA) added that poverty have driven indigenous peoples to behave unsustainably: "I think it is possible. However, some indigenous areas are completely degraded because they are selling their natural resources to survive." (S53). This response (S53) is related to one of those made to Q1: "To a certain degree, yes. I think that monetary considerations will always outweigh humanitarian concerns and it is very hard to convince people who are seeking a living from sometimes meagre resources that it is in their own good to give consideration to long-term sustainable use of their resources. It is usually easier and cheaper to move on to the next area when one area has been depleted." (S17) Both answers (Q1-S17, Q2-S53) echo a neo-Malthusian argument. It implies that a 'tragedy of the commons' is happening in Amazonia and elsewhere as result of overpopulation. The politics involved "No. Indigenous reserves and protected areas (for nature conservation) are two different political land use strategies. If the government is assigning an Indian reserve then they should respect the use the indigenous people are making of the terrain according to traditional use or to improved technologies. Areas for Nature conservation must be treated separately and with a different priority. We cannot make the indians responsible for the disappearing of the diversity. The government has to be responsible by applying appropriate conservation and management regimes" (S2) This response makes an argument for the need to differentiate between IR and PA as diverse political strategies that pursue different aims. The first would aim to 15 comply with Indigenous Peoples Rights, particularly that of self-determination. The second political strategy would aim at biodiversity conservation. The respondent acknowledges indigenous social change as indigenous management depends on both, tradition and technological improvement. Interestingly, the analysis provided does not try to conceal the confrontational nature of the relationship; nor does it neither place much hope in conciliation. On the contrary, it advocates for a distinction. If there is some hope or sense of utopia in the response it comes from solutions provided by technological improvement. Which is something this particular respondent had already stressed in Q1: "… . Development as the integration of western technologies or increase of income per capita, can be carefully done by implementing appropriate technologies into the productive activities of the communities. Sustainability defined as a continuous productivity level in the long term." (S2) Non-conclusive comment-Q211 Nowadays, the establishment or enlargement of IRs (Resguardos in Colombia) and PAs requires the interested proponents to follow long protocols, the fulfilment of precise administrative procedures and of legal conditions. One aim of the process is to allow different stakeholders to participate and to assure the fulfilment of fundamental rights to all citizens in equal conditions. In Colombia, like in many other parts of the developing world, when the "juridical figures" were established these procedures were not necessary, therefore, many IRs and PAs were established without participation of all interested parties. It is not surprising that some of the respondents refer to the confrontation or competition of regimes that began with their imposition. It could be of some significance that none of the respondents that claimed the need to harmonise IR and PA have been in Amazonia. In contrast, the two respondents that pointed out that these two regimes are conflicting in Colombia have been there. The analytical response that called for clear differentiation between the two also came from the group of people that had visited Amazonia (VA). From the set of answers given to Q2 it is clear that different and contrasting narratives ascribed to with respect to environmental management. For some of the respondents indigenous peoples are guardians of the environment, victims of colonialism or in risk of a cultural contamination that will force them to adopt maladaptive strategies that would threaten conservation strategies. For others, indigenous reserves are untrustworthy designations: the environment should be preserved against development and human intervention, be it indigenous or otherwise. Therefore indigenous peoples should not be in charge of environmental management. Yet, another political perspective is derived from hopes of compatibility between the two regimes, which although pursuing different aims are seen as relevant for environmental and human security at the same time. Thus, the third perspective could be characterised as dialectic or iterative. From this (last) perspective indigenous experience could help the development of conservation strategies; and, 11 Schematic summary: Table 2, Appendix 3. 16 at the same time, the revision of environmental and conservation management strategies could be vital for the survival of indigenous peoples. Hope or Utopian visions also have a place here: the development of technology is seen as a key component for adequate environmental management. Technological improvement would allow both compliance with indigenous peoples' rights and biodiversity conservation. We are sketching a continuum from our comment on Q1, suggesting that the narrative of conciliation 'reflects a process of thinking and acting that is deeply rooted in utopia'. Q3 - Do you think that the concepts of protected areas (PA), indigenous reserves (IR) and sustainable development (SD) are useful for environmental management today? Two respondents say that the concepts should be context specific: "Yes, but which of them is useful depends on context… " (S1). "As I said before, all these terms have to be defined properly in the first place before they can be applied." (S2). There were two respondents that simply said 'yes' (S14, S22), while one answered: "yes, if it works" (S4). S4's response suggests that concepts are instruments, and not surprisingly many answers referred to the "applicability" of these three concepts. Environmental indians and contamination risk Some respondents reiterated the idea, already expressed in Q1 and Q2, that indigenous peoples are practitioners of SD or conservation managers: "… Indigenous reserves are important because they allow the preservation of a way of living in sympathy with the environment long gone in most areas… " (S12); "Claro que si. Las culturas indigenas son un ejemplo de convivencia y explotacion sostenible del entorno en que viven" (Yes of course. Indigenous cultures are an example of coexistence with the environment they live in and of sustainable exploitation.) (S23); "Yes because indigenous people are the 'shepherds' of the landscape and they have a first-hand understanding and experience (handed down from previous generations) of ecosystem processes. Sometimes indigenous customs and habits reflect an understanding of nature's processes that can be exemplary in the planning of management plans… "(S41) One response re-enforced an idea presented in Q2, that indigenous sustainable practices are in risk as the younger generations begin to adopt western lifestyles: "… , but this knowledge is also in danger [endangered],… , shamanism is related in many cases to the management of the natural resources, but I have listened to the indigenous people from the community that I'm working in, that they're not interested in receiving this knowledge from their parents, and day by they they're a lot like us in their agricultural practices." (S45) Principles as instruments Various responses made reference to certain conditions that would have to be fulfilled in order for the concepts to be useful. This perspective, where the concepts are understood as political instruments, could be useful if a 'real' or 'truth-value' definition of them were accomplished. This truth-value would come from using the political instrumentality of a concept only if it were to reflect a set of principles such as intergenerational equity, empowerment, and participation. 17 And, in the case of participation, special emphasis were given to the incorporation of indigenous people, their knowledge and ways of dealing with the environment: "The concept of protected areas will only be successful if indigenous peoples are involved, therefore this would seem to indicate that indigenous reserves would be the best way forward of the two" (S5) "… indigenous reserves need to be redefined according to the wishes of the people who will be living in them,… (S6); "… If sustainable development means development with the means which exist and with the participation of the people concerned… " (S11); Yes. Exercising indigenous knowledge should not be limited to reserves but integrated into the management plans along with scientific knowledge more widely. (S26); "Yes… Any protected area, etc. must actively incorporate the participation of indigenous people" (S41) The idea of intergenerational equity is attached to that of resource reserve for the developmental process: "Yes… The sustainable development concept relating to the obligation of the present generation to leave enough natural assets and capital for future generations to enjoy at least the same quality of life we enjoy today must be at the heart of environmental management activities." (S12) "Yes, because the natural environment that we believe is endangered should be protected as a reference in future years to come and because of this a sense of environmental management is very important as the same environment becomes a resource for development" (S13) "Yes. We need to protect the area and its people and provide for sustainable development. (S21) "… pero estoy cierto que las areas protegidas independentemente del interes en prervarlas desempeñan un papel importante en el manejo de ambientes naturales para la captura de CO2, conservación de recursos biogenéticos/biodiversidad/ y como elementos de estudio para futuras generaciones… " (… but I am certain that, independently of the interest in preserving them, protected areas play a roll in the management of natural environment for CO2 sequestration, conservation of biodiversity/genetic resources and as study subjects for future generations (S25) "yes, otherwise development will go against our own endurance. I think we have to consider the possibility that we are not the most powerful force in this world." (S38) Risk and Protection Following this idea is that of concepts (as political instruments) being useful if they could provide and enforce protection (S13, S21 above). In this case either the environment is seen at risk (endangered species or ecosystems) or both indigenous peoples and their environments: "Yes. Protected areas are important as pools of natural resources not affected by human activity. Indigenous reserves are important because they allow the preservation of a way of living in sympathy [tune] with the environment long gone in most areas." (S12); "I think they are vital. Until everyone has a responsible attitude to environmental control certain protections have to be enforced." (S17) Some of the responses expressing a need for environmental protection have a sense of impending catastrophe: "Yes, but they are loaded concepts so we have to be careful in using them… sustainable development is the only way we will survive, but is usually glibly applied." (S6); "in a limited sense perhaps.but what we need to accomplish is protection of all that there is left, without cutting and taking land around the so called protected area. stop the modernisation process wherever it has not already reached into" (S32); "Yes, because they are the only source to preserve life on earth." (S51) 18 Protection but of cultural diversity: "… They may contribute to 'capturing' and saving fragile cultures and 'unknown' languages." (S31) Although acknowledging the need for protection, some respondents made it explicit that IRs were not effective, as the policies derived from such concepts (regimes) would increase risk instead of attenuating it: "… in terms of indigenous groups if they become circumscribed to a specific protected area then this will prevent persistence of nomadic lifestyles etc. and as a result the protected area may become 'unsustainable' as people are becoming circumscribed to a specific reserve. I guess this also answers the question on indigenous reserves, however, the indigenous reserves of N. America should be used as an example of the problems of tying people to such reserves,… " (S10) "… 'indigenous reserves' are not so useful - most of indigenous social problems have been caused by the colonisers, and are being reproduced through generations. Keeping indigenous people enclosed in such areas, and introducing paternalistic rules and laws is not healthy for any society. It instils racism in a society, and will not ensure that indigenous practices of environmental management will be maintained - that depends on the indigenous group and how they choose to manage their environment… " (S24) The need for integration and its impediments Some emphasis was put on the idea that there is or should be a link between the concepts (political instruments): "Yes all concepts are useful as they each permit different aspects of the economic/ecology debate to enter into the wider public arena. Ultimately for there to be sustainable solutions to environmental problems there needs to be a holistic approach adopted… " (S7) "… environmental development will not be meaningful without taking into account the interrelation between 'indigenous reserves' and 'sustainable development'" (S11) "Yes, because all areas are linked with each other very closely" (S18). "Yes. Exercising indigenous knowledge should not be limited to reserves but integrated into the management plans along with scientific knowledge more widely." (S26) "… Lo que creo es que tanto las reservas indigenas, como las areas protegidas deberian orientarse hacia un desarrollo sostenible. Bien sea que estas dos figuras se translapen o no. Si entendemos el desarrollo sostenible como un proceso que involucra criterios sociales, culturales, economicos, y ambientales." (… What I do believe is that indigenous reserves as well as protected areas should direct their attention towards sustainable development, whether or not the entities [juridical regimes] overlap. If we understand sustainable development as a process that involves social, cultural, economic and environmental criteria.) (S34) However, quiet a few responses pointed out the problems that prevent this integration from taking place: 1) Incompatibility of interests between IR and PA: "… Protected areas are useful, but they raise the debate as to whether one should protect an area and exclude people from it so that a certain species/ archaeological site/community can survive or whether people should have access… " (S10); "It is quite difficult to harmonies those concepts, specifically among indigenous people. They are convinced that 'sustainable development' is an imperialist concept, and the first idea they have -as far as they hear the concept- is that they are going to be exploited by others… " (S40) 2) The prevalence of economic efficiency and profit at the expense of anything else: 19 "… El desarrollo sustentable que ha sido cada vez mas un objetivo importante en varios paises del mundo. Pero encontrar los balances correctos ha sido y es dificil, particulrmente cuando las sociedades y gobiernos estan sometidos a un proceso de globalizacion y de efeicientizacion economica. He ahi los conflictos permanentes de lograr un desarrollo verdaderamente sustentable que considere no solo los aspectos economicos, pero politicos, cultrales, sociales y ecologicos o ambientales. (Sustainable development has become an increasingly important objective in several countries around the world. But to find the correct balances has been and continues to be difficult; in particular as a result of societies and governments being subjected to economic efficiency within the globalisation process. There are permanent conflicts in the way of obtaining a real sustainable development that involve not only the economic aspects, but also the social, cultural, ecological and environmental criteria " (S25). "… too many people think of 'sustainable' as meaning economic sustainability and not environmental sustainability." (S30). "… While protected areas and indigenous reserves serve to maintain environmental quality, the concept of sustainable development is often disregarded for the sake of profits and globalisation." (S33) 3) Political manipulation: "I think there have been problems with these concepts for two reasons: First, they mean different thing for different people, second, they have been used and to serve particular interests. There are several and opposite definitions of 'sustainable development' and it's a difficult concept. 'Indigenous reserve', used as a general concept does not describe usefully the complex realities and 'protected areas' have been used to serve particular interests over time so I think it is seen suspiciously by a lot of people." (S44) "I think so, but these concepts are used a lot by politicians, and then the meaning can be manipulated". (S46) "… The big problem is not related to the concepts alone, it is related to the way in which these are applied according with particular interests and purposes. Many times the terms are used by different groups or organisations in order to pretend to be environmental friendly or responsible, when the real purposes reveal an opposite target or interest." (S47) "… Muy seguaramente estos términos se manejan como deben ser en el plano académico teórico, mas no ocurre lo mismo en el ambito práctico donde lo que prevalece son los interese de los diferentes actores que trabajan en este campo, lo que lleva inevitablemente a que se presenten situaciones de tension entre estos y se deje de lado el objetivo primordial en cuanto a la conservación y le manejo ambiental" (For sure, theoretically and within the academic circles these concepts are managed as they should be. Although, in the practical scenario privilege is given to the particular interests of those different [political] actors who work in this field. Thus, it is unavoidable that tensions will arise between these [political actors], which leave aside the fundamental aim of environmental management and conservation) (S48) 4) Semantics, the concepts mean too many things to too many different political actors (S44 above): "… 'Sustainable development' is not so useful for environmental management, as the concept is too contested - it means too many different things to different people." (S24); "As I said, the problem is that there are many definitions of those terms and it makes it difficult to determine if they are useful in one place compared to other places" (S50) Dynamism The perspective of 'dynamism' reflects a perception of mutating meanings as an advantage. Under this perspective 'contested' means 'in change', which is seen as part of a learning process, which is in tune with the idea of local definition of concepts (emphasised above): "Ultimately for there to be sustainable solutions to environmental problems there needs to be a holistic approach adopted, where people can better appreciate that their lifestyle has much in 20 common with others - even if they are in an OECD country and cannot appreciate the day to day lifestyle of someone in a less developed country. … . Therefore the concepts listed can provide an opportunity to raise the awareness of the majority of the world's people." "Yes, there is plenty that can be learned from these three concepts and also applied" (S37) "A lot, I believe there are a lot of things we can learn from them, specially in this field of study,." (S45) "If these concepts are [understood or interpreted] under a dynamic and changing world (attached to contexts), which mean that there is not a unique definition or way to apply them, I think they are still useful for environmental management." [original: understanding or interpreting… ] (S47) The need for new concepts-Q3 Contradicting narratives can be appreciated through the reading of these responses. There is a group of respondents that are uncritical of the concepts or the policies derived from them (like S37, S45 above and): "Yes, they are important to efficient environmental management" (S28); "Yes. An understanding of the mechanism of these terminologies is essential for effective environmental management … " (S9). Another group could be made out of those responses that reflect suspicion or are definitely critical of the concepts (S10, S24, S25, S30, S33, S40, S44, S46, S47, S48, S50 above). And, besides the group of respondents that express conditionality or hope (see above), there is a group of responses that, while critical of the concepts, acknowledge that at present they are all we have: "… which of them is useful depends on context… If an ethnic group is to be allowed to determine the course of events within its own territory, then the territory must be reserved for them until such time as they develop complete autonomy or decide to integrate more closely with wider society. Sustainable development may seem a rather broad, unspecific term, but it does at least draw attention to the unsustainability of conventional development… " (S1) "… The concept of sustainable development is gradually getting better developed and, even if it is not strictly attainable, gives decision-makers something to work towards… (S5) "I don't agree with the concept of SD as it is a contradiction in terms, but at present there are few better alternatives… " (S10) One respondent actually moved forward in the critique, pointing out that the concepts were built on preconceptions and identifying the need to generate new concepts that would integrate the useless categorical divide of nature and society: "I think they are old fashioned, and generated by the Anglo-Saxon culture. We should move towards an increased compatibility between human activities and nature, making it therefore not necessary to talk about reserves, or natural areas." (S35) Non-conclusive comment-Q312: The majority if not the totality of respondents took 'concepts' as 'politics'. They discussed the history of these politics, their adequacy and sufficiency. It is very interesting that while the conduct through which political ideas become policies is supposed to be complex, it is obvious for the respondents that there is more than theoretical debate going on in the process of policy making. There is a prevailing, sometimes automatic or non-reflexive awareness that narratives pursue the aims that drive the policies and politics that are transforming the environment. 12 Schematic summary: table 3, Appendix 3. 21 In continuity with the results of Q2, only 1 out of five respondents of those who argued for the need to integrate the concepts had been in Amazon; while the two respondents that argued the case of 'incompatibility of interests' had been there. Of those which suggested that these concepts –political strategies- are useful for environmental protection or that this is the last chance –catastrophism- for life, none had visited Amazonia. It may be of some significance that none of the five respondents that suggested that IR might be a better strategy than PA have been in Amazonia, while one person of the two that argued that IRs are ineffective had been there. The responses correspond to several narratives that can be identified. One of them is that of 'confidence in science and trust in political instrumentality' derived from the (traditional definitions of) concepts outlined. Another narrative is that of 'natives as heroes and outsiders as villains', which is reflected in the suspiciousness of concepts based in untested assumptions and in mistrust of the governmental policies derived from them. In summary there is a status-quo narrative and a counter narrative. Yet a third type of narrative could be identified, that of 'critical understanding'. Q4 – Should environmental managers (EM) get involved in the territorial ordering process (TOP) of the Amazon? One of the respondents simply answered yes (S4). One was unsure (S52), perhaps suspicious? One considered the question was tricky (S32), and three of them put the question into question. Two of these responses asked for the term 'environmental manager' to be defined: "Difficult to answer. Define the roles, mandate and empowerment of the environmental manager… " (S31); "What do you mean by environmental managers?." (S6). The third one was more critical: "this sentence is colonialist as if indigenous peoples of Amazonia were not in fact environmental managers" (S27). With a similar intent, one respondent argued that indigenous people were better-qualified environmental mangers: "Las comunidades indigenas han sido las mejores administradoras del territorio ancestral, eso debe ser respetado y replicado en zonas donde la intervención humana 'civilizada' ha afectado las condiciones ambientales. (Indigenous communities have been the best managers of ancestral territories, this should be respected and should be replicated in areas where 'civilised' human intervention has affected environmental conditions) (S20)" The response of Indigenous peoples as better managers had been expressed in Q1, Q2 and Q3. Another three responses reinforced the ideas of catastrophism, the need for urgent environmental protection and to stop development (S32, S33, S42). Perspectives EMs are the ones: "Definitely" (S12); " … They have in many cases a better view for the long-run." (S18); 22 Yes. Who else is better suited to do so?" (S21); "Environmental Managers should get involved. They are best able to ensure protection of ecosystem" (S28); "Por supuesto que si. Ya que el ordenamiento territorial de un territorio (en este caso de la Amazonia) debe tener como objetivos el desarrollo sostenible." (Definitely. Territorial ordering (of the Amazon in this case) should have sustainable development as an objective) (S34); "Because they are the ones that can understand the balance that must exist between economic development, traditional culture and environment." (S36); " They should, how can they do whithout?" (S46) "Yes, because they can contribute to better territorial ordering in the region" (S53) EMs and scientists figure out the solutions and take the decisions: "Deben estar involucradas todas las personas del planeta, pero con mas razon los 'decision makers', que a fin de cuentas, toman las acciones concretas sobre nuestro futuro medioambiental. (All people from the planet should get involved, but the 'decision makers' have more reason to be there, after all they are the ones that take the concrete actions in respect to our environmental future) (S23); "Yes, but along with some other scientists, not only because of the importance of the Amazon from a global point of view, but specially for the importance for the people living there." (S35); "Yes, always considering multiple disciplines result in a better understanding and so better solutions." (S38) But taking into account the other opinions: "Yes, although indigenous peoples will also play a major part and without them any agreements between Governments and environmental managers will not work… " (S5); "Not always, because it is necessary to take into consideration lay people's opinions too." (53) Indigenous peoples direct EMs: "If they are asked to do so by indigenous peoples, I see no problem with this." (S1); "Territorial ordering should be primarily decided upon by the indigenous groups that inhabit them, … ultimately decisions need to come from the bottom upwards" (S10); "… The indigenous people should be in charge of the program at the ultimate level" (S14). " They should but they should make sure they respect the opinion of indigenous people and they should be very discreet in their approach and aim for cooperation." (S41) EMs have equal rights to participate as other stakeholders: " Of course. All actors should be involved in the process… It doesn't mean that they have to take decisions but they can evaluate the circumstances under different and also important perspectives." (S2); "What do you mean by environmental managers? But yes, I think they also have a stake in the fate of the Amazon, and have a right to make their voices heard. (S6); " Involvement - yes but only in collaboration and co-operation with the Amazonian people and those in the higher levels of bureaucracy and policy making … Environmental managers can make significant contributions in this area, given their depth of understanding of the issues (relative to the general public)" (S7); "Deveriam estar envolvidos no processo de re-ordenamento territorial, junto com edndios, ribeirinhos etc" (they should be involved in the territorial ordering process together with indigenous peoples, riverine inhabitants, etc." (S29); " I think they should be involved as advisors and technical support but I support the idea of a non-technical management, where decisions are taken by the different stakeholders based on the technical advice and the social, cultural and economic factors." (S44) 23 But this intervention should be avoided within indigenous territories: "Not in indigenous reserves or territories which historically have been managed by indigenous communities. In other areas, should be taking part in dialogue of knowledge between cultures, people, communities, scientists and decision makers from private and government sectors, to order process on the amazon area." [Original text:… historically has been management by… ](S47) The apolitical EM: "Yes, but not for political reasons. It should be for the cause of sustainable use of our natural environment which is our heritage." (S9); " … Generally though I think that environmentalists like missionaries before them should not get involved in political processes as this can have a very negative reaction within the local community." (S17) "Yes, their knowledge will hopefully be of use in the ordering process" (S37) The political participation of EMs: "Yes, to counteract the interference of other external actors but hopefully to work with the indigenous people respecting their values and practices, not independently." (S26) EMs as facilitators of the dialog between IK and WS: "… without them [indigenous peoples] any agreements between Governments and environmental managers will not work. Environmental Managers should facilitate discussion… " (S5); "Territorial ordering should be primarily decided upon by the indigenous groups that inhabit them, environmental managers roles here should be as referees to help in the co-ordination of the process, but ultimately decisions need to come from the bottom upwards." (S10); "It's necessary for people involved in this field of study, that had already gained a conscience, and that are able to understand that we have to work with indigenous, not from our usual management vision, but theirs, trying to see the world like they do. In this way could be easier, perhaps to understand and give convincing and why not scientific arguments to the authorities (or people in charge of handling these affairs) about the different way they have already distributed their territory, which [in] most of the case (if not all) doesn't have our political distribution. (I.E, those groups that live between Colombia and Brazil boundaries) they don't have the same division of territories, because of this, they must be managed in a way more in concordance to their political organisation." (S45) Capacity, ability and quality of EMs: "Depends who the environmental managers are - if they are from the area and have a passion for the area, then why not. If they are drafted in from outside, and seen as the 'outside experts' then probably not - it usually causes friction within the area."(S24) "Define the roles, mandate and empowerment of the environmental manager. They may fall into different categories, of which I may name at least 4: 1. The conflictive manager. Created by a lobbying body. A good example is the body (forget the name) that is in charge of the Everglades in Florida. Their work is tainted by conflict of interest: the provision of water to cities and sugar cane farmers, at the same time maintaining the 'wet lands' as an ecosystem and controlling flooding! 2. The romantic. Exemplified by rich Europeans or North-Americans. Wanting to keep habitats, they may buy some land and resort to eco-tourism in order to keep their sustainability. I believe there are some German managed 'eco' destinations in Ecuador. Driven by an alternative way of life, they may not 'manage' the environment as they should. 3. The bureaucrat. A member of a government agency or NGO that may not be aware of local needs, responding always to policies made from a distance. Current legislation may be a hinder. "Los paisas", developed and colonised what is today Risaralda, Quindio, Caldas and 24 parts of Choco in Colombia, by using legislation that enabled them to cut and clear big forest areas to be claimed afterwards, creating the concept of the "colono". A colonisation process I witnessed in Caquetá some years ago. 4. The "grass roots" manager. Perhaps, the type who knows best the ecosystem and the power relationships that develop around it by the people involved with it. Usually their voice is not heard, mainly because of the threat they represent to some landowners or 'colonos'. If the law regarding claiming land that has been cleared is still existing, managing the environment is going to be a great task. One shall not forget that the 'colono' phenomenon represents one of the many socio-economical problems a nation like Colombia faces. … Management work usually develops around a policy. Trust among all participants is primordial. There ought to be some kind of legal-economical framework that will ease management work. If this is in place and all conflicts of interest reduced, then the territorial ordering process of Amazonia may become real." (S 31) Political risks, EMs tough job: "Yes, however the pressures on the person might be extreme. It would be preferable to have both on-site environmental managers and use some respected external managers as reference." (S15); "Yes, but bearing in mind that you should work with politicians and many kinds of 'parasitic' people which are thinking every day in the short term. It means that environmental managers are not enough for sustainable management and use of natural resource: their analytical models as well as their technical capacity is necessary, but they cannot work isolated, they require to work with others, despite the fact that 'the others' could (and should) think in a different way." (S40) Summarising-Q413 Like in the responses to Q1, Q2 and Q3, we can identify different and often contradictory perspectives. There were those that argued that environmental managers14 are the best qualified for the task and appeared somewhat perplexed by the question. Within that group there were those responses that assumed that decisions were taken by environmental managers or should be taken by them, although two expressed that others' opinion should be considered to a lesser extent. In the other direction were the responses that questioned intervention by EMs and considered it useful only when the decision-making process was led by indigenous peoples themselves. Yet, a third group was of the opinion that EMs should get involve in the same conditions that other stakeholders, such as indigenous peoples but, one respondent suggested they should not intervene in the management of indigenous peoples' territories at all. 13 See also Table 4, Appendix 3. 14 Called EMs in the survey to differentiate them from other experts and indigenous peoples. As it has been explained elsewhere (See "The march of the Manikins: Agroforestry practices and Spiritual dancing in Northwest Amazonia) indigenous peoples management of the environment departs from a different rationality and uses different instruments. What indigenous people from Northwest Amazonia call "management of the world" is not only a set of shamanistic practices but a way of living that combines social aims, aesthetic values, religious believes, and economic practices in a distinctive manner. Although acknowledging indigenous peoples from Northwest Amazonia are in fact environmental managers, the author has stressed that their "management of the world" incorporates many things, some of them of tremendous importance for environmental management more generally. 25 The other contrasting perspectives concerned the character of the intervention. While one group of responses were of the opinion that EMs should not get involved in politics, but have a technical approach, others thought that they should get involved to contrast and balance the political interests of other groups. A third group emerged, which advocated the intervention of environmental managers as conciliators and facilitators. Related to this roll of managers as advisers there was a group of responses showing concern with the capacity, ability and quality of environmental managers and, the possible risks that they have to face. Non-conclusive comment-Q4: As in responses to questions one, two and three, we can trace arguments and contra-arguments. One set of respondents portrays EMs as heroes. In this scenario they face a tough job, they are well trained, better able and indispensable for the process of territorial ordering; their politically risky job in which they have to make the decisions would be fundamental for diminishing environmental risk and even saving life on earth. (As in Q2 and Q3 none of those arguing conservation/catastrophism had been in Amazonia). A counter narrative is that provided by respondents arguing that EMs' participation should be directed by indigenous peoples (IP) or that the projects should be led mainly by natives, and that EMs should not intervene in the management of indigenous territories: in this case the heroes are indigenous peoples. A second counter narrative seems to be reflected by some of the respondents. In this scenario, EMs like IP should have equal rights to participate as different stakeholders, in this case decisions would come from a rational process in which dialog between cultures would take place. The participation of EMs would not be limited by their status/power but by their capacity, ability and their roll as facilitators or conciliators. Discussion European colonisation of Africa, Asia, the Americas, and Australasia from the late fifteenth century onwards, gave a tremendous boost to the volume of global transactions involving natural resources. Over the long run, trade in these resources, and in an increasingly diverse array of environmental services, has been expanding ever since. However, much of what is called globalisation in the twenty first century has more to do with developments in information technology since the late 1900s. The increasing speed of communications media and information transfer have proved fundamental in economic restructuring and the transformation of the world into a largely urban space (Castells 1996). In the globalised, twenty first century, local political decisions have little chance of being autarchic; international policy advisors inform local stakeholders about what is considered adequate or legal in accordance with international treaties, foreign protocols and political compromises. The local politics of environmental management is the concern of everybody: corporations, governments, international, regional and national NGOs, all of which compete for access to information and expansion of their scope of power in the political arena (Ambrose-Oji, Allmark et al. 2002). During the 1990s, and especially after the Río Earth Summit in 1992, one of the main topics of discussion was management of the global environment (Sachs 26 1993). Global targets for sustainable development were established at Río and similar processes were set in train at regional, national and local scales all over the world, following the guidelines set out in one of the policy documents agreed at Río: "Agenda 21". The official discourse that emerged from the Río process was replicated and many of the assumptions that informed the original discourse have been accorded a quasi-factual status by many people all over the globe (Sevilla_Guzmán and Woodgate 1997). The official discourse on globalisation emphasised the need for environmental management at supranational levels. At the same time, counter-discourse or anti-globalisation narratives have emerged. These emphasise the rights of indigenous people and local political actors to manage natural resources independently, in ways that allow them to make their own livelihood decisions and establish resource-use regimes that can provide the environmental goods and services that people need15. The management of the environment has always motivated debate and often led to confrontation. One of the main arguments of conservative conservationists concerns the 'vulnerability' of rainforest environments, and thus the need for their protection. Since the 1980s the problem of deforestation of tropical rainforests has been a global issue with special emphasis in South East Asia, the Congo basin and Amazonia (Adger, Benjaminsen et al. 2001). In a 1998 analysis of 'rainforest' web-sites, Stott revealed four metawords within the conservation rhetoric: orientalism (the exotic other), climax (harmony), old age (ancient, undisturbed) and vulnerability (Stott 1999). Metawords such as these become key rhetorical devices so that even research and development project proposals tend to employ them, thus replicating assumptions that are no longer questioned. How is this metalanguage produced? What are the bases of its principal cannons? And why is it that semantic analysis tends to remain the preserve of scientists – or is it something that is also dealt with at a local level? Narratives can be traced back in time. Equilibrium disturbance (climax rupture) and environmental fragility (vulnerability) both played parts in Hardin's 1968 'tragedy of the commons' (Hardin 1998). The neo-Malthusian discourse of environmental catastrophe as a result of an increasing population (of 'poor people') lies at the heart of Hardin's tragedy. The conservative conservationist perspective on the management of the rainforest is based on mistrust of systems of environmental management in which property rights (over life and resources) are not yet marketable. From a conservative political perspective responsible environmental action can only be achieved through the clarification of property rights to allow the unfettered action of free markets for the negotiation of such rights. It is assumed that the tragedy of the commons is happening or will happen in rainforest contexts where private property rights are not yet the rule and where societies still practise communal environmental management regimes based on indigenous knowledge rationalities in which nature and society form an ontological continuum. For conservatives only free markets for environmental rights, good and services can guarantee sustainable development. Neo-Malthusian 15 The discourses that emphasise on the need of eco-efficiency, economic transnationalization and planetary ecological management, were named by Sachs as contest and astronauts' perspectives. And the counter-discourse arising from the desempowered communities of the South as the home perspective (Sachs 1977). 27 and neo-liberal assumptions are fundamental to this perspective on sustainable development. With the aim of promoting Agenda 21 at local, national and regional levels, a complex and sophisticated process of institutionalisation was embarked upon. Amazonia did not escape this process; governmental officials or conservationist NGOs replicated the dominant conservationist discourse at the local level in NWA16. This official discourse of deforestation with its main initiative of protection of the environment from people has been labelled 'hegemonic' (Stott and Dullivan 2000) or 'neo-Malthusian' and 'managerial' (Adger, Benjaminsen et al. 2001). It should come as no surprise then that counter narratives have developed in Amazonia (and elsewhere), for many of which the principal intention is to contradict the conservative policies derived from this hegemonic discourse. The rights of indigenous people to define the course of their lives: their rights to manage natural resources and the environmental services used or supplied by the Amazonian environment have been key issues in these significant counter-claims against the official Amazonian territorial ordering politics and policies, which have involved environmental management that has been designed elsewhere. This counter-narrative pursues the principle and right of self-determination against the interests of political initiatives for global environmental management. The counter-narrative was not just a reaction to neo-liberal, neo-Malthisian conservative politics and conservation policies during the 1980s and '90s, however. In Latin America, all indigenous peoples' rebellions against the European empires were motivated by a call to reconstruct pre-colonial socio-cultural orders returning to territorial orders where the management of 'agroforestry' was undifferentiated from the sacred (Varese 1996:124-25). In modern, post-colonial states, indigenous peoples continued to struggle for the recognition of their territories. In today's NWA this struggle is related to governmental and conservationists policies of environmental management and the presence of armed groups opposed to political resolution of territorial ordering. Many of the Protected Areas (PAs) of NWA were created at a time when no legal procedure was established for public intervention in the designation of such areas. The official titles of the PA or IR (Resguardos in Colombia) have not prevented non-native invasion of lands or the expansion of illegal crop production inside either PAs or IRs. Conservationists and indigenous peoples alike have vacillated between alliances with, and the rejection of, the armed groups in charge of illegal crop production, depending on the political gains to be made and the risks involved in rejecting the proposals or achieving an alliance. The armed groups, on their part, have sought political alliances when such co-operation could benefit their military capacity or improve the managerial efficiency of their enterprises.17 16 With respect to the territorial ordering process, the Colombian Amazon controversy is discussed in Forero 1999, 2000; Forero, Laborde et al. 1998. 17 See Forero 2000, "Territoriality and Governance in the Colombian Amazon". 28 As far as local inhabitants were concerned, rainforest conservation policies arrived in NWA from another space and time. The legal establishment of protected areas took no account of the opinions or desires of the peoples already inhabiting NWA. Indigenous agro-ecosystems and the livelihood strategies of more recent colonisers were both ignored. The ideology expressed through legal frameworks was that of protection of the environment from people. The villains were local inhabitants and the regulations to be enforced were those of expelling people from the 'conservation' areas and maintaining their exclusion. The dominant discourse made no distinction between complex indigenous agro-ecosystems and the less sophisticated livelihood strategies being developed by recent immigrants. All of them were labelled as "slash and burn" agriculture (Myers 1980). Yet it has become increasingly apparent over the last thirty years that slash and burn is just an aspect of indigenous environmental management in Amazonia, which combines agricultural production, fish and game management, ritual prescriptions, and aesthetic developments18. It has even been suggested that movement towards "short cropping/long-fallow" cultivation patterns within indigenous Amazonian agro-ecosystems was an strategic response to alien invasion of territories and the introduction of metal axes (Denevan 2001: 115-31). Today, most ethnoscientists find it self-evident that the concepts of "chagras" (gardens) and "rastrojos" (abandoned gardens) are far too simplified to reflect the structure of cultivations over the short-, medium- and long-terms, in accordance with local knowledge of agro-ecological variation. It is obvious that indigenous environmental management has transformed Amazonian ecosystems for millennia; this was already evident to many of the nineteenth century European explorers19. Even the most knowledgeable people in the industrialised world have no precise idea of how 'vulnerable' rainforest is and few have accurate knowledge about the political conditions facing indigenous peoples or other human inhabitants of the Amazonian rainforest. With respect to NWA, even the most determined researcher would have problems accessing this information. It is often said that the rainforests of Amazonia are the 'lungs of the planet' (S.33), a metaphor used to emphasise the region's role in the carbon cycle, especially the absorption of CO2. This is somewhat ironic given that our own lungs actually consume oxygen and release CO2 during respiration. Indigenous people have been portrayed as villains or victims depending on the observer and the moment of observation. When portrayed as victims the picture is something like this: the wise guardians of the rainforest are obliged by violence to sell their natural resources or abandon their noble environmental practices. The role of violence in the functioning of extractive economies has been well documented. Violent coercion has been the dominant system in NWA for more than a century. Although indigenous people are no longer sold, 'debt-peonage' systems still dominate and exploit poor indigenous and immigrant inhabitants of 18 See Forero 2001, " The march of the Manikins: Agroforestry Practices and Spiritual Dancing in Northwest Amazonia". 19 See Forero 2002a, " Indigenous Knowledge and the Scientific Mind: Activism or Colonialism". 29 NWA. These people are employed for the harvesting, transport and commercialisation of coca base, cocaine and, the functioning of 'extractive economies' in general (Gómez, A. 1999). But there has been an indigenous response. This has sometimes taken the form of open rebellion and sometimes that of making strategic and tactical alliances in an attempt to obtain or preserve political power, to secure the acquisition of merchandise or simply to survive20. The counter-hegemonic narratives that we mentioned above have been labelled 'populist discourse': making it explicit that the victims are the indians and the villains the international organisations, sometimes allied to transnational corporations (like oil drilling companies) and the dependent and often corrupted governments that collaborate with these international organisations (Adger, Benjaminsen et al. 2001: 687). For NWA there are reports that seem to corroborate these arguments; e.g. indigenous peoples and environmental campaigners have protested jointly in Ecuador and Brazil against the construction of massive pipelines planned to cross through both IRs and PAs in both countries. The pipeline construction projects in both countries have arisen following collaboration between national governments and international oil exploration companies and have provoked public feelings of outrage (Weinberg 2001)21 . " [In NWA] Governments, multilateral lenders, multinational corporations, private banks and other institutions may not be counting on the convenient disappearance of indigenous peoples who get in the way of their ambitious development plans, but they often act as if they are." (Rabben 1998:122) "We who live in indigenous communities are surviving in the midst of a war imposed upon us by different factions and by the very same Colombian state that historically abandoned the countryside and permitted our lands to be invaded by waves of colonizers. Today we are caught in the crossfire, menaced by killings and displacement, while the State manifests its presence in the air with planes that slowly kill our plants and animals, our subsistence crops, and our people." (Organizacion Zonal Indigena del Putumayo_ OZIP 2002) However, is it possible to claim that there is a policy of 'ethnic cleansing' for NWA? From one side the whole issue of national sovereignty has been put into question; the expansion of Plan Andino (formerly Plan Colombia), the USA's anti-drug strategy for Latin America, exemplifies the delicate situation in which some of the Latin American countries have entered the twenty first century. The military component Plan Andino is aimed to support economic measures, the famous and indeed infamous structural adjustment plans that have provoked strikes and rebellions22. Additionally, even if there were an official policy of ethnic cleansing, South American States, given their size and power, would find it difficult to implement 20 See "Indigenous Knowledge and the Scientific Mind: Activism or Colonialism" (Forero 2002a), and "Technology in Northwest Amazonia: Sketches from Inside" (Forero 2002b). 21 For recent (March 2002) press releases on this issue see www.amazonwatch.org and www.americas.org 22 See Forero and Woodgate 2002, "The semantics of 'Human Security' in Northwest Amazonia: between indigenous peoples''Management of the World' and the USA's State Security Policy for Latin America". 30 it. The poor, be they indigenous peoples or colonisers are in the middle of a territorial war linked to international networks of criminality; they have been displaced, kidnapped or killed regardless of their claims of neutrality. In the case of Colombia, although some military authorities have been linked to some of the worst of the paramilitaries' atrocities, it has not been proved that the State itself has a policy of ethnic cleansing. In the case of Brazil, in 1996 the national executive proclaimed Decree 1775, instructing a right to contravene which, contrary to 169 WTO international agreement on Indigenous Peoples' rights, gave other stakeholders the opportunity to challenge Indigenous property rights. Paramilitary groups associated with illegal evictions of indigenous peoples in Brazilian Amazonia have long sought such a 'charter'. At the same time, the decree left the definition of indigenous land rights to the will of the executive power itself (Ministry of Justice). But, as in the case of Colombia, it cannot be proved that there is a policy of ethnic cleansing. It has been suggested in the non-conclusive comments on the survey results, that many people's responses echoed hegemonic and populist narratives. Indigenous peoples were portrayed as heroes or victims, as well as scientists and environmental managers. However, quiet a few of responses cannot be associated with either populist or hegemonic narratives. There is a group of responses that reflect critical thinking and are willing to challenge such simplistic dichotomies. Thus, the concept of sustainable development has been questioned, suspiciousness of western, scientific and technological solutions was expressed, and there was little willingness to give environmental managers carte blanche to prescribe whatever measures they might see fit. Interestingly, this last group, while acknowledging the need for: new concepts and adequate guidelines for environmental management, and the difficulty of achieving conservation targets while complying with indigenous peoples rights, still consider the concepts of SD, PA and IR as useful or the politics derived from them as desirable. What is interesting is that the responses to this survey, which were made by outsiders (respondents were not inhabitants of Amazonia), reflect a tendency to picture the conflict over territory in ways that do not correspond to either of the two main narratives. We can say that inasmuch as outsiders see possibilities for political action outside hegemonic or populist approaches, so Amazonian insiders are organising and negotiating regardless of whether their political discourse echoes either conservative or counter-hegemonic politics of territorial ordering. As no significant statistical analysis could be derived from the survey it would be difficult to speak of tendencies. At first sight it seems that adherence to hegemonic, counter-hegemonic, utopic or conciliatory narratives reflects each respondent's intellectual background more than his or her witnessing of the situation of peoples and forests in Amazonia. However, certain coincidences among the responses to each question might be representative: - For Q1-SD, two out of four of the respondents that accepted the imperative of SD without question have been in Amazon, none of them is a social scientist (SS) though and the other two were environmental managers. None of the SSs 31 that had visited the region argued for complete incompatibility between sustainability and development. Instead, SSs were part of a third group acknowledging that the concept of SD might be of some use, given certain conditions. - For Q2 – the relationship between IRs and PAs, not one of those who argued for the need to harmonise the two concepts (5), or those that emphasised SD as a desirable aim that has not yet been reached (4), or those or that argued that IRs are better than PAs (2) had been to the Amazon (in total 21 % of respondents). Respondents that had visited Amazonia (VA) were among those that acknowledged a relationship between IRs and PAs and that the relationship can be both complementary and competitive. Two respondents from the VA group argued that a complementary relationship was not possible in Colombia and one of them pointed out that being political strategies with different aims they should be kept differentiated in order to avoid conflict. This result might indicate that people that have been in Amazonia are more aware of the problems of territorial ordering caused by the imposition of regimes based in alien concepts. - For Q3 – on the usefulness of the concepts, none the five respondents arguing that IRs might be better that PAs had been in Amazonia, while one of the two that argued that IRs are ineffective had visited. Only one out of five respondents that argued for the need to integrate the concepts had been in Amazonia, while both those that argued for an incompatibility of interests have. This result seems to confirm that people who have visited the area are more conscious of the problems caused when policies formulated elsewhere are imported to Amazonia. Conclusions All technological adoption/adaptation has diverse effects in the life and development of society. People living within the society that is adopting them, and the outsiders that are analysing cultural change perceive these effects in different ways. The assessments of 'usefulness' or 'risk' a society makes when adapting/adopting technologies are linked to the conscious and subconscious present and future scenarios into which the society places itself alongside other societies. If the rest of the world wishes to respect Amazonian indigenous peoples' rights of self-determination, they should not intervene in ordering processes of indigenous territories. The problem is that indigenous ways of dealing with the world might not be compatible with the ideas that foreigners have with respect to Amazonia, its peoples and its future. And, for good or bad, fairly or unfairly, each group has a way of intervening and exercising a certain amount of power to modify the global political agenda for the governance of Amazonia in function of their own particular interests. Replication of narratives is a common strategy used by all groups aiming to make alliances and enhance their power. However, the responses analysed here seem to indicate that a large group of people (at least from the academic sector) is 32 unhappy with the assumptions behind either populists or hegemonic discourses with respect to rainforest management, and seeking new ways of environmental policy making. This group of people acknowledged that political conflict has derived from policy formulated elsewhere, and derived from an epistemology alien to local inhabitants. There are varied political groups competing for the governance of Amazonia. Information and Communication Technology (ICT) facilitates analysis and political action. It is expected that better-informed indigenous peoples would be in a better position to make decisions with respect to the governance of Amazonia. At the present time, the indigenous peoples of Amazonia have very limited and precarious access to ICT. Thus, their perspectives on territorial ordering are less likely to be represented than those such as conservation agencies, multinational developers, insurgent and mafiosi groups, all of which have far superior access to ICT. 33 Appendix 1 PRIVACY POLICY: Email addresses will be used only to send out materials related to this survey. Aggregate survey results may be distributed, but all personal data will be kept strictly confidential. No information about individual users will be disclosed to third parties. 34 Appendix 2 Summary of Web-site technical work The most demanding work was designing the pages that would contain indigenous territorial maps. CAD versions of the map would have to be transformed into image files suitable for Web use. In order to do this ArcView- GIS (Geographical Information Systems) software was needed. A picture of the map could be easily generated in ArcView-GIS and to certain extent, editing and colouring could enhance some features. But such a map or, more precisely, such a picture of the bi-dimensional representation of the Tukano territory remained inadequate for publication in WebPages. "The pics were to heavy" (I would learn the ICT design jargon), meaning that the memory used to storage, loading and unloading of these pictures was vast. Besides dividing the map and generating pictures of several areas, these pictures needed transforming to make them 'lighter'. This meant that the pictures had to be edited and the storage format had to be changed in terms of the colour pallet and resolution (a maximum of 72 dpi). Most importantly, the pictures should look better! An early version of PhotoImpactTM was used to change the colours and other features as well as to design the icons that would be used to identify the hypertext links between pages. However, the software was not appropriate for the task and the 'pics' were still too heavy. The design was poor, too rigid, with inappropriate colours and, worst of all the 'weight' of the maps would not allow for easy loading of the images by potential users. To change the maps (pics) again, PhotoshopTM was used, while major design transformations were achieved using FireworksTM software. For the actual montage and edition of the whole web-site Dreamweaver3TM was used. A similar process was followed to generate the vegetation map, which was adapted from one of the Amazonian Vegetation maps generated by Puerto Rastrojo. The introduction to a political ecology taking as a case study the Yaigojé Resguardo, was originally a single text (like in the preliminary version) but following the advice of critical reviewers, this page was divided into six parts. 35 Appendix 3 Table 1 Q1- Do you think that 'development' and 'sustainability' are compatible? RESPONSE - ARGUMENT SURVEY No. NVA VA Profession Unquestioning the developmental project 2 1 PhD Student Biology 12 1 Environmental Engineer 13 1 Environmental Engineer 40 1 Project Co-ordinator (SD) Yes, to diminish environmental risk 18 1 Student 21 1 Taxation 23 1 Designer 39 1 Postgraduate Student 42 1 Biologist Sustainable Development is an aim to be 3 1 Epidemiologist reached 5 1 Civil Servant 8 1 Accountant 24 1 Student 25 1 PhD St. Agriculture & Development 29 1 Anthropologist 35 1 Lecturer 37 1 Postgraduate Student 48 1 Anthropologist 51 1 Postgraduate Student Compatible if defined locally 5 1 Civil Servant 20 1 Lecturer: Ecotourism 27 1 Anthropologist 31 1 Postgraduate Student 52 1 Lecturer: IT & Development Possible but risk of economic imperative 17 1 Unemployed Incompatible a) Contradiction in terms 24 1 Student 4 1 PhD St. Environmental genetics b) Financial economic imperative 10 1 Student 19 1 PhD St. Agriculture & Development 34 1 PhD Student: Environmental Manager 47 1 PhD Student SD inconsistent at present time 1 1 Lecturer: Env. Sociology 33 1 PhD Student 36 1 Research Engineer 45 1 EM SD is green rhetoric 7 1 Student 32 1 Teacher 48 1 Anthropologist 36 Table 2 Q2 - Do you think there is any relation between 'indigenous reserves' (IR) and 'protected areas' (PA)? RESPONSE - ARGUMENT SURVEY No. NVA VA Profession Yes 37 1 Postgraduate Student 18 1 Student 22 1 Anthropologist 43 1 Anthropologist 50 1 PhD Student No 15 1 Consultant: Health & Safety Need to harmonise IR and PA to protect a) For (IP) Indigenous Peoples' benefit 19 1 PhD St. Agriculture & Development 20 1 Lecturer: Ecoturism b) Protection of Biodiversity 25 1 PhD St. Agriculture & Development 33 1 PhD Student c) SD based on IP experiences 11 1 Consultant: Rural Development. SD as Utopia 3 1 Epidemiologist 6 1 Lecturer Ecology Env. Management 36 1 Research Engineer 42 1 Biologist IR and PA are different political strategies 2 1 PhD Student - Biologist IR and PA are colonisation strategies 10 1 Student 24 1 Student 26 1 Student Indigenous resistance to IR/PA strategies 48 1 Anthropologist IR and PA overlapped 7 1 Student 34 1 PhD St. Environmental Management 44 1 Postgraduate Student Environmental Indian 23 1 Designer 40 1 Project Co-ordinator (SD) Environmental Indians contaminated 12 1 Environmental Engineer by mestizo culture 39 1 Postgraduate Student 45 1 Environmental Manager IR are Inefficient 35 1 Lecturer 53 1 Journalist IR more effective that PA 5 1 Civil Servant 17 1 Unemployed 37 Table 3 Q3 - Do you think that the concepts of 'protected areas' (PA), 'indigenous reserves' (IR) and SD are useful for environmental management today? RESPONSE - ARGUMENT SURVEY No. NVA VA Profession Depends on the context 1 1 Lecturer: Env. Sociology 2 1 PhD St. Biologist Yes 4 1 PhD St. Env. Genetics 14 1 Economist 22 1 Anthropologist Indigenous Environmental 12 1 Environmental Engineer 23 1 Designer 41 1 PhD Student Indigenous Environmental in contamination risk 45 1 EM Concepts: Principles and instruments a) Participation: IR better than PA 5 1 Civil Servant 6 1 Lecturer Ecology EM 11 1 Consultant: Rural Development RD 26 1 Student 41 1 PhD Student b) Intergenerational Equity: resource reserve 12 1 Environmental Engineer for Development 13 1 Agriculturist 21 1 Taxation 25 1 PhD St. Agriculture & Dvnt. 38 1 Gardener (MSc) Risk and Protection a)Environmental Protection (EP) 12 1 Environmental Engineer 17 1 Unemployed EP and catastrophism 6 1 Lecturer Ecology EM 32 1 Teacher 51 1 Postgraduate Student b) Of cultural diversity 31 1 Postgraduate Student IR as ineffective 10 1 Student 24 1 Student Integration of concepts or the need for it 7 1 Student 11 1 Consultant RD 18 1 Student 26 1 Student 34 1 PhD Student Env. Mgment. Difficulties for integration a) Incompatibility of interests 10 1 Student 40 1 Project co-ordinator (SD) b) Financial economic effectiveness' imperative 25 1 PhD St. Agriculture Devent. 30 1 Postgraduate Student 33 1 PhD Student c) Political manipulation 44 1 Post. St. Environment 46 1 Lecturer 38 47 1 PhD Student 48 1 Anthropologist d) Semiotic blur 24 1 Student 50 1 PhD Student Education: Dynamism of the concepts 37 1 Postgraduate Student 45 1 Environmental Manager 47 1 PhD Student 39 Table 4 Q4 - Should or should not environmental managers (EM) get involved in territorial ordering process in Amazon? RESPONSE - ARGUMENT SURVEY No. NVA VA Profession Yes 4 1 PhD St. Evolutionary Genetics In fact they are 22 1 Anthropologist Unsure 52 1 Lecturer: IT & Development 32 1 Teacher Question into Question 6 1 Lecturer Ecology EM 31 1 Postgraduate St Indigenous Peoples as EM 27 1 Anthropologist Yes, for Env. protection (catastrophism) 32 1 Teacher 33 1 PhD Student 42 1 Biologist Yes, EM are the ones (better able that IP) 12 1 Environmental Engineer 18 1 Student 21 1 Taxation 28 1 Lecturer 34 1 PhD student 36 1 Research Engineer 46 1 Lecturer 53 1 Journalist EM provide solutions/ take decisions 23 1 Designer 35 1 Lecturer 38 1 Gardener Yes but listening to others 5 1 Civil Servant 53 1 Journalist If Indigenous Peoples direct EM or projects 1 1 Lecturer: Env. Sociology 10 1 Student 14 1 Economist 41 1 PhD Student EM have equal rights to other stakeholders 2 1 PhD St. Biology 6 1 Lecturer Ecology EM 7 1 Student 29 1 Anthropologist 44 1 Post. Student Not inside IP territories 47 1 PhD Student Yes, if apolitical EM 9 1 Environmental Manager 17 1 Unemployed 37 1 Postgraduate Student Yes for political counteract 26 1 Student EM as facilitators 5 1 Civil Servant 10 1 Student 45 1 Environmental Manager Depends of capacity, ability & quality of EM 24 1 Student 31 1 Postgraduate Student EM tough job: political risk 15 1 Consultant: Health 40 1 Project Co-ordinator (SD) 40 References Adger, W. N., T. A. Benjaminsen, et al. (2001). "Advancing a Political Ecology of Global Environmental Discourses". Development and Change 32: 681-715. Ambrose-Oji, B., T. Allmark, et al. (2002). "The Environmental State and the Forest; of Lookouts, Leopards, and Losers". In The environmental state under pressurence. A. P. J. Mol and F. H. Buttel. Oxford, Elsevier. 10: 149-69. Castells, M. (1996). "The rise of the network society". Cambridge, MA, Blackwell Publishers. Denevan, W. M. (2001). "Cultivated Landscapes of Native Amazonia and the Andes". Oxford and New York, Oxford University Press. Ecologist (2002). Making it happen. Interview to Martin von Hildebrand. The Ecologist. 32: 44-7. Forero, O. A. (1999). From pure sciences to ethnosciences. A broad perspective on ecosystems analysis and governance. Examining the environmental management problems of the Yaigojé Resguardo Indigenous Reserve in the Colombian Amazon. Ecology and Epidemiology Group. Biological Sciences. Coventry, UK, University of Warwick: 233. --- (2000). "Territoriality and Governance in the Colombian Amazon". Conference: SLAS annual conference- 2000, Hull, (Unpublished). --- (2001). "The March of the Manikins. Agroforestry practices and spiritual dancing in Northwest Amazonia". Conference: Conservation and Sustainable Development -Comparative Perspectives, CCR-University of Yale. New Haven, Connecticut, Unpublished. --- (2002a). "Indigenous knowledge and the scientific mind: Activism or Colonialism?" Conference: Activism as History, History as Activism. History Department, Columbia University, New York. --- (2002b). "Technology in Northwest Amazonia: Sketches form Inside. A contribution to the Political Ecology of Northwest Amazonia." Unpublished. Forero, O. A., R. E. Laborde, et al. (1998). "Colombia: Yaigojé Indigenous Resguardo Natural Reserve". In Indigenous Peoples and Diversity Conservation in Latin America. IWGIA. Copenhagen, IWGIA. Doc. 87. Forero, O. A. and G. Woodgate (2002). "The semantics of 'Human Security' in Northwest Amazonia: between indigenous peoples' 'Management of the World' and the USA's State Security Policy for Latin America". In Human Security and the Environment. M. Redclift. Cheltenham UK and Northampton MA, Edward Elgar. Gómez, A. (1999). "Estructuración socioespacial de la Amazonia Colombina, siglos XIX-XX". In Domínguez, C. F. Cubides. Bogotá, CES, Universidad Nacional de Colombia: 21-40. Gómez, R. (1998). "The Nostalgia of Virtual Community. A Study of computer-mediated communications use in Colombian non-governmental organizations". Information Technology and People 11(3): 217-34. Hardin, G. J. (1998). "The Tragedy of the Commons". In Debating the Earth. The Environmental Politics Reader. S. Dryzek and D. Scholosberg. N.Y., Oxford University Press: 23-34. Myers, N. (1980). Conversion of Tropical Moist Forest: A Report prepared for the Committee on Research Priorities in Tropical Biology of the National Research Council. Washington D.C., National Academy of Sciences. OZIP (2002). SOS from Indigenous Peoples of Putumayo, Znet:http://www.zmag.org/content/showarticle.cfm?SectionID=9&ItemID=2122. 2002. Rabben, L. (1998). "Unnatural Selection. The Yanomami, the Kayapó and the Onslaught of Civilisation". London, Pluto Press. Sachs, W. (1977). "'Sustainable Development'". In The International Handbook of Environmental Sociology. M. Redclift and G. Woodgate. Cheltenham, UK Northampton, MA, USA, Edward Elgar: 71-82. ---, Ed. (1993). "Global Ecology. A new arena of political conflict". London, Zed Books. Sevilla_Guzmán, E. and G. Woodgate (1997). "'Sustainable rural development': from industrial agriculture to agroecology". In The International Handbook of Environmental Sociology. M. Redclift and G. Woodgate. Cheltenham, UK Northampton, MA, USA, Edward Elgar: 83-100. Stott, P. (1999). Tropical rain forest: a political ecology of hegemonic mythmaking. IEA Studies on the Environment, No 15. London. 41 Stott, P. and S. Dullivan, Eds. (2000). "Political Ecology: Science, Myth and Power". London and N.Y., Arnold. Varese, S. (1996). "The new Environmentalist Movement of Latin American Indigenous Movement pp." In Valuing Local Knowledge. S. Brush and D. Stabinsky. Washington D.C.: 122-144. Weinberg, B. (2001). "Amazonia: Planning the Final Destruction. Mega-Development Threatens Devastation of Indian Ecologies". Native Americas: Hemisphere Journal of Indigenous Issues 450: Fall/Winter.

[EN] The advanced state of land degradation affecting more than 3,200 million people worldwide have raised great international concern regarding the sustainability of socio-ecological systems, urging the large-scale adoption of contextualized sustainable land management. The agricultural industrial model is a major cause of land degradation due to the promotion of unsustainable management practices that deteriorate the quality of soils compromising their capacity to function and deliver ecosystem services. The consequences derived from land degradation are especially devastating in semi-arid regions prone to desertification, where rainfall scarcity and irregularity intensifies crop failure risks and resource degradation, compromising the long term sustainability of these regions. ; Regenerative agriculture (RA) has recently gained increasing recognition as a plausible solution to restore degraded agroecosystems worldwide. RA is a farming approach foreseen to reverse land degradation, increase biodiversity, boost production and enhance the delivery of multiple ecosystem services by following a series of soil quality restoration principles and practices. Despite its promising benefits, RA has been limitedly adopted in semiarid regions. Major reasons explaining this seemingly incongruous mismatch are the scarce and contrasting empirical data proving its effectiveness, top-down research approaches and lack of farmer involvement in agroecosystem restoration projects and decision-making, and the generally slow response of soils to management changes in semiarid regions, which may delay the appearance of visible results discouraging farmers from adopting RA. ; In the high steppe plateau of southeast Spain, an on-going process of large-scale landscape restoration through adoption of regenerative agriculture was initiated in 2015. The high steppe plateau is one of the European regions most affected by land degradation and desertification processes and represents one of the world´s largest areas for the production of rainfed organic almonds. In 2015, local farmers created the AlVelAl association with the support of the Commonland Foundation, business entrepreneurs, regional governments, and research institutions, and started to apply RA at their farms. The objective was to restore vast extensions of degraded land for increasing the productivity and biodiversity of their agroecosystems, increasing the resilience to climate change, generating job opportunities and enhancing social cohesion in the region, in a time frame of 20 years following Commonlands´ 4-Returns approach. However, the limited empirical information supporting RA effectiveness, the lack of reference examples in the region, and the slowness with which visible ecological restoration processes usually occur in semi-arid regions were considered major obstacles hindering RA adoption in the region. To effectively address this knowledge gap, support farmers and expedite RA adoption, this research proposed horizontal research fostering the creation of learning communities between farmers and researchers, putting together local and scientific knowledge to improve the understanding of RA. This thesis presents a participatory monitoring and evaluation research (PM&E) applying a combination of social and ecological methods to evaluate the potential of PM&E to enhance knowledge exchange between farmers and researchers on Regenerative Agriculture in the context of the high steppe plateau. The aim of this thesis is twofold: on one hand, to increase the understanding on RA impacts, on the other hand, to evaluate the potential contribution of PM&E to enable social learning and contribute to the adaptation and long term adoption of RA in the high steppe plateau and semiarid regions in general. To facilitate PM&E of the impacts of sustainable land management and agricultural innovations like RA, Chapter 2 presents a participatory methodological framework that guides the identification and selection of technical and local indicators of soil quality, generating a monitoring system of soil quality for PM&E by farmers and researchers. The methodological framework includes the development of a visual soil assessment tool integrating local indicators of soil quality for farmers´ monitoring. The framework consists of 7 phases: 1) Definition of research and monitoring objectives; 2) Identification, selection and prioritization of Technical Indicators of Soil Quality (TISQ); 3) Identification, selection and prioritization of Local Indicators of Soil Quality; 4) Development of a visual soil assessment tool integrating LISQ; 5) Testing and validation of the visual soil evaluation tool; 6) Monitoring and assessment of sustainable land management impacts by researchers and farmers using TISQ and the visual soil evaluation tool respectively and; 7) Exchange of monitoring results between all involved participants, and joint evaluation of impacts. ; To facilitate PM&E of RA in the steppe highlands, Phases 1 to 5 were applied through a series of participatory methods including a first meeting with AlVelAl board members for the definition of research objectives, farm visits, participatory workshops, and conducting formal and informal interviews, among others. Technical indicators of soil quality were identified, selected and prioritized by researchers through an extensive literature review and ad-hoc expert consultation with expertise in soil quality assessment and monitoring. Local indicators of soil quality were identified, selected, prioritized and validated by farmers in two participatory workshops. The co-developed visual soil assessment tool, named the farmer manual, was tested and validated during the second workshop. Local indicators selected by farmers focused mostly on supporting, regulating and provisioning ecosystem services including water regulation, erosion control, soil fertility and crop performance. Technical indicators selected by researchers focused mostly on soil properties including aggregate stability, soil nutrients, microbial biomass and activity, and leaf nutrients, covering crucial supporting services. The combination of local and technical indicators provided complementary information, improving the coverage and feasibility of RA impact assessment, compared to using technical or local indicators alone. The methodological framework developed in this chapter facilitated the identification and selection of local and technical indicators of soil quality to generate relevant monitoring systems and visual soil assessment tools adapted to local contexts, thus improving knowledge exchange and mutual learning between farmers and researchers to support the implementation of RA and optimize the provision of ecosystem services. Implementation of RA usually happens gradually due to socioeconomic, informational, practical, environmental and political constraints Thus, RA adoption by farmers, in practice, translates into different combinations of RA practices, with a diversity of management, based on farmer capabilities, environmental conditions, and expected restoration results. ; To help the design, adoption and implementation of most effective RA practices to optimize the restoration of agroecosystems, Chapter 3 presents the impacts of the different combinations of RA practices implemented by participating farmers on crucial soil quality and crop performance indicators using previously selected technical indicators of soil quality over a period of 2 years. This chapter corresponds to the application of phase 6 of the methodological framework developed in Chapter 2. RA impacts were assessed in 9 farms on one field with regenerative management and one nearby field with conventional management based on frequent tillage, that were selected together with farmers. Fields were clustered under regenerative management based on the RA practices applied and distinguished 4 types of RA treatments: 1) reduced tillage with green manure (GM), 2) reduced tillage with organic amendments (OA), 3) reduced tillage with green manure and organic amendments (GM&OA), and 4) no tillage with permanent natural covers and organic amendments (NT&OA). The impacts of RA compared to conventional management were evaluated by comparing physical (bulk density and aggregate stability), chemical (pH, salinity, total N, P, K, available P, and exchangeable cations) and biological (SOC, POC, PON, microbial activity) properties of soil quality, and the nutritional status of almond trees (leaf N, P and K). Our results show that GM improved soil physical properties, presenting higher soil aggregate stability. We found that OA improved most soil chemical and biological properties, showing higher contents of SOC, POC, PON, total N, K, P, available P, exchangeable cations and microbial respiration. RA treatments combining ground covers and organic amendments (GM&OA and NT&OA) exhibited greater overall soil quality restoration than individual practices. NT&OA stood out for presenting the highest soil quality improvements. All RA treatments maintained similar crop nutritional status compared to conventional management. We concluded that RA has strong potential to restore the physical, chemical and biological quality of soils of woody agroecosystems in Mediterranean drylands without compromising their nutritional status. Furthermore, farming management combinations of multiple regenerative practices are expected to be more effective than applying individual RA practices. ; In parallel to researchers´ assessment of RA impacts, farmers assessed RA impacts in their farms by using the farmer manual jointly developed in participatory workshops. Chapter 4 presents the RA impact results from farmers´ assessment, and documented farmers´ insights, in the third year of PM&E, on the visual soil assessment process using the farmer manual, and on PM&E outcomes regarding the facilitation of participation and learning processes. This chapter corresponds to the application of phase 6 and phase 7 of the methodological framework developed in Chapter 2. Farmers´ visual soil assessment indicated regenerative agriculture as a promising solution to restore degraded agroecosystems in semiarid Mediterranean drylands, although observed soil quality improvements were relatively small compared to conventional management, and more time and efforts are needed to attain desired restoration targets. The monitoring results on RA reported by farmers were complementary to researchers´ findings using technical indicators of soil quality. Farmers' evaluation of the research project highlighted the PM&E research as an educational process that helped them look differently at their land and their restoration efforts and facilitated the creation of relationships of support and trust, learning and capacity building that are fundamental conducive conditions to enhance farming innovation efficiency and adoption. Farmers confirmed that generating spaces for farmer-to-farmer diffusion of knowledge and on-farm experiences is a key driver to expedite farming testing and adoption of innovations. Farmers insights revealed the need to actively involve them in all decision making phases of VSA tools and support them in initial implementation, in order to develop tools that meet farmers´ needs, to enhance VSA tool adoption, and facilitate reaching restoration goals. Furthermore, farmers´ evaluation of the farmer manual suggested the need to reinforce the multipurpose usefulness and potential benefits of collectively recording restoration progress in a systematized way, to enhance VSA tool adoption. Farmers´ insights on the PM&E research reinforces the importance of developing learning communities of farmers and researchers that provide a platform for exchange of experiences and support, as a crucial factor to favor social learning and support the adoption of long-term agricultural innovations. The success of PM&E research for agroecosystem restoration can be improved by integrating iterative phases where farmers can evaluate and adjust research activities and outcomes. We concluded that the process of PM&E that leads to enhanced social capital, social learning and improved understanding of restoration efforts has as much value as the actual restoration outcomes on the ground. Social learning is considered an important precondition for the adoption of contextualized sustainable land management and farming innovations like RA. The main objective of involving farmers and researchers in PM&E of RA was to enable social learning for enhanced understanding of RA impacts and support adoption of RA. Although there is a growing body of literature asserting the achievement of social learning through participatory processes, social learning has been loosely defined, sparsely assessed, and only partially covered when measured. Confirming that a participatory process has favored social learning implies demonstrating that there has been an acquisition of knowledge and change in perceptions at individual and collective level in the people involved in the participatory process, and that this change in perceptions has been generated through social relations. ; Chapter 5 presents an assessment of how the PM&E research process enabled social learning by effectively increasing knowledge exchange and understanding of RA impacts between participating farmers and researchers, and multiple stakeholders of farmers´ social networks. Occurrence of social learning was assessed by covering its social-cognitive (perceptions) and social-relational (social networks) dimensions. This chapter discusses the potential of PM&E to foster adoption and out-scaling of sustainable land management and farming innovations like RA by promoting the generation of information fluxes between farmers and researchers participating in PM&E and the agricultural community of which they form part. To assess changes in farmers´ perceptions and shared fluxes of information on RA before starting the PM&E and after three years of research, we applied fuzzy cognitive mapping and social network analysis as graphical semi-quantitative methods. Our results showed that PM&E enabled social learning amongst participating farmers who strengthened and enlarged their social networks on information sharing, and presented a more complex and broader common understanding of regenerative agriculture impacts and benefits. This supports the idea that PM&E thereby creates crucial preconditions for the adoption and out-scaling of RA. This study was one of the first studies in the field of natural resource management and innovation adoption proving that social learning occurred by providing evidence of both the social-cognitive and social-relational dimension. Our findings are relevant for the design of PM&E processes, agroecosystem Living Labs, and landscape restoration initiatives that aim to support farmers´ adoption and out-scaling of contextualized farming innovations and sustainable land management. We concluded that PM&E where the democratic involvement of participants is the bedrock of the whole research process and the needs and concerns of the farming community are taken as the basis for collaborative research represents a great opportunity to generate inclusive, engaging, efficient, and sound restoration processes and transitions towards sustainable and resilient agroecosystems. ; ES] El avanzado estado de degradación de la tierra que afecta a más de 3.200 millones de personas en todo el mundo ha suscitado una gran preocupación internacional con respecto a la sostenibilidad de los sistemas socio-ecológicos, instando a la adopción a gran escala de manejos sostenibles de la tierra, adaptados a los diferentes contextos. El modelo agrícola industrial es uno de los principales causantes de la degradación de la tierra debido a la promoción de prácticas agrícolas insostenibles que deterioran la calidad de los suelos, comprometiendo su capacidad de funcionamiento y de prestación de servicios ecosistémicos. Las consecuencias derivadas de la degradación de la tierra son especialmente devastadoras en regiones semiáridas propensas a procesos de desertificación, donde la escasez y la irregularidad de las lluvias intensifican la degradación de los recursos naturales y el riesgo de malas cosechas, comprometiendo la sostenibilidad de estas regiones a largo plazo. Recientemente, la agricultura regenerativa (AR) ha ganado un reconocimiento cada vez mayor como solución plausible para restaurar agroecosistemas degradados de todo el mundo. La AR es un enfoque agrícola que se prevé puede revertir la degradación de la tierra, aumentar la biodiversidad, incrementar la producción y mejorar la prestación de múltiples servicios ecosistémicos mediante el seguimiento de una serie de principios y prácticas de restauración de calidad del suelo. A pesar de los prometedores beneficios de la AR, este enfoque agrícola ha sido adoptado de forma muy limitada en regiones semiáridas. Las principales razones que explican su limitada adopción son: la escasez de datos empíricos que demuestran su efectividad, la información contradictoria que ofrecen dichos datos, los enfoques verticales (top-down), la falta de inclusión, participación y toma de decisiones de las agricultoras/es en los proyectos de restauración de agroecosistemas, y la generalmente lenta respuesta de los suelos en regiones semiáridas a los cambios de manejo, lo que puede retrasar la aparición de resultados visibles y desalentar a agricultoras y agricultores a adoptar la AR. En el altiplano estepario del sureste español se inició en 2015 un proceso de restauración de ecosistemas a gran escala mediante la adopción de la AR. El altiplano estepario es una de las regiones europeas más afectadas por procesos de degradación y desertificación de la tierra, y representa una de las mayores extensiones del mundo de producción de almendras ecológicas en secano. En 2015, agricultoras y agricultores locales crearon la asociación agroecológica AlVelAl con el apoyo de la Fundación Commonland, empresas, gobiernos regionales e instituciones de investigación, y comenzaron a aplicar AR en sus fincas. Su objetivo es restaurar grandes extensiones de tierras degradadas, mejorar la productividad y la biodiversidad, aumentar la resiliencia de sus agroecosistemas al cambio climático, generar oportunidades de empleo y mejorar la cohesión social en la región en el plazo de 20 años, siguiendo el enfoque de 4 retornos de la Fundación Commonland. Sin embargo, la escasez de datos e información que respalden la efectividad de la AR, junto con la falta de ejemplos de referencia en la región y la lentitud con la que los procesos de restauración ecológica suelen ocurrir en regiones semiáridas, fueron considerados grandes obstáculos para promover la adopción de la AR en la región. ; Para abordar de manera efectiva la falta de conocimiento sobre los impactos de la AR y apoyar a la comunidad agrícola a mejorar y acelerar su adopción, son necesarios enfoques de investigación horizontales que fomenten la creación de comunidades de aprendizaje entre agricultoras/es e investigadoras/es, aunando el conocimiento local y científico para mejorar el conocimiento sobre la AR. Esta tesis presenta una investigación de monitorización y evaluación participativa (MEP) donde aplicamos una combinación de métodos sociales y ecológicos para evaluar el potencial de esta metodología de investigación en la mejora del intercambio de conocimientos entre agricultoras/es e investigadoras/es sobre la AR en el contexto del altiplano estepario. El objetivo de esta tesis es doble: por un lado, mejorar el conocimiento de los impactos de la AR y, por otro lado, evaluar la contribución de la MEP en facilitar procesos de aprendizaje social, contribuyendo a una mejor adaptación y adopción a largo plazo de la AR en el altiplano estepario en particular, y en regiones semiáridas en general. Combinar el conocimiento científico y local se vuelve un imperativo en procesos de MEP para mejorar la adopción de innovaciones agrícolas, siendo especialmente relevante en regiones semiáridas que típicamente responden lento a cambios de manejo, lo que suele dar lugar a bajas tasas de adopción de dichas innovaciones. Para ello es necesario generar sistemas de monitorización de calidad del suelo y sostenibilidad de los agroecosistemas que integren el conocimiento de agricultoras/es e investigadoras/es, y estén adaptados al contexto donde se aplican las innovaciones. ; Para facilitar la MEP de los impactos de manejos sostenibles e innovaciones agrícolas como la AR, el Capítulo 2 presenta un marco metodológico que guía la identificación y selección de indicadores técnicos y locales de calidad del suelo, conformando un sistema de monitorización para la evaluación participativa de la AR por parte de investigadoras/es y agricultoras/es. El marco metodológico incluye el desarrollo de una herramienta para la evaluación visual del suelo integrando indicadores locales de calidad de suelo para el monitoreo por parte de las agricultoras/es. El marco metodológico consta de 7 fases e incluye: Fase 1) Definición de objetivos de investigación y monitorización; Fase 2) Identificación, selección y priorización de Indicadores Técnicos de Calidad del Suelo (TISQ); Fase 3) Identificación, selección y priorización de Indicadores Locales de Calidad del Suelo (LISQ); Fase 4) Desarrollo de una herramienta de evaluación visual del suelo integrando LISQ; Fase 5) Puesta en práctica y validación de la herramienta de evaluación visual del suelo; Fase 6) Monitorización y evaluación de los impactos de los manejos implementados por parte de investigadoras/es y agricultoras/es, usando los TISQ y la herramienta de evaluación visual del suelo respectivamente y; Fase 7) Intercambio de los resultados de monitorización entre las participantes y evaluación conjunta de los impactos. Para facilitar la MEP de la AR en el altiplano estepario, se desarrolló este marco metodológico y fueron aplicadas las fases 1 a 5 a través de una serie de metodologías participativas que incluyeron una primera reunión con los miembros de la junta directiva de la asociación AlVelAl para la definición conjunta de objetivos de investigación, visitas a las fincas de las agricultoras/es participantes, el desarrollo de talleres participativos, y la realización de entrevistas formales e informales, entre otras. Las investigadoras/es participantes en la MEP identificaron, seleccionaron y priorizaron indicadores técnicos de calidad del suelo a través de una extensa revisión de literatura científica y la consulta ad-hoc a expertas/os con experiencia en monitorización y evaluación de calidad de suelos. Las agricultoras/es participantes identificaron, seleccionaron, priorizaron y validaron indicadores locales de calidad del suelo en dos talleres participativos. La herramienta de evaluación visual del suelo desarrollada conjuntamente, que denominamos Cuaderno de Campo, fue puesta en práctica y validada durante el segundo taller participativo. Los indicadores locales de calidad de suelo seleccionados por las agricultoras/es se enfocaron principalmente en la evaluación de servicios ecosistémicos de apoyo, regulación y abastecimiento, e incluyeron indicadores de regulación hidrológica, control de la erosión, fertilidad del suelo y rendimiento de los cultivos. Los indicadores técnicos de calidad del suelo seleccionados por las investigadoras/es se consistieron en propiedades fisicoquímicas y biológicas del suelo, incluyendo los indicadores: estabilidad de agregados, nutrientes del suelo, biomasa y actividad microbiana, y nutrientes foliares, y cubriendo importantes servicios ecosistémicos de apoyo. La información complementaria generada al combinar indicadores locales y técnicos de calidad de suelo permite ampliar la cobertura, viabilidad y efectividad en la MEP de los impactos de la AR, en comparación con usar de manera individual indicadores técnicos o indicadores locales. El marco metodológico desarrollado en este capítulo facilitó la identificación y selección de indicadores locales y técnicos de calidad del suelo para generar sistemas de monitorización y herramientas de evaluación visual de suelo relevantes y adaptadas a los contextos locales, lo que permite mejorar el intercambio de conocimientos y el aprendizaje mutuo entre agricultoras/es e investigadoras/es para apoyar la implementación de la AR y optimizar la provisión de servicios ecosistémicos. ; La implementación de la AR por parte de agricultoras/es generalmente ocurre de forma gradual debido a limitaciones socioeconómicas, informacionales, ambientales y políticas. Por ello, la adopción de la AR por parte de agricultoras/ es, se traduce en diferentes combinaciones de prácticas regenerativas y diversidad de manejos determinados por factores socioeconómicos, las capacidades de las agricultoras/es, las condiciones ambientales, y los resultados de restauración que se esperan conseguir. Para ayudar al diseño, adopción e implementación de las prácticas de AR más efectivas para optimizar la restauración de agroecosistemas degradados en ambientes semiáridos, el Capítulo 3 presenta la evaluación de los impactos de diferentes combinaciones de prácticas regenerativas implementadas por las agricultoras/es participantes en la MEP usando los indicadores técnicos de calidad de suelo y de rendimiento del cultivo previamente seleccionados. Este capítulo corresponde a la aplicación de la fase 6 del marco metodológico desarrollado en el capítulo 2. Este capítulo presenta la evaluación de impactos de la AR realizada durante dos años en 9 fincas, donde fueron seleccionados, junto con las agricultoras/es participantes, un campo con manejo regenerativo y un campo cercano con manejo convencional bajo laboreo frecuente (CT). Los campos bajo manejo regenerativo fueron agrupados en base a las prácticas de AR aplicadas, y se diferenciaron 4 tipos de tratamientos regenerativos: 1) laboreo reducido con abono verde (GM), 2) laboreo reducido con enmiendas orgánicas (OA), 3) laboreo reducido con abono verde y enmiendas orgánicas (GM&OA), y 4) no laboreo con cubiertas naturales permanentes y enmiendas orgánicas (NT&OA). Se evaluaron los impactos de la AR con respecto al manejo agrícola convencional comparando las propiedades físicas (densidad aparente y estabilidad agregada), químicas (pH, salinidad, N, P, K total, P disponible y cationes intercambiables) y biológicas (SOC, POC, PON, actividad microbiana) de la calidad del suelo y el estado nutricional de los almendros (N, P y K foliares). Nuestros resultados mostraron que el tratamiento GM mejoró las propiedades físicas del suelo, presentando una mayor estabilidad de agregados. Encontramos que el tratamiento OA mejoró la mayoría de las propiedades químicas y biológicas del suelo, mostrando mayores contenidos de SOC, POC, PON, N, K, P total, P disponible, cationes intercambiables y actividad microbiana. Los tratamientos regenerativos que combinaron cubiertas naturales o abonos verdes con enmiendas orgánicas (GM&OA y NT&OA) exhibieron una mayor restauración general de la calidad del suelo en comparación con los tratamientos con prácticas individuales (GM y OA). El tratamiento NT&OA destacó por presentar las mayores mejorías en la restauración de la calidad del suelo comparado con el manejo convencional. Todos los tratamientos regenerativos mantuvieron un estado nutricional de los almendros similar al manejo convencional. Concluimos que la AR tiene un gran potencial para restaurar la calidad física, química y biológica de los suelos en agroecosistemas de leñosos en el semiárido Mediterráneo sin comprometer el estado nutricional de los cultivos. Es de esperar que los manejos que incluyen múltiples prácticas regenerativas sean más efectivos en la restauración de la calidad del suelo que los manejos con prácticas regenerativas individuales. ; Paralelamente a la evaluación de los impactos de la AR por parte de las investigadoras/es, las agricultoras/es evaluaron los impactos de la AR en sus fincas, utilizando la herramienta de evaluación visual del suelo (Cuaderno de campo), desarrollada conjuntamente en los talleres participativos. El Capítulo 4 presenta los resultados de la evaluación de los impactos de la AR por parte de las agricultoras/es. También presenta las observaciones y la evaluación por parte las/los agricultores, realizadas en el tercer año desde el inicio de la MEP, sobre el proceso de evaluación visual del suelo usando el Cuaderno de Campo, así como sobre el impacto de la MEP en facilitar procesos de participación y aprendizaje en las agricultoras/es participantes. Este capítulo corresponde a la aplicación de las fases 6 y 7 del marco metodológico desarrollado en el Capítulo 2. La monitorización por parte las agricultoras/es mostró que la AR tiene potencial para restaurar agroecosistemas degradados en el semiárido Mediterráneo, aunque las mejoras observadas sobre la calidad del suelo fueron relativamente pequeñas con respecto al manejo convencional, siendo necesario más tiempo y mayores esfuerzos para alcanzar los objetivos de restauración deseados. Las pequeñas mejoras en la calidad del suelo documentadas por las agricultoras/es fueron complementarias a los hallazgos obtenidos por las investigadoras/es usando indicadores técnicos de calidad de suelo. Las agricultoras/es destacaron la MEP como un proceso de aprendizaje que les ayudó a ver sus suelos y sus esfuerzos de restauración de manera diferente, y que facilitó la creación de relaciones de apoyo y el desarrollo de habilidades en ellas/os, los cuales son requisitos fundamentales para fomentar la eficiencia y la adopción de innovaciones agrícolas. Las agricultoras/es confirmaron que la generación de espacios que favorecen el intercambio de conocimientos entre agricultoras/ es, así como las experiencias agrícolas en finca (in situ), son un factor clave para fomentar la experimentación y adopción de innovaciones agrícolas por parte de la comunidad agrícola. Además, las observaciones realizadas por las participantes revelaron la necesidad de involucrar activamente a las agricultoras/es en todas las fases de diseño y toma de decisiones en el desarrollo de herramientas de evaluación visual del suelo con el fin de generar herramientas que satisfagan sus necesidades. Junto con ello, se dedujo que el apoyo del equipo investigador a las agricultoras/ es en las primeras implementaciones de dichas herramientas puede contribuir a mejorar su adopción, facilitando que las usuarias/os consigan los objetivos de restauración deseados. Asimismo, la evaluación del Cuaderno de Campo por parte de las agricultoras/es indicó la necesidad de reforzar la utilidad multipropósito y los beneficios potenciales de registrar de forma sistematizada y colectiva los progresos de restauración, con el fin de aumentar la adopción de estas herramientas por parte de las usuarias/os a las que van dirigidas. La evaluación de la MEP por parte de las agricultoras/es refuerza la importancia de desarrollar comunidades de aprendizaje entre agricultoras/es e investigadoras/es que proporcionen una plataforma para el intercambio de experiencias y de apoyo en el proceso de investigación, lo cual es considerado un factor crucial para favorecer el aprendizaje social y apoyar la adopción de innovaciones agrícolas a largo plazo. Este capítulo concluyó que el éxito de las investigaciones enfocadas a la restauración de agroecosistemas puede incrementar mediante la integración de fases iterativas en las que agricultoras/ es puedan evaluar y ajustar las actividades y los resultados de investigación. Los procesos de MEP, que contribuyen a mejorar el capital social, el aprendizaje social y a generar una mayor comprensión de los esfuerzos de restauración, tienen tanto valor como los propios resultados de restauración sobre el terreno. ; El aprendizaje social es considerado un prerrequisito crucial para la adopción de manejos sostenibles e innovaciones agrícolas adaptados a los diferentes contextos. El objetivo principal de desarrollar una investigación de MEP involucrando a investigadoras/es y agricultoras/es en el altiplano estepario fue permitir el aprendizaje social para lograr una mejor comprensión de los impactos de la AR y así mejorar su adopción. Aunque existen cada vez más investigaciones científicas que afirman que los procesos participativos fomentan el aprendizaje social, este concepto ha sido definido de forma muy diversa, ha sido rara vez evaluado, y ha sido abordado de manera parcial sin cubrir su dimensión cognitiva y su dimensión relacional. Establecer que un proceso participativo ha favorecido el aprendizaje social, implica demostrar que se ha generado una adquisición de conocimientos y que se ha producido un cambio en las percepciones, a nivel individual y a nivel colectivo, de las personas implicadas en el proceso, y que este cambio de percepciones ha sido generado gracias al establecimiento de relaciones sociales, de intercambio de información y experiencias. El Capítulo 5 evalúa cómo la MEP de la AR en el altiplano estepario favoreció el aprendizaje social en las agricultoras/es participantes, mejorando la comprensión de los impactos de la AR al aumentar de manera efectiva el intercambio de conocimientos entre ellas/os, con las investigadoras/es participantes, y con otras personas que forman parte de sus redes sociales. Este capítulo presenta resultados necesarios para probar si la MEP de la AR favoreció el aprendizaje social en las agriculturas/es participantes, evaluando tanto la dimensión social-cognitiva (percepciones) como la dimensión social-relacional (redes sociales) del aprendizaje social. Además, en este capítulo se discute el potencial de la MEP para favorecer la adopción de manejos sostenibles e innovaciones agrícolas a gran escala gracias a fomentar la generación de flujos de información entre las agricultoras/es participantes y la comunidad agrícola de la que forman parte. Utilizamos el mapeo cognitivo difuso (fuzzy cognitive mapping) y el análisis de redes sociales como métodos gráficos semi-cuantitativos para evaluar los cambios de percepciones y de flujos de información compartidos por las agricultoras/ es sobre la AR, antes de empezar la MEP y después de transcurridos tres años de investigación. Nuestros resultados mostraron que la MEP favoreció el aprendizaje social en las agricultoras/es participantes, quienes fortalecieron y ampliaron sus redes sociales de intercambio de información sobre AR, presentando un conocimiento más complejo, común y amplio de los impactos y beneficios de la AR. De esto modo, se demostró que la MEP genera prerrequisitos cruciales para mejorar la adopción de la AR. Este estudio fue uno de los primeros en el ámbito del manejo sostenible de recursos naturales e innovaciones agrícolas que demuestra empíricamente el favorecimiento del aprendizaje social a través de procesos de investigación participativa, proporcionando evidencias tanto en su dimensión social-cognitiva como en su dimensión social-relacional. Nuestros hallazgos tienen una gran relevancia para el diseño de procesos de MEP, como pueden ser los living labs y otras iniciativas de restauración de ecosistemas, que tengan como objetivo apoyar, fortalecer y fomentar la adopción por parte de las comunidades agrícolas de manejos sostenibles e innovaciones agrícolas adaptadas a los diferentes contextos. Las investigaciones de MEP, donde la participación democrática de las/ os participantes y las necesidades de las comunidades agrícolas son consideradas centrales en el proceso de investigación, representan una gran oportunidad para generar procesos inclusivos, atractivos, eficientes y transiciones sólidas hacia agroecosistemas sostenibles y resilientes a largo plazo. ; This research was conducted within the PhD program "Natural Resources and Sustainable Management" in the research team on Agroecology, Food Sovereignty and Commons of the University of Córdoba (Spain), and the Soil and Water Conservation Research Group of the Centre for Applied Soil Science and Biology of the Segura, of the Spanish National Research Council (CEBAS-CSIC), and supported by a PhD fellowship of La Caixa Foundation (ID100010434) (LCF/BQ/ES17/11600008) Chapter 4 - This work was supported by "la Caixa" Foundation (ID100010434) through a PhD fellowship to RLS (LCF/BQ/ES17/11600008), and by the projects DECADE (Séneca Foundation, 20917/PI/18), and XTREME (Spanish Ministry of Science and Innovation PID2019-109381RB-I00/AEI/10.13039/501100011033). Chapter 5 - This work was supported by "la Caixa" Foundation (ID100010434) through a PhD fellowship to RLS (LCF/BQ/ES17/11600008), and by the projects DECADE (Seneca Foundation, 20917/PI/18), XTREME (Ministry of Science and Innovation PID2019-109381RB-I00/AEI/10.13039/501100011033) and COASTAL (EU H2020 grant agreement N° 773782). For the Portuguese co-authors, this work was partially funded by National Funds through FCT - Foundation for Science and Technology under the Project UIDB/05183/2020. ; Chapter 2 - This chapter was published as: Luján Soto, R., Cuéllar Padilla, M., and de Vente, J. 2020. Participatory selection of soil quality indicators for monitoring the impacts of regenerative agriculture on ecosystem services. Ecosystem Services, 45, 101157. https://doi.org/10.1016/j.ecoser.2020.101157Chapter 3 - This chapter was published as: Luján Soto, R., Martínez-Mena, M., Cuéllar Padilla, M., and de Vente, J. 2021. Restoring soil quality of woody agroecosystems in Mediterranean drylands through regenerative agriculture. Agriculture, Ecosystems & Environment, 306, 107191. https://doi.org/10.1016/j.agee.2020.107191Chapter 4 - This chapter is a preprint version adapted from: Luján Soto, R., de Vente, J., and Cuéllar Padilla, M. 2021. Learning from farmers´ experiences with participatory monitoring and evaluation of regenerative agriculture based on visual soil assessment. Journal of Rural Studies (in review)Chapter 5 - This chapter is adapted and published as: Luján Soto, R., Cuéllar Padilla, M., Rivera Méndez, M., PintoCorreia, T., Boix-Fayos, C., and de Vente, J. 2021. Participatory monitoring and evaluation of regenerative agriculture to enable social learning, adoption and out-scaling. Ecology & Society. ; Peer reviewed

Contexto y perfil de un proyecto alternativo a las diferentes propuestas de carretera entre Caldas y Tolima desarrolladas por el Invías, como lo es el Corredor Bimodal Cafetero, un proyecto de infraestructura estratégica inscrito en el Plan Nacional de Desarrollo 2014/2018. Se presentan los impactos de dicho Corredor Bimodal, conformado por un tren de montaña de 150 km que parte de La Dorada, transita por el Norte del Tolima y llega a Manizales en el Km 41, y por una carretera de primer orden que sale del poniente de Manizales, pasa por Fresno y llega a Honda; ambos cruzando la Cordillera Central por el Norte de Cerro Bravo con el Túnel Cumaday, obra subterránea de 17 km a 2200 msnm cuyo autosoporte se logra gracias las rocas estables del Stock de Manizales

0 ORGANIZZAZIONE DEL PROGETTO: "Analisi degli ambiti prioritari di domanda e offerta di tecnologie per la "Fabbrica Intelligente"" 0.1 Cenni Teorici sull'attività di Project Management La parola "Progetto" è utilizzata per indicare compiti e attività in apparenza molto diverse tra loro, basti pensare ad un progetto di ricerca e ad un progetto di costruzione di un edificio: due attività assai diverse e formalmente senza punti in comune. Al fine di approfondire i concetti legati al progetto in esame, sarebbe utile definire in maniera più precisa cosa si intende con la parola "progetto". Sin dai primi studi di Taylor e Gantt ad inizio del 1900 si è cercato di dare una definizione chiara del termine, arrivando a definirlo come: "Un insieme di persone e di altre risorse temporaneamente riunite per raggiungere uno specifico obiettivo, di solito con un budget determinato ed entro un periodo stabilito" (Graham, 1990) "Uno sforzo complesso, comportante compiti interrelati eseguiti da varie organizzazioni, con obiettivi, schedulazioni e budget ben definiti" (Russel D. Archibald, 1994) "Un insieme di sforzi coordinati nel tempo" (Kerzner, 1995) "Uno sforzo temporaneo intrapreso per creare un prodotto o un servizio univoco" (PMI – Project Management Institute, 1996) "Un insieme di attività complesse e interrelate, aventi come fine un obiettivo ben definito, raggiungibile attraverso sforzi sinergici e coordinati, entro un tempo predeterminato e con un preciso ammontare di risorse umane e finanziarie a disposizione." (Tonchia, 2007) È da notare che, a prescindere dall'organizzazione e dal settore di riferimento, un progetto è caratterizzato da alcuni elementi distintivi: • un obiettivo da raggiungere con determinate specifiche; • un insieme di attività tra loro coordinate in modo complesso; • tempi di inizio e fine stabiliti; • risorse normalmente limitate (umane, strumentali e finanziare); • carattere pluridisciplinare o multifunzionale rispetto alla struttura organizzativa. La specificità dell'obiettivo determina l'eccezionalità del progetto rispetto alle attività ordinarie e quindi l'assenza di esperienze precedenti. Le organizzazioni, siano esse imprese, enti pubblici o Università, svolgono appunto due tipologie di attività con caratteristiche distinte: 1. funzioni operative; 2. progetti. Talvolta le due categorie presentano aree comuni e condividono alcune caratteristiche: • sono eseguiti da persone; • sono vincolati da risorse limitate; • sono soggetti a pianificazione, esecuzione e controllo. Nonostante queste caratteristiche comuni, progetti e funzioni operative hanno obiettivi diversi tra loro: il progetto infatti è di natura temporanea e ha lo scopo di raggiungere il proprio obiettivo e quindi concludersi, la funzione operativa invece è di natura ripetitiva e fornisce un'azione di supporto continuativo all'azienda. Un progetto indipendentemente dal settore e dall'organizzazione nel quale si sviluppa, ha 3 vincoli fondamentali tra loro in competizione: • qualità o prestazioni; • tempo; • costo. Per di più se il progetto è commissionato da un cliente esterno sarà presente un quarto vincolo, ovvero le buone relazioni tra l'organizzazione e il cliente, è chiaro infatti che è tecnicamente possibile gestire un progetto rispettando i primi tre vincoli senza coinvolgere il cliente, ma così vengono pregiudicati i futuri business. Le principali caratteristiche di un progetto sono: 1. Temporaneità: Ogni progetto infatti ha come detto una data di inizio e di fine definite, e quest'ultima viene raggiunta quando: a. gli obiettivi del progetto sono stati raggiunti; b. è impossibile raggiungere gli obiettivi; c. il progetto non è più necessario e viene chiuso. Temporaneità non significa che un progetto ha breve durata, i progetti infatti possono durare anche diversi anni, l'importante è comprendere che la durata di un progetto è definita con l'obiettivo di creare risultati duraturi. La natura temporanea dei progetti può essere applicata anche ad altri aspetti: - l'opportunità o finestra di mercato è generalmente temporanea; - come unità lavorativa, raramente il gruppo di progetto sopravvive dopo il progetto, il gruppo infatti realizzerà il progetto e alla conclusione di questo verrà sciolto, riassegnando il personale ad altri progetti. 2. Prodotti, servizi o risultati unici: Un progetto crea prodotti, servizi o risultati unici. I progetti solitamente creano: - un prodotto finale o un componente di un prodotto; - un servizio; - un risultato, come degli esiti, dei documenti e report. L'unicità è un'importante caratteristica degli output di un progetto. 3. Elaborazione progressiva: con questa espressione si intende lo sviluppo in fasi, organizzate attraverso una successione incrementale per tutto il ciclo di vita del progetto, infatti man mano che un Project Team (Gruppo di Progetto) approfondisce la conoscenza del progetto è anche in grado di gestirlo ad un maggiore livello di dettaglio e sarà in grado di arricchirlo di maggiori dettagli via via che il Team sviluppa delle conoscenze sul settore. L'attività di Gestione del Progetto o Project Management è l'applicazione di conoscenze, abilità, strumenti e tecniche alle attività di progetto al fine di soddisfarne i requisiti, dove il Project Manager (PM) è la persona incaricata del raggiungimento degli obiettivi di progetto. La gestione di progetto include: • identificare i requisiti; • fissare obiettivi chiari e raggiungibili; • adattare specifiche di prodotto, piani e approccio alle diverse aree di interesse e alle diverse aspettative dei vari stakeholder. • individuare il giusto equilibrio tra le esigenze di qualità, ambito, tempo e costi, che sono in competenza tra di loro. Nella gestione dei progetti infatti, è costante lo sforzo atto a bilanciare i tre vincoli (qualità e prestazioni, tempi e costi), poiché i progetti di successo sono quelli che consegnano il prodotto, il servizio o il risultato richiesti nell'ambito stabilito, entro il tempo fissato e rimanendo entro i limiti del budget definito, infatti la variazione anche di uno solo dei tre vincoli implica che almeno un altro ne risulta influenzato. Il PM si occupa inoltre di gestire i progetti tenendo conto dei rischi intrinseci di un progetto, ossia eventi o condizioni incerte che, se si verificano, hanno un effetto o positivo o negativo su almeno uno degli obiettivi di progetto. Una Gestione dei Progetti efficace ma allo stesso tempo efficiente, può essere definita quindi come il raggiungimento degli obiettivi del progetto al livello di prestazioni o qualità desiderate, mantenendosi nei tempi e nei costi previsti e utilizzando senza sprechi le risorse disponibili. Tutto ciò è fondamentale che sia conforme al desiderio del cliente, infatti nei casi in cui un progetto è commissionato da un cliente esterno, le relazioni con quest'ultimo diventano un ulteriore vincolo di progetto e quindi Il successo di un progetto si raggiunge con quanto detto sopra e con l'accettazione da parte del cliente. Raramente i progetti vengono completati rispettando l'obiettivo originale, spesso infatti con l'avanzamento del progetto alcune modifiche sono inevitabili, e se non gestite in maniera opportuna possono anche affossare il progetto e il morale di chi ci lavora. Perciò è necessario un accordo reciproco tra PM e cliente relativo ai cambiamenti degli obiettivi, che comunque devono essere minimi e sempre approvati. È da ricordare infine che i PM devono gestire i progetti in base alle linee guida dell'azienda a cui fanno riferimento, rispettando procedure, regole e direttive dell'organizzazione, altrimenti si rischia che il PM venga considerato come un imprenditore autonomo, finalizzato esclusivamente al raggiungimento dei suoi obiettivi, rischiando così di modificare il flusso di lavoro principale dell'organizzazione. 0.2 Scopo del Progetto Sotto il suggerimento della Commissione Europea, tutte le Regioni degli Stati membri dell'UE, sono state invitate a stilare un documento nel quale si definisca la propria Smart Specialisation Strategy SSS , al fine di favorire lo sviluppo delle politiche di coesione delle regioni e degli stati membri, da finanziare con i Fondi Strutturali per il periodo 2014-2020. Il concetto indica Strategie d'innovazione concepite a livello regionale ma valutate e messe a sistema a livello nazionale con l'obiettivo di: • evitare la frammentazione degli interventi e mettere a sistema le politiche di ricerca e innovazione; • sviluppare strategie d'innovazione regionali che valorizzino gli ambiti produttivi di eccellenza tenendo conto del posizionamento strategico territoriale e delle prospettive di sviluppo in un quadro economico globale. In linea con le direttive comunitarie e in coerenza con quanto indicato nella SSS della Regione Toscana, IRPET Regione Toscana ha incaricato quindi il Consorzio QUINN a redigere un report denominato "Analisi degli ambiti prioritari di domanda e offerta di tecnologie per la "Fabbrica Intelligente"", affinché venga delineato il panorama delle imprese regionali che fanno uso di queste tecnologie, al fine di erogare in una seconda fase dei finanziamenti per la ricerca e lo sviluppo, in particolare quelli gestiti nell'ambito dei fondi strutturali che svolgono un ruolo rilevante come promotori dell'innovazione tecnologica. La "Fabbrica Intelligente" infatti rappresenta una delle 9 aree tecnologiche individuate dal Bando «Cluster Tecnologici Nazionali» presentato dal MIUR il 30 maggio 2012, e definita come strategica per la competitività del Paese. Nella SSS regionale, l'ambito prioritario legato alle tecnologie per la Fabbrica Intelligente si rivolge alle tecnologie dell'automazione, della meccatronica e della robotica. Ai fini degli obiettivi della SSS queste tre discipline concorrono in maniera integrata a sviluppare soluzioni tecnologiche funzionali all'automazione dei processi produttivi, in termini di velocizzazione, sicurezza e controllo, della sostenibilità ed economicità degli stessi, nonché dell'estensione della capacità di azione. Per un più semplice inquadramento definitorio, le tecnologie di questi tre settori vengono di seguito approfonditi e descritti in maniera distinta. 1. AUTOMAZIONE : Per "automazione" si intende lo sviluppo di sistemi, strumentazioni, processi ed applicativi che consentono la riduzione dell'intervento dell'uomo sui processi produttivi. L'automazione in tal senso si realizza mediante soluzioni di problemi tecnici legati all'esecuzione di azioni in maniera ripetuta, nella semplificazioni di operazione complesse, nell'effettuazione di operazioni complesse in contesti incerti e dinamici con elevato livello di precisione. Il concetto di automazione assume un carattere estensivo di integrazione di tecnologie e di ambiti applicativi (dal laboratorio, alla fabbrica intelligente), mantenendo il focus sul controllo automatico dei processi. 2. MECCATRONICA : La "meccatronica" è una branca dell'ingegneria che coniuga sinergicamente più discipline quali la Meccanica, l'elettronica, ed i sistemi di controllo intelligenti, allo scopo di realizzare un sistema integrato detto anche sistema tecnico. Inizialmente la meccatronica è nata dalla necessità di fondere insieme la meccanica e l'elettronica, da cui il nome. Successivamente l'esigenza di realizzare sistemi tecnici sempre più complessi ha portato alla necessità di integrare anche le altre discipline per applicazioni industriali robotiche e di azionamento elettrico. 3. ROBOTICA : Come ramo della cibernetica rivolto alle tecniche di costruzione (ed i possibili ambiti di applicazioni) dei robot, la robotica è la disciplina dell'ingegneria che studia e sviluppa metodi che permettano a un robot di eseguire dei compiti specifici riproducendo il lavoro umano. La robotica moderna si è sviluppata perseguendo principalmente: a) l'autonomia delle macchine; b) la capacità di interazione/immedesimazione con l'uomo e i suoi comportamenti. 0.3 Stakeholder del Progetto La definizione stakeholder o portatori di interesse fu elaborata nel 1963 al Research Institute dell'Università di Stanford da Edward Freeman, definendoli come i soggetti senza il cui supporto l'impresa non è in grado di sopravvivere. Gli stakeholder di un progetto sono persone o strutture organizzative coinvolte attivamente nel progetto o i cui interessi possono subire effetti dell'esecuzione o dal completamento del progetto, possono quindi avere influenza sugli obiettivi e sui risultati del progetto. Ignorare gli stakeholder può portare a conseguenze negative sui risultati del progetto, il loro ruolo infatti può avere sia un impatto negativo che positivo sul progetto: gli stakeholder positivi sono quelli che traggono vantaggi dalla buona riuscita del progetto, è quindi vantaggioso supportarne gli interessi, mentre i negativi sono quelli che vedono risultati sfavorevoli dalla buona riuscita del progetto, gli interessi di questi ultimi avrebbero la meglio con un aumento dei vincoli sull'avanzamento del progetto. Solitamente gli stakeholder principali in un progetto sono rappresentati da: • Project Manager: persona responsabile della gestione del progetto; • Cliente/utente: persona o struttura organizzativa che utilizzerà il prodotto del progetto; • Membri del Team di progetto: membri del gruppo incaricati all'esecuzione del progetto; • Sponsor: persona o gruppo che fornisce le risorse necessarie al progetto; • Soggetti influenti: persone o gruppi che sono non direttamente collegati con l'acquisto o l'uso del prodotto ma che, a causa della posizione ricoperta nella struttura organizzativa del cliente, possono influire positivamente o negativamente sul corso del progetto. Il compito di gestire le aspettative degli stakeholder va al Project Manager, spesso ciò non è semplice a causa dei differenti e contrastanti obiettivi degli stakeholder. Nel presente progetto gli stakeholder coinvolti nelle varie attività possono quindi essere ricondotti a quattro soggetti o gruppi: • Ente Committente: IRPET; • Ente Incaricato: Consorzio QUINN; • Team di Progetto; • Regione Toscana. 0.3.1 IRPET: ISTITUTO REGIONALE PER LA PROGRAMMAZIONE ECONOMICA DELLA TOSCANA L'IRPET, nato nel 1968 come organo tecnico-scientifico del CRPET (Comitato regionale per la programmazione economica della Toscana) con la finalità di compiere gli studi preliminari all'istituzione dell'ente Regione, è diventato Ente pubblico con legge della Regione Toscana nel 1974. L'Istituto è ente di consulenza sia per la Giunta che per il Consiglio regionale per lo svolgimento di compiti di studio e ricerca in materia di programmazione. Sono compiti dell'Istituto, in particolare: a) lo studio della struttura socio economica regionale e delle sue trasformazioni, degli andamenti congiunturali e dei relativi strumenti analitici; b) lo studio della struttura territoriale regionale e delle sue trasformazioni e dei relativi strumenti analitici; c) lo studio delle metodologie di programmazione, di valutazione e di verifica delle politiche; d) gli studi preparatori per gli atti della programmazione regionale e per il piano di indirizzo territoriale regionale in ordine ai problemi economici, territoriali e sociali; d bis) elaborazione dei documenti o rapporti di valutazione dei programmi nazionali e dell'Unione europea gestiti dalla Regione Toscana, di cui agli articoli 10, comma 5, e 12 della legge regionale 2 agosto 2013, n. 44 (Disposizioni in materia di programmazione regionale). e) la circolazione delle conoscenze e dei risultati di cui alle lettere a) b) e c). L'Istituto, nell'ambito delle medesime materie, può altresì svolgere altre attività di studio, ricerca e consulenza su committenza di soggetti pubblici e privati diversi dalla Regione, e inoltre: • stabilisce relazioni con enti di ricerca, anche esteri, istituti specializzati, dipartimenti universitari; • assume iniziative di formazione specialistica nelle discipline oggetto dell'attività dell'Istituto. 0.3.2 QUINN: CONSORZIO UNIVERSITARIO IN INGEGNERIA PER LA QUALITÀ E L'INNOVAZIONE Istituito nel 1989 su iniziativa dell'Università di Pisa con l'adesione di numerose grandi imprese italiane e riconosciuto dal MURST (oggi MIUR) con Decreto del 1991, l'attuale QUINN: Consorzio Universitario in Ingegneria per la Qualità e l'Innovazione viene costituito inizialmente con il nome "Qualital" allo scopo di far collaborare un gruppo di grandi imprese nella ricerca applicata e nella formazione manageriale in una disciplina in forte crescita, il Total Quality Management ed in particolare l'ingegneria dei processi aziendali. Nel 2005 alla missione originaria se ne affianca un'altra: l'innovazione. Cambia il nome: Quinn, Consorzio Universitario in Ingegneria per la Qualità e l'Innovazione, ma resta l'approccio rigoroso: sviluppare metodologie e strumenti di supporto ai processi innovativi derivanti dalla migliore ricerca e dalle esperienze più avanzate a livello internazionale. Il Consorzio con sede a Pisa, non ha fine di lucro; esso mira a creare sinergie tra le competenze del suo staff e dei partner accademici e le capacità operative delle Imprese industriali, delle Organizzazioni pubbliche e private operanti nella produzione di beni e servizi, allo scopo di promuovere e svolgere: • ricerca applicata e sperimentazione on field di metodologie e strumenti per il miglioramento della qualità di prodotti e servizi; • progetti di rilievo nazionale ed internazionale finalizzati allo sviluppo scientifico e tecnologico dell'ingegneria della qualità e dell'innovazione. Per quanto concerne la ricerca applicata le linee strategiche seguite riguardano: • Metodiche, strumenti per l'innovazione, la qualità, il miglioramento delle performance aziendali; • Gestione per Processi sviluppata in contesti diversificati; • Sistemi Integrati Qualità, Ambiente, Sicurezza, Sostenibilità. Il Consorzio QUINN è una struttura professionale con al vertice un rappresentante della componente accademica dell'Università di Pisa (discipline ingegneristiche) e gestito dal Direttore operativo con comprovata esperienza manageriale. QUINN opera quindi con un pool di professionisti che, con background multidisciplinare e approccio per «commessa», presidiano i principali ambiti di intervento: • il recupero di efficienza dei processi organizzativi; • la capitalizzazione dell'ascolto dei clienti e delle lessons learned; • il miglioramento continuo delle performance di unità operative e key people; • l'evoluzione dei sistemi di gestione Qualità, Ambiente e Sicurezza verso la sostenibilità. I componenti del pool, oltre ad operare personalmente sul campo, attivano collaborazioni con esperti del mondo della ricerca e delle professioni, per portare a termine progetti e ricerche che creino valore tangibile per i Committenti. Gli incarichi di QUINN si caratterizzano per la relativa non convenzionalità degli obiettivi assegnati, dei metodi di lavoro utilizzati e per l'interdisciplinarietà delle competenze richieste; costante è la flessibilità di approccio per rispondere ad esigenze che evolvono anche durante l'iter progettuale e l'attenzione a coinvolgere le risorse del Cliente che possono contribuire al risultato finale. Tra le linee di intervento a supporto dell'Innovazione attivate da QUINN negli ultimi 15 anni evidenziamo i "Servizi di supporto alle Policy pubbliche", che per la realizzazione di interventi di supporto alle policy regionali toscane (2010-2014) per l'innovazione delle imprese si sono articolate in: • Organizzazione e gestione di un percorso d'incontri per i centri servizi e di trasferimento tecnologico aderenti alla Tecnorete della Regione Toscana; • Revisione catalogo dei servizi avanzati e qualificati, sua estensione all'internazionalizzazione; • Analisi del concetto e di esperienze di Dimostratore Tecnologico; • Linee guida per la Divulgazione Tecnologica nel Trasferimento Tecnologico; • Linee guida per la valutazione della performance dei laboratori di ricerca e trasferimento tecnologico e laboratori di prova/analisi; • Linee guida alle attività di Business-Matching / Matchmaking; • Studio di fattibilità per una società di seed capital per Toscana Life Sciences e collaborazione con le attività di incubazione di Siena (2006); • Studi di fattibilità per le policy di sostegno alla nascita di nuove imprese innovative - CCIAA Lodi, ARTI/Regione Puglia (2007- 2008); • Indagine sul sistema dei Parchi Scientifici e Tecnologici Italiani (2010); • Studio di fattibilità dell'incubatore universitario di Sesto Fiorentino (2009); • Progettazione condivisa con gli attori territoriali del progetto Innovation Building a Prato (2009); • Ricerca sulla nuova imprenditorialità e attrazione di investimenti nel distretto della nautica della Spezia (2007-2008); • Attività di supporto all'Incubatore tecnologico di Firenze finalizzate alla ricerca e accoglimento di nuove imprese (2007); • Analisi di opportunità di nuove imprese innovative derivanti dalla costruzione di un nuovo ospedale (2006-2007). 0.4 Fasi del Progetto La Pianificazione del Progetto, nell'ottica di un'efficace Project Management, è stata svolta suddividendo il progetto in fasi al fine di poter effettuare un miglior controllo. I passaggi da una fase all'altra del progetto, che rappresentano il ciclo di vita del progetto, comportano generalmente una forma di trasferimento tecnico o comunque un passaggio di consegne, dove gli output ottenuti da una fase a monte, prima di essere approvati per procedere alla fase a valle vengono analizzati per verificarne completezza e accuratezza. Quando si ritiene che i possibili rischi sono accettabili, può essere che una fase venga iniziata prima dell'approvazione dei deliverable della fase precedente. Per fasi si intendono sequenze identificabili di eventi composti da attività coerenti che producono risultati definiti e che costituiscono l'input per la fase successiva. Le fasi standard identificabili nella maggior parte dei progetti sono: • Concezione e Avvio del Progetto; • Pianificazione; • Esecuzione e Controllo; • Chiusura. In sostanza il ciclo di vita del progetto definisce quale lavoro tecnico deve essere svolto in ciascuna fase, quando devono essere prodotti i deliverable in ciascuna fase e come ciascun deliverable deve essere analizzato, verificato e convalidato, chi è coinvolto in ciascuna fase e come controllare e approvare ciascuna fase. Le fasi che hanno portato alla redazione del report, nel quale le informazioni raccolte sul campo sono state organizzate in modo tale da consentire l'inquadramento del fenomeno della Fabbrica Intelligente in Toscana, sono così individuabili: • FASE 0: Fase Preliminare Dopo aver ricevuto l'incarico da parte di IRPET per la redazione del report, il QUINN ha analizzato la fattibilità del progetto, in modo da prevenire un rischio di insuccesso e dare concretezza all'idea progettuale, e una volta verificata ha redatto la propria Offerta Tecnica. Dopo l'accettazione dell'Offerta da parte dell'Ente Committente, QUINN ha costituito il Team di Progetto incaricato a svolgere le attività progettuali, assegnando a ciascun componente le proprie responsabilità e mansioni. Grazie all'utilizzo di tecniche efficaci per la pianificazione, sono state programmate nel dettaglio tutte le attività da svolgere, al fine di completare il report entro il termine fissato. • FASE 1: Comprensione del Contesto di riferimento In questa fase l'obiettivo centrale era rappresentato dalla comprensione del contesto del progetto, il Team di Progetto rispetto al contesto imprenditoriale italiano ha svolto un'analisi interna e una esterna, che hanno permesso di inquadrare il tema della "Fabbrica Intelligente". Partendo dalle origini prettamente letterarie del concetto, è stata illustrata l'evoluzione industriale che ha preceduto questo fenomeno, successivamente sono stati analizzati i macro trend socio-economici che hanno maggiore impatto sull'industria che stanno caratterizzando l'attuale scenario industriale, concludendo infine con la presentazione delle varie iniziative comunitarie e nazionali a sostegno della ripresa manifatturiera attraverso la "Fabbrica Intelligente". • FASE 2: Esplorazione del Concetto nel Panorama Internazionale Durante questa fase, svolta quasi in parallelo con la precedente, sono state analizzate le varie declinazioni al concetto di Fabbrica Intelligente e congiuntamente ricercati i trend e le tecnologie abilitanti. Attraverso un esercizio di Forecasting Tecnologico, osservando molteplici studi condotti da un altrettanto numero di esperti, sono stati identificati i trend attuali e quelli emergenti connessi alla Fabbrica Intelligente, con i conseguenti impatti sulle aziende e sulla forza lavoro. Alla fine sono stati ricercati alcuni casi di Fabbrica Intelligente, o di Industria 4.0 che dir si voglia, sviluppati da diverse aziende nel mondo. • FASE 3: Studio dell'Applicazione del Modello nella Regione Toscana Nello svolgimento di questa fase, si è passati allo studio degli ambiti prioritari della domanda e dell'offerta di tecnologie per la Fabbrica Intelligente nella Regione Toscana, per come identificata all'interno della SSS, focalizzandoci sulle tecnologie connesse all'automazione, alla meccatronica e alla robotica. Successivamente si è passati ad individuare possibili legami tra gli ambiti tecnologici analizzati e lo sviluppo di soluzioni tecnologiche funzionali ai processi produttivi, "in termini di velocizzazione sicurezza e controllo dei processi, della sostenibilità ed economicità degli stessi, nonché dell'estensione della capacità di azione". Si è arrivati infine a delineare il panorama della diffusione del modello della Fabbrica intelligente nelle imprese del sistema produttivo toscano, grazie all'analisi della diffusione fra le aziende produttrici e utilizzatrici delle tecnologie correlate, attraverso il merging di due DB di imprese Toscane stilati da enti qualificati, interviste in profondità e telefoniche, e infine attraverso l'organizzazione di due Focus Group. • FASE 4: Realizzazione Conclusiva del Report La quarta e ultima fase ha portato alla redazione finale del report, nel quale le informazioni sia di carattere quantitativo, ma soprattutto qualitativo raccolte sul campo sono state elaborate in maniera tale da evidenziare la diffusione del fenomeno nel tessuto produttivo toscano. I risultati conseguenti all'elaborazione di tali informazioni risultano essere: - la descrizione di casi studio sia di utilizzatori che di sviluppatori, con la presentazione delle peculiarità di adozione delle tecnologie che prefigurano possibili modelli di adozione alla Fabbrica intelligente; - la mappatura della diffusione delle tecnologie abilitanti della Fabbrica intelligente in Toscana con riferimento alle imprese utilizzatrici; - inquadramento del livello di maturità dei diversi settori produttivi toscani rispetto alle tecnologie target identificate dal Cluster Fabbrica Intelligente; - raccomandazioni di policy. 0.5 Strumenti e Tecniche utilizzate nell'ambito del Progetto Per una più facile comprensione dei contenuti, in questo paragrafo vengono descritti in forma teorica gli strumenti e le tecniche gestionali, che il Team di Progetto ha utilizzato per lo svolgimento delle attività progettuali, elencandoli in funzione dell'impiego nelle diverse fasi del progetto. Nel proseguo del lavoro, dove verranno presentati i contenuti del report, saranno illustrate le modalità operative realmente avviate nell'applicazione dei vari strumenti. 0.5.1 FASE 0: FASE PRELIMINARE In questa fase preliminare il PM detiene la responsabilità della pianificazione, integrazione ed esecuzione dei piani. La pianificazione, ovvero il P nella logica PDCA, è fondamentale a causa della breve durata del progetto e per l'assegnazione delle risorse. L'integrazione risulta altrettanto importante, altrimenti ogni soggetto sviluppa la propria pianificazione senza tener conto degli altri. La pianificazione è la definizione di cosa fare, quando va fatto e da chi; è destinata in linea teorica a: • "acquisire" gli obiettivi del processo; • individuare le fasi o meglio processi, diretti ed indiretti, che consentono di raggiungere gli obiettivi prefissati ovvero stesura della "mappa" di processi e delle interazioni; • scegliere metodi per il do, il check e l'act, il personale, i materiali e/o le informazioni, le macchine/tecnologie e/o attrezzature per ogni processo operativo aggredibile; • provare, sperimentare, verificare là dove non si sa; • emettere specifiche, standard; • occuparsi delle eventuali attività di comunicazione e addestramento. Per un PM è fondamentale utilizzare tecniche di pianificazione efficaci, e di seguito sono descritte quelle utilizzate durante tutte le fasi del progetto: • Work Breakdown Structure (WBS); • Matrice RACI; • Diagramma di Gantt; • Flow Chart (FC). 0.5.1.1 Work Breakdown Structure (WBS) La WBS (Work Breakdown Structure) è una forma di scomposizione (o disaggregazione secondo una struttura ad albero) strutturata e gerarchica del progetto che si sviluppa tramite l'individuazione di sotto-obiettivi e attività definite ad un livello di dettaglio sempre maggiore. Scopo della WBS è di identificare e collocare all'ultimo livello gerarchico pacchetti di lavoro (Work Package) chiaramente gestibili e attribuibili a un unico responsabile, affinché possano essere programmati, schedulati, controllati e valutati. La WBS è uno strumento di fondamentale importanza nel Project Management, infatti fornisce le basi per sviluppare una matrice delle responsabilità e successivamente effettuare lo scheduling . Attraverso la suddivisione dei deliverable in componenti più piccoli definiti "work package" si semplifica la gestione del progetto. Il work package infatti rappresenta il gradino più basso della gerarchia WBS ed è tramite questo che si possono definire in maniera più affidabile schedulazione dei tempi e costi. La suddivisione per livello procede riducendo ampiezza e complessità fino a quando non perviene a una descrizione adeguata e inequivocabile della voce finale. La Work Breakdown Structure (WBS), ha permesso di individuare, ai vari livelli, tutte le attività di sviluppo del progetto. La logica di scomposizione utilizzata è stata quella del processo di lavoro, questa logica consiste nel suddividere il progetto in relazione alla sequenza logica delle attività realizzative che verranno messe in opera, e ci ha permesso di individuare, per ogni pacchetto di lavoro: • scopo del lavoro con obiettivi e vincoli; • il processo di lavoro e le sue interfacce; • le risorse assegnabili e assegnate; • i limiti di tempo. 0.5.1.2 Matrice RACI La Matrice RACI è uno strumento che viene utilizzato per l'individuazione delle responsabilità all'interno di un progetto. Essa indica alle risorse umane coinvolte le mansioni e il grado di responsabilità all'interno del progetto, inoltre fornisce indicazioni specifiche su come comportarsi nel gestire le relazioni e responsabilità di altre persone coinvolte, rappresentando un forte elemento di motivazione per le stesse. La matrice di responsabilità nella sua intersezione indica il tipo di persona a cui è delegata una persona o un'unità organizzativa. Generalmente vengono utilizzate delle sigle che esprimono le responsabilità, le più utilizzate sono quelle corrispondenti all'acronimo RACI: • R: "Responsabile": è il ruolo di colui che è chiamato ad eseguire operativamente il task (per ogni task è possibile avere più Responsabili); • A: "Approva": è aziendalmente il ruolo a cui riporta il Responsabile o che comunque dovrà svolgere un ruolo di supervisione del lavoro del/dei Responsabili(ci può essere un solo A per ogni attività); • C: "Coordinamento": è il ruolo di chi dovrà supportare il/i Responsabile nello svolgimento del task fornendogli informazioni utili al completamento del lavoro o a migliorare la qualità del lavoro stesso • I: "Informato": è il ruolo di chi dovrà essere informato in merito al lavoro del/dei Responsabile e che dovrà prendere decisioni sulla base delle informazioni avute. 0.5.1.3 Diagramma di Gantt La complessità sempre maggiore di molti progetti, la gestione di grandi quantità di dati e le scadenze rigide incentivano le organizzazioni verso l'utilizzo di metodi per la pianificazione delle attività su scala temporale. Le tecniche di scheduling più comuni sono: • Diagrammi a barre o di Gantt; • Tecniche reticolari: - PDM (Precedence Diagram Method); - ADM (Arrow Diagram Method); - PERT (Program Evaluation and Review Technique); - CPM (Critical Path Method). • Approccio della Catena Critica CCPM (Critical Chain Project Management). La tipologia di rappresentazione utilizzata nel presente report, è il diagramma a barre (di Gantt), un mezzo molto semplice e intuitivo per visualizzare le attività o gli eventi tracciati in relazione al tempo, come nel nostro caso, o al denaro. La rappresentazione utilizzata riguarda l'evoluzione del progetto su scala temporale, dove ogni barra rappresenta un'attività la cui lunghezza è proporzionale alla durata dell'attività stessa, la quale è collocata sulla scala temporale. Il diagramma di Gantt permette perciò di definire cosa fare in una determinata quantità di tempo, e stabilisce inoltre eventi o date chiave (milestone) di progetto e un riferimento per il controllo dell'avanzamento. Il vantaggio che ha apportato sta nell'ottimizzazione delle risorse, attraverso una contemporanea visualizzazione delle attività, delle tempistiche e dei soggetti coinvolti. Ha comunque tre limitazioni principali, infatti non illustra: • le interdipendenze tra le attività; • risultati di un inizio anticipato o tardivo nelle attività; • l'incertezza inclusa nell'esecuzione dell'attività. 0.5.1.4 Flow Chart (FC) o Diagramma di Flusso Il Diagramma di Flusso, detto anche Flow Chart, rappresenta una modellazione grafica per rappresentare il flusso di controllo ed esecuzione di algoritmi, procedure o istruzioni operative. Esso consente di descrivere in modo schematico ovvero grafico: • le operazioni da compiere, rappresentate mediante forme convenzionali (ad esempio : rettangoli, rombi, esagoni, parallelogrammi, .), ciascuna con un preciso significato logico e all'interno delle quali un'indicazione testuale descrive tipicamente l'attività da svolgere; • la sequenza nella quale devono essere compiute, rappresentate con frecce di collegamento. Tale strumento permette pertanto di visualizzare tutto o parte del processo e di capire il collegamento delle sequenze necessarie a svolgere una funzione. In particolare permette di individuare i punti del processo in cui si verifica l'effetto che si vuole analizzare e di risalire il flusso fino alle origini delle cause potenziali. 0.5.2 FASE 1: COMPRENSIONE DEL CONTESTO DI RIFERIMENTO Tutti i progetti si interfacciano con il mondo reale, quindi occorre considerare i diversi contesti in cui il progetto converge. Alla luce di questo il PM ha incaricato i componenti del Team di Progetto di effettuare, un'analisi del contesto di riferimento, svolgendo un esercizio di Forecasting Tecnologico, attraverso la Ricerca sul Web, allo scopo di realizzare: • un'Analisi Interna; • un'Analisi Esterna; • l'Analisi SWOT. 0.5.2.1 Ricerca sul Web Lo strumento che normalmente viene utilizzato per effettuare una ricerca sul web è il cosiddetto motore di ricerca, il quale è basato sull'inserimento di una o più parole-chiave le cui occorrenze vengono cercate all'interno dei vari documenti presenti in rete. Bisogna dire che il processo di ricerca e di selezione delle informazioni è molto più complesso di quanto si possa pensare, per l'appunto possiamo differenziare la ricerca delle fonti in due modi: • Fonti Istituzionali (es. Regolamenti Comunitari, EUROSTAT, ISTAT, etc.); • Fonti Pubbliche (es. Unioncamere); • Enti di natura scientifica (es. società di consulenza). La conoscenza precedente dell'argomento influenza e da maggiori garanzie di successo nella ricerca, in questo modo l'utente è in possesso di termini specifici che può utilizzare direttamente come keywords. Gli elementi per impostare una soddisfacente ricerca sul web possono essere riassunti in: • chiarezza dell'oggetto, quesito o obiettivo della ricerca; • tempo e capacità dell'utente che effettua la ricerca; • qualità delle risposte in termini di: - adeguatezza, completezza ed esaustività; - affidabilità e autorevolezza della fonte; - grado di aggiornamento. 0.5.2.2 Forecasting Tecnologico Il Forecasting Tecnologico è un settore dei Technology Future Studies che racchiude varie strumenti volti ad anticipare e a capire la direzione potenziale, le caratteristiche e gli effetti del cambiamento tecnologico. Sono identificabili 9 cluster: 0.5.2.2.1 Expert Opinion Questa famiglia comprende tecniche basate sull'opinione di esperti, e include la previsione o la comprensione dello sviluppo tecnologico attraverso intense consultazioni tra vari esperti in materia. Uno dei metodi più diffusi è sicuramente il Metodo Delphi. Questo metodo combina richiesta di pareri riguardanti la probabilità di realizzare la tecnologia proposta e pareri di esperti in materia dei tempi di sviluppo. Gli esperti si confrontano e si scambiano pareri in base alle proprie previsioni tecnologiche, in modo da arrivare a una linea comune. 0.5.2.2.2 Trend Analysis L'Analisi del Trend comporta la previsione attraverso la proiezione dei dati storici quantitativi nel futuro. Questa analisi comprende modelli sia di previsione economica che tecnologica. Una tecnologia di solito ha un ciclo di vita composto di varie distinti fasi. Le tappe includono tipicamente • una fase di adozione • una fase di crescita • una fase di sviluppo • una fase di declino. L'analisi cerca di identificare e prevedere il ciclo della innovazione tecnologica oggetto dello studio. 0.5.2.2.3 Monitoring and Intelligence Methods Questa famiglia di metodi (Monitoring e le sue variazioni: Environmental Scanning and Technology Watch) ha lo scopo di fare acquisire consapevolezza dei cambiamenti all'orizzonte che potrebbero avere impatto sulla penetrazione o ricezione delle tecnologie nel mercato. 0.5.2.2.4 Statistical Methods Fra i metodi statistici, i più diffusi sono l'Analisi di Correlazione e l'Analisi Bibliometrica. • L'Analisi di Correlazione anticipa i modelli di sviluppo di una nuova tecnologia correlandola ad altri, quando lo stesso modello è simile ad altre tecnologie esistenti. • L'Analisi Bibliometrica si concentra sullo studio della produzione scientifica (pubblicazioni, etc.) presente in letteratura. In particolare risulta utile al fine di: - sviluppare conoscenza esaustiva del tema oggetto di studio; - analizzare i database da usare, da cui trarre informazioni e dati; - acquisire conoscenza sulle informazioni dei brevetti, fonte importante per acquisire informazioni uniche dal momento che spesso i dati e le informazioni rintracciabili nei brevetti non sono pubblicati altrove; - definire la strategia di ricerca; - utilizzare gli strumenti di analisi, attraverso software di data e text mining efficienti; - analizzare i risultati, grazie alle informazioni di vario tipo da cui gli esperti possono estrarre informazioni strategiche. 0.5.2.2.5 Modelling and Simulation Per "modello" si intende una rappresentazione semplificata delle dinamiche strutturali di una certa parte del mondo "reale". Questi modelli possono mostrare il comportamento futuro dei sistemi complessi semplicemente isolando gli aspetti essenziali di un sistema da quelli non essenziali. Tra i principali metodi: • Agent Modeling, tecnica che simula l'interazione dei diversi fattori in gioco; • System Simulation, tecniche che simulano la configurazione di un sistema a fronte dell'azione di possibili variabili aggiuntive. 0.5.2.2.6 Scenarios Costituiscono rappresentazioni alternative delle tecnologie future, sulla base di considerazioni e condizioni ulteriori a seguito di possibili cambiamenti delle condizioni al contorno inizialmente ipotizzate. 0.5.2.2.7 Valuing/Decision/Economic Methods Tra i metodi il più popolare è il "Relevance Tree Approach": le finalità e gli obiettivi di una tecnologia proposta sono suddivisi tra: • obiettivi prioritari; • obiettivi di basso livello. Grazie ad una struttura ad albero è possibile identificare la struttura gerarchica dello sviluppo tecnologico. In base ad esso viene eseguita la stima delle probabilità di raggiungere gli obiettivi ai vari livelli di sviluppo tecnologico. 0.5.2.2.8 Descriptive and Matrices Methods In crescente affermazione in questa famiglia di metodi è la definizione di Roadmap dello sviluppo di tecnologie, che consiste nel proiettare i principali elementi tecnologici di progettazione e produzione insieme alle strategie per il raggiungimento di traguardi desiderabili in modo efficiente Nel suo contesto più ampio, una Roadmap tecnologica fornisce una "vista di consenso o visione del futuro" della scienza e della tecnologia a disposizione dei decisori. 0.5.2.3 Analisi SWOT L'analisi SWOT è uno strumento di pianificazione strategica semplice ed efficace che serve ad evidenziare le caratteristiche di un progetto o di un programma, di un'organizzazione e le conseguenti relazioni con l'ambiente operativo nel quale si colloca, offrendo un quadro di riferimento per la definizione di strategie finalizzate al raggiungimento di un obiettivo. La SWOT Analysis si costruisce tramite una matrice divisa in quattro campi nei quali si hanno: • Punti di Forza (Strengths); • Punti di Debolezza (Weaknesses); • Opportunità (Opportunities); • Minacce (Threats). L'Analisi SWOT consente di distinguere fattori esogeni ed endogeni, dove punti di forza e debolezza sono da considerarsi fattori endogeni mentre minacce e opportunità fattori esogeni. I fattori endogeni sono tutte quelle variabili che fanno parte integrante del sistema sulle quali è possibile intervenire, i fattori esogeni invece sono quelle variabili esterne al sistema che possono però condizionarlo, su di esse non è possibile intervenire direttamente ma è necessario tenerle sotto controllo in modo da sfruttare gli eventi positivi e prevenire quelli negativi, che rischiano di compromettere il raggiungimento degli obiettivi prefissati. I vantaggi di una analisi di questo tipo si possono sintetizzare in 3 punti: • la profonda analisi del contesto in cui si agisce, resa possibile dalla preliminare osservazione e raccolta dei dati e da una loro abile interpretazione si traduce in una puntuale delineazione delle strategie; • il raffronto continuo tra le necessità dell'organizzazione e le strategie adottate porta ad un potenziamento della efficacia raggiunta; • consente di raggiungere un maggiore consenso sulle strategie se partecipano all'analisi tutte le parti coinvolte dall'intervento. 0.5.3 FASE 2: ESPLORAZIONE DEL CONCETTO NEL PANORAMA INTERNAZIONALE Anche in questa fase, dove l'obiettivo era quello di ricercare nella letteratura le varie declinazioni al concetto di "Fabbrica Intelligente" e le tecnologie attuali ed emergenti connesse ad essa, è stata svolta un'analisi degli organismi specializzati nel Foresight Tecnologico e di profondi conoscitori del settore dell'automazione industriale, per studiare le tendenze tecnologiche per i prossimi anni. 0.5.4 FASE 3: STUDIO DELL'APPLICAZIONE DEL MODELLO NELLA REGIONE TOSCANA Durante lo svolgimento di questa fase, si è intrapreso un percorso di raccolta delle informazioni legate al tema della "Fabbrica Intelligente" nel tessuto produttivo toscano, che è stato strutturato in 3 diverse attività: • Mappatura della Diffusione delle Tecnologie in Toscana attraverso il merging dei DB "Osservatorio sulle imprese high-tech della Toscana" e delle "Aziende eccellenti" dell'IRPET con l'estrapolazione dei dati da Fonti Aziendali: questa attività verrà discussa nel dettaglio nel proseguo del lavoro; • Interviste in Profondità e Interviste Telefoniche; • Focus Group. 0.5.4.1 Intervista L'intervista semi-strutturata è l'equivalente del questionario, con domande predefinite dal ricercatore in fase di preparazione dello strumento; a differenziare i due metodi è il modo di presentazione, orale nel caso dell'intervista, scritto nel caso del questionario, che assicura maggiore capacità di adattamento all'interlocutore e di valorizzazione di tutte le opportunità di raccolta d'informazioni "non strutturate". L'intervista ha quindi il vantaggio di essere un metodo versatile, che è possibile utilizzare in ogni stadio della progettazione, dalla fase di esplorazione a quella di validazione ex post delle informazioni. A differenza dei questionari, la presenza del ricercatore allontana l'eventualità che il soggetto interpreti in maniera errata le domande o che si trovi in imbarazzo perché non comprende quanto gli viene richiesto; inoltre, nel caso di una risposta non attinente, il ricercatore può riformulare la domanda. Il vantaggio maggiore rispetto al questionario consiste nel fatto che l'intervista non registra la stessa alta percentuale di mancati recapiti da parte dei soggetti contattati; di conseguenza, i dati raccolti godono di maggiore validità . A differenza dell'intervista personale, l'intervista telefonica appare concepibile nell'ambito di un sondaggio, offrendo vantaggi legati soprattutto al costo e al tempo di esecuzione, nonostante la mancanza di un'interazione faccia a faccia limita la "competenza comunicativa" () dell'intervistatore e dell'intervistato. Durante l'intervista telefonica l'intervistato non può prendere visione diretta del questionario, come accade nel sondaggio tramite intervista personale, e non consente all'intervistatore il ricorso a tecniche che comportano strumenti da sottoporre visivamente all'intervistato, come forme di gadgets o scale auto-ancoranti. Dal punto di vista dell'intervistatore, si dispone di meno informazioni per valutare se l'intervistato ha capito davvero la domanda; di conseguenza tenderà a ridurre gli interventi opportuni per chiarire il testo. Non è possibile integrare il resoconto dell'intervista con informazioni relative all'ambiente fisico in cui essa ha luogo e al comportamento non verbale dell'intervistato. 0.5.4.2 Focus Group Interviste rivolte a un gruppo omogeneo di 7/12 persone, la cui attenzione è focalizzata su di un argomento specifico, che viene scandagliato in profondità. Un moderatore (spesso definito: 'facilitatore') indirizza e dirige la discussione fra i partecipanti e ne facilita l'interazione, anche attraverso la predisposizione di un "sceneggiatura" finalizzata a fare emergere le peculiari conoscenze ed esperienze, nonché finalizzata a favorire il confronto "creativo". Ogni partecipante ha l'opportunità di esprimere liberamente la propria opinione rispetto all'argomento trattato ma nel rispetto di alcune "regole del gioco" introdotte dal facilitatore; la comunicazione nel gruppo è impostata in modo aperto e partecipato, con un'alta propensione all'ascolto. Il contraddittorio positivo che ne consegue consente di far emergere i reali punti di vista, giudizi, pre-giudizi, opinioni, percezioni e aspettative del pubblico di interesse in modo più approfondito di quanto non consentano altre tecniche di indagine . Nella tabella seguente, sono riportati i metodi di Forecasting Tecnologico , suddivisi nei 9 cluster definiti dal "MIT- Massachusetts Institute of Technology", indicando quali sono stati impiegati nelle attività progettuali e in che fase. 0.5.5 FASE 4: REALIZZAZIONE CONCLUSIVA DEL REPORT Durante la fase conclusiva di redazione finale del report, il Team di Progetto si è concentrato nell'elaborazione dei dati raccolti durante le fasi precedenti attraverso strumenti grafici che hanno facilitato l'attività di capitolazione delle informazioni, tra cui: • Istogrammi; • Diagramma a Torta; • Mappatura con metrica a "semaforo" : questa tecnica di rappresentazione è stata ideata dal Team di Progetto. Le sue peculiarità saranno illustrate più nel dettaglio successivamente. • Modello di Maturità (Maturity Model). 0.5.5.1 Istogramma L'istogramma è la rappresentazione grafica di una distribuzione in classi di un carattere continuo. Un istogramma consente di rappresentare i dati attraverso rettangoli di uguale base ed altezza differente a seconda dei dati stessi, ed in un solo colpo d'occhio permette di capire se una "quantità" è maggiore, minore o uguale di un'altra semplicemente guardando l'altezza dei rettangoli. 0.5.5.2 Diagramma a Torta Un Diagramma a Torta è una tecnica di rappresentazione che in un modo semplice e diretto è evidenzia il peso delle varie componenti di una grandezza. In questo modo la grandezza in questione viene rappresentata sottoforma di cerchio i cui spicchi hanno un angolo e di conseguenza, un arco, proporzionale alle varie componenti. 0.5.5.3 Modello di Maturità Tale modello definisce il livello di maturità di un'entità. L'aspetto caratteristico di tale rappresentazione è il fatto di essere organizzato per livelli. Il modello definisce diversi profili di maturità crescente, indicando implicitamente anche una strategia molto generale di miglioramento che si basa sull'introduzione di quelle pratiche che permettono solitamente ad un'azienda, di muoversi da un livello di maturità al successivo.

2012/2013 ; There is an increasingly widespread acknowledgement among all active actors in the development co-operation sector that the Public Private Partnership (PPP) can be a new important tool, not only to build important infrastructure (public works) but also to provide services to the citizens at central and local level as well as to have a strategic value in the Cross-Border Co-operation (CBC) in the next future. The European Commission defines PPPs in a rather broad and general way without giving a proper legal definition of this partnership. For the EU PPP is a form of cooperation between public authorities and economic operators concerning design, funding, execution, renovation or exploitation (operation and maintenance) of public infrastructure, or the provision of public utility service. However, there is not a uniform, common definition of this form of partnership. Considering the present global economic and financial crisis affecting almost all the regions of the world and bearing in mind that the public resources destined on development cooperation are decreasing more and more, building partnerships and synergies between these two ranges of actors is not only a great possibility but a compelling necessity in order to continue to sustain the development cooperation sector. This is also a good chance for both public and private sector, not only to mutually reinforce each other but also to learn lessons and best practices from one another. The PPPs, in fact, if applied correctly, enable a reduction in total costs, better distribution of risks, a more rapid execution of public services and activities, as well as a better quality of offered services and implemented activities. Not to mention the fact that the overcoming of the rigid distinction between public and private opens the possibility to find solutions and to respond to questions that the public administration itself is not able to answer independently. In international cooperation and in particular in the cross-border cooperation, more and more public administrations in beneficiary and donor countries are acknowledging the subsidiary role of civil society and private sector in the activities of general interest, and therefore, also in the delivery of public functions and services. Considering the extensive work experience in the international development cooperation sector with the Italian Ministry of Foreign Affairs and other International Organizations in different areas in the world, i.e. OSCE, believing on the utility and potentiality of this instrument and directly verified that it could be more utilized in the international cooperation, it was decided to analyse the use of PPPs in this sector with a special focus on IPA CBC Programme. In fact, the scope of the dissertation and of the implementation of its conclusions is steaming from the author interest and working ties. Indeed, the author is living and working in Albania and has a huge experience on it due to the fact that she was the Albania Desk Officer for the Italian Development Cooperation for several years. She is also studying the Albanian language and she is very fascinated from the history of this small country so close, not only geographically speaking, to Italy. The focus on Macedonia as neighbour country is due simply to the fact that to collect information on this IPA CBC Programme was easier than others similar financial instruments. Building on extensive field experience, this dissertation will try to answer the following question: 'Which is the winner strategy to increase the effectiveness of the CBC projects through the use of PPP?'. The thesis overall objective is to identify a set of strategies that can enhance the effectiveness of cross-border cooperation through the use of the PPP instrument, beyond specific cross-border project interventions that until now have mainly been carried out though institutional channels and implemented through European projects and programs. The strategies that the conclusion of the dissertation draws are based on the SWOT analysis of five projects funded by the EU through the IPA CBC Albania – Macedonia during the 2007-2013 programming period and the consequent elaboration of the results. These strategies would hence open up new possibilities for the development of CBC's activities applicable in the ambit of the EU's regional policy 2014-2020, without necessarily relying upon more EU financial means. This is also in line, with the EU auspices for the CBC not to be just another way to access funding but rather to become a model of cross-border cooperation sustainable on its own devise. The dissertation is based on collection and analysis of data available within the existing legal-institutional framework and will make use of the investigative qualitative method with the aim of verifying the hypothesis mentioned above. The thesis envisages a number of working phases chronologically distinct and mutually supportive and it is based on the utilisation of a number of diverse theoretic constructs and methodologies. The dissertation makes use of different sources such as for instance existing literature, statistics, on line documentation available and its content is conducted on the various official documents and projects documentation obtainable. The results are cross referenced and presented based on a SWOT analysis and process of data/results interpretation. As far as the structure of the work is concerned, the first Chapter, after an analysis of the theoretical tools supporting PPP, presents a background and an overview of the PPP in Europe, and the way it is applied in the context of international cooperation and cross-border cooperation; this is to understand how it was established and what its original objectives were, and to explain its evolution up to now. In particular, the chapter after shows that PPP was born in '30s mostly linked to the energetic and mining sectors, it presents that PPPs are growing and are seen as an important instrument of economic and social development also in the international and cross-border cooperation. It is seen that an instrument which opens the way to potential PPPs is the Inter-Municipal Cooperation Instrument (IMC) which permits to bridge the gaps in the municipalities and make them stronger also in applying to donor funds. Through this instrument established by the Council of Europe (CoE) the municipalities can also sub-contract a private company or creating an IMC entity constitutes a viable market attracting private investors. PPP is also encouraged by United Nations (UN) since 1999 through the 'Global Compact' project and different are the example of PPP around the world established by various UN Agencies. It can be affirmed that PPP is considered useful in the public sector also because can contribute in solving difficulties caused from public balance cuts as well as to overcome the bureaucratic and the scarcity of technical and management competencies of the public administration. The PPP is therefore an actual, innovative and complementary instrument to promote development, reforms as well as investments, policies and good practises in different sectors including the development cooperation also at trans-border level. Therefore, thanks to PPP it can be affirmed that the private sector also has become at all its effects a privileged actor of the international development cooperation. The second Chapter of the dissertation analyses the European Policies interconnecting PPP and their related instruments, as well as more in detail how these policies have applied PPPs in the cross-border cooperation as well as how CBC became more explicit in the EU context and in particular in the context of the stabilisation and association processes. In fact, starting from the 1950 Schuman Declaration, the chapter introduces the founding EEC Treaty, examines the Single European Act and analyses the European Cohesion Policy (or Regional Policy). In addition the chapter views the European Enlargement Policy (Pre-accession Policy) analysing the three membership criteria established during the Copenhagen European Council in 1993, the various stages of the membership process and the reasons for further enlargement taking into consideration the historic enlargement of 2004, the different strategic objectives involved in it and its new approach in view of the so-called Arab Spring. In addition, the chapter analyses the European Neighbourhood Policy (Proximity Policy) as well as its related instruments, with regard to both its partner countries and candidate states. Moreover the chapter identifies the possibilities of PPP within the EU's financial instruments that are currently being concluded. Even where those policies do not provide explicitly the adoption of PPP instrument, it is however not excluded. This means that the policies at issue give valuable support to the adoption and use of PPP. The dissertation is interested in to give evidence of the strong points of PPP application, and shows that, when there is a lack of applied PPP framework, as it is the case of the country cases (Albania and Macedonia) under analysed, the CBC component of IPA programme may be due not to give envisaged results to achieve the objectives. After having looked into the European policies intersecting PPPs and CBC, the third Chapter introduces a brief analysis of the concept of border, not only in the physical administrative sense, due to the fact that this concept is a key element to understand the cross-border co-operation processes existing in the EU and in general all over the world. With this aim in mind, after studying the main theoretical approaches on this domain, the analysis focuses on the cross-border co-operation not only in its theoretical dimension but also in its deriving pragmatic aspects. The analysis of the border concept and of the border and peripheral area, as well as the general theory of the system applied to the general theory of boundaries, is essential to anticipate the concept of the cross-border cooperation and its practical application. After this analysis, the chapter describes the legal institutional framework in order to analyse the effectiveness of the various legal instruments that have been put in place to encourage and facilitate forms of cooperative engagement across borders. Starting with the European Outline Convention of Transfrontier Co-operation between territorial communities or authorities (Madrid Convention 1980), a central instrument for the CBC that was born in the frame of CoE, the chapter introduces the three protocols of the Madrid Convention. The additional Protocol essentially gives the possibility to create an organism for cross-border cooperation; the second Protocol (no 2) provides above all a legal framework for the inter-territorial cooperation between the parties; and the third Protocol (no 3) concerns the possibility of forming the ECG by creating the legal status, the institution and the functioning of such Groups. In addition, in view of how cross-border cooperation has acquired more importance through time, the chapter explains the functioning of European Grouping of Territorial Cooperation (EGTC) institution, its modality of action and its fields of applications. The EGTC has come to be a new legal/financial instrument that integrates the Madrid Convention and the relevant Protocols. The chapter also touches upon the various aspects of cross-border co-operation and in particular some milestones from the EU experiences, and presents the European Macro-Regional Strategy and its related legislative framework as an example. In addition the chapter shows the Baltic, the Danube and the Adriatic – Ionian Macro-Region and describes the main differences between EGTs and Macro- Regions. In addition, the chapter considers appropriate to present the steps that have been taken from the EU with regard to the cross-border cooperation which, more particularly, have consisted of making available important financial instruments such as INTERREG that supports from the top to the bottom the Strategy of Macro-Regions. Following the fourth Chapter describes the 2014-2020 EU's Regional Policy as the context of application of the PPP and its change with respect to the 2007-2013 EU's Regional Policy. In particular after introducing the EU programming period 2007-2013 and the changes intervened in the following programming period also having a political/historical nature like the Arab spring and the interests to further develop economic interactions between the EU and the Middle Eastern partners, the chapter analyses the useful instruments for the realization of the cross-border cooperation; especially the European Regional Development Found (ERDF). In addition, this chapter, will identify the possibilities of PPP within the financial instruments that are about to be activated in the new European Programming Cycle. To this regard it is important to mention that, in general, all the EU policies must contribute to the implementation of the Europe 2020 Strategy that in order to fulfil its ambitious objectives identified as key instrument the instrument of partnership, among which that with the private sector. Here it is worth to emphasize that, generally, the overall objectives of the regional policy, both at national and European level, are all of an economic nature, i.e. increasing the national economy by attenuating and eliminating economic disparities between different development levels of the regions. In particular, the European Policies aim to improve the investment climate through public investment in the regions presenting some gaps and to manage the local regional resources in a more efficient way. The dissertation shows how in both cases, PPPs can help in the achievement of these important aims. In addition, the chapter observes that there are changes in various aspects and procedures of the implementation of the new regional policy as well as in the legal frame, and examines the IPA instrument and the ENPI instrument in the two seven-years programming periods because they are closely related to the European Territorial Cooperation (ETC). Between this two latter instruments IPA is a more relevant for this dissertation. For this reason, after on overview of the Albanian context considering some economic, demographic, social and political aspects, including the criteria Albania has to fulfil to receive the candidate status from the EU as well as a brief introduction to the Albanian Law on PPP, the fifth Chapter presents its relations in the region, especially with the Former Yugoslav Republic of Macedonia (FYROM) and stresses the IPA CBC Albania – FYROM related to 2007-2013 and 2014-2020 programming periods. In addition, the chapter presents the main differences between these two programming periods focussing mainly on the Albanian part. With the aim to focus on the Albanian opportunities in the new programming period, it will be stressed what will change in the next future and which are the positive effects on PPP considering also the concept of Social Corporate Responsibility and the UN Global Compact initiative already mentioned in the first Chapter. All this to introduce the last Chapter which, through the analysis of the methodologies used during the various phases of this work, and especially through the explanation of the SWOT analysis, aims to identify a set of winning strategies to increase the effectiveness of the Cross-border cooperation through the use of the PPP instrument. The first part of the dissertation made use of several documentary sources, most notably and especially in the early stage the work will carry out what it is commonly defined as a secondary analysis, in particular this was articulated through: collection and review of existing literature and of the official documentation and statistics available mainly on-line but also with the Albanian Ministries and national institutes, i.e. the Albanian National Institute of Statistics, as well as with the various donors and international organisation in the Country, and especially with the Delegation of the European Commission to Albania. Instead, the second part of the dissertation focuses on the analysis of the IPA CBC program in general, and IPA CBC Albania - Macedonia in particular. To this end it was decided to proceed with the analysis of specific projects activated in the context of this program to highlight the role of actual or potential PPP projects in developing virtuous CBC. Although the PPP is not explicitly defined among the tools used in the implementation of these projects, it was decided to identify the prodromal factors present in some PPP projects with the end purpose of assessing their potentials, especially in view of the next programming period of the EU (2014-2020). The detailed information on the projects carried out or that are in progress are not publicly available as they are under the 'ownership' of the Delegation of the European Commission in Albania and of the Managing Authority of the program. In order to collect the necessary materials to identify the most relevant projects and, subsequently, to proceed to their analysis, it has proved necessary to proceed through in-depth interviews with qualified actors. Given that, interviews have been conducted with interlocutors, mainly from the European Commission in Albania, the Albanian Ministry of Integration and of Austrian Cooperation. Through these interviews, specific information relating to five concluded projects, in which the instrument of the PPP was present at least in embryonic form, has been added to the data relating to the context and to the program. The information gathered has been structured so as to proceed to a qualitative analysis of the data through the development of a SWOT analysis of these five projects funded by the IPA CBC Albania - FYROM - First Call for Project Proposals. Finally, this work presents the results of this analysis through a process of data interpretation. After this presentation, and before starting the SWOT analysis, the chapter presents the Annual Work Programme for Grants 2009 of the DG Enlargement related to the first Call for Proposals and the Guidelines related to the CBC Programme Albania - FYROM which aims is to facilitate the cooperation between the two countries to improve living conditions in the target area. The Programme in fact, already mentioned in the fifth Chapter, it aims to fostering cross-border economic, environmental and social development and includes three different measures and for each measure a list of potential activities for projects. Furthermore, the chapter analyses - through the SWOT analysis above mentioned - five projects funded by the EU within the IPA I CBC Albania – FYROM first call. In particular, in this dissertation, the SWOT analysis is the tool to identify the strengths (S), weakness (W), opportunities (O) and threats (T) that characterize projects which are analysed in relation to PPPs. In other words, it seeks to identify the strengths and internal resources of projects capably to push the development of PPPs (strengths), as well as the internal project limitations and weaknesses that impede PPP development in the relevant area (weaknesses), the external project opportunities that can be developed to overcome identified weaknesses (opportunities) and external factors that may hamper the future development of PPPs (threats). Considering that there is no project where the applicant is a PPP, although an analysis of the guidelines of the Call for Proposals relative to IPA Albania - FYROM CBC Programme found an explicit reference to PPPs, it has been choose to make a screening of projects in which the instrument of the PPP was present at least in embryonic form, in other words having the private sector as a direct or indirect beneficiary. As already mentioned, Macedonia was chosen as an example because of the availability of information related to projects. So, on these terms, 5 projects were selected out of 15 under review. The projects are the following: • Cross-border shared integrated alternative tourism, • Business without borders, • Cross-border Civil Society Forum, • Promoting business women enterprises in the cross-border area, • Borders without boundaries. The dimensions chosen for the analysis are: • related to the internal context to identify strengths and weaknesses: objectives, actors and target, • related to the external context to identify opportunities and threats: actors, target and expected results. After the SWOT analysis, the chapter finally presents the key results of the dissertation proposing some possible actions that could improve the CBC through the use of the PPP emerged from the initiatives analysed. The conclusion reviews the major points of the dissertation showing the main results such as the strategies, which may result from the conclusions, thus potentially establishing an alternative approach aiming at opening up new possibilities for the development of better, more effective and sustainable CBC project/programs/activities, without necessarily relying upon more EU funds. For what above mentioned and to answer to the question 'Which are the winner strategies to increase the effectiveness of the CBC projects through the use of PPP?', it is possible to affirm that to present more successful projects in the future increasing the effectiveness of the CBC projects through the use of PPP, the development strategies are essentially the enhancement strategy and the overcoming strategy. In particular, to reinforce the internal and external positive aspects and factors in the cross border area and to mitigate and/or dissipate internal negatives as well as to attenuate the external ones, the recommended actions referred to the public and private sectors are: • to organize jointly regular meetings in which they can know each-other, exchange information and best practices in either of the neighbouring countries, so that there can be discussions on the potentials of development and the new economic undertakings and new instruments to be employed, such as the PPP. Tourism can serve as a pilot sector in which it can be started with the actualization of gender policies facilitating in some way the inclusion of women in business activities, • jointly organize awareness campaigns on PPPs and training courses, which could serve to overcome the lack of ability to establish efficient PPPs for both public and private sector, • to organize, for the numerous actors present in the territory, specific courses and/or informative events related to the revision processes of normative policies that could facilitate and reinforce both the cooperation between different stakeholders and the capacity of doing business and create PPPs, • to enhance the existing networks and creates new ones through continuous meetings between different stakeholders with the aim of overcoming the threats considering that the improved and expanded relations between the various actors could bring an improvement in raising needed funds. Finally, it is important to mention that there are also some actions recommended only to the public sector. These are: • (especially at local level) institutions such as the municipalities can organize meetings, inviting the traditional and non-traditional private actors, in order to facilitate communication. Through this communication there could be achieved the introduction between various stakeholders interested in the PPP instrument, by at the same time laying the basis for the foundation of a network. This would be useful for increasing the credibility of each other and also to contributing to the overcoming of the lack of cooperation problem. These meetings could be used for an exchange of best practices in the sectors that are present in the certain areas. By employing a participatory methodology, these meetings could also serve to the construction of a sort of roadmap (lines of action during a defined time) that could enable the definition of the obstacles to be overcome in order to effectively and efficiently realize this type of partnership, • the authorities should first change their national optics and then transform their national policies into regional ones, starting from the cross-border policies with neighbouring countries, in which PPP should be promoted as a development instrument. In addition, when necessary, they should review the legal framework in order to facilitate the establishment of PPP. After this, they should organize meetings between the different stakeholders, and more generally between citizens living in the border areas of the neighbouring countries, with the end objective of promoting the necessary knowledge for overcoming the prejudices and for opening way to partnerships and cooperation activities, • to implement policies for purposes of facilitating investments in diversified sectors, taking an advantage of the actors from different sectors and directing them to training courses to gain knowledge in areas of investment that are different from their traditional ones. ; Vi è un riconoscimento sempre più diffuso tra tutti gli attori attivi nel settore della cooperazione allo sviluppo che il partenariato pubblico privato (PPP) può essere un importante nuovo strumento, non solo per costruire grandi infrastrutture (quindi per il settore dei lavori pubblici), ma anche per offrire servizi ai cittadini sia a livello centrale, sia locale e avere, in un prossimo futuro, un valore strategico nella cooperazione transfrontaliera (CBC). E' stato visto come la Commissione Europea definisca il PPP in un modo piuttosto ampio e generico, senza dare una definizione giuridica adeguata di questo partenariato. Infatti, per l'Unione Europea il PPP è una forma di cooperazione tra le autorità pubbliche e gli operatori economici riguardante la progettazione, il finanziamento, la realizzazione, il rinnovamento o lo sfruttamento (funzionamento e manutenzione) delle infrastrutture pubbliche, così come la fornitura di un servizio di pubblica utilità (CIT). Tuttavia, non vi è un'uniforme, comune definizione di questa forma di partenariato. Considerando che l'attuale crisi economica e finanziaria globale ha colpito quasi tutte le regioni del mondo e tenendo presente che le risorse pubbliche stanno diminuendo sempre più, tra cui soprattutto quelle destinate alla cooperazione allo sviluppo, costruire partenariati e sinergie tra il settore pubblico e privato non è solo una grande possibilità ma una necessità che diventa impellente se si vuole continuare a sostenere gli interventi di cooperazione. Inoltre, questo tipo di partenariato è una buona occasione per entrambi i settori in quanto aiuta non solo a rafforzare i rapporti reciproci, ma anche a scambiare le reciproche esperienze e le migliori pratiche. Si è visto come se applicato correttamente, il PPP consenta una riduzione dei costi totali, una migliore distribuzione dei rischi, un'esecuzione più rapida dei servizi e delle attività pubbliche, nonché una migliore qualità dei servizi offerti e delle attività prodotte. Senza contare che il superamento della rigida distinzione tra pubblico e privato apre la possibilità di trovare soluzioni e di rispondere alle domande a cui la pubblica amministrazione non è in grado di rispondere autonomamente. Si sottolinea come nella cooperazione internazionale ed in particolare nella cooperazione transfrontaliera, sempre più spesso le amministrazioni locali dei paesi beneficiari e donatori stiano riconoscendo il ruolo sussidiario della società civile e del settore privato nelle attività d'interesse generale e quindi anche nell'erogazione di servizi e funzioni pubbliche. Considerando la vasta esperienza di lavoro nel settore della cooperazione allo sviluppo con il Ministero degli Affari Esteri italiano in diverse aree del mondo così come con altre organizzazioni internazionali, da ultimo con l'Organizzazione per la Sicurezza e Cooperazione in Europa (OSCE), credendo sull'utilità e le potenzialità dello strumento del PPP e verificato direttamente che potrebbe essere utilizzato maggiormente nella cooperazione internazionale, l'autore ha deciso di analizzare l'uso di tale partenariato in questo settore focalizzandosi in particolare sul programma IPA I CBC Albania - Macedonia. Infatti, lo scopo di questa tesi e della potenziale applicazione delle sue conclusioni deriva dall'interesse personale e dall'attività lavorativa dell'autore. Infatti, vive e lavora in Albania e ha una grande esperienza del paese perché è stato per diversi anni responsabile per la Cooperazione Italiana dei progetti che questa ha realizzato nello stesso. Inoltre, sta anche studiando la lingua albanese ed è molto affascinato dalla storia di questo piccolo paese così vicino all'Italia, non solo geograficamente parlando. L'attenzione per la Macedonia come paese confinante, invece, è dovuta semplicemente al fatto che è stato più facile reperire informazioni sul programma IPA I CBC Albania - Macedonia rispetto agli strumenti finanziari simili. Sulla base di una ricca esperienza sul campo, questa tesi cercherà di rispondere alla seguente domanda: "Quali sono le strategie vincenti per aumentare l'efficacia dei progetti di cooperazione transfrontaliera attraverso l'uso del PPP?". L'obiettivo generale della tesi è di individuare, infatti, le strategie che possono migliorare l'efficacia della cooperazione transfrontaliera attraverso l'uso di tale partenariato, al di là di specifici interventi che fino ad ora sono stati principalmente effettuati attraverso canali istituzionali e attuati attraverso progetti e programmi europei. Le strategie che la conclusione della tesi identifica si basano sull'analisi SWOT di cinque progetti e la conseguente elaborazione dei dati/risultati. Questi cinque progetti sono stati selezionati tra quelli finanziati dall'UE tramite l'IPA I CBC Albania/Macedonia durante il periodo di programmazione 2007 - 2013, in quanto presentanti il PPP almeno in fase embrionale. Tali strategie potrebbero aprire nuove possibilità per lo sviluppo di attività di CBC applicabili nell'ambito della politica regionale 2014 - 2020 dell'Unione Europea, senza necessariamente fare affidamento su ulteriori mezzi finanziari della stessa. Questo è anche in linea con gli auspici dell'UE che crede che la CBC non sia solo un altro modo per accedere ai finanziamenti, ma possa piuttosto diventare un modello di cooperazione sostenibile di per sé. La tesi si basa sulla raccolta e l'analisi dei dati disponibili nell'ambito del quadro giuridico-istituzionale esistente e fa uso del metodo qualitativo di ricerca con l'obiettivo di verificare l'ipotesi di cui sopra. La tesi prevede una serie di fasi di lavoro cronologicamente distinte e reciprocamente sostenibili e si basa sull'utilizzo di diversi costrutti teorici e varie metodologie avvalendosi di diverse fonti come ad esempio la letteratura esistente, le statistiche effettuate e più in generale la documentazione disponibile soprattutto in internet. Il suo contenuto deriva quindi dal reperimento e dall'analisi di varia documentazione ufficiale e di cinque documenti progettuali, così come verrà maggiormente esplicato qui di seguito. Seguendo la struttura della tesi, si può affermare che il primo capitolo presenta il quadro normativo e finanziario dei PPP in Europa, così come il modo in cui questo strumento viene utilizzato nel contesto della cooperazione internazionale e della cooperazione transfrontaliera, al fine di comprendere quando è nato questo tipo di partenariato e quali siano i suoi obiettivi e le evoluzioni che ha avuto fino ad oggi. Nello specifico, il capitolo mostra come il PPP sia nato negli anni '30 soprattutto collegato al settore energetico e minerario e come, pur non avendo ancora una comune definizione a livello europeo, oggi sia in crescita e venga visto come un importante strumento di sviluppo economico e sociale anche nel settore della cooperazione internazionale e transfrontaliera. Il capitolo, inoltre, presenta la cooperazione inter-municipale (IMC) come uno strumento che può aprire buone potenzialità all'applicazione del PPP in quanto permette di colmare le deficienze delle municipalità. Attraverso questo strumento, stabilito in seno al Consiglio d'Europa (CoE), le municipalità possono infatti anche sub-contrattare imprese private o creare un'entità nuova (IMC) per poter attrarre investitori e donatori. Il capitolo inoltre mostra come lo strumento del PPP venga incoraggiato anche dalle Nazioni Unite (UN) fin dal 1999 - anno in cui viene creato il progetto 'Global Compact' - e come vi siano diversi esempi di PPP nel mondo realizzati da Agenzie UN. E' importante sottolineare che il PPP è considerato utile dal settore pubblico anche perché può contribuire a risolvere difficoltà causate dai tagli di bilancio così come dalla burocrazia e dall'insufficiente capacità tecnica e manageriale che spesso caratterizza la pubblica amministrazione. Il PPP è quindi uno strumento attuale, innovativo e anche complementare capace di promuovere sviluppo, riforme ed investimenti oltre a promuovere politiche e buone pratiche in diversi settori tra cui quello della cooperazione allo sviluppo anche a livello transfrontaliero. Grazie al PPP si può quindi affermare che il settore privato è diventato a tutti gli effetti un attore privilegiato della cooperazione allo sviluppo internazionale. Il secondo capitolo della tesi analizza le politiche dell'Unione Europea e i relativi strumenti che presentano una connessione con i PPP. Più nel dettaglio, viene visto come attraverso queste politiche sia stato applicato il partenariato in parola nella cooperazione transfrontaliera e come la stessa sia divenuta più esplicita a livello europeo, soprattutto nel contesto del processo di stabilizzazione ed associazione. Infatti, partendo dalla Dichiarazione di Schumann del 1950, il capitolo introduce il Trattato istitutivo della CEE del 1957, esamina l'Atto Unico Europeo, per poi prendere in considerazione la politica di coesione o regionale. Proseguendo, il capitolo analizza la politica di allargamento o pre-accessione inclusi i tre criteri necessari per l'adesione stabiliti durante il Consiglio Europeo di Copenaghen nel 1993, i vari stadi del processo di adesione e le ragioni per cui l'Unione Europea promuove l'allargamento, considerando le diverse tappe di tale processo tra cui quella storica del 2004 e le sue prossime sfide. Dopo aver inoltre analizzato il quadro delle negoziazioni e gli strumenti previsti in ambito della strategia di pre-adesione, si è finito per affrontare la politica di vicinato o prossimità prendendo in analisi i suoi relativi strumenti, i suoi diversi obiettivi strategici e il suo nuovo approccio in seguito alla primavera araba. Dopo aver identificato come queste politiche presentino un'intersezione con la cooperazione transfrontaliera, è stata analizzata la loro intersezione con il PPP con il risultato di sottolineare che anche laddove tali politiche non prevedono esplicitamente il ricorso a questo tipo di partenariato, non lo escludono. Questo significa quindi che esse forniscono validi supporti all'uso di tale strumento, elemento importante per la tesi che è infatti volta a mettere in evidenza i punti di forza di tali politiche per l'applicazione dei PPP e a mostrare al contempo che vi è una mancanza applicazione degli stessi. Questo verrà evidenziato nel corso della tesi dal caso preso in esame di IPA I CBC Albania - Macedonia. Il terzo capitolo presenta come prima cosa il concetto di confine. E' importante sottolineare come questo concetto viene esplicitato non solo da un punto di vista fisico-amministrativo ma in un senso più ampio, tenendo conto di come il concetto di confine sia un elemento chiave per capire la cooperazione transfrontaliera. Infatti, è solo partendo dall'analisi di questo concetto e da questo a quello di frontiera e area periferica, passando anche alla teoria generale dei sistemi applicata alla teoria generale dei confini, che si può pervenire alla nascita del concetto di cooperazione transfrontaliera e della sua applicazione pratica. Per tale motivo si è ritenuto necessario esplicare i concetti sopra menzionati secondo le definizioni di vari studiosi di varie discipline, per poi presentare i principali strumenti legali che regolano e facilitano la cooperazione transfrontaliera a livello europeo così come i meccanismi ad hoc che la implementano. Si è partiti da quelli nati in seno al CoE e precisamente dalla Convenzione di Madrid del 1980, strumento quadro per il tipo di cooperazione oggetto di questa tesi in quanto introduce per la prima volta la possibilità di cooperare e concludere accordi ad enti di Paesi contigui geograficamente. Vengono poi presentati i suoi 3 Protocolli: il Protocollo aggiuntivo, che dà essenzialmente la possibilità di creare un organismo di cooperazione transfrontaliera ad essa preposto, il secondo Protocollo che fissa soprattutto un quadro giuridico della cooperazione interterritoriale tra le parti e il terzo Protocollo che concerne la possibilità di istituire i Gruppi Europei di Cooperazione (GEC) dotati di personalità giuridica. Inoltre, a dimostrazione di come la cooperazione transfrontaliera nel tempo abbia acquistato sempre più importanza, si è ritenuto opportuno illustrare l'istituzione dei Gruppi Europei di Cooperazione Territoriale (GECT), le loro modalità di azione e i loro ambiti di applicazione. Tali Gruppi, che si rivelano quindi essere un nuovo strumento giuridico/finanziario che integra la Convenzione di Madrid ed i relativi Protocolli, sono stati creati al fine di facilitare la cooperazione transfrontaliera e superare gli ostacoli incontrati fino ad allora. Il capitolo continua focalizzandosi sui passi compiuti dall'UE in relazione a questo tipo di cooperazione che in particolare consistono nella messa a disposizione di importanti strumenti finanziari quali per esempio INTERREG. Il terzo capitolo si conclude quindi affrontando anche la Strategia delle Macroregioni che, pur non avendo una loro definizione ufficiale in ambito europeo, forse anche a causa della loro recente istituzione e pratica, si dimostra essere veramente utile nel contribuire a realizzare la politica di coesione e più nello specifico il suo obiettivo n. 3 (Cooperazione Territoriale Europea). Considerando che all'interno di questa politica vi è una programmazione settennale, nel quarto capitolo vengono presentate sia quella appena terminata 2007-2013, sia la nuova 2014 - 2020 per verificarne i cambiamenti nel contesto di applicazione dei PPP. Viene infatti introdotta la programmazione dell'UE 2007-2013 per comprendere maggiormente cosa sarebbe cambiato nel settennio successivo, anche a causa di avvenimenti storico/politici avvenuti durante gli ultimi anni come la cosiddetta primavera araba e l'interesse a sviluppare maggiormente l'integrazione economica tra l'Unione Europea e i partner orientali. Si prosegue con l'analisi più dettagliata degli strumenti utili per la realizzazione della cooperazione transfrontaliera (CBC) nel nuovo settennato e le possibilità di applicazione del PPP all'interno di questi. A tale riguardo è importante sottolineare come in generale tutte le politiche europee, tra cui quella regionale ha un ruolo centrale, dovrebbero contribuire al raggiungimento degli obiettivi della Strategia Europa 2020. Si sottolinea come questa strategia, che ha portato alla definizione della nuova programmazione 2014-2020, sia molto ambiziosa e abbia individuato come uno degli strumenti chiave per la sua realizzazione quello del partenariato, tra cui anche il partenariato con il settore privato. Qui è importante evidenziare che gli obiettivi generali della politica regionale, sia a livello europeo, sia a livello nazionale, sono principalmente di natura socio-economica per es. orientati ad attenuare le disparità esistenti tra regioni aventi diverso livello di sviluppo. In particolare, le politiche europee hanno l'obiettivo di migliorare l'ambiente/contesto per attrarre investimenti al fine di incrementare investimenti in lavori pubblici nelle regioni che presentano maggiori necessità e migliorare la gestione delle risorse regionali locali in maniera più efficiente ed efficace. La tesi mostra come in entrambi i casi, lo strumento del PPP può essere di aiuto nel raggiungere questi importanti obiettivi. Inoltre, il capitolo in parola, dopo aver osservato che nella nuova programmazione settennale vi sono diversi cambiamenti dovuti al nuovo quadro legislativo e alle nuove modalità di attuazione della nuova politica regionale, esamina i due strumenti collegati alla CTE, IPA ed ENPI, nei due settenni di programmazione sopra menzionati. Il quinto capitolo invece, dopo una presentazione generale del contesto Albanese che prende in considerazione alcuni aspetti economici, demografici, sociali e politici del paese, includendo anche i criteri che questo deve soddisfare per poter ricevere lo status di candidato dall'Unione Europea, presenta brevemente la legge albanese sui PPP. In seguito, descrive le relazioni tra l'Albania e la Macedonia e il relativo Programma IPA CBC in relazione ai due periodi di programmazione suddetti 2007 - 2013 e 2014 - 2020 per presentarne le principali differenze. Concentrandosi sulle opportunità che l'Albania potrà avere nel prossimo futuro, viene sottolineato cosa cambia nel nuovo periodo di programmazione e con quali effetti positivi sul PPP, tenendo in considerazione anche il concetto di Responsabilità Sociale e l'iniziativa 'Global Compact' delle Nazioni Unite già menzionata precedentemente. Tutto questo per introdurre l'ultimo capitolo che, attraverso un'analisi della metodologia usata nelle varie fasi di preparazione della presente tesi, tra cui la SWOT analisi, identifica le strategie considerate vincenti per accrescere e migliorare l'efficacia della cooperazione transfrontaliera attraverso l'uso dello strumento di PPP. Nello specifico, la prima parte della tesi si è avvalsa di diverse fonti documentarie. Specialmente nella sua fase di inizio, il lavoro è stato definito attraverso ciò che è comunemente chiamata 'analisi secondaria'. E' stata effettuata infatti la ricerca e analisi della letteratura esistente e della documentazione ufficiale disponibile on-line e nei Ministeri albanesi così come nell'Istituto Nazionale di Statistica albanese. E' stata inoltre reperita e analizzata la documentazione in possesso di diversi donatori e organismi internazionali presenti nel paese e in particolare della Delegazione della Commissione Europea in Albania. La seconda parte della tesi si è concentrata sull'analisi del programma IPA CBC in generale ed IPA CBC Albania - Macedonia in particolare. A tal fine si è voluto procedere con l'analisi di progetti specifici attivati e conclusi nel contesto di tale programma per evidenziare il ruolo effettivo o potenziale del PPP nello sviluppo virtuoso di progetti di CBC. Sebbene il PPP non venga esplicitamente definito tra gli strumenti utilizzati nell'attuazione di queste iniziative, si è scelto di individuare i fattori prodromici del PPP presenti in alcuni progetti al fine di valutarne le potenzialità soprattutto nell'ottica del prossimo periodo di programmazione europea (2014-2020). Le informazioni dettagliate relative ai progetti realizzati o in fieri non sono pubblicamente disponibili essendo 'proprietà' della Delegazione della Commissione Europea in Albania e dell'Autorità di Gestione del programma. Per raccogliere dunque il materiale necessario ad identificare i progetti più rilevanti e, successivamente, a procedere alla loro analisi si è dimostrato necessario procedere attraverso interviste in profondità con attori qualificati. Sono state così condotte interviste con interlocutori principalmente della Delegazione della Commissione Europea in Albania, del Ministero dell'Integrazione albanese e della Cooperazione Austriaca. Attraverso queste interviste, ai dati relativi al contesto ed al programma si sono quindi aggiunte informazioni specifiche relative a cinque progetti in cui lo strumento del PPP fosse presente almeno in forma embrionale. Le informazioni raccolte sono state strutturate in modo da procedere ad un'analisi qualitativa e ad un incrocio dei dati attraverso lo sviluppo di una SWOT analisi dei suddetti cinque progetti finanziati da IPA I CBC Albania - Macedonia al fine di presentare i risultati di tale analisi attraverso un processo di interpretazione dei dati. Prima di iniziare la SWOT analisi, il capitolo presenta anche il programma annuale per i fondi 2009 della Direzione Generale Allargamento dell'Unione Europea che specifica anche gli obiettivi della CBC tra i due paesi presi in esame che consistono essenzialmente nella promozione dell'economia transfrontaliera e dello sviluppo sociale e ambientale. Il quinto capitolo, così come sopra detto, analizza quindi attraverso una SWOT analisi, cinque progetti finanziati dall'UE all'interno del programma IPA I CBC Albania - Macedonia primo bando. In particolare, in questa tesi, la SWOT analisi, è lo strumento che permette di identificare i punti di forza (S), di debolezza (W), di opportunità (O) e di minacce (T) che caratterizzano i progetti che verranno analizzati in relazione al PPP. In altre parole quali sono i punti forza/risorse interne ai progetti che possono favorire lo sviluppo di tale partenariato e quali le loro limitazioni/punti di debolezza che lo possono ostacolare, così come le opportunità/fattori positivi esterni al progetto che possono, del caso, essere sviluppati per superare i punti di debolezza individuati e quali le minacce/fattori negativi esterni che derivano dal contesto locale e che impediscono lo sviluppo del PPP nell'area di interesse. Basandosi sulle informazioni ottenute non essendoci progetti in cui i candidati sono formati da un PPP, anche se da un'analisi delle linee guida del bando ('Call for Proposal') relative al Programma IPA I CBC Albania - Macedonia primo bando, è stato rilevato che non vi è un riferimento esplicito a questi, è stato scelto di fare uno screening dei progetti verificando quelli che nel loro interno presentavano almeno come beneficiari diretti e/o indiretti il settore privato. Così come sopra illustrato, tra i paesi confinanti l'Albania è stata scelta la Macedonia a titolo esemplificativo. Tra i 15 progetti presi in considerazione, i 5 progetti selezionati sono: 1. 'Cross-border shared integrated alternative tourism' (Turismo transfrontaliero alternativo integrato e condiviso), 2. 'Business without borders' (Impresa senza confini), 3. 'Cross-border Civil Society Forum' (Forum transfrontaliero della società civile), 4. 'Promoting business women enterprises in the cross border area' (Promozione dell'impresa femminile nell'area transfrontaliera), 5. 'Borders without boundaries' (Confini senza limiti). Queste le dimensioni scelte e di volta in volta da verificare per ogni progetto selezionato: • relativamente al contesto interno, al fine di identificare i punti di forza e di debolezza, sono obiettivi, attori e beneficiari, • relativamente al contesto esterno, al fine di identificare le opportunità e le minacce, sono attori, beneficiari e risultati attesi. Dopo la SWOT analisi, il capitolo da ultimo presenta i risultati chiave della tesi proponendo le strategie che potrebbero migliorare la cooperazione transfrontaliera attraverso l'uso del PPP. Le considerazioni conclusive della tesi riprenderanno tali strategie ripercorrendo inoltre i punti principali del lavoro svolto. Per rispondere alla domanda che sottende questa tesi, le strategie identificate come approcci alternativi che si possono applicare al fine di consentire ai programmi/progetti di cooperazione transfrontaliera di essere sviluppati in misura maggiore e in maniera più sostenibile, efficace ed efficiente utilizzando lo strumento del PPP e senza usare necessariamente ulteriori strumenti finanziari europei sono quelle cosiddette del 'rafforzamento' e del 'superamento'. In particolare, per rafforzare gli aspetti e i fattori positivi nell'area transfrontaliera e per mitigare e/o dissipare quelli negativi emersi dall'analisi effettuata, le azioni raccomandate sia al settore pubblico, sia al settore privato, possono essere così riassunte: • organizzare congiuntamente degli incontri regolari nei quali i diversi attori possano conoscersi meglio reciprocamente così come scambiare informazioni e migliori pratiche relativamente ai paesi vicini in modo che la discussione possa vertere man mano sul potenziale sviluppo in particolare dell'economia attraverso l'impiego di nuovi strumenti come il PPP, iniziando magari da un settore pilota quale il turismo, • organizzare congiuntamente campagne di informazione sul PPP e corsi di formazione che potrebbero servire al superamento della comune mancanza di capacità di istituire efficienti PPP, • organizzare per i numerosi attori presenti sul territorio dei corsi o eventi finalizzati ad informare sui processi di revisione normativa utile a facilitare e rafforzare la cooperazione tra i diversi attori, la capacità di fare impresa e creare PPP, • rafforzare congiuntamente le reti esistenti e crearne delle nuove attraverso continui incontri capaci di mettere assieme i diversi attori aventi l'obiettivo di superare gli ostacoli/minacce e consideranti il rafforzamento delle relazioni un valore aggiunto atto a migliorare anche la capacità di reperire i fondi necessari. Le azioni invece che si raccomandano solo al settore pubblico sono: • (specialmente a livello locale) gli attori istituzionali quali le municipalità potrebbero organizzare delle riunioni invitando il settore privato, tradizionale e non, al fine di facilitare la comunicazione tra i partecipanti introducendo al contempo il PPP e facilitando l'istituzione di partenariati, • le autorità istituzionali dovrebbero cambiare la loro ottica trasformando le loro politiche nazionali, a partire da quelle transfrontaliere relative ai paesi confinanti, in modo da promuovere il PPP quale strumento di sviluppo agevolandone l'istituzione attraverso le modifiche del quadro normativo laddove necessarie, • realizzare delle politiche aventi l'obiettivo di facilitare gli investimenti diversificando i settori degli stessi e organizzando al contempo dei corsi di formazione professionale per dare l'opportunità alla popolazione in età attiva di diversificare le loro conoscenze e capacità. ; XXIV Ciclo ; 1970

Con la presente Tesis Doctoral abordamos críticamente la visión ilustrada del indígena de la frontera meridional chilena como marco geográfico y la centuria de la Ilustración como coordenada temporal, especialmente su segunda mitad. Un análisis de sus tres familias básicas que no contempla por razones cronológicas a los picunches o gentes del norte, pero sí a los mapuches –gente de la tierra–, huilliches –gente del sur o sector meridional mapuche– y los pehuenches cordilleranos –gente del pehuén o pino chileno–. Esta división horizontal en razón de su distribución latitudinal se complementa necesariamente con la clásica repartición cuatripartita longitudinal de los butalmapus o distritos indígenas. Así, la frontera araucana, entre el río Bío-Bío y la plaza de Valdivia, se dividía en: costa, llanos, precordillera y la Cordillera propiamente, barrera que no fue obstáculo para unas relaciones fluidas. Además, al sur de la misma se extendía la frontera huilliche, que abarcaba desde el presidio valdiviano hasta Chiloé. Y, por supuesto, los pehuenches, que enseñoreaban ambas vertientes andinas. La naturaleza del estudio parte de un enfoque metodológico multidisciplinar histórico y antropológico, y supone un análisis de media duración del espacio fronterizo, en especial de su actor indígena, que con la Ilustración va a ver revalorizado en su papel. Asimismo, destacamos un aspecto básico transversal a todo el trabajo de aproximación a la realidad fronteriza araucana y hulliche, como es el proceso de cambio cultural, cuando al choque inicial le sucede un sistema complejo de relaciones. El surgimiento de una cultura de frontera se realiza dentro de unos parámetros de comportamiento social relativamente compartidos por ambas comunidades en contacto prolongado. Un proceso de aculturación con fases de aceleración y retroceso, y bidireccional en cuanto a los elementos culturales cedidos y adaptados; aunque sea la cultura hispana la principal donadora. Pretendemos observar si la historia de la frontera chilena es una historia que supera el mero enfrentamiento para convertirse en una frontera dinámica, donde la convergencia de protagonistas colectivos alcanzó en el siglo XVIII una dimensión propia como espacio compartido y nuevo en sus interrelaciones. Comprobar si la nueva fisonomía social y mestizaje de elementos culturales heredados de la implantación hispana y legatarios del habitante nativo, dieron lugar a una sociedad que rompía el ciclo de lucha y se ofrecía mestiza y original. Igualmente, procuramos comprobar si el resultado más significativo del contacto secular fue el conocimiento y la integración de ambas comunidades por encima de conflictos cerrados. Nuestra principal contribución, que matizamos más abajo, va en la línea de reivindicar el espacio fronterizo chileno como un territorio de confluencia e intercambio, superando la visión de choque continuado de una parte de la historiografía más interesada en la consagración de mitos "incuestionables", que ignora la complejidad de un fenómeno mucho más rico y cambiante. Si bien esta corriente interpretativa ya está marcada por la historiografía reciente de la mano de autores como Gertrudis Payás, José Manuel Zavala, Jorge Pinto, Leonardo León, Jaime Valenzuela y Jimena Obregón, entre otros estudiados exhaustivamente en el presente texto, hemos querido profundizar en la misma y analizar el progresivo proceso de secularización de la frontera más allá de los intercambios comerciales y el mestizaje. Aquí radica nuestro aporte más sustancial y personal, mencionado anteriormente. Siguiendo las orientaciones de Guillaume Boccara al respecto y añadiendo al comercio el elemento simbólico, las representaciones culturales, el universo de las mentalidades y los imaginarios colectivos junto a los recursos, semántica y otros elementos de apropiación. El estudio de la frontera nos lleva ineludiblemente a las formas de contacto violentas y pacíficas entre sociedades, y la génesis de una nueva entidad diferenciada. Esta idea cenital de la literatura producida por los estudios fronterizos desde las aportaciones del profesor Sergio Villalobos y sus discípulos ha quedado matizada o, mejor, enriquecida por el análisis de los procesos de interacción étnica, podemos recordar a Rolf Foerster o José Bengoa, por ejemplo. En este sentido, recordamos la clarividente idea de Pinto Rodríguez en relación a los intercambios mutuos, aparte de los circuitos comerciales locales o regionales –incluso de una futura proyección imperial–. Los cambios fueron simultáneos y obedecieron a factores de índole externa e interna. Desde el punto de vista indígena, no solo la resistencia y sus derivaciones contribuyeron a conformar una sociedad fronteriza, sino también las transformaciones operadas en el propio seno del mundo nativo a consecuencia del contacto sostenido en eltiempo con los españoles. El tema es de una gran relevancia y actualidad, objeto de debates y polémicas sobre la inserción en la sociedad chilena, a los cuales no han permanecido ajenos los historiadores, muy al contrario. El conflicto que mantiene el pueblo mapuche con el gobierno chileno arranca de la misma constitución del Estado, así lo hemos contemplado, aunque sucintamente por su contemporaneidad, al hablar de las categorías semánticas y especialmente del debate historiográfico fronterizo, en consecuencia emplazamos al capítulo correspondiente de la primera parte. Las escuelas de estudios fronterizos y de relaciones interétnicas quedan contrastadas en dicho apartado de la Tesis con un estado de la cuestión bibliográfica, así como las soluciones de síntesis más novedosas y actuales. Todos estos valiosos aportes historiográficos y antropológicos enhebran el trabajo y son comentados recurrentemente, pues sin tales cimientos no se podría seguir construyendo una ciencia histórica capaz de explicar y comprender el presente desde la reconstrucción del pasado, según la "Escuela de los Annales" y en palabras de Braudel. De igual manera, al final del trabajo hemos incluido un comentario acerca de las fuentes consultadas, que manifiestan la colaboración interdisciplinar metodológica y cruce de testimonios de naturaleza variada, al cual remitimos para una lectura más amplia y pormenorizada. Tan solo anticipar su diversidad documental y de centros de investigación a lo largo de tres estancias en Chile. Asimismo, en orden a la temporalidad, queremos realizar dos matizaciones previas. En primer lugar, hemos analizado la cuestión mapuche actual someramente allí donde ha sido necesario para comprender el presente desde su raíces históricas, en concreto el reformismo tardío de Carlos III y Carlos IV. En segundo lugar, igualmente analizamos la primera mitad de la centuria ilustrada cuando sirve al conocimiento del periodo tardocolonial, pues aunque somos conscientes del inicio de la política reformadora desde Felipe V, nuestro interés se centra en el marco cronológico finisecular, precisamente donde el vacío historiográfico es mayor o requiere de nuevas interpretaciones de cara al próximo movimiento emancipador. Respecto al indígena, se trata de rescatar la diversidad de sus respuestas frente a la forzada homogeneidad y las valoraciones de los ilustrados que plasmaban esa nueva realidad desde premisas novedosas. Interrogando a los testimonios de españoles y extranjeros sobre sus estrategias de subsistencia, realidad política, estructura social y valores o patrones culturales, podremos captar las continuidades y los cambios de los indígenas y las transformaciones en las visiones de los observadores europeos. Las hipótesis de trabajo planteadas y sujetas a verificación se centran en la nueva situación de la frontera ilustrada. Es decir, si hubo una nueva concepción global fronteriza desde la metrópoli y sus autoridades indianas delegadas tendente a reforzar territorios en movimiento de expansión y el control efectivo de los integrados en la Monarquía Hispánica por temor a las repercusiones de la cambiante política europea. Si quedó ratificado de facto lo consagrado de iure, esto es, la soberanía efectiva sobre la frontera. ¿Pudieron operar factores exógenos como la amenaza real de asentamiento foráneo en puntos clave geoestratégicos de la América española que llevaran al replanteamiento acerca de los "salvajes" o "bárbaros" por los hombres del absolutismo ilustrado? Si fue así, ¿enfocaron la cuestión con métodos propios o se insertaron en la cadena de soluciones heredada frente al fenómeno fronterizo? ¿Se implementaron dispositivos y mecanismos de contenido cultural y fondo político como estrategias novedosas? La frontera del reformismo debe abrirse a otros protagonistas, como los agentes de intermediación, en especial las mujeres. En este sentido nos planteamos cuál fue el verdadero alcance de su papel, olvidado entre el ruido de las armas, al igual que la importancia de los recursos en la apropiación del medio y sus habitantes. Además de verificar esta política oficial intencionada y planificada durante el XVIII, de modo acentuado en su segunda mitad, comprobaremos si pudo obedecer igualmente a la influencia de respuestas locales que condicionaran la dinámica interna y hasta qué grado son posibles los análisis comparativos con otras fronteras indianas. El uso del universo simbólico para la inclusión y su verdadero alcance constituye una hipótesis primordial de nuestro enfoque antropológico. Asimismo, planteamos la nueva visión del "otro" indígena, que por encima de enfrentamientos bélicos los presenta como hombres en última instancia súbditos del rey distante, que es necesario reintegrar por vías de la asimilación cultural a su verdadera condición de vasallos del rey católico. Un acercamiento que supera mitos nacionales consagrados por la historiografía en muchos casos y en proceso de revisión, que deja atrás la idea del indio rebelde y lo contempla como elemento en sí mismo, integrado más o menos según la variedad de respuestas y los tiempos de las mismas. Igualmente, en conclusión lógica de lo anterior, entre los objetivos que perseguimos está contemplar la frontera mucho más allá de la dinámica de enfrentamiento, optando por la concepción de un espacio total e integrador, eso sí, de personalidad propia y diferenciada. Un espacio de confluencias que se abre paso gracias al progresivo entendimiento fruto del conocimiento y de necesidades mutuas. Finalmente, otra hipótesis de trabajo observa la frontera secularizada de finales del siglo XVIII no solo como un proceso de aculturación inicial y posterior transculturación, sino también como un medio aprovechado por los españoles de cara a la movilidad social ascendente. De ahí que el conocimiento sobre el indígena sea objeto de variadas reflexiones que coloquen al nativo como elemento clave del desarrollo regional y camino de la promoción político-administrativa. La reconstrucción del pasado debe cumplir la función social de mejorar el presente, si consideramos que somos lo que fuimos, dicha comprensión retrospectiva sirve para reconocer que seremos lo que somos, de ahí la importancia de reflexionar sobre espacios de encuentro, de mediación intercultural entre europeos y americanos. Partimos de la premisa de que toda historia es historia contemporánea, como Benedetto Croce apuntó. Escribimos y leemos Historia para comprender y mejorar nuestro presente, para adquirir el bagaje suficiente que nos permita hacer frente a los retos de nuestro tiempo, como los desafíos de las migraciones y contactos o la diversidad cultural, por otra parte tan añejos como la dispersión de nuestra especie por el planeta. No es el camino emprendido colocar datos en secuencia por la mera información por sí mismos aportada, sino que la posición que adoptemos ante el pasado y sus relaciones con el presente son vitales para la sociedad entera y no solo para los historiadores, albaceas de la memoria de la experiencia colectiva. Nos preguntamos, siguiendo al maestro Hobsbawm: "¿Qué puede decirnos la historia sobre la sociedad contemporánea?". El contexto económico, político y sociocultural de aquella lejana frontera debe considerarse relativo al punto de vista del observador, por ello adoptamos una perspectiva inclusiva desde la historia social. La historiografía tradicional iberoamericana se caracterizó por fijar la atención en el Estado-nación y su historia broncínea de héroes epónimos fundadores. Hoy en día, ante los retos de la globalización resulta inexcusable una historia regional integradora y comparada, en línea con las nuevas rutas abiertas por la historia atlántica. América ha adoptado una postura crítica como marco intelectual, aceptar las "certezas supuestas" suele ser cómodo, pero resulta muy discutible cuando falta la investigación que acredite dicha certidumbre. Las polémicas, en la raíz americana, avivaron una autocrítica histórica que bien puede transformarse en sano criterio de búsqueda actual, sin llegar a la iconoclasia, pues construimos historia sobre lo preexistente. Al fin y al cabo, "no es la Historia campo de curiosidades (…) En este gran Theatro no se entra à especulaciones infructuosas", sino a interpretar los cambios y permanencias que explican su continua construcción en beneficio personal y social: "asi por lo que mira à su persona, como al gobierno de otros". Los contactos entre pueblos son tan antiguos como la historia misma de la humanidad, sin embargo, aunque mantienen similitudes, también operan divergencias, siempre dentro del proceso general de cambio experimentado, pues "transición es todo en la Historia hasta el punto que puede definirse la Historia como la ciencia de la transición". La frontera es un escenario privilegiado en este sentido y se constituye como un espacio geográfico y cultural de choque y encuentro entre mundos diferentes que interactúan recíprocamente por medio de procesos de aculturación o transculturación. Respecto al primero, entendemos el término como un proceso complejo de contacto cultural, cuyo fruto consiste en la asimilación o recepción por un grupo social de rasgos de otra sociedad mediante la imposición, física o simbólica. Mientras que en relación al segundo, partimos del proceso dibujado por Fernando Ortiz e inspirado por José Martí y la idea de integración cultural, según el cual sería la gradual recepción por un pueblo o grupo social de formas culturales ajenas, que terminan sustituyendo a las propias. Ambas partes resultan modificadas, pues siempre se da algo a cambio de lo que se recibe, en palabras de Bronislaw Malinowski14. En las fronteras chilenas analizadas –araucana, cordillerana y huilliche– se intentó lo primero, pero operó lo segundo. Los préstamos culturales circularon reciproca pero desigualmente entre ambas comunidades. El hecho fronterizo –tanto humano como territorial– puesto ante los procesos globales del tiempo presente puede, sin duda, acometerse con mayores posibilidades de éxito gracias al conocimiento de ámbitos de contacto pasados. La globalización no significa homogeneidad, pues la diversidad etnológica y cultural es patrimonio de todos, pero sí es oportunidad para una mayor solidaridad y cooperación entre pueblos, máxime si mantienen fuertes lazos históricos y afectivos. Por otra parte, permite el análisis crítico sobre la interculturalidad en relación a la colonialidad del poder, aunque no es nuestra intención actual. América es un continente multicultural por obra del mosaico de pueblos que lo habitan con sus respectivas culturas, la mirada no-indígena define desde fuera su realidad, lo cual significa la construcción de un sujeto ajeno a la propia identidad indígena. La identidad étnica es un concepto dinámico que tiene un punto referencial en su propia historia. Una visión lineal impuso el recorrido de "salvajes" a "bárbaros" y de aquí a "vasallos", luego vendrían los "ciudadanos", pero tal recorrido fue dispar en cuanto a una comunicación constructiva entre ambos a pesar de la interacción permanente. El conocimiento mutuo entre españoles y mapuche-araucanos vino de la mano de nuevas relaciones y perspectivas hacia el otro diferente nacidas de la visión reformista, y sirvió de enlace entre unos y otros vía complementariedad o interdependencia. Por otra parte, la naturaleza de la interacción y la ordenación de las relaciones interétnicas deben contemplar la existencia de límites identitarios a las asociaciones y adaptaciones. El interés ilustrado por el indígena y el medio americanos ofrece una abundante posibilidad de consulta documental de múltiples orígenes y con variadas finalidades que describen e interpretan el mundo indígena desde la etnografía y la ecohistoria en larga duración. Nos ha parecido vital partir del cruce de testimonios oficiales y privados –políticos, religiosos y científicos– y de las reflexiones etnológicas así de españoles como de viajeros extranjeros. De igual manera, acudir a archivos americanos y españoles de diferente naturaleza resulta necesario para el conocimiento de diversos tipos documentales. Asimismo, la bibliografía especializada consultada ha permitido establecer el estado de la cuestión y adentrarnos en los debates historiográficos de nuestro enfoque sociocultural. Las interpretaciones acerca del indígena de la frontera sur chilena son variadas, según el cambio de percepción operado con el transcurso del tiempo. Sin duda, en el siglo XVIII las diversas visiones posibles tienen en común el tamiz, en mayor o menor grado, del pensamiento ilustrado. Aunque algunas referencias constituyen fenómenos de continuidad, el cambio aparece no solo en la propia evolución nativa sino también en el resultado de la observación europea. Españoles, criollos y extranjeros no dejaron iguales testimonios acerca de los araucanos, si bien es verdad que los rasgos distintivos básicos son comunes en sus escritos. Las distintas visiones se nos presentan dispares pero no por ello incompatibles; al contrario, son complementarias. No hay oposición entre sus testimonios más allá de los diversos objetivos de cada colectivo. Con el análisis del enfoque que dieron españoles o criollos al aborigen, se podrán observar sus diversos intereses, lo que la frontera y sus habitantes significaban para el español americano y el peninsular. Además, militares, misioneros o pobladores diferirán en sus resultados al partir de premisas variadas; divergencia que se repetirá en las observaciones del hombre que vive en la frontera con respecto al que la contempla desde la lejanía. Pero el acercamiento al indio desde la visión ilustrada quedaría incompleto sin el estudio de los testimonios dejados por los extranjeros que, aunque parten del mismo patrón cultural occidental, resultan también enriquecedores para configurar un esquema interpretativo del mapuche-araucano en el siglo XVIII. Cada grupo fija su atención primordial en un aspecto, por lo que la conjunción de todos conformará una aproximación adecuada al panorama general de la vida indígena y sus relaciones con los demás protagonistas de la frontera chilena del Setecientos. La actuación y visión de todos los agentes fronterizos nos permitirá comprender la dinámica de cambio en el análisis de un espacio físico y cultural que contempla no sólo las potencialidades del medio sino también la incorporación del indio, mediante la aculturación entre otras estrategias, a la sociedad hispánica. No podemos valorar las visiones del indio y su incorporación como vasallos de la mano del reformismo borbónico, sin partir de la dualidad básica del mundo fronterizo, esto es, la relación hispano-indígena. Pero fueron más los agentes histórico-sociales que intervinieron, no sólo los europeos de distintas procedencias y por ende con acervos particulares, sino los propios indígenas, fragmentados en sus respuestas al choque cultural. Así pues, consideramos vital estudiar el mundo amerindio en su diversidad de desarrollos y adaptaciones al medio y de actitudes respecto al hispano-criollo. Tampoco podemos olvidar los actores culturales de intermediación entre ambas comunidades. Para abordar las relaciones entre españoles y nativos partimos de los sistemas de valores de las sociedades en contacto y del marco físico como condicionante en cuanto a la adaptación cultural del hombre al medio. Un medio que merece un estudio en sí mismo junto a los grupos humanos que lo habitaron y las interrelaciones que tejieron con las demás colectividades que confluían en un mismo territorio. Hay que observar la frontera como lugar físico de confluencia y como proceso de cambio cultural. Estudiar si el inicial rechazo evolucionó con el tiempo hacia el contacto humano fluido, el intercambio de elementos culturales y la creación de un espacio resultante de las interacciones continuadas. Además, el tiempo ilustrado resulta óptimo para un balance de las posibles continuidades y cambios, así como para fijar la naturaleza de la evolución del pensamiento respecto al indio "bárbaro" de las fronteras imperiales. A mediados de la centuria ilustrada, Rousseau rescataba en su "Discurso sobre las ciencias y las artes" una idea clásica y a la vez novedosa –que enlazaba con el ideal cosmopolita de la época– sobre la barbarie. De manos de Ovidio recogía: Barbarus hic ego sum, quia non intelligor illis ("Aquí soy un bárbaro porque no me entienden"). La diferencia convertía en extraño a cualquiera en función del posicionamiento o la mirada ajena. La mutua observación entre ilustrados e indígenas nos ofrece las visiones de unos y otros. Recuperada esta percepción más amable y recíproca de la alteridad y el poder, faltaba la segunda premisa para comprender el contexto en lo relativo a la configuración de las fronteras: el pacto. Otro destacado pensador, no en balde estamos en el "Siglo de la Filosofía", aportó su comprensión al respecto: "debe buscarse la paz allí donde pueda encontrarse", tan precisa era la primera ley de naturaleza. Desde Clío, aunque con un enfoque interdisciplinario, podemos acercarnos a esta realidad en transformación, pues "la Historia no solo es una valiosa parte del conocimiento, sino que abre la puerta a muchas otras partes y aporta materiales a la mayoría de las ciencias". El fenómeno de la frontera chilena en el siglo XVIII centra el contenido de nuestra Tesis Doctoral. La naturaleza de este estudio parte de un enfoque interdisciplinario y de un análisis de media duración del proceso fronterizo y sus consecuencias desde una metodología histórica y etnológica. Aplicamos el método etnohistórico a las fuentes documentales en un marco de análisis del hecho fronterizo chileno desde sus orígenes hasta sus resultados más significativos y enriquecedores durante la segunda mitad del siglo XVIII, cuando el contacto secular entre españoles e indígenas desembocó en una nueva realidad distinta de las anteriores pero fruto de ellas. El encuentro entre sociedades de niveles socioculturales dispares originó la formación de una "frontera" en cuanto espacio físico y proceso cultural. A su vez esta frontera es variada dependiendo del actor fronterizo desde el que se analice, en este sentido los testimonios marcan las distintas visiones del "otro" en base a su situación en el entramado de relaciones. El estudio de la frontera chilena, como objetivo general, se inicia con el análisis global de lo que la frontera ha significado en la historia humana en cuanto espacio de confluencia de realidades y generadora de mitos. Los precedentes peninsulares medievales se prestan especialmente al tratamiento comparativo entre fronteras en cuanto contacto prolongado, pues junto a las convergencias encontramos divergencias que permiten establecer una tipología del fenómeno en el espacio indiano y remarcar la singularidad de las fronteras americanas. Las similitudes y los desencuentros permiten un extenso abanico interpretativo –lato sensu– de respuestas desde la historia y la antropología. La capitanía general chilena estaba circundada al norte por el desierto de Atacama, que la separaba de la matriz peruana, al oeste por el océano Pacífico, al este por la cordillera andina, y al sur por la Araucanía y el archipiélago de Chiloé. Esta región política y natural claramente delimitada era un espacio peculiar en el orden físico y étnico, que ejercía su influencia sobre el imaginario de los españoles asentados en el valle central. La frontera del reino de Chile, desde el río Bío-Bío hasta el archipiélago chilote, constituyó una zona fronteriza –en analogía con las marcas carolingias–, temparana en su problemática y tardía en su resolución. Una frontera inestable, marcada por el medio natural y la posición periférica. Los cronistas y los primeros investigadores han dejado testimonio de la singularidad de un espacio que se resistió a su inclusión en el engranaje de la Monarquía Hispánica en Indias, empresa cargada de dificultades y trabajos, y que originó un mito conformador de la identidad chilena. El debate historiográfico sobre la frontera chilena y sus aborígenes en relación con la zona plenamente hispanizada central y septentrional ha originado posicionamientos diversos que interpretan su evolución histórica de forma dispar. La complejidad viene del cambio y la continuidad en el mundo fronterizo que terminó por originar un fenómeno modificable en el proceso y sujeto a reajustes; además de la imagen fraguada desde el inicio, que se debate entre la realidad y el mito. Los protagonistas que interactuaron en la frontera meridional chilena, objetivo específico de la Tesis junto a los cambios culturales experimentados, tenían diferentes intereses y estrategias, en relación con su cometido y función respecto al "otro" y el territorio. El distinto nivel de complejidad social de cacicazgos y estatalidad se reflejaba en la apropiación de los recursos mediante un menor o mayor grado tecnológico y acumulación excedentaria. Como pueblo nativo y ágrafo, los araucano-mapuches poseían un conocimiento exacto del medio. Además, según la visión coetánea sobre el origen de la desigualdad, los "salvajes" estaban acostumbrados a fatigas, rigores y "forzados a defenderse". Entre españoles e indios el sistema de relaciones fue un continuum, recurrentemente la presencia de europeos amigos o enemigos de la monarquía española aumentaba la complejidad de visiones de la dinámica fronteriza. Los ojos que observaban la cultura aborigen eran múltiples y variados, consecuentemente las formas de mirarla también lo serían. Pero todos dejaron constancia de su capacidad pragmática de adaptación y tránsito de la autarquía al intercambio. En definitiva, la cultura es producto del aprendizaje más que de la herencia, de la asimilación de unos hábitos compartidos por miembros de una misma sociedad que podemos conceptuar paulatinamente de fronteriza en su conjunto. Tras el choque inicial de la conquista los hispanos se establecieron en el valle central, agrícola y ganadero, preocupados por la estabilización más al sur de una frontera conflictiva que escapaba al control efectivo de la hispanización política y cultural. Durante la época de los Austrias y en el tránsito al siglo XVIII, los españoles y criollos, alejados ya de su interés por enlazar con los fundadores hispanos y próximos a reivindicar los orígenes y medio americano como elemento diferenciador, asumieron una nueva actitud hacia el mundo fronterizo. Durante la primera mitad del Setecientos se reestructuró la acción sobre el indígena en base a reforzar la política de "parlamentos", factor de continuidad y proyección. Eran encuentros transfronterizos entre los representantes de ambas comunidades, a la cabeza hispano-criolla iban las autoridades político-militares y eclesiásticas, mientras que los jefes tribales –caciques o loncos– de las parcialidades indígenas encarnaban la autoridad nativa. Los dos interlocutores se hacían acompañar, respectivamente, de un gran número de tropa e indios –capitanejos y mocetones–, que participaban de una ceremonia ritualizada junto a grandes banquetes y ofrendas de regalos que concluían con un articulado que establecía las normas del juego fronterizo y el reconocimiento de vasallaje al monarca español. Con el tiempo, este corpus contractual se convirtió en un estatuto fronterizo que consagraba igualmente la representación mapuche-araucana tras su presentación ante la autoridad hispana delegada en el territorio. Posteriormente, durante los reinados de Carlos III y Carlos IV, la visión ilustrada llevó al descubrimiento científico del indígena, al conocimiento del medio y a una política integradora encaminada a preservar aquellos espacios de la amenaza exterior mediante ideas de asimilación cultural y su control práctico bajo soberanía española. Esta etapa de los dos Carlos es la que ha centrado nuestra atención, respecto al primero las razones son tan obvias como su protagonismo a la cabeza del reformismo borbónico ilustrado. En relación a su hijo, a pesar del pánico de Floridablanca ante la deriva de los sucesos revolucionarios franceses, las reformas tuvieron durante su reinado hasta 1808 cierta posibilidad de implementación y, sobre todo, de comprobación de sus resultados. Además, se trata de periodo relativamente olvidado por la historiografía y que es preciso poner en valor, apremio mayor en Indias. La imagen colectiva del indómito y resistente araucano es fruto del sistema de valores y creencias compartidos por los colonizadores españoles y transmitida a la historiografía posterior, sin olvidar su gran proyección literaria. La visión del "otro" difería de la realidad pues estaba condicionada por el subjetivismo y limitada por la dificultad de percibir una cultura en construcción que, por otra parte, tomaría carta de naturaleza precisamente gracias al observador ajeno. Observaremos en nuestro estudio a los grupos genéricamente englobados bajo la denominación de araucanos por parte de los conquistadores, extrapolando una singularidad a un conjunto de familias étnicas que quedaron arrinconadas al sur del Bío-Bío, en la zona de contacto fronterizo desde la Araucanía hasta la isla grande de Chiloé. Con pautas culturales sedentarias agropecuarias en estadios poco evolucionados y comportamientos que iban del enfrentamiento abierto con los españoles a la alianza o entendimiento, pasando por las actitudes ajustables según la coyuntura. Muy brevemente, estos son los grupos de nuestra atención: huilliches, con cierto desarrollo cultural agrícola y ganadero, además de la pesca en torno al archipiélago chilote, límite frente a los juncos o cuncos. Los mapuches, reacios a la colonización y enemigos de los hispano-criollos, que con el tiempo y por medio de cauces indirectos quedaron englobados en el mundo mestizo de la frontera. Por otra parte, los pehuenches u hombres del pehuén, fruto o piñón de la araucaria con el cual elaboraban una harina base de su alimentación y fácil de transportar en sus desplazamientos por ambas bandas cordilleranas. Asentados en la zona centro-sur y desplazados progresivamente hacia el sur y la Cordillera, eran recolectores y cazadores que atravesaban los Andes en dirección a los grandes espacios rioplatenses donde se les conocía por indios pampa araucanizados. La incorporación del caballo aumentó su área de desplazamiento e incidió en sus pautas nómadas. Se dedicaban a la venta de sal, animales y manufacturas de piel, fueron aliados de los españoles, especial y definitivamente a partir de las campaña de 1770. Otros grupos étnicos menores cualitativa o cuantitativamente son contemplados en relación a los anteriores. En conjunto, unos pueblos de diferente nivel de desarrollo sociocultural y contrastadas respuestas a la presencia española que, progresivamente, fueron uniformándose a ojos extraños por la aceptación del orden colonial cuando no implicándose en su mantenimiento. La percepción ilustrada del indio entre "bárbaro" y "buen salvaje", o los afanes del reformismo borbónico por integrar a estos súbditos díscolos definitivamente, se articuló en varias líneas de actuación: el poblamiento fronterizo, la transición de la guerra defensiva a ofensiva y los mecanismos de asimilación y encuentro dieron dinámica propia a una frontera extrema. Cabe recordar que el pensamiento antropológico de la Ilustración está en el origen de una visión clasificadora de otras sociedades humanas al diferenciarlas y situarlas, en su afán taxonómico, en la historia. Un tercer agente fronterizo en la América meridional englobaría la presencia europea: holandesa, francesa e inglesa fundamentalmente, también de centroeuropeos, situados fuera de la relación bidireccional español-indígena, ambos nominalmente súbditos de la Corona. La percepción europea ilustrada proporciona valiosa información sobre la visión externa de las relaciones y vías de integración, así como de los factores del rechazo, por encima de la impresión de la época centrada en la posible alteración del equilibrio y entendimiento forzado entre españoles e indígenas. Como sabemos, la segunda mitad del XVIII contempló choques reales o temidos entre las potencias europeas en América. Estas fronteras imperiales en expansión propiciaron el encuentro europeo en escenarios americanos, y los cambios o permanencias de soberanía que en el caso chileno quedaron en el pánico defensivo y la asunción de una geopolítica revalorizadora de la frontera por obra de sus potencialidades y de las amenazas políticas. Las relaciones de viajeros extranjeros que no compartían la escala de valores de eclesiásticos y militares españoles o criollos afrontaban la conducta indígena desde otras perspectivas. Su formación científica ilustrada, el espíritu crítico y la desvinculación con el medio social indiano les llevaron a otra valoración complementaria de las interrelaciones. La frontera meridional chilena fue objeto de atención por la metrópoli en una doble vertiente: la problemática doméstica y la amenaza exterior. El control del territorio y el definitivo abandono del statu quo que había permitido en la práctica, parcialmente, el desarrollo en paralelo de ambas comunidades dejaron paso finalmente, merced al contacto continuado, a una nueva realidad en aquel espacio. En segundo lugar, por la urgente defensa del territorio amenazado por los ecos revolucionarios franceses y las ambiciones inglesas de asentamiento, es decir, la proyección americana del juego de relaciones políticas europeas. Por otra parte, actuó como factor endógeno de la sociedad hispanochilena la percepción del mundo fronterizo no solo como un elemento diferenciador, sino como un cauce u oportunidad de servir al rey y cimentar un cursus honorum. La vida militar y la carrera político-administrativo propiciaron la movilidad social ascendente de unos hombres que, con espíritu ilustrado, quisieron reformar y racionalizar las estructuras de gobierno y administración. En repetidas ocasiones el paso por la capitanía general chilena fue fase previa a la promoción al virreinato peruano y momento de aplicación de políticas de infraestructuras y desarrollo regional. La fidelidad jugó un papel importante en aquel distante territorio y se plasmó en imágenes colectivas de lealtad. Volviendo a la realidad fronteriza desde Chile, un aspecto básico es el intercambio cultural entre agentes donadores y receptores en ambas direcciones. Tras el choque, los agentes fronterizos entraron en un largo periodo de contacto que terminó originando con sus múltiples transformaciones un cambio cultural. Una nueva cultura de frontera surgió en base a unos parámetros de comportamiento social compartidos relativamente por indígenas y españoles. El proceso de aculturación, sostenido en el tiempo pero con fases de aceleración y de estancamiento, va más allá de la mera integración del indígena en las pautas socioculturales españolas. Los métodos de los misioneros por asimilar o de los agentes de la administración civil y militar por controlar difieren no sólo por el diferente talante de las órdenes religiosas o de los funcionarios, sino por los momentos de actuación. La frontera era vista también desde la metrópoli. Una visión que podía llegar por los informes de hombres de frontera plasmando sus experiencias y aportando sus remedios, por los miembros de las múltiples expediciones ilustradas preocupados en el avance científico y la conservación del territorio o por las propuestas oficiales de la práctica de gobierno fronterizo. Gobernantes reformistas afrontaron la inclusión de la alteridad y la integración del limes chileno como prioridad, lo que alteraría la visión tradicional del otro e incluso de sí mismos. El estudio del hecho fronterizo chileno implica una gran complejidad metodológica respecto a la investigación a ambos lados del Atlántico y el cruce de testimonios. Asimismo, respecto del establecimiento de unas notas comunes y diferenciadoras que al tiempo que inserten el fenómeno en la casuística indiana y lo singularicen, presenten un análisis dual y paralelo de dos comunidades de desarrollo sociocultural dispar que chocan en un mismo espacio físico, que está vivo, en movimiento y flujo constante por la presión de la cultura donadora y que origina la resistencia de la receptora que merced a los elementos de integración queda asociada a una misma realidad compartida. La variedad de visiones y tiempos en la evolución de las mismas trae consigo la multiplicidad de relaciones que debemos observar y contrastar en sus testimonios. A la información de los españoles y criollos se suma la presencia de agentes externos a los vínculos originarios hispano-indígenas. Además, unos y otros ofrecen una división interna a tenor de sus intereses. Autoridades, militares, misioneros, colonos se relacionaban de distinto modo con el indio según sus objetivos. Incluso un último nivel de complicación lo ofrece la pertenencia a una u otra orden religiosa, al origen del gobernante o a la misión del extranjero. No cabe duda de que los métodos misionales diferían no sólo por la marcha del tiempo, sino por la pertenencia a la orden seráfica o ignaciana, por ejemplo. De igual modo, un gobernante o militar español no percibía el mundo indígena como lo hacía un extranjero, también dependía del tiempo de permanencia y grado de adaptación al país, y diferente visión ofrecía el criollo al peninsular. Por último, está la problemática de la visión del mapuche-araucano acerca del español. Si bien por condicionantes de su desarrollo cultural no contamos con textos directos, sí pretendemos analizar los testimonios indirectos de los misioneros, defensores del indio y compiladores de sus tradiciones, así como de los extranjeros que tomaron nota de su situación, quejas y actitud ante los hispanos. Además, debemos partir desde la percepción del propio pasado, es decir, desde el sistema de valores culturales y de conducta de los grupos que interactuaron en la frontera. Se hace imprescindible una consulta documental contrastada de opiniones diferentes sobre una misma realidad múltiple para intentar reconstruir los valores y patrones socioculturales de la dinámica fronteriza. La documentación archivística oficial ha pasado ya por un primer tamiz de elaboración consciente por el informante que ha transformado la realidad según el destino de la misma e incluso su valoración personal de los hechos; por ello debe filtrarse mediante la interpretación metodológica. Por el contrario, la información primaria que se originó sin fin prefijado, fruto de la interacción sociocultural fronteriza y con la finalidad de canalizar las relaciones entre comunidades, lo que no evita la exégesis, sí posee el valor de una relativa espontaneidad. Con la investigación sobre el indio de la frontera meridional chilena durante el siglo XVIII pretendemos adentrarnos en la realidad nativa por sí misma y en relación con la visión que tuvieron del mundo indígena los ilustrados españoles –peninsulares o americanos– y los europeos. En nuestro análisis utilizamos complementariamente los métodos del historiador y de la antropología, más exactamente la etnohistoria, mediante la consulta de numerosos repositorios archivísticos europeos y americanos y de una amplia bibliografía especializada, producto de la historiografía atlántica. Nuestra idea-clave es "frontera", entendida como marco físico y mental de confluencia de sociedades con niveles socioculturales dispares. Creemos que este concepto aporta una visión global del proceso superadora de mitos historiográficos y análisis compartimentados. Por otra parte, el estudio en secuencia de tiempo medio, permite valorar las continuidades; y lo que es más importante: los cambios. Pasar de una imagen de indio rebelde y de resistencia secular a otra en la que termina integrándose cuando no colaborando con los españoles. Tras un primer choque se establecieron mecanismos de relaciones en ambas direcciones de las que surgió una cultura de frontera que era fruto de la aculturación y del contacto prolongado y pacífico, aunque con episodios bélicos. Además, la historiografía chilena mantiene una visión más centrada en el marco geográfico concreto y en los agentes que actuaron en el mismo. Pensamos que desde una perspectiva mucho más amplia se observa la frontera en toda su dimensión en cuanto a espacio, actores y líneas de investigación, lo que enriquece el estudio histórico del área. Igualmente, la comparación entre fronteras meridionales y septentrionales permite situar en sus justos términos lo común y lo original local. De nuevo la historiografía chilena es reticente a los análisis comparativos indianos, lastre que actúa en la mayoría de los países hispanoamericanos e impide estudios de conjunto. Nuestra proposición contempla la frontera chilena del Setecientos, que ya ha superado el conflicto de centurias precedentes, dejando paso a un nuevo y consolidado sistema de relaciones políticas, económicas, sociales y culturales. Los parlamentos, las fluidas y complementarias relaciones comerciales, y los elementos culturales donados mayoritariamente por los españoles y adoptados por los indígenas, confirman un mundo de intercambios que dejaban atrás la dinámica de enfrentamientos. La sociedad mestiza de frontera, resultante de la confluencia del aporte hispánico y la herencia amerindia, gracias al conocimiento mutuo propició la síntesis de culturas en un espacio fronterizo. Como fenómeno complejo y en evolución, se dieron variadas actitudes indígenas desde la resistencia a la alianza. El mundo mapuche estaba fragmentado y en muchas ocasiones enfrentado. Las valoraciones de los ilustrados reflejan una nueva concepción del indígena y del medio. Las estrategias de subsistencia y las realidades políticas y socioculturales evidencian fenómenos de continuidad y de cambio que van a ser considerados de diferente forma, según los intereses del observador. Las interpretaciones, aun teniendo un común denominador, responden a una rica variedad de testimonios que cruzados fraguan una imagen del indio y una frontera novedosa en relación a siglos anteriores. La obra de misioneros, militares y gobernantes que con un nuevo prisma observaron al araucano, iba encaminada a la evangelización del indio, pero igualmente a su hispanización, entendida como transmisión de pautas de comportamiento social e individual: el sedentarismo que superara el nomadismo, rasgo claramente "bárbaro" a ojos ilustrados; la inclusión de los indígenas como vasallos efectivos de la monarquía y el control territorial soberano frente a la injerencia de potencias rivales. Todo ello configura un marco de nuevas relaciones. Las visiones confluentes de españoles y otros europeos acerca de la vida material y creencias araucanas desde la crítica ilustrada de la realidad, ofrecen además de un balance de recuperación etnográfica, un panorama de las propias creencias por contraposición a las ajenas. De hecho el "otro" sirvió para definir y tomar conciencia del "yo", pues la noción de diferencia o alteridad implica la de mismidad. No obstante, los comportamientos indígenas quedan matizados por el descubrimiento científico del hombre y su entorno, lo que revaloriza su papel y la necesidad de su conocimiento e integración. La visión del "otro" resulta mucho más enriquecedora y novedosa con la Ilustración que la mera observación del indio de frontera desde postulados de conflicto. Pretendemos igualmente observar el estado de la cuestión del hecho fronterizo chileno y su aportación a la conformación de su identidad y mitos nacionales. Una aproximación sin apriorismos condicionantes consagrados por el transcurso del tiempo, los cuales además deben ser matizadas a la luz de los resultados de la investigación histórica y antropológica sobre el papel del indígena en la sociedad colonial. Nuestra principal contribución va en la línea de reivindicar el espacio fronterizo chileno como un territorio de confluencia e intercambio, superada la visión de choque continuado frente a la complejidad de un fenómeno mucho más rico y cambiante. Respecto del indígena, se trata de rescatar la diversidad de sus respuestas y las valoraciones de los ilustrados que plasmaban esa nueva realidad desde premisas novedosas. Interrogando a los testimonios de españoles y extranjeros sobre sus estrategias de subsistencia, realidad política, estructura social y valores o patrones culturales, podremos captar las continuidades y los cambios de los aborígenes. Así como también las transformaciones en las visiones de los observadores europeos. Abordamos el análisis fronterizo desde un enfoque centrado en la existencia de varias fronteras a tenor de su propia evolución y de las distintas visiones de la misma, tan dispares como los intereses y objetivos de militares, civiles, pobladores o misioneros españoles y criollos; las actitudes de indios amigos o enemigos; y las percepciones de ambos por los extranjeros. Por encima de la frontera imaginada, la frontera real fue un proceso de confluencias y aportes variados que permite una clasificación tipológica gracias a su abundante casuística. Las visiones e interpretaciones del fenómeno fronterizo no se oponen, sino que se complementan; aparentemente cada una fija su atención primordial en un aspecto pero entre todas conforman un acercamiento al hecho fronterizo, un intento por vislumbrar sus complejas interrelaciones. Analizar la frontera chilena ilustrada en razón del cambio de percepción de la misma por parte de todos sus agentes puede ayudar a comprender los elementos de continuidad y su dinámica de cambio. Además, un enfoque maximalista de sus protagonistas y espacios puede superar tópicos anclados en una visión reduccionista. La frontera chilena temáticamente se ha circunscrito a la relación hispano-indígena, pero fueron más los agentes histórico-sociales que intervinieron y es necesario contar con sus testimonios; por otra parte, los marginados de la sociedad colonial o los indios amigos de la misma en cuanto agentes culturales de intermediación merecen atención con la finalidad de estudiar los puntos de conexión que terminaron imponiéndose en la vida cotidiana. Examinar el área y el fenómeno fronterizo interpretando su dinámica sociocultural propia partiendo del sistema de valores de las sociedades en contacto y del marco físico como condicionante en cuanto a la adaptación cultural del hombre al medio. Este enfoque nos podrá poner en el camino de la comprensión global de la frontera, física y humana, en cuanto espacio y proceso. Se trata de observar la frontera como territorio y como proceso desde variados puntos de vista, no sólo desde América sino también desde España, con un horizonte que contemple la diversidad indígena y sus respuestas al impacto o choque cultural; así como las relaciones que se establecieron y los resultados de las interacciones. El tiempo ilustrado resulta el más adecuado para hacer balance de las continuidades y de los cambios y fijar la naturaleza de la frontera y sus actores. Además, ese tiempo histórico presenció un intento planificado y general de ocupación de espacios no sólo por motivos internos de la sociedad colonial en articulación con el mundo indígena fronterizo, sino también por la presión de los extranjeros. El interés ilustrado por el indígena y el medio americano ofrece una abundante posibilidad de consulta documental de múltiples orígenes y finalidades que describen e interpretan desde la etnografía o la ecohistoria. Además, durante el siglo de la Ilustración y el reformismo se aplicó una política indiana que interrogaba al otro e instaba a su asimilación, reconocida ya su variedad étnica y en proceso de formación científica de su nueva imagen. La defensa y ocupación de la frontera, la relación directa con el indio y la convicción como instrumento de integración son elementos de una política de frontera ilustrada que en el caso chileno discurre por un pactismo entre comunidades de diferentes niveles socioculturales. A pesar de la supremacía española sobre la indígena en la segunda mitad del siglo XVIII, se busca no sólo el acatamiento de los postulados impuestos en los parlamentos sino también su reconocimiento como medio para solucionar conflictos y lograr la definitiva pacificación. La diplomacia no se desgajó de la acción a sangre y fuego cuando se consideraba necesario, pero sí ocupó un lugar importante en el entramado de relaciones. Posiblemente esta política intencionada y continuada de parlamentos o encuentros, de facto institucionalizada en medio de ceremoniales, reviste importancia no únicamente como paradigma de acercamiento y conocimiento, sino como vía compartida de resolución de conflictos y ejemplo extrapolable a otras fronteras americanas de parecida problemática étnica y espacial. De ahí que el estudio de los mecanismos desplegados en los parlamentos nos resulte una línea de trabajo primordial y base de hipótesis sobre la confirmación o negación de estos instrumentos político-jurídicos como ideas-fuerza para interpretar las relaciones fronterizas. La historia de la frontera chilena bajo el reformismo borbónico es, obviamente, una historia de contactos que se inician con la conquista y que van a tener una larga vida y amplia proyección. Una frontera dinámica que retrocede al empuje cambiante de los colonizadores, donde la confluencia de los protagonistas colectivos fue temprana y rápida para ralentizarse y alcanzar el estancamiento después. Al centrarnos en la etapa de finales del siglo XVIII buscamos el objetivo de interpretar la frontera cuando toma dimensión propia como espacio objeto de atención y adquiere ya unas características que le otorgan una marcada personalidad. ¿Podemos considerar sus parámetros culturales y sociales como herederos de la implantación hispana al tiempo que legatarios de los usos y costumbres de sus habitantes nativos? ¿Se observan elementos de continuidad que ceden ante los factores de integración que paulatinamente se van imponiendo? Los cambios traen en todo caso una nueva sociedad original y mestiza que tiene sus raíces en lo que un día fue un choque y que por obra del contacto prolongado y el progresivo conocimiento del "otro", plasmado en varias visiones, percepciones e interpretaciones, se transforma en un espacio sincrético fruto de un proceso de aculturación; enfoque global que consideramos nuestro verdadero objetivo. Como concepto básico y transversal del marco teórico y metodológico hemos situado la idea de frontera, en cuanto a espacio y proceso al mismo tiempo. Partimos de una introducción conceptual y metodológica acerca de las realidades de frontera y su dinámica, naturaleza y alcance; estableciendo puntos de convergencia y de divergencia en el marco de un tratamiento comparativo entre las fronteras a nivel universal y las fronteras indianas en particular. La teoría de las fronteras centra su atención en la periferia distante y marginal respecto al centro de poder metropolitano, de ahí la diversidad de enfoques según se contemple la frontera desde América o España. En todo caso nos parece que ambos proporcionan una visión complementaria. Como consecuencia de las premisas anteriores, utilizamos el método histórico stricto sensu: planteamiento de objetivos e hipótesis de trabajo, prospección archivística, selección, crítica, análisis e interpretación, para finalmente llegar a unas conclusiones fruto de la investigación que validen o no las hipótesis planteadas; de igual modo contamos complementariamente con los instrumentos de la etnohistoria como método. Establecemos tres tiempos que nos permiten analizar la evolución de la frontera sur chilena, en proximidad creciente Estos se corresponden al choque inicial entre españoles y araucanos, a los primeros contactos relativamente pacíficos y reglamentados, y al cambio cultural operado desde entonces y que desembocó en una nueva realidad. En cuanto al tiempo, se insertan sin delimitaciones precisas en los tres siglos de presencia española. Como ya hemos señalado, el momento histórico privilegiado por nuestra investigación es el siglo XVIII, con especial hincapié en su segunda mitad, por lo que dentro del período colonial la época ilustrada se nos presenta como la más acertada para establecer balances generales, y no sólo por la simple cronología, sino sustancialmente por la transformación de actitudes de los españoles y criollos y de los araucanos. Además, los fenómenos de continuidad y cambio, como hilo conductor de la investigación, muestran sus resultados coincidiendo con los prolegómenos de la Independencia. Respecto al cuerpo de la Tesis Doctoral y su contenido, queda estructurado en dos partes bien delimitadas en tres capítulos cada una, pero con una continuidad tan clara como necesaria: el medio físico y humano junto a las políticas de inclusión. Además, consideramos imprescindible que junto a la introducción y conclusiones figure un glosario de términos araucanos y un apéndice documental e índice gráfico, pues hemos prestado especial atención a las representaciones iconográficas y a la cartografía. Nuestro trabajo se estructura en seis capítulos, si bien el todo es más que la suma de sus partes. En primer lugar abordaremos el marco físico de la frontera meridional pacífico-americana en sus dos escenarios básicos: continental o Araucanía e insular o archipiélago de Chiloé. Poniendo énfasis, según ojos ilustrados, en sus recursos. Seguidamente, los grupos indígenas y sus divisiones internas, así como sus imágenes y representaciones por medio de la indumentaria y el lenguaje. Sin olvidar el contexto conceptual y metodológico acerca de la realidad fronteriza e indígena y su tratamiento por la historiografía chilena que nos introduce en la temática de la identidad y la variedad de corrientes historiográficas y líneas de investigación. Del mito configurador de la nacionalidad al estudio del paulatino roce que generó una realidad nueva alejada de simplificaciones. A continuación, las visiones cercanas y extrañas de la alteridad y los procesos socioculturales de integración frente al rechazo. En el cuarto capítulo, abordamos el cambio en la percepción del indio que de "salvaje" se pretende pase a "vasallo", y los esfuerzos del reformismo ilustrado fronterizo, teórico y práctico, por absorberlo. Todo gracias a una nueva interpretación del "otro" por parte de los misioneros y políticos ilustrados, fruto del pensamiento, las necesidades y los temores a la incursión foránea. La necesidad de su integración efectiva en la Monarquía mediante mecanismos simbólicos y estrategias de asimilación varias, entre las cuales destacamos el papel de las mujeres y agentes de mediación intercultural. También la obra evangelizadora de frontera llevada a cabo por jesuitas y franciscanos que, junto a las poblaciones y los caminos que reorganizan el espacio fronterizo, articulan las relaciones con el indígena. En el panorama de fronteras imperiales en expansión y su nuevo papel en las rivalidades europeas, no se puede soslayar la secularización de la frontera desde finales del siglo XVIII. Por último, la estratégica plaza de Valdivia, como paradigma central entre las dos fronteras septentrional y austral, la proyección transitoria del levantamiento andino tupamarista en la frontera de Concepción y la interacción étnica pactista vía parlamentos, especialmente útil a la hora de confirmar o no hipótesis de trabajo. Finalmente, la selección bibliográfica nos ayuda a entender un tiempo histórico concreto y nos sitúa en el estado de la cuestión. Así pues, respecto a las investigaciones precedentes, partimos de una bibliografía que encuadra el tema en su contexto histórico y nos presenta sus aspectos más amplios y esenciales, para acudir, posteriormente, en busca de una visión más profunda a una bibliografía especializada. Respecto a las fuentes utilizadas corresponden a archivos chilenos, peruanos y españoles, entre otros, en una amplia variedad documental, cruzando documentación de diversa procedencia y que, complementariamente, proporciona la base de este acercamiento a las fronteras chilenas del siglo XVIII tardío. Enfoque interdisciplinar y análisis que se nutre de miradas cruzadas locales, regionales y metropolitanas en íntima conexión con el contexto europeo y americano, siempre en línea con la renovación historiográfica de la denominada historia atlántica. El apartado de las siglas utilizadas en la presente Tesis Doctoral pone de manifiesto la gran variedad de fondos documentales y diversidad de instituciones archivísticas consultadas, casi siempre in situ, ya fuera en España o América. Tales fuentes han permitido profundizar con material inédito en el objeto de nuestra investigación, que continúa abierta y sujeta a crítica. Por último, aportamos una breve selección, pero significativa, de textos en el Apéndice Documental en orden cronológico y un índice de las ilustraciones que apoyan el texto y refuerzan su contenido de modo visual.

Issue 8.5 of the Review for Religious, 1949. ; .-~ - -SEPTEMBER P~qcjress ~hroucjh Thankscji~.in~ d~m onsecrat=on to ar . -. -. . ,~ Robe~Li opp _ Books as SpirituDairl~ cfors_ . J.H. Dunn R i::VI i::W -!:::0 R I::: E I G IO US VOLUME VIII . SEPTEMBER, 1949. NUMBER CONTENTS SPIRITUAL PROGRESS THROUGH, ACTIVE THANKSGIVING -" Ciarence McAuliffe.'S.3 . " . . : 225, REPORT TO ROME--Adam C. Ellis. S.d~ . VOCATIONAL LITERATU"'~ ~R -E .~.,". . -: . ! 240 ADM~ISSION OF ORIENTALS INTO LATIN INSTITUTES " " doseph ~.~Gallen, S.d. ; . 241 ~O,TAL CONSECRATION TO MARY BY ~OW-- Robert L/. Knopp. S.M . ~ 254 BOOKS AS SPIRITUAL DII~.ECTORS--d. COMI~IUN I C A T I O N S " ~\ . ~., . ¯ . 268 QUESTIONS ANb ANSWERS-- 35. "Toties quoties" Indulgence in Convent Chapel . '~ . 270 36. Recdption and Profession on Same Caldndar Day ,. ." . . 2-71 ~-37. Safeguarding Secrecy of, Elections . ~ . * . -. .~ 271 "38.Changes in.Prayers and "Legal Articles" of Consutut~ons . "~. . 272 39. Right to Say Funeral Mass of Sister . ~BOOK ~ 'REVIEWS-- The Little Office of the 'Blessed Virgin: The Veil. Upon the Heart: ;., De La Safle. a Pi6neer of Modern Education' . BOOK NOTICES . : ¯ . ~'. . 277 'BOOK ANNOUNCE~MENTS .¯.' . ~ . 278 REVIEW FOR RELIGIOUS, September, 194'9, Vol.' VIII, No. 5. P.ublished bi-monthly : 3~nuary. March, May, July, September, and No,cember at ~thd College PresL 606 Harrison Street, Topekdi, Kansas. by St. Mary'sCotle.ge, St.-Marys0 Kansas," wi.th,ecclesiastical approbation.~ Entered as second ~:lass matter danu~.ry 15, 1942. at the Post Office, Topeka, Kansas. under theact of March'3"~1879. " ~Editorial Board: Adam C.°E!I~is._S.J. G. Augustine Ellard. S.d. Gerald Kelly. S.J. Editorial Secretary: A~fred F. Schneider, S.d, CoPyright, 1949, by Adam C. Ellis. Permission ii~hereby granted40~ quota~io~ns of reasonable-length/ provided due credit be given~ this review': and the author. Si~bs,cription price: 2 dollars a y~ear~ ~ : Printed in U. $~ A. Before wrltincJ to us, please consult notice on 'inside b~ck cover . Spiri :ual Progress Through Active Thanksgiving ~ Clarence McAuliffe, S.J. THAT a spirit of thanksgiving is one of. the basic threads in the '| fabric of Christian virtues is clear.'from various theological sources, but especially from the let!;~rs of St. Paul. In thirty-five different ~exts the Apostle of the Gen files either expresses thanks to God for persohal favors received or urg, for benefits to themselves. He asks the "What hast thou that thou hast not re received, why dost thou glory as if thou admonishes the Colossians (Col. 3:15.) : rejoice in your hearts, wherein also you "be ye thankful." To the Ephesians he tion (Eph. 5:20): "Giving thanks ah name of our Lord ,Iesus Christ, to God th ~'s his readers to thank God '.orinthians (I Cor. 4:7) : rived? And if thou hast hadst not received?" He iAnd let the peace of Christ e called in one body: and aakes a sweeping exhorta-ays for all things, in the Father." Undoubtedly priests and religious do harbor in their souls an abiding spirit of gratitude to God. Moreover, they do not allow this virtue to remain in a purely passive condition, since they are ca'lied upon to exercise it every day. They make a thanksgiving after Holy Communion; another, after meals. They begin their examinations of conscience with an act of thanks. At every Mass they express their gra'titude to God, since gratitude is one of the four purposes that are infallibly achieved by every unbloody immolation of the Savior. Granted, then, that religious and priests d,o make certain acts of thanksgiving, even though they may be dulled by that common ene-my routine, it would, nevertheless, be conducive to spiritual advance-ment if those consecrated to God were more actively thankful. A few considerations may show why this is true and provide inspira-tion for its accomplishment. Even natural gratitude is a winning virtue, and we find its exer-cise praised and inculcated even bY pagans. Mothers are rare who do not, instruct their children to say "Thank you." How.ever, the gratitude with which we are concerned is supernatural. It is based on faith; it is activated by co-operation with actual grace, and it merits an eternal supernatural reward if the conditions for merit are veri-fied. But it-~does not conflict with natural gratitude. In fact, its 225 CLARENCE MCAULIFFE Reoiew for Religious psychological effects and its outward manifestations will be very much the same, and this truth should be borne in mind. Yet it is radically and intrinsically superior to natural gratitude because it can be obtained and exercised only by God's helping hand, and it leads to a reward far transcending the natural capacities of man. The thanksgiving of which we speak, therefore, is a super-natural virtue that inclines us to acknowledge and recompense the gifts that come to us from God or from another person under God. The virtue becomes alive when we say prayers or perform acts. that are motivated by the virtue. It is true, of course, that this virtue is not as lofty in dignity as the virtue of perfect love of God. Since, however, .it is easier for the average religious to act from a spirit of thanksgiving than from perfect love, and since the exercise of thanks-giving is an open door to perfect love, this virtue is worth culti-vating for its own sake. By making acts of thanksgiving to God, we practice a form of the more general virtue of religion. When we make such acts to parents or other superiors under God, we exercise one species of the virtue of piety. If we render thanks to our equals, we exercise one aspect of the virtue of justice. It is worth remem-bering that when we give thanks to superiors or equals for their favors, we can nevertheless exercise the supernatural virtue of grati-tude. ¯ We thank God by thanking them because we know by faith that they themselves are gifts of God to us. In order to realize more vividly how the exercise of supernatural gratitude can promote spiritual progress, it might be well to rdflect briefly on the energizing effects of merely natural gratitude. Suppose we recall some definite occasion in the past when we were briskly stirred by the emotion of thanksgiving. At one time or another we may have been thoroughly mean and .cross-grained "towards someone who had a full right to our love. : If that person was a parent.or teacher or superior, he might have rightfully punished us for our meanness. But he did not. He passed it over, never mentioned it, treated us as though we had done nothing wrong. Gratitudh surged up spontaneously in our souls." Or we might remind ourselves of that occasion when death visited our home and we were consoled by the visits and condolences of so many people. We were stirred by an active gratitude to them." Or, if we have not had such experi-ences, we might remember any other: the time that the doctor or a neighbor, at great personal inconvenience, lent us assistance when we needed it badly; some occasion.such as Christmas or graduation, 226 8epternber, I ~4~ PROGRESS THROUGH THANKSGIVING when parents and friends showered us with gifts. All of us have had these or other experiences in our lives when our natural gratitude was stimulated to a high peak of activity. Having recalled some such occasion from the past, we need not make any profound study of psychology to recall also the natural concomitants of that active spirit of thanksgiving. In the first place. we certainly looed our benefactor or benefactors. They had been good to us, and we by a praiseworthy natural reaction wished good to them. We resolved never to forget their kindness. We would be loyal to them and they would be the objects of our praise, never ot~ our blame. Secondly, the gratitude we felt prompted us to refrain from criticism not only of our benefactors, but of others als0. It even prompted us to disregard various circumstances that chafed us in one way or another. It made us satisfied with our lot. Thirdly, ,are were conscious of a spirit of humility. We realized that we had been treated far better than we deserved, and this realization put us in proper focus towards God and all men. Fourthly, we found that our active gratitude enkindled a special reverence towards our bene-factors. Fifthly, we were drawn out of ourselves and were inspired to do,good to others, even to those to whom we were in no way obligated. Finally, we recall that. on these occasions of animated thanksgiving our,souls expanded with joy. The whole world took on a different hue, and our hearts beat faster. A mere superficial glance at the psychological effects of a living thanksgiving reveals the truth of all this, and, be it remarked again, the manifestations of supernatural gratitude will be substantially the same as those of the natural virtue. .If, then, at diverse times in our lives we were so thankful for single gifts bestowed upon us by mere human benefactors, what should be the extent of our active gratitude to God? The degree of gratitude due a donor is measured partially by the number and kind of gifts received. And is it not a fact that we owe every single thing we have or ever will have to the munificence of Almighty God? In the purely natural sphere, my very presence in this world as a living person, drawn from the chasm of utter nothingness, is the result of God's generosity. It is the sustaining hand of God that keeps my soul and body united at every instant. I oannot even take a breath or blink an eye without His help. Every talent of my soul, every power of my body is a present with God's name written on it. My friends, my country, all the circumstances of my past, present, 227 CLARENCE MCAULIFFE Reoiew /'or Religious and future life are so many tokens of God's liberality. Even the physical and mental sufferings that come to me are His benefits and will redound to my good if I use them properly. Moral perversity is the only (hing that I can claim as my own. All this we know by our faith; we know it even by reason; but it has a hard time holding its footing on the slippery foreground of our consciousness. Moreover, these natural gifts are mere shadows when compared with the supernatural favors God has bestowed upon us. Our Catholic faith, our priestly or religious vocations are the result of God's thoughtfulness and labor. We have but a misty notion of sanctifying grace, but we know that it is in some ineffable manner a sharing in God's own nature. Besides, not an hour of the day goes by but God manifests His personal concern for each of us by enlight-ening our minds and fortifying our wills with His actual graces. Again, the sacraments are so many rivers flowing down from the cross on Calvary to irrigate the world with both sanctifying and actual graces. Indulgences, sacramentals, intellectual guidance, spir-itual consolations are but gifts of God delivered to us by the Cath-olic Churdh. Our dignity surpasses powerful monarch because we are the Ghost and the adopted children of liberality;. It is also worth remembering that, are conferred upon all or many men that of the world's most living temples of the Holy God Himself through His though some of God's gifts equally, most of them are decidedly individualistic, earmarked for me personally either by their very. nature or by the manner in which they are presented. For instance, the providence which God exercises towards me differs from that which He exercises' towards anyone else. I had fny own distinctive parents. I have my own distinctive qualities of body and soul, and my 9wn special circumstances of life. The touches of God upon my mind and heart by actual grace are adapted to my special needs and are tinged with His thoughtfulness of me personally. God worked out my vocation by a series of external circumstances and internal helps that were verified in no other case. Only in heaven will I realize the vast number of gifts that God addressed to me personally, but a little reflection will reveal some of them even now. This reflection will be time well spent since it will sharpen my active spirit of thanksgiving. So much f6r the number and kind of God's gifts. We are literally walking bundles of God's benefits. It should fill us with 228 September, 1949 PROGRESS THROUGH THANKSGIVING humility to realize that at times we are so briskly grateful to some human benefactor for a single favor whereas we are s.o sluggish in expressing our appreciation to God, the "Source of all blessings." However, gratitude should be m'easured not only by the number and kind of gifts received but also by the nobility of the giver. On this score also our thanksgiving to God should be intensified. Other things being in balance, we appreciate more a present from a superior than one from an equal. The modern craze for autographs rests upon this principle. We are not personal acquaintances of either the Holy Father or his secretary, but we would value more a rosary sent us by the Holy Father than we would the same rosary given us by his secretary. If, then, on various occasions we have been impelled to active gratitude because some other person has been generous towards us, what should be our active gratitude to God, the Lord and Ruler of the universe and the Father of us all? One other factor enters into the degree of gratitude that we owe another. It is the intention of the giver. The greater the love of the donor, the'more heartfelt should be our appreciation for his gifts. "The gift without the giver is bare." The nobleman who tosses his unfeeling coin to the'beggar at the castle's portal is a benefactor, but not a lover. He deserves thanks; but not very much, because he does not give himself in his gift. His coin, no matter how precious, does not symbolize any self-giving. So necessary is this disposition of love on the part of the giver, that a present bestowed out of unal-loyed selfishness, for instance, solely to obtain some favor from the recipient, really merits no thanks at all. It would probably be correct to say that those people who by their kindness really activated our natural gratitude in the past were motivated by a personal regard for us, a love more or less intense. But even so, their love cannot compare with God's when He com-municates His gifts to us. God is never ~imply a benefactor. He is always the supreme lover, and this spiritual truth is manifested strikingly in some of His gifts. Consider, for example, the gift of sanctifying grace. By it we are in some mysterious way made "sharers in the divine nature." It is the seed of the future flower of the beatific vision wherein we shall one day be enabled to perform in a finite way acts of knowledge and love that properly belong to God alone. No creature by its natural powers could ever behold God intuitively and experience the ineffable love and joy that follow upon that knowledge. In short, sanctifying grace is not only a symbol of 229 CLARENCE MCAULIFFE Ret~ietO for Religious God's desire to give Himself, but it is an actual giving of Himself in as far as it is possible for Him to do so. It is evident that God could not possib!y assimilate us into His divinity. " The result would be paiatheism, Which would conflict with His infinite perfection. But by sanctifying grace He has conferred upon us powers that truly resemble His own. Again, this effort of God to give Himself to us as far as possible is revealed by His constant bestowal of" actual graces. These are outright gifts. By them God Himself stimulates our minds and wills. He illuminates our minds by endowing them with a bit of His own divine wisdom, and He spurs on our wills to do good by communicating to them a mite of His own power. If a blood donor saves our life, we are deeply.grateful. He has truly given up a part of himself. God is constantly renewing our spiritual forces by transmitting to us through actual graces tiny sparks of His own knowledge and might. Moreover, these visitations of God are frequent. They come many times every single day. They are directed to our welfare. They benefit only ourselves,.not God. No self-seeking mars God's activity in our souls. These graces are tokens of a perfect love that seeks only the good of the beloved, and by these graces we see with God's own light and we act with God's own power. Finally, we note God's loving intentions towards us in His gift of the Blessed Sacrament. By this marvel of God's omnipotence Our Lord becomes corporeally present, not merely in one place but in thousands throughout the world. He does not walk about now in His visible body to visit us in our homes, but He remains on the altar in an invisible manner so that we can walk to Him and con-verse with Him. Furthermore, not only has He blessed us with this gift of His abiding presence, but He comes to us daily in Hol'~" Communion, a tangible proof that He is not just a benefactor but an ardent lover. He literally gives us Himself for a short time every day in a union that transcends any possible union between mere human beings. Holy Communion, then, together with sanctifying grace and actual grace lends us some tiny ins.igbt into the flaming love that inspires God in all of His gifts to us. On all scores, therefore, we should be more actively grateful to God than to any human benefactor. We are indebted to God not for one gift or a thousand, but literally for everything. .Even the gifts of other people to us are in reality God's gifts. He is the 230 September, 1949 PROGRESS THROUGH THANKSGIVING ultimate source of all our blessings. Moreover, in dignity God the Giver excels infinitely all human donors. Then too, no human benefactor can possibly be motivated by the unbounded love of God as this is manifested particularly by His gifts of grace and the Blessed Sacrament. Yet despite all this we are at times deeply moved to gratitude by one trifling gift from another person, whereas our grati-tude to God remains ineit and lifeless. No doubt one reason for our lethargy arises from the fact that God does not visibly appear when He confers His gifts. We are so tied to our sense perceptions that our emotion of gratitude does not spontaneously react when we cannot sensibly perceive the donor. To counter this difficulty we should vivify our faith, since we know b.v faith (and also by reason) that God as a matter of fact does give us everything we have. A good reason for our failure to be more actively grateful springs from a selfish trait or quirk in human nature. When we recei~'e many gifts from another, our spirit of thanksgiving instead of waxing tends to wane. We tire of saying "Thank you." We begin to take favors for granted, or we even begin to look upon them as our right. We all know this from per-sonal experience, but we also realize that we should fight against this natural tendency not only in regard to God but also in regard to our human benefactors. Suppose, then, that by God's help we do manage to weave into our souls a rhore active spirit of thank, sgiving to Him. What bene-fits will accrue to our spiritual lives? To answer this we need only recall the benefits deriving from an active natural gratitude. First, an active supernatural gratitude will lead us to more intense love for God. In fact, such gratitude is one of the avenues that leads directlx." to perfect love for God, as all spiritual writers admit. Secondly, this energetic gratitude inspires us with humility towards God and towards our fellow meri. Realizing that we have been given so much despite the fact that we deserve absolutely nothing, we descend to our proper level with reference to God 'and our neighbor. Thirdly, such living gratitude, represses grumbling and criticism. The truly grateful man does not complain. He does not have his adverse com-ments to offer about every new regulation of his superior. He does not make the round of the community spreading cheap gossip about others. He is too grateful. This effect of gratitude is expressed by the poet, ,Josephine Pollard, in her poem "Grumble Corner": 231 CLARENCE MCAULIFFE Ret~iew got Religious And man a discontented mourner, Is spending his da~ls in Grumble Corner: Sour and sad, whom I long to entreat, To take'a house in Tbanks-gi~ing Street. Fourthly, this energetic spirit of thanksgiving will give us the right perspective on the circumstances that enter our lives. We will evaluate them correctly. We will not allow our minds to focus attention on minor irritations which, if unchecked, may upset our peace of soul for days at a time. The grateful recollection of the uninterrupted series of benefits flowing to us every minute from God's liberality will reduce such irritations to their right size.and keep our minds in proper balance. Fifthly, this vigorous gratitude to God will not permit us to forget our fellow men. It will impel us to do favors for others, and it will guarantee that these favors will be supernaturally motivated. Sixthly, just as the expression of natural gratitude wins more gifts from a benefactor, so an active supernatural gratitude brings down more favors from God, especially by augmenting the flow of His actual graces. ¯Lastly, and very important, this brisk spirit of gratitude, just like its natural counter-part, fills the soul ~vih joy. The grateful man is always happy, and this atmosphere of happiness, correctly understood, is indispensable for spiritual progress. Since God is the ultimate giver of all things, we purposely emphasize the value of active gratitude to Him. However, the exer-cise of this virtue towards Him does not exclude the propriety of 'exercising it also towards our fellow men. In fact, it would be spiritually profitable for us to say "Thank you" to others much more often than we do, always remembering that we are really thanking God even when we address our thanks to others. Various people contribute to our welfare every day by their services for our spiritual, intellectual, social, and bodily needs. These benefactors should be thanked, at least on occasion. It would be detrimental to spirituai progress for a priest or religious to adopt the viewpoint either explicitly or implicitly that those who provide these services ¯ are merely doing their job. True enough, such benefactors may have an obligation in conscience to perform some duty for us, and in some cases we may have a right to their service. But it would be profitable to remember that even the rights we have are gifts of God to us and that-all those, therefore, who minister to u~ in any way deserve our thanks. Among those who merit special and lasting thanks are 232 September, 1949 PROGRESS THROUGH THANKSGIVING superiors since they more than others supply our spiritual, intellec-tual, and temporal wants. ~ Just as with all other virtues, if we wish to develop our spirit of thanksgiving, we must practice it. This means a fight against our natural inclinati6ns. By nature we take favors for granl~ed. Even the child, model of sanctity in a general way, has to be taught to express gratitude. In order to exercise this virtue more energetically we might, then, make it the subject of our particulaz examination of conscience. It would be helpful, too, since we are dealing with a supernatural virtue whose exercise depends on the grace of God, to pray often for a gradual increase of our active thanksgiving. Finally, we may make progress in this matter by pr~ayerful reflection on the fact that God is our loving Father. Father Faber in All for Jesus has a lengthy chapter on thanksgiving, and he attributes our lack of spirit in the practice of this virtue 'mainly to our failure to reflec( prayerfully on the truth that God is our Father. To conclude, we are aware that many motives urge us to advance in our exercise of thanksgiving. We know that God wants it, because we have read some of His words as contained in the writings of St. Paul. We know, too, the gospel story of the ten lepers in wbich Our Lord expressed His disappointment when only one returned to say "Thank you." We know also that the Church wants more gratitude to God. In her prayers during Mass she says in the Gloria: "'Gratias agimus tibi'" (We give thanks to Thee) ; in the verses before the Prefac,e she prays: "'Gratias agamus Domino Deo nostro'" (Let us thank God our Lord) ; and in the beginning of the Common Preface she sings: "'Vere dignum et justum est, aequum et salutare, nos Tibi semper et ubique gratias agere". (It is truly right and just, proper and salutary for us to thank You at all times and in all places). It is possible that we are urged to be grateful to God even by the rules of our order. St. Ignatius lays it down in his constitutions that his fol-lowers should "thank God in all things." Even reason tells us that we can never thank God enough. Prudence, of course, must regulate this virtue as it regulates all others, but most of us will probabl'! admit that we have not gone to excess in the exercise of thanksgiving. If there has been any imprudence, it has been in the dullness of our spirit of gratitude. The removal of that dullness will contribute substantially to our spiritual progress. 233 Report: !:o Rome Adam C. Ellis; S.J. "Introduction AS EARLY AS 1861 we find a clause put into the constitutions of congregations of religious women approved by the Holy See (Sacred Congregation of Bishops and Regulars) pre-scribing that the superior general must send in an occasional report to the Sacred Congregation. For example, in the Constitutions Of the Sisters of Nazareth of Chalon (September 27, 1861) the obli-gation was worded as follows: "The superior general is bound every three years to send to this Sacred Congregation a report on the condition of her own institute. This report must cover both the material and personal condition, that is, the number of houses and of the Sisters in the institute and their disciplinary condition, namely, the observance of the constitu-tions, as well as whatever pertains to the economic administration.'" Gradually some such paragraph became a regular part 'of all constitutions approved by the Holy See. When the Normae were established in 1901, Article 262 covered this point: "Every three years the superior general shall give a report to this Sacred Congregation regarding the disciplinary, material, personal, and economic condition of her institute. The ordinary of the place where the mother house is located will certify this report by signing it." Left to th'emselves, superiors general of congregations app'roved by the Holy See wrote their reports on the four salient points as best they could. Sometimes minor matters were stressed and written up at great length while more important matters were either merely mentioned briefly or omitted altogether. As a result, in order to pro-cure uniformity and to be sure to get all the essential information desired in these reports, the Sacred Congregation of Bishops and Regulars issued an instruction on July 16, 1906, regarding this tri-ennial report and added a list of 98 questions to be answered. In 1917 the Code of Canon Law extended the obligation of sending a report to the Holy See to "the abbot primate, the superior of every monastic congregation, and the superior general of every 234 REPORT TO ROME institute approved by the Holy See" (canon 510) but made the concession that the report need be sent only every five years unless the constitutions prescribed that it be sent more frequently. With the increase in the number of reports sent to the Sacred Congregation by all institutes approved by the Holy See, the work of the Sacred Congregation became greatly involved. Hence it was not surprising that it issued a new instruction (February 23, 1922, approved by Pope Pius XI on March 8th) in which it divided all institutions into five sections--religious men according to the nature of their institutes, religious women according to their geogral3hicat location--Leach section being assigned a definite year in which to send in its report. The old questionnaire of 1906 was replaced by a new list of 105 questions to be answered when making the report. Only organized religious institutes approved by the Holy See and societies of men and women living in common without public vows were bound to make this report; independent monasteries of men and women as well as diocesan institutes were not bound. Meanwhiie a new form of religious, perfection had been devel- Oped in the Church. This new form was recently approved by Pope Plus XII, who officially applied the term "secular institutes" to societies which embrace it. These secular institutes may also receive the approval of the Holy See in due time. The aftermath of two world wars manifesting itself in modern life has made it necessary for religious institutes of all kinds to adapt themselves to the external circumstances in which they are living. A consideration of these modern problems which beset religious prob-ably induced the Sacred Congregation of Religious to issue a n~w instruction (3uly 4, 1947) regarding the quinquennial report. Two days later Pope Plus XII approved this new instruction which super-sedes all previous decrees on the subject. We shall give the provi-sions of this new instruction and then add a few brief comments. The Instruction "I. According to the Code (canon 510) the abbot primate, the abbot superior of a monastic congregatioia (canon 488, 8°), the "superior gen.eral of ever,y religious institute, of eve.r,y societyoof, comr mon life without public vows (canon 675) and of secular institutes approved by the Holy See, and the president of any federation of houses of religiou~ institutes, societies of common life, or secular 235 ADAM C. ELMS Review ior Re:igious institutes (or their vicars in default c~.~ tL'e above-named persons or if they are prevented from acting ]canon 488, 8°]) must send to the Holy See, that is to this Sacred Congregation of Religious, a report of the state of their religious institute, society, secular insti-tute, or federation every five years, even if the year assigned for sending the report falls wholly or partly w~:hin the first two years from the time when they entered upon the office. "II. The five-year period shall be fixed and common to all those mentioned above in n. I; a1:d they shall continue to be computed from the firs~ day of dzn:iary, 1923. "III. In making :he reports the following order shall be observed : "1. From among the religious institutes, societies of common life, secular institutes, and federations approved by the Holy See whose members are men the report is to be sent: "in the first year [|948] of the five-year period: by the canons regular, monks, and cnlitary orders; "in the second year [1949]: by the mendicants, clerics regular, and other regulars; "in the third year [I950] : by the clerical congregations; "in the fourth year [1951]: by the lay congregations; "in the fifth year [1952]: by the societies of common life, secular institutes, and federations. "2. From among the religious institutes, societies-of common life, secular institutes, and federations approved by the Holy See whose members are women the report is to be sent according to the region in which the principal house is .juridically established: "in tl~e first year~ [1948] of the five-yea~ period': by the supe-rioresses of religious institutes in Italy, Spain and Portugal; "in the second year [1949]: by the superioresses of religious institutes in France, Belgium, Holland, England, and Ireland; "in the third year [1950]: by the superioresses of religious institutes in other parts of Europe; "in the fourth year [1951]: by the superioresses of religious institutes in tlie countries of America; "in the fifth year [1952]: by the superioresses of religious insti-tutes in other parts'of theworld and moreover by the superioresses of societies of common, life, secular institutes, and federations throughout the world. 2.36 September, 1949 REPORT TO ROME "IV. In order that the Sacred Congregation may be able to obtain certain and authentic information regarding all those monas-teries and independent houses approved b~r the Holy See--both men and women--which are not bound by canon 5 10 to send the quin-quennial report, and regarding congregations, societies of common life, and secular institutes of.diocesan approval, the following are to be observed: "1. Major superiors of monasteries or independent houses of men which, although they" are approved by the Holy See, neither belong to any monastic cofigregation nor are federated with others shall send to the ordinary of the place, at the time and in the order mentioned above (n. HI, 1), a summary report of the five-year period signed by themselves and by their proper councilors. The ordinary in turn shall send a copy of. this report signed by himself, with any remarks he may see fit to add, to this Sacred Congregation within the year in which the' report was made. "2. Major superioresses of monasteries of nuns with their proper council, according to the order above prescribed (n. III, 2). for general superioresses, shall send a brief and concise report of the five-year period, signed by all of them, to the ordinary of the place if the nuns are subject to him: otherwise to the regular superior. The ordinary of the place or the regular superior shall carefully transmit a copy of the report, signed by himself with any remarks he may see fit to add, to this Sacred Congregation within the year in ~hich the report was made. "3. The general superiors of congregations, of societies of'com-mon life, and of secular institutes of diocesan approval shall send a quinquennial report, signed by themselves and by their proper coun-cil, to. the ordinary of the place where the prihcipal house is, at the time and in the order above prescribed (n. III, 1 and 2). The ordinary of the place shall not fail to communicate this report to the ordinaries of the other houses, and he shall within the year send to this Sacred Congregation a copy, signed by himself, adding his own judgment and that of the other ordinaries regarding the "congrega-tion, society, or secular institute in question. "4. Independent and autonomous religious houses and houses of a society without vows or of a secular institute which are not united in a federation, whether they be of diocesan or of papal approval, shall send a summary report of the five-year period to the ordinary 237 ADAM C. ELLIS Re~ieto for Religious of the place in the order above prescribed (n. III I and 2). The ordinary in turn shall send a copy of the said report, signed by him-self and adding any remarks hi may see fit to make, to this Sacred Congregation, likewise within the year. "V. In making out their reports all religious institutes, monastic congregations, societies of common life, secular institutes and fed-erati~ ns approved by the Holy See, even though they be exempt, must follow exactly the schedule of questions which will be made out by the Sacred Congregation and sent to them directly. "Monasteries of nuns, autonomous houses ot? religious institutes and of societies and secular institutes appproved by the Holy See, and congregations, societies and secular institutes of diocesan approval shall use shorter formulas which will be approved for them. "VI. The replies given to the questions proposed must always be sincere and as far as possible complete and based on careful inquiry; and this is an obligation in conscience according to the .gravity of the matter. If the replies are deficient in necessary .mat-ters or if they seem uncertain or not sufficiently reliable, the Sacred Congregation will ex o~cio see to it that they are completed and, if need be, will even itself directly conduct the investigations. "VII. Before the report is officially signed by the superior and by the individual councilors or assistants, it is to be carefully exam-ined personally and collectively. "The general superioress of religious institutes of women and 6f societies of common life, secular institutes, and federations approved by the Holy See shall send the report, signed by herself and by her council, to the ordinary, of the place in which the mother house is located, so that he according to law (canon 510) may sign the report; then in due time she shall see that the report signed by the ordinary of the place is sent to this Sacred Congregation. "VIII. If any of the superiors or councilors who has to sign the report has an objection of any consequence to make to it which he was not able to express in giving his vote, or if he judges that any-thing concerning the report should in any way be communicated to the Sacred Congregation, he may do this by private letter, and may even be in conscience bound to do so according to the case. However, let him be mindful of his own condition and remember tha, t he will gravely burden his conscience if he dares in such a secret 238 September, 1949 REPORT TO ROME letter to state anything which is not true. "IX. At the end of each year all religious institutes, societies of common life, and secular institutes and federations, whether of diocesan or papal approval, shall send directly to the Sacred Congre.- gation of Religious an annual report, according to the schedules contained in the formulas which will be made out and distributed by the Sacred Congregation, stating the principal matters which con-cern the state of persons, works, or other things which ~nay be of interest either to the Sacred Congregation or to superiors, "His Holiness Plus XII, in' the.audience given to the undersigned Secretary of the Sacred Congregation of Religious on July 9, 1947, .approved the text of this decree, and ordered that i~ be observed by all and that it be published, all things to the contrary notwith-standing." Comments I. Who must make the report?--All superiors general of orders, congregations, societies living in common without public vows, and secular institutes are bound to make the quinquennial report from now on. It makes no difference whether they are still diocesan or whether'they have received the approval of the Holy See. Superiors of independent monasteries or houses not attached to a monastic con-gregation are also bound to make the report. The term "'federation" refers to a union of independent houses which have the same family name, live according to the same spirit, and are grouped together under the direction of a president who is a visitor rather than a superior. 2. When the report must be sent.--Whe division into five sec-tions follows that already in existence since the decree of 1922. The one exception is the case of clerics regular who pass from the third to the second year. 3. Forms for the report.--These will be of two different kipds. The first (revised and extended over that of 1922) will be for all institutes of whatever nature which have been approved by the Holy See. These will be sent directly to the Sacred Congregation after the ordinary of the place where the mother house is located has authenti-cated the signatures of the general council by appending his own sig-nature. The second form for diocesan institutes will be shorter and will be given directly to the ,ordinary of the place where the mother 239 ADAM C. ELLIS house is located. He in turn must read the report and, after having added his own comments, forward it to the Sacred Congregation. 4. Annual short report.--Every religious institute and every ¯ independent community, whether papal or diocesan, will be obliged to fill out a one-page report rega.rding the number of members, houses, and works performed. 5. Forms to be sent from Rome.--Since the new forms or ques-tionnaires'are to be sent by the Sacred Congregation, superiors are not obliged to make their reports until they have received them. When the forms appear, we hope to publish them in REVIEW FOR RELIGIOUS. In conclusion we may say that this entire instruction applies only to institutes which are directly subject to the Sacred Congregation of Religious. Institutes directly subject to the Sacred Congregation for the Propagation of the Faith will be guided by the instruction published by that Sacred Congregation on June 29, 1937. VOCATIONAL LITI:RATURE Since many of our readers are engaged in various forms of vocational coun-seling, we make a special effort to. keep them.informed of any vocational literature we receive. Leaflets and booklets on religious and priestly vocations that we have recently received may be obtained from the following: Vocation Director, St. Paul's College, Washington 17, D.C. (An illustrated leaflet entitled, "'Whtj Not Be a Paulist Missionary!.") Brother Recruiter, St. Francis Monastery, 41 Butler St., Brooklyn 2, N. Y. (Script and pictures describing the life of the Franciscan Teaching Brothers.) Ft. Superior, St. Joseph's House. Graymoor, Garrison, N.Y. (An illustrated booklet entitled The Gra~jmoor Brother.) Mother General, Franciscan Sisters of the Sacred Heart, 372 N. Broadway, Joliet. Ill. (Script and pictures illustrating the life of the Sisters.) Mission Sisters, Mesa, Arizona. (An illusrated booklet describing the work oi the Mission Sisters of the Spouse of the Holy Ghost.) House of the Good Shepherd, 8830 W. Blue Mound Road, Wauwatosa 13, Wis. (The life of St.Mary Euphrasia Pelletier in a pamphlet entitled A Harvester of Souls.) , Mother Vicaress, Corpus Christi Carmel, Keatney, Nebraska. (An illustrated leaflet concerning the work of the Corpus Christi Carmelites.) 240 Aclmission oi: Orientals into Latin Insl:il:ul:es Joseph F. Gallen, S.J. THE Code of Canon Law forbids, but does not invalidate, the admission of Oriental Catholics into the novitiates of institutes -of the Latin rite. Canon 542, 2° reads : ""The following are illicitly, but validly admitted: Orientals in institutes of the Latin rite, without the written permission of the Sacred Congregation for the Oriental Church." This prohibition extends to all Latin reli-gious institutes, whether clerical or lay, of men or of women. The Code is speaking here only of Oriental Catholics. Oriental schismat-ics are non-Catholics, and their admission into a Latin religious institute is invalid, in virtue of canon 538. Oriental Catholics are commonly called Uniates; Oriental schismatics, Orthodox. It is evi-dent that the Catholic Oriental rites do not and cannot differ from the Latin rite with regard to the natural law, divine positive law, or revelation in general. The differences are in rites, ceremonies, laws, and customs that are purely of ecclesiastical origin. We may be inclined to consider the present impediment as one of little practical import. It is true that very many institutes in the United States have never received an application from an Oriental. Many institutes, however, have received such applications and on more than one occasion. In several of these cases the impediment was not discovered until after the candidate had been admitted into the noviceship and even only after final profession. This should arouse greater attention to the impediment. It is also true, as we hope to show in the following pages, that there exists a .very prac-tical problem of recognizing that the candidate is an Oriental. The principles for handling cases of this impediment are contained in the explanations that follow. I. The Impediment An Oriental in the sense of canon 542, 2° is a Catholic who is an Oriental at present. Evidently a Catholic, formerly an Oriental, who has already legitimately transferred to the Latin rite, is not an Oriental but a Latin Catholic and would not be affected by the impediment. The intrinsic reason for the necessity of the permission 241 JOSEPH F. GALLEN ,Review for Religious of the Holy See is that admission to a Latin institute" implies the entrance into a state of permanent and necessary conformity to the Latin rite. Therefore, the permission of the Holy See is not required in the relatively infrequent case of the admission of an Oriental can-didate who is destined either to establish Oriental houses or provinces of the Latin institute or to be affiliated with those already in exist-ence. II. Rite of Baptism of Children A child who has not attained the use of reason must be bal~tized in the rite of l~is parents (canon 756, § 1). 1. If both parents are Catholics and of the same rite (canon 756, § 1) and (a) both are Latins, the child is to be baptized in the Latin rite; (b) both are Orientals, the child is to be baptized an Oriental. 2. If both parents are Catholics, one a Latin and the other an Oriental, (a) the child is to be baptized in the rite of the father (canon 756, § 2). Therefore, if the mother is an Oriental and the father a Latin, the child is to be baptized in the Latin rite; if the mother is a Latin and the father an Oriental, the child is to be baptized an Oriental. (b) A contrary provision for a particular rite can change'the prece~.[ng general norm (canon 756, § 2). Such a contrary provi-sion exists: (1) in the Italo-Greek rite, in which the child of an Italo-Greek father and a Latin mother may be baptized in the Latin rite with the consent of the father; (2) for the Greek-Ruthenian rite in Gaiicia, in which sons follow the rite of the father, daughters the rite of the mother, but all children of both sexes follow the rite of a father who i~ a Greek-Ruthenian cleric. (c) A child born after the death of the father is more probably ro be baptized in the rite of the mother. ' 3. If one parent is a Catholic and the other a non-Catholic, the child is to be baptized in the rite of the Catholic parent (canon 756, § 3). Therefore, if the mother is a non-Catholic, the child is to be baptized in the rite of the Catholic father, whether the latter is a Latin or an Oriental; if the father is a non-Catholic, the child is to baptized in the rite of theoCatholic mother, whether she is a Latin or an Oriental. 4. If both parents are non-Catholics (either unbaptized or 242 September, 1949 ADMISSION OF ORIENTALS Oriental schismatics or heretics from birth), the parents may choose the rite, Latin or Oriental, of the Catholic baptism of their child. This favor does not extend to Oriental scbismatics or heretics who have apostatized from the Catholic faith, either in the Latin or an Oriental rite. Such a child is to be baptized in the Catholic rite from which his parents have apostatized, according to the norms given in 1-3 above. 5. Illegitimate children are to be baptized: (a) in the rite of the father, if. his name is to be legiti:natelv inscribed in the baptismal register (cf. canon 777, § 2) : (b) in the rite of the mother, if her name alone is to be legiti-mately inscribed in the baptismal register (cf. canon 777, § 2) : (c) in the rite of the place of birth, if the name of neither the father nor the mother is to be legitimately inscribed in the baptismal register; in the rite of the minister of baptism, if many rites are in existence in the place of birth. 6. Abandoned children are to be baptized in the rite of the place where they are found; if many rites are in existence in this place, they are to be .baptized in the rite of the minister to whom they are given for baptism. IlI. Rite of Baptism of Those Who Haae Attained the Use of Reason 1. A person who has attained the use of reason may rece'~ve bap-tism in the ri~e be cboc,~es, independently of the rite, whether Latin or Oriental. of his parcnt~. IV'. Title of A~liation to a Farticular Rite in the Church By baptism a physical pets,on is endowed with juridical person-ality in the Church, that is, be becomes the subject of rights and obligations in the Church (:.~non 87). The unbaptized are not sub-ject tc~ purely ecclesiastical la~vs, but all b~ptized are subject to such laws unless some are exempted by the Church in a particular matter. The ecclesiastical diriment impediment of consanguinity does not invalidate the marriage of two Jewish first cousins, but it does nul-lify the marriage of two Episcopalian first cousins since baptism sub-jects the latter to laws that are purely ecclesiastical. It is only natural, therefore, that the Church has enacted that baptism is also to determine the rite of a physical person, since affiliation to a particular rite in the Church implies subjection to distinctive laws and customs and thus produces distinctive rights and obligations in the individual. 243 JOSEPH F. GALLEN Review for Religious Canc;n 98, § I states that a person is affillated to the rite in which he was baptized. Obviously this canon intends the rite in which the individual was legitimatel~! baptized according to the norms given in the two preceding sections. If baptism administered contrary to these norms determined the rite of the subject, there would have been no adequate reason for establishing such norms. Therefore, the principle that determines affiliation to a particular rite in the Church is the following: (1) a person belongs to the rite in which he was legitimately baptized; (2) if, contrary to the above fiorms, he was.!llegitimately baptized in another rite, he belongs to the rite in which he should have been baptized. The gdod or bad faith of the parents, the subject or the minister of baptism does not alter such a case of illegitimate baptism. For example, if two Maro-nite parents, thinking that their child may be licitly baptized in the Latin rite, offer the child to a Latin priest who does not even suspect the Oriental affiliation of the parents and baptizes the child in the Lati,n rite the child is an Oriental, not a Latin. Exactly the sam~ conclusion would be verified if there was bad faith or even deception on the part of the paren.ts, the priest, or both. A most noteworthy feature of this case is the difficulty it can cause religious superiors. The candidate will present a Latin baptismal certificate which will give no indication that he is an Oriental. There are two cases in which even a legitimate baptism in a p~r-ticular rite does not effect affiliation to that rite. The first is the case of serious necessity, when a person.is baptized in another rite becaus~e no priest of the proper rite can be secured (.canon 98, § 1). Such necessity is verified not only in danger of death but also when the baptism would be unduly deferred by awaiting a priest of the prdper rite. The consideration of the eternal salvation of the subject ren-ders the baptism in another rite licit in these cases of necessity. How-ever, the subject is not affiliated to the rite of his baptism but'to the rite in which he should ordinaril~t have boen baptized, according to the above norms. For example, if a Latin priest, with or without the request of two Melkite parents whose child is in danger of death, baptizes it in the Latin rite, the child is an Oriental, not a Latin. It is a well-known fact that these baptisms of necessity are of frequent occurrence in the United States, because of the scarcity of Oriental priests. The Latin.priest, in the example given above of the Melkite child, should have noted the Oriental affiliation of the child in the parochial bapt, ismal register of the place of baptism and should also 244 September, 1949 ADMISSIO~q OF ORIENTALS have sent a notification of the baptism to the proper Oriental pastor of the child. It is safe to assert that this law of annotation and notification with regard to an Oriental will oftentimes not be observed. It is not a law that is emphasized by the ordinary text-books of moral theology. We~ can thus again have the case of a can-didate for admittance into religion who Will present a Latin bap-tismal certificate that will give no indication of his Oriental affilia-tion. ' The" second case of a li~it aptism in a particular rite which does not cause affiliation to that'rit~e is a dispensation from the Holy See to the effect that one may be bfiptized in a particula~ rite xvithout, however, being thereby made ~i member of that rite. V. Transfer to Another Rite 1. Transfer from an Orielntal to the Latin rite, from the Latin to an Oriental rite, or the return to such a rite after a legitimate transfer is forbidden and is ilnvalid without the permission of the Holy See (can. 98, § 3). ' 2. When parents legitimatelly change their rite, the rite of children alread~l born is regulated by the following norms: ¯ (a) if the children have nlot attained the use of reason, they fo!- low the changed rite of the parents if both of the latter have changed their rite; if only one of the Iparents his changed rite, the children belong to the changed rite of tl4e father but not of the mother. (b) if the children haoe attained the use of reason, they have the choice of passing to the changed rite of the parents or of remaining in their present rite (c) if the children have completed their twent~l-first ~lear, they retain their own rite and are not affected by the change in rite of the parents. 3. There is one exceptio to the prohibition of passing to another rite. Canon 98, § 4 ,permits to a woman only, not before but at the beginning of or during marriage, to pass to the rite of her husband. She may also return to her former rite on the dissolution of the marriage. This latter right is limited by any contrary pro-vision made for a particular rite. Such a contrary prox?ision exists in the Italo-Greek rite, in which an Italo-Greek woman who had passed to the Latin rite of her husband is forbidden to resume the Italo-Greek rite on the death of her husband. 4. Oribntal schismatics and heretics from birth, upon their con- 245 JOSEPH F. GALL'EN Review [or Religious version to the Catholic faith, may .choose any Oriental rite they pre-fer. They have also the right of chooying to be affiliated with the Latin rite at their conversion. In the latter case they retain the right of returning to the Catholic Oriental rite that corresponds to their schismatical rite. If they are to be rebaptized conditionally, this rebaptism should, except in case of necessity, be in the rite they have chosen to follow. This favor, does not extend to Oriental schismatics and heretics who have" apostatized from the Catholic faith, either in the Latin or an Oriental rite, nor to occidental heretics dr schismatics. The former must return to the Catholic rite from which they aposta-tized, and the latter are to embrace the Latin rite. VI. Participation in Another Rite Does not Effect a Change of Rite Canon 98, § 5 affirms the principle that participation in another rite, no matter how prolonged, does not effect a change of rite. This norm follows clearly from the fundamental principles that one belongs to the rite in which he was or should have been baptized and that the permission of the Holy See is required to effect a valid change in rite. All the faithful, merely for the sake of devotion, may receive the Holy Eucharist in any rite (canon 866), may go to confession in any rite (canons 881, § 1; 905), and they may also attend Mass in any rite (canon 1249). All such participation in another rite, matter of what duration, does not effect a change in rite. Religious superiors in the United States will be compelled to exercise special care with cases that fall under this heading. It fre-quently happens that Orientals have been completely educated in schools of.the Latin rite or have for years participated in the Latin rite. They can readily believe that they are thereby Latins. They are Orientals. This¯ case is made more difficult when the baptism was also in the Latin rite (cf. section IV), for the Latin baptismal certificate will oftentimes contain no notation of the Oriental affilia-tion of the baptized. VII. The Permission The Holy See alone can grant the permission for an Oriental to enter a Latin institute. The competent congregation is the Sacred Congregation for the Oriental Church. The impediment is to admis-sion to the novitiate, not to postulancy. The common practice is to 246 September, 19 4 9 ADMISSION OF ORIENTALS apply for the permission 0nly before the noviceship and not before the postulancy. Since ecclesiastical authorities have .not objected to this practice, it may be safely followed. It has always seemed to the present writer that dispensations from any of the impediments of canon 542 as well as from those of the particular law of the institute¯ should regularly be sought before the postulancy. A sufficient reason for this doctrine is, to speak in general, that the refusal of a dispensa-tion is a practical possibility. A candidate who after several months in tbe postulancy should be compelled to leave because of the refusal of a dispensation would not be in an enviable state. This doctrine is more cogent in the case of lay institutes, whose superiors cannot be expected to know either the impediments or the conditions under which the Holy See is acct~tomed to dispense. It can be objected that the suitability of the candidate should be tested by the postulancy before a dispensation is secured for admittance to the noviceship. This argument does not appear to possess any great efficacy when it is considered that the Church does not impose the postulancy on all classes of candidates for the religious life. The petition is to contain the name, age, specific rite (not merely Uniate, but Antiocbene Marionite, Byzantine Rutbenian of the Philadelphia Ordinariate, Byzantine Ruthenian of the Pittsburgh Ordinariate, etc.), diocese of the candidate, and a statement that the competent superior is willing to admit him into ~he ~eligious insti-tute. A petition for a male candidate is to state whether or not he is destined for orders. A proportionate reason should be given for a dispensation or a favor that partakes of the nature of a.dispensation. The universal reason in the present case is the greater spiritual profit of the individual by religious profession to be made in a Latin insti-tute. 1 This reason does not have to be explicitly stated, since it is implicitly contained in the petition itself. The S. C6ngregation readily grants permission for an Oriental to enter a Latin institute. It has been said that the Holy See desires an Oriental to enter an Oriental province of the Latin institute he has chosen if such prov-inces exist in the particular institute. A study of several rescript, gives no indication that this desire has been urged. Furthermore, there are relatively very few institutes in the United States that have such provinces. Considerable variety is found in the manner in ~Religious profession as such constitutes the greater spiritual good, and in this case the profession is to be made in a Latin institute. 247 JOSEPH F. CIALLEN Review ~or Religious which the permission has been given, as will be clear from the fol-lowing : 1. If the candidate is not destined for orders (Brother, Nun, Sister).--Formerly a petition had to be made both before the nov-iceship and before first profession. The first rescript granted permis-sion to conform to the Latin rite during the noviceship, and the second definitively transferred the novice to the Latin rite at first pro-fession. In some of the rescripts it was stated absolutely that the subject was forbidden to return to his native rite without the permis-sion of the Holy See, while in others it was indicated that the sub-ject was transferred back to his native rite by the mere fact that he ceased to be ~i member of the Latin institute. In the present practice of the Holy See a petition is necessary only before the noviceship. The rescript does not transfer the subject to the Latin rite but merely grants permission to conform to the Latin rite. Obviously the subjedt who ceases to be a member of the Latin institute must return to the practice of his native rite, since the entire reason for granting permission to conf6rm to the Latin rite has then ceased to exist (canon 86). This is also explicitly stated in the rescript, as is the fact that the novice or religious retains his Oriental rite. Many of the latest rescripts also contain a clause that empowers religious superiors to permit the subject to use his native rite when-ever they judge this to be useful." The petitions for lay institutes are at least ordinarily being for-warded through the Apostolic Delegate. In this case the following 2The standard form now used by the S. Cong~'egation in granting the permission is: Prot. N . BEATISSIME PATER, rltus . dioecesis . ad pedes Sanctitatis Vestrae provolut . humiliter petit ut ad novitiatum admltti possit et dein in eodem . religiosam professionem emittere valeat, titui latino sere conformando. SACRA CONGREGATIO PRO ECCLESIA ORIENTALI, vigore facul-tatum a Ssmo D. N . Divina Providentia PP . sibi tributarum, benigne concedit ut Orat . in . de qu . in "precibus ad Novitiatum et ad religiosam professionem admitti possit. Eidem Orat . fit insuper facultas sese in omnibus conformandi ritui latino, ea tamen lege ut ritum nativum retineat ira ut si, quacuinque de causa, ad praefat . pertinere desierit, ritum originis sequi teneatur, quo interim legi-time uti potest quoties, Superiot?um iudicio, id utilitas suaserit. Contrariis quibuslibet non obstantibus. Datum Romae, ex Aedibus Sacrae "Congregationis pro Ecclesia Orientali, die . mensis . anno . 248 September, 1949 ADMISSION OF ORIENTALS formalities are required: (1) the petition in duplicate must be signed by the candidate: (2) the petitioner is to.state also the rite. place, and date of his baptism and that there are no Oriental provinc-~s in the Latin institute he wishes to enter; (3) the religious superior is to append a document in duplicate in which he states: (a) there are no Oriental provinces in his institute; (b) he is willing to admit the petitioner into his institute; (c) the date on which the noviceship of the petitioner is to begin: (4) all of the above documents are to be sent to the proper Latin local ordinary who will forward them to the Apostolic Delegate with his own approval in duplicate. 2. I[ the candidate is destined for orders.--The manner of giving the permission has varied also in this case. Foimerly one petition bad to be made before the novicesbip ~and another before first pro-fession. The subject was permitted to conform to the Latin rite during the noviceship and was canonically transferred to this rite b.y first profession. If he ceased for any reason to be a member of the institute, he was by that very fact transferred back to his Oriental rite. In some rescripts he was explicitly forbidden thereafter, with-out the permission of the Holy See, either to exercise any order he might have received in the Latin rite or to receive any higher order in his Oriental rite. From a study of several rescripts, it is clear that the present prac-tice of the Holy See is the same for a clerical religious as that for a lay religious described above. The rescripts read exactly the same. This is true also of the clause empowering the use of the native rite, which was mentioned above. This clause is written in on the stand-ard form, either by hand or typewriter, and it is difficult to account for its absence in some rescripts. If such a permission is given to some clerical and lay religious, it is not easy to see why it is not granted to all. Petitions for candidates destined for. orders are usually forwarded through the procurator general of the institute. If the petition is transmitted through the Apsotolic Delegate, the same for-malities are required as those listed above for a lay religious. 3. Urgent cases. Since the petition must be forwarded to the Holy See, it should be sent about three months before the beginning of the noviceship. If there is insufficient time to secure the permis-sion before the beginning of the noviceship or if the impediment is discovered only after profession, the petition is to be sent to the Apostolic Delegate, who in all likelihood can grant permission for a 249 JOSEPH F. GALLEN Review for Religious temporary conformity to the L~tin rite. He will then forward the petition to the Holy See for the permanent conformity. VIII. An Oriental Admitted to a Latin Nooitiate or to Profession without'the Permission of the Holg Such an admissi6n does not invalidate the noviceship or profes-sion. The case, with an explanation for the failure to ask for the permission before the novic~ship, is to be presented to the Holy See. The petition is to contain the' same information and the same for-malities are to be observed as described in the preceding section. The case, as one of urgency, is to be bundled first as explained immedi-ately above. The reason why permissi6n must be asked even after profession is that an Oriental who is received into a Latin institute places himself in a de facto state of permanent and necessary con-formity to the Latin rite in the religious institute. This is the intrinsic reason for the necessity of the permission of the Holy See before the novicesbip, but the same reason is equally verified after the beginning of the noviceship or after profession. IX. Aids for Detecting the Impediment The difficulty of recognizing whether the candidate is a Latin or an Oriental has already been emphasized. Baptism and participation in the Latin rite.are sources of this difficulty. Or~e author has also called attention to our tende, ncy to rank all Italian-speaking Italians as Latins. They can be Italo-GreeksJ from southern Italy. The primary aid is the baptismal certificate if it is from an Oriental church or from a Latin church With a notation of the Oriental affiliation. Without such a notation the Latin baptismal certificate will be of no help unless the names of the parents suggest one of t'he Oriental countries. The same thing is true of the.confirmation cer-tificate. It is to be noted that in most Oriental rites the priest, as the extraordinary minister, a'dministers confirmation immediately after baptism. The Maronites do' not follow'this custom. Oriental priests may confirm in this way the members of their own rite and of other Oriental rites that enjoy the same privilege. The help given by the marriage certificate of the parents will depend on the same facts. The marriage certificate may be merely civil or non-Catholic, and an inquiry concerning such a marriage may bring out the fact that the parents are Orientals. If one of the parties in a marriage is a Latin or a Greek-Ruthenian, the marriage is invalid unless contracted 250 September, 1949 ADMISSION OF ORIENTALS before a competent priest and at least two witnesses. However, as a general principle, the other Oriental rites in the United States did not demand the presence of a priest for the validity of a marriage. Therefore, when such Orientals contracted among themselves or with a non-Catholic, the marriage was not invalidated by the fact that it was contracted before a civil official or a nbn-Catholic minister. The Holy See has recently promulgated new marriage legislation for the Oriental Rites. In virtue of this legislation marriages con-tracted from May 2, 1949, by members of all the Oriental rites are held to the same law as that stated immediately above for Latins and Greek-Ruthenians. The outline ofltheOrientalCatbolic rites appended to this article'~ is intended as something of an aid for detecting the impediment. The native country and language of the parents of the candidate, if they coincide with those of any Oriental rite, are indications that a reli-gious superior should make further inquiries about the rite of the candidate and "parents. This outline has been compiled from several sources, principally from Attwater, The Christian Churches of the East.'~Places outside the eastern countries, such as Canada, South America, France, Belgium, Australia, and Mexico are territories of modern immigration. This outline, as regards.the total number of the faithful of any rite and especially with regard to the number and places in the United States, is only a hazardous approximation of fact. It is sufficiently accurate to fulfill the present purpose, that is, to provide a working norm of caution. Lay religious who desire a general knowledge of the Oriental r'~tes can read: Attwater, Donald. I. The Christian Churches of the East. ll. The Dissident Eastern Churches. Milwaukee, Bruce, 1947. Fortescue, Adrian. The Orthodox Eastern Church. Catholic Truth Society, London, 1907--The Lesser Eastern Churches. Catholic Truth Society, London, 1913.--The Uniate Eastern Churches. ed. G. Smith. Burns, Oates ~ Washbourne, London, 1923. The Catholic Encyclopedia, under Rites. zSee pp. 252 and 253. 9 4Material from Attwater, The Christian Churches of the East, is used with the per-mission of the publisher, The Br,.uce Publishing Company, Milwaukee, Wisconsin. 25l RITE TOTAL NUMBER IN . FOUND PRINCIPALLY NUMBER UNITED STATES OUTSIDE U. S. IN I. ALEXANDRIAN RITE 1. Copts -. . 63,000 2. Ethiopians . 30,500 Egypt Ethiopia, Eritrea II. ANTIOCHENE RITE I. Malankarese 50,000 2. Maronites . 391,000 1 60,000 India Syria, Uruguay, South Africa 3. Syrians . 74,500 III. ARMENIAN RITE 150,600 IV. BYZANTINE RITE 1. Bulgarians . 5,500 2. Greeks . 3,300 3. Hungarians . 140,000 4. Italo-Greeks 60,000 5. Melkites . 173,000 6,800 5,000 1 1 10,000 20,000 Syria, Irak, Brazil, Argentina Syria, .Near East, " Russia, Greece, Galicia, Rumania, France, Belgium Bulgaria .Greece, Turkey Hungary Italy, Sicily Syria, Egypt, Pales-tine, Turkey, Australia, Mexico, Brazil FOUND PRINCIPALLY IN U. S. IN DIOCESES OF 1 VERNACULAR LANGUAGE Arabic Amharic, Tigre ~1 Malayalam Boston, Brooklyn, Buffalo, Cincit~nati, Arabic Cleveland, Detroit, Fall River, Hartford. Los Angeles, Mobile, New York, Phila-delphia, Pittsburgh, Raleigh, Richmond, St. Lot~is, St. Paul, Scranton, Seattle, Springfield, Mass., Syracuse, Trenton, Wheeling Boston, Brooklyn, Columbus, Detroit, Arabic, Syr;.~c Galveston, Hartford, Newark Brooklyn, Newark, New York, Spring- Armenian field, Mass. ~- Bulgarian 1 Greek o. Magyar Brooklyn, New York Italian, Albanian, Greek Boston, Brooklyn, Chicago, Cleveland. Arabic Detroit, Los Angeles, Milwaukee, New-ark, New York: Providence, Springfield, Mass., Toledo 6. Rumanians .1.434,000 8,000 Rumania 7. Russians . 22,500 1,000 Russia, Europe, Far East 8. Ruthenians .5,000,000 a. Galiciansa . 302,100 Galicia, Canada, Brazil, Argentina b. Podcarpath- Cleveland, Detroit, Fort Wayne, Rock-ford, Trenton Los Angeles, New York In states of I11., Md., Mass., Mich., N. 3. N. Y., Ohio, Pa. Rumanian Russian Ukrainian inns4 . 293,871 Czechoslovakia, In states of Conn., Ill., Ind., Mich, N. ,l. Rusin Bukovina (Rumania)," N.Y., Ohio, Pa., W. Va. (Ruthenian) Canada, Brazil, Argentina 9. Yugoslavs . 55,000 .o Yugoslavia __ u Croat V. CHALDEAN RITE I. Chaldeans . 96,000 800 Irak, Syria Chicago, Detroit, Hartford, Los Angeles, Arabic, Syriac New York, Philadelphia, San Francisco 2. l~Ialabarese . 632,000 __1 India __1 Malayalam 1There are either no Orientals of this group in the U. S. or no figures exist as to their number. ~The Hungarians and Yugoslavs in the U. S. belong to the Diocese of Pittsburgh, Greek Rite. There are 14 parishes exclusively . for the Hungarians, with a total of 8,000 souls. The others are mixed in with the predominantly Ruthenian parishes. There ard two exclusively Croatian parishes, with a total of 1,000 souls. The others are mixed in with the Ruthenian parishes. ,SThe Ruthenians of Galicia form the Diocese of the Byzantine Rite (Ukrainian Greek Catholic), Philadelphia, Pa. ~The Ruthenians of Car~atho-Russian,. Hungarian, and Crotian nationalities constitute the Diocese of Pittsburgh, Greek Rite, Homestead, Pa. The two preceding groups are frequently termed Greek-Ruth~nians. They are the only Orientals in the United States who have their own Ordinaries. All other Orientals in this country are under the jurisdiction of the Latin Ordinaries. Tot:al Consecra!:ion !:o ary by Vow Robert L. Knopp, S.M. IN THESE DAYS ~vhen the message of Fatima is at last fanning the world to flame, any form of consecration to Mary must immediately claim the interest of her children. Her revel~tion that the world can be saved only through consecration to her Immaculate Heart-~consecration complete enough to sustain prayer and penance--must increase this interest if the consecration in question is a total one involving .the whole being and activity of the one consecrated. And finally, the urgency of her request, attested by the divine stamp of a cosmic miracle, must still further intensify this interest if the consecration has itself been attested by the Vicar of Christ on earth. Papal approval and commendation have long been accorded the total consecration to Mary by which.Marianists (members of the Society of Mary) are perpetually professed in the religious state. This year, especially, seems a most fitting time to explain this reli-gious consecration, for the Marianists are celebrating their American Centennial and anticipating two more centennials for next year-- that of the death of their saintly Founder, Very Reverend William Joseph Chaminade, and that of the foundation of their first American school, the University of Dayton. A further appropriate circum-stance is the recent arrival in America of the Daughters of Mary, a congregation of Sisters also founded by Father Chaminade and sharing with the Marianists the same total consecration to Mary by the vows of religion. This article is a small part of the Marianist expression of grati-tude to God for those hundred years during which they have been privileged ~o make their contribution to religious life in America through the 'total consecration which Father Chaminade always called the "gift of God" to the Society. Certainly, on their part, the Marianists and the Daughters of Mary, through the wise choice of, their Founder, have received gratefully both inspiration and breadth from many other religious institutes, to the enhancement of their own religious consecration. They humbly hope that in their turn 254 CONSECRATION TO MARY they may contribute by their Marian spirit to the vitality of other religious, both men and women. It is a curious circumstance that Father Chaminade founded the Marianists one hundred years before the Fatima miracle, even to the month. He had been waiting twenty long years in Bordeaux for the sign evidently foretold in revelations granted him during his exile in Saragossa at the famous shrine of Our Lady of the Pillar. That sign came off May 1, 1817, when one of his most promising young sodalists, John Lalanne, put his future entirely at the disposal of Father Chaminade. In October, 'the first seven members, repre-senting quite different walks of life, formed the new Society. They had already been consecrated to Mary as sodalists: then, desiring to belong to her more completely, they had under Father Chaminade's direction dedicated themselves to her by private vows while still living in the world. Now they prepared to give themselves totally ' by a consecration that constituted them religious, whether as priests, teaching brothers, or working brothers--the diverse categories which this new religious consecration united in harmonious social equality. To grasp the true significance of this total consecration, we must see it in the setting of Father Chaminade's full concept of religious life. To delineate this concept in all its completeness has required a family document, The Spirit of Our Foundation, over 2,000 pages in length. Hence, only a brief idea of the underlying principles can be sketched here. In the following developme.nt, quotations from the writings of Father Chaminade are taken from this family document. Father Chaminade followed the traditional concept of religious life as the state of perfection--a state constituted by the three vows, a perfegtion consisting in the highest love of God, attained through conformity with Christ, the Model sent to"men by the Father. Con-formity with Christ is an inward union by grace, a union of bein;l, an incorporation into the Mystical Body of which Christ is the Head. It is bestowed through faith and baptism and perfected by the sacra-ments, by prayer (especially mental prayer), and by the practice of virtue. In all this, with a special emphasis on the role of faith as the foundation of conformity with Christ, Father Chaminade followed the general tradition of religious life. In addition to these channels of the supernatural life, Father Chaminade stressed a prior channel, but one that is really not to be separated from them since it flows into and through them and at the same time disposes the religious to use them more perfectly. This 255 ROBERT L. KNOPP Review for Religious channel is Mary, our spritual Mother find Mediatrix of All Graces, through whom ~hrist first came to us and through whom we must therefore go to Him. To unders~;and the strong emphasis Father Chaminade laid upon this concept, we must begin with his vital grasp of Mary's part in the Incarnation, a grasp which he owed largely to St. Augustine. One of Father Chambiade's favorite thoughts was that before Mary conceived Christ in the flesh, she had conceived Him in spirit-- not, of course, in the sense that she was the source of His spiritual power, but in the sense that by her Immaculate Conception she was given a holiness so vast that, as St. John Damascene declares (It~ Dormitionero, 1, 13), by her grace she exceeded the expanse of the heavens, encompassing Him whom the whole world cannot contain. At the moment of her Immaculate Conception, then, Mary was granted by her fullness of grace such a complete participation in the life of God that she might be said to have conceived the supernatural life among men. This complete union with God was the dawn of our own redemption. For God could look down upon our race and see among us a creature whose full-blown supernatural beauty was at last worthy of His infinite love. Or rather, already dwelling in her so completely by grace, He gave that intimate spiritual union physical expression by the Incarnation. Because God Himself in His infinite wisdom had conceived from all eternity this ideal of human purit;/ informed by the fullness of His own divine life, because He had cre-ated in the midst of our race this His Immaculate Conception, because he could now find an adequate response to His divine love in a crea-ture, God became one of our race in the womb of Mary. We had lost the union of grace by the sin of Adam, committed at the solici-tation of Eve. Christ, the new Adam, most fittingly chose to win us back to God by becoming one with us at the consent of His new Eve, having been Himself won by her humble, supernatural love. It is because the Son of God has become the Son of Mary that our human race, as a race, has been united again to God, so that it is now pos-s. ible, through conformity with Christ', for each individual of our race to attain to this union with God. It is because, as the Son of Mary, Christ has become one of us that We can now become one with Him. And He has completed the winning of this divine life for us through His. lifework of redemption. His whole life was a unity comprise.d of the two great mysteries of the Incarnation and the re- 256 September, 1949 CONSECRATION TO MARY demption. By His Incarnation He took upon Himself the state of Son of Mar~/. By His redemption He acted i,n that state even unto His death as Mary's Son. And to accentuate her role as the new Eve co-operating with Him in the whole unity of His lifework of regen-erating mankind, He associated her in that work at every significant step along the way. Thus, from her arms He revealed Himself to mankind in the person of shepherds and Magi. At the Presentation He offered Himself to His heavenly Father from her arms. He spent His thirty years of preparatio.n in her company at Nazareth. Although He said His time had not yet come, He inaugurated His public life at Cana at her mere suggestion. Finally, He united her sorrow-pierced heart with His own in consummating His lifework c.n Calvary. Because Mary has been so closely associated' with Christ in the 'mysteries of the Incarnation and redemption, it is through her that we are conformed to the incarnate Redeemer. At the very moment that the Second Person of the Blessed Trinity became man in. her womb, all of us became her children, for at that moment Christ embraced us all as members of His Mystical Body. Father Chami-nade, therefore, delighted in recalling St. Augustine's teaching that Mary is the Mother of the Whole Christ, of the Body as well as of the Head: "As Jesus Christ has been conceived in the virginal womb of Mary according to nature through the operation of the Holy Ghost, so all the elect are conceived according to the spirit through faith and baptism in the womb of the tender charity of Mary" (S.F., 456). It is, then, first of all through Mary that we have been conformed with Christ in grace: "It is by her transcending grace that this Virgin Mother conceived us; in her superabounding charity she communicated to us her being of grace, which is nothing else but a participation in Christ, that all things might be consum-mated in unity: "Consummati'in unum' " (S.F., 106). As by Hi~ physical conception in the Virgin Mary the Son of God conformed Himself to our nature, so through our spiritual conception in Mary we are conformed to Christ, made. partakers of His divine nature. Having once willed to unite Himself to us through Mary, God never "repents"; He always comes to us through her. Every new grace by which our conformity with Christ is perfected, He applies to us through her mediation and distribution. Just as her motherly care of Jesus did not cease at His birth, so her motherly office toward us does not cease with our spiritual birth: "Mary nurtured Jesus in 257 ROBERT L. KNOPP' Review [or Religious His infancy and was associated in all the various stages of His life, in His death and in His resurrection; the elect attain the fullness of age, as St. Paul terms it, only in so far as Mar~" becomes in their regard what she was for Jesus" (S.F., 10.9). Hence, the more perfectly we are sons of Mary, the more perfectly we conform to Christ. For Father Chaminade this was a cardinal principle of the spir-itual life. A Christian may receive grace through the sacraments, for instance, and thereby be united to Christ without even thinking of the spiritual Mol~her who distributes to him this sacramental grace. But how much closer to the full reality and therefore how much better disposed he will be for perfect reception of the sacraments if, conscious of Mary's role, he fully submits in filial love to her work of spiritual formation: "We have all been conceived of Mary.; we must be born' of Mary and formed by Mary to the resemblance with Christ, that we may live only the life of Christ, that we may, together with Christ, as so many Christs, be Sons of Mary: "Cure Cbristo unus Christus." Following up this principle, what devo-tion, what confidence in Mary will not the director inspire . . . in order to obtain ever more by Mary . . . resemblance to Christ oper-ated by the Spirit of Christ!" (S.F., 893.) Even as did Jesus, the religious must prove his filial love of Mary by a child-like abandon-ment of himself to her care: ". the Society intends to rear each of its members as Jesus was reared by her care, after having been formed in her virginal womb" (S.F., '115). The total consecration of the religious, then, consists in a com-plete surrender of self to Mary by which the religious participates spiritually in Christ's Incarnation. Like Christ, the religious "gladly intrusts to Mary both his person and his future" (Cons'fftutions, art. 4). In the practical order, he accomplishes this by his religious profession of vows made to God through Mary as a total consecra-tion of self in a Society entirely devoted to her service. If the Society itself is hers, i~s children form her family and abandon them-selves to her by devoting themselves in loyal "family spirit" to her Society. That is why Father Chaminade could identify the religious consecration and the consecration to Mary. Lived perfectly, this total consecration consists in complete detachment from all that is not Christ; for, by placing the religious voluntarily in the state of dependence on Mary that corresponds to reality, it removes the ¯ obstacles to her free maternal action in him, rendering him pliable in 258 September, 1949 CONSECRATION TO MARY bet hands so that she may form him, both directly through her power of mediation and indirectly through her Society, to the like-ness of the Model she knows so well---bet First-born: ". her entire ambition is that all the children whom her charity has brought forth after Him, be so united to Him, that with Him they may be but one Son, one and the same Jesus Christ" (S.F,, 440). But this total consecration demands of us not only the passivity of surrender; it also demands the activity of conquest. Christ, the Son of God become the Son of Mary, is our Model not only ~n being but also in acting, not only in His Incarnation, but also in His redemption. Since a man acts according to his nature, in the measure that he partakes of Christ's being he also partakes of His action. Religious life, then, especially as Father Chaminade con-ceived it, must also be considered a.s conformity to Christ in His activity through imitation of His virtues. Conscious effort to increase this conformity of action is also a meritorious means for perfecting the essential conformity of being. It is ordinarily in this area of imitating Christ's virtues that we find religious institutes differing in that wide and beauteous variety that fills up those things otherwise wanting to the Mystical Body of Christ. For as St. ~Fbomas quotes Abbot Nesteros: " . . . it is impossible that one and the same man should excel,in all the virtues at once, since if he endeavor to practice them equally, he will of necessity, while trying to attain them all, end in acquiring none of them perfectly" (II-II, q. 189, a. 8). Hence,. different religious institutes select different virtues of Christ upon which to center their attention. Since the teaching of Christ Himself, charity has been universally accepted as the greatest of the virtues. It is the tradition of religious-life, therefore, to see the charity of Christ's redemptive action as His outstanding virtue, manifesting first His love for His heavenly Father, then His love for all mankind. Differences arise from_~the various expressions of. this charity of Christ, whether through His obedience, His poverty, His mortification, or some other special virtue. It was typical of Father Cbaminade to see the most complete expression of these two loves of Christ in His filial love of Mary. She is for Him the embodiment of the divine authority, so that He can subject Himself to His Father only by being subject to her, and He can please His Father only by giving her the most complete filial 259 ROBERT L. KNOPP Reoiew for Reli'gious lo~'e; since Jesus owes "His body solely to her body from which alone the Holy Ghost formed it, she concentrates upon her Son the rights and the duties of both a father and a mother" (S.F., 119). And as the greatest of all mankind, she won from Him the greatest share of His infinite love for men. She won His love long before He became man. Back in eternity she was His Immaculate Conception, playing before Him at all times, even as He laid the foundations of the world. It was she whom He chose out of all mankind and filled with grace to become His Mother in the Incarna-tion and His Spouse in the redemption. Fundamentally, 'Christ's love for His Father and for man'kind finds its perfect expression in His. love for Mary not only because she is His own chosen Mother, but also because she is His chosen.means and associate for the who!e work of redemption. He was able to act as our Redeemer because' of her. Jesus Christ, the Son of God, became the Son of Mary for the salvation of mankin~l: "Qui propter nos homines et propter nostram salutem descendit de coetis, et incarnatus est de Spiritu Sancto ex Maria Virgine, et homo factus est." That is why Father Chaminade declared: "Jesus Christ prac-ticed every virtue in the highest degree of perfection. But of those virtues one which particularly entered into the accomplishment of His adorable mysteries was His love for the most holy Virgin, in whose bosom He was conceived and lived for nine months, and of whom He v~as born, who was associated with Him in all His mys-teries and who was made Mother of all those who were to be regen-erated in Him" (S.F., 440). .And therefore Father Chaminade found this filial love of Mary to be the "most salient feature" in Christ's life, the virtue by which Christ realized His desire for a life of activity devoted to His Father's Will for the salvation of man-kind. Redemption was the act of His state of Son of Go~(, but it was likewise the fulfillment of His being Son of Mary. For the man, then, who has embraced the religious state as son of Mary, zeal for the glory of God and the salvation of souls must embrace his whole activity. And therefore, in his filial love for Mary, he finds the perfect inspiration, expression, and embodiment of his love for God and for men. Father Cbaminade's deep conviction in the all-embracing value of this filial piety was rooted in his firm belief in Mary's central position in Christ's whole work of redemption. Moreover, like St. Grignion de Montfort, whose True Devotion to Mary was 260 September, 1949 CONSECRATION TO MARY unfortunately still hidden from the world, he was absolutely con-vinced that God had entrusted to Mary the leadership in the battle to overthrow Satan and re-establish the reign of Christ. On at least five solemn occasions he referred this mission of Mary especially to modern times. In 1839, for instance,, nineteen yearsbefore Lourdes, he ~nade this thought the very core of his long letter to the priests who were to conduct the annual retreats of the Society. Describing in vivid language the tremendous evils wrought in the world by ,religious indifference and secularism, so like those of our own day, be foresaw the loss of the masses that we are now trying to cope With, "a general defection and an apostasy really all but universal." But he was not discouraged: "Mary's power is not diminished. We firmly believe that she will overcome this heresy as she has overcome all others, because she is today, as she was formerly, the incompa-rable Woman, the promised Woman who was to crush the serpent's head: and desus Christ in never addressing her except by this sublime name, teaches us that she is the hope, the joy, and the life of the Church and the terror of hell. To her, therefore, is reserved a gre~t victory in our day: hers will be the glory of saving the faith from the shipwreck with which it is threatened among us.'" (S.F'., 101.). It was because of this firm faith in the leadership of Mary in the modern world, a faith that Lourdes and Fatima among a host of lesser apparitions have since strikingly vindicated, that Father Chami-nade enthusiastically called upon his spiritual children to realize in themselves the full valor of their knighthood: "We have enlisted under her banner as her soldiers., to assist her with all our strength until the end of our life, in her noble struggle against the powers of hell." (Ibid.) Such a dynamic ideal demands direct apostolic action, universal and intense, like the redemptive action of the first Son of Mary. Though the Society at present devotes itself chiefly to the education of youth, it is but applying Father Chaminade's principle of employing "means best adapted to the needs and spirit of the times" (S.F., 53). For such was the bigb dedication to which he called his children that they must labor with all their strength, not just to win Christians, b~t to "multiply Christians." And so, even as the knights of old dedicated themselves by their chivalrous vows, Father Cbaminade would have his modern knights. with ~'Maria Ducet." as their battle cry, vow a total consecration of themselves, to Mary their Queen and Mother: "She communicates to 261 ROBERT L. KNOPP Review for Religious us her own zeal and entrusts to us the projects ~vhich are inspired by her almost infinite charity, and we . . . vow to serve her faithfully till the end of our iife, to carry out punctually all that she'tells us. We are glad that we can thus spend in her service the life and strength that we have pledged to her." (Ibid.) To give this total consecration concrete expression in the religious profession itself, Father Chaminade added to poverty, chastity, and obedience, a fourth vow, stability, to which he specifically attached the meaning of consecration to Mary. This vow of stability, byl which the religious is constituted a Marianist forever, is officially described in the Constitutions as the vow by which the religious "intends to constitute himself permanently and irrevocably fn the state of a servant of Mary, of her to whom the Society is especially consecrated. This vow is, in reality, a consecration to the Blessed Virgin, with the pious design of making her known and of perpetu-ating love and devotion to her." (Art. 55.) This vow really expresses, therefore, the formal motive for embracing the Marianist life: ". it is in the name of Mary and for her glory that we embrace the religious life; it is in order to conse-crate ourselves, all that we h~ve and are, to her to make her known, loved, and served, in the intimate conviction that we shall not briw,~ men back to Jesus except through His most holy Mother, because with the hol~z Doctors we believe, that she is our only hope-- tota ratio spei no.~trae--our Mother. our refuge, our help, our strength, and our life" (S.F., 101). ' Consequently, by constituting the religious state itself, this vow of stability inspires, expresses, and effects conformity both with Christ's incarnate being and with His redemptive action, investing all the elements of re.ligious life with a special Marian significance. The three traditional vows, for instance, :partake of its character by stripping the religious, like another Incarnation, of all that he for-merly was or had. Thus, 'poverty imitates Christ who divested Himself of all His divine wealth to confide in Mary's care; it releases the religious from all l~aterial goods that he may be radically at the disposition of his spiritual Mother. .Chastity imitates the virginal integrity of Christ, Son of the Virgin of virgins; it releases the reli-gious from the ties of wife and family that he may present himself inviolate for the total service of his Immaculate Mother. Obedience imitates the loving subjection Of Christ to His Mother; by it the religious renounces his own will that he may follow hers, trans- 262 September, 1949 CONSECRATION TO MARY mitted to him by his superior, according to her word, "Do whatever he tells you." Since by these three vows the Marianist views the Soci(ty as Mary,'s property, its members as her sons, and its superiors as her representatives, he finds in his total consecration a very real counterpart of the Incarnation by which Christ completely sur-rendered Himself to Mary's motherhood. If he is wholly faithful to his state, he no longer lives, but Christ lives in him, returned again to earth, become again the Son of Mar'y for the salvation of mankind. And consequently, by acting according to his consecra-tion to Mary, loving her, obeying her, honoring her, confiding in her, living'with her, resemb!ing her, and especially assisting ~her ia her mission to .save the modern world, the religious finds his conse-crated activity a real counterpart of the redemption by which Christ sacrificed Himself entirely out of love for His Father and for mankind. If space permitted, the other elements of religious life by which the Marianist enters into this redemptive activity of Christ might be developed in great detail. Here, only a few indications of the practical implications of this total consecration may be presented. The Fatima visions suggest that cgnsecration to Mary must involve, special stress on prayer and sacrifice as redemptive instruments. It is not at all surprising, then, that Father Cbaminade should have laid great emphasis upon mental prayer, which he characteristically taught as union with Jesus and Mary in the mysteries of the Creed, the very goal of the rosar)~ as presented to Lucy in the final Fatima vision. He prescribed a full hour of formal mental prayer for all his reli-gious, no matter how actively engaged, and he constantly insisted on a "spirit of faith and of mental prayer" by which the whole day, encased between morning and evening meditations, is spent with Jesus and Mary in the presence of God and thereby becomes a con-tinual mental prayer, a prayer of the heart fixed in God rather than of the mind straining for considerations. With this in mind, be could write in the Constitutions: ". the more a, religious devotes himself to this exercise, the more he approaches his end . con-formity with Jesus Christ" (S.F., 247). And this prayer-life is so intimately bound up with the apostolic consecration that in the second article of his Constitutions Father Chaminade clearly stated his design to combine "the advantages of the active life with those of' the contemplative, to attain the ends of both." In that same article, he stressed the sacrifice that Fatima leads us 263 ROBERT L. KNOPP to expect: "The Society designs, 'as far as God will aid it, to unite zeal with abnegation . " Concerning this abnegation, or sacrifice, Father Chaminade was as emphatic as with prayer: i'.The Savior of the world came as a victim, He lived in privations, He died in sor-rows; the same sword pierced the heart of His . . . Mother. No better lot can befall the disciple and the child his Master and his Mother. The professed, as a victim, is not surprised at the privations to try him . he considers himself all than that of resembling regarding himself, then, by which it pleases God the days of his life as fastened to the cross, in order to continue., the oblation and sacri-fice of, desus Christ." (Art. 173-4.) aust as in the life of Christ the redemptive work itself was sacrifice, so the Marianist is to find his daily cross chiefly in the trials, fatigues, and difficulties inherent in a life of intense apostolic activity. Moreover, this self-sacrifice must consist principally in the interior self-denial of humility, simple and sincere, like that of ,lesus and Mary. Such, in briefest outline, is the conformity with Christ, S6n of God become Son of Mary for the salvation of mankind, that this total consecration of filial love for Mary expresses and effects. If. however, in order to be fully realized this consecration demands the religious profession, nothing prevents the faithful in the world'from embracing its spirit as completely as their state of life permits. It is to be expected, then, that Marianists hold as their "work of predi-lection" the spreading of this spirit of filial consecration to Mary among their own students, and through them to the world at large, by such means as the establishment and maintenance of sodalities, always intensely apostolic. Before Fatima and after it, Marianists have always held as their inmost conviction, the fruit of their own 'life-experience, that the world can be restored to Christ only through Mary. In this year of their American Centennial, they dedicate themselves anew to this work of bringing men to consecrate their lives to Mary, not merely in word but in being and in act-- in prayer and in sacrifice. 264 Books as Spirit:ual Direc!:ors J. H. Dunn, O.R.S.A. ~N PIONEER DAYS the early settlers of this country had a phrase which showed a nice blend of confidence in God and self-reliance: "Trust. in God and keep your po.wder dry." A religious of today might well make one small change, inspired by modern technological progress, and use that same phrase as a watchword in his own spiritual life: "Trust in God and keep your battery charged." Certainly one of the best means to keep the battery of zeal for increased perfection charged is spiritual reading. No one can deny its imperative necessity in the daily life of a religious; so much so, that progress in perfection is, to a large extent, contingent upon daily use of this important means of advancing in sanctity. Spir-itual reading is, then, one of the best means that a religious has for charging his spiritual batteries. But spiritual reading can be made to serve another end. When necessity demgnds, it can be used as a means of spiritual direction. Books can be substituted for men. About seven years ago, the REVIEW FOR RELIGIOUS published a series of articles on spiritual direction that gave rise to a discussion which furnished a very good survey of its state in contemporary American religious life. At that time, it seemed to be the consensus among religious that adequate spiritual direction was a felt need in many communities. No doubt, the situation has changed but little since those articles and letters were written. What, then, is the religious to do who with all the good will in the world cannot find someone to act as spiritual director? It is the opinion of the author that, when every opportunity for human help has been canvassed and found wanting, the religious may with a .clear conscience turn to the next most perfect means of spiritual direction--books. In such a case as this spiritual reading can be used not only as a battery-charging agent, but as a generator and, some-times, as a mechanic. Spiritual reading can be used to supply an incentive to higher things and to fix up a "stalled" religious so that he can go on. After all, the spiritual .director has a twofold task--to give advice that will help or keep a person out of difficulties and, What is 265 J. H. DUNN Review for Religious far more important, to spur him on to h!gher things. Now if there is no director at hand, spiritual reading can be used to fulfill both these ends. In the matter of difficfilties to be solved there is probably no religious who will think that his particular problems are unique. It stands to reason, therefore, that most questions are answered some-where in print. The only problem is to find the right book. Any large work covering the spiritual life extensively will serve such a need as this. Christiar~ PerFection by Father Rodriguez leaves little untouched in the matter of spirituality. Many difficulties can be solved by articles in back numbers of the REVIEW FOR RELIGIOUS. Such works as these bare the one drawback--that it is sometimes hard to find what is needed quickly or easily because of inadequate indexing, dr because of improperly filed back numbers. On the other hand, such a work as Tanquerey's Spiritual LiFe is excellent in this respect. It.is sufficiently extensive to handle any problem that might arise in the. normal religious life, and it is well enough indexed to enable the reader to find a solution in a matter of seconds. It may be objected that such books as these will serve only for beginners in religion or for those who are not far advanced in per-fection but .will be of little or no use to those who have to contend with the complications characteristic of the higher reaches of sanc-tity. It is certainly true that the problems which arise in the later stages of the spiritual life are more personalized than earlier ones, but that does not mean that the broad general principles upon which such problems must be solved have not been fully .expounded in numerous spiritual books. Father Garrigou-Lagrange, for instance, in his Three Ages oF the Interior LiFe offers a sharply delineated plan of spirituality, extending as far as a man can hope to go and treating almost every difficulty that could arise. St. Teresa cannot fail to be helpful; and few problems are met in striving for the ultimate in divine union that have not been anticipated by St. John of the Cross. Besides, anyone who has progressed so far in perfection with-out a spiritual director may surely hope without presumption that God will continue to help him to bring the work to ultimate success. It is in the second phase of the spiritual director's work, that of spurring a person to higher striving arid keeping him going, that spiritual reading really comes into its own. In this respect there are some things that books can do even better than men; they can be more severe, for instance, and they are more patient at repeating 266 September, 1949 BOOKS AS SPIRITUAL DIRECTORS what needs to be said over and over. Nor can it be validly objected that many technical books will be needed if the printed page is to be used as a substitute for the living voice. A few good books will do the job and do it well. If in an ordinary novel the reader can find new matter at a second or even a third perusal, the same will certainly bold true of spiritual books. In this respect it_is important to note, even to insist upon, one point. However else a religious uses hi~ time for stfiritual reading, he must choose books which are a challenge. The time spent in spiritual reading should never be spent with books that might be called in Mark Twain's phrase, "flowers and flapdoodle." Espe-cially is this true if these same spiritual reading books must perform at least some of the functions of a spiritual director. Books that are to help religious souls to overcome their diffi-culties and urge them on to greater perfection--books that are to encourage them when they are in danger of stopping their progress through human frailty or going astray through ignorance of the way, must be carefully graded. A novice who could be helped by Gehon's Secret of the Saints wouldoonly be discouraged or bewil-dered by Tb~ Ascent of Mount Carmel. A person who might be helped immeasurably by Saudreau's Life of Union with God would no longer need Leen's Progrdss Through Mental Prayer. Each must choose for himself according to his own need, but it would certainly be folly to expect Saint Among Savages to be conducive to progress for someone who has long ago reached a measure of union with God. The book is fine, though, for a novice who must be weaned from comic books. A religious, then, who finds blmself without the help of a spir-itual director need not, because of that fact, give up all hope of spir-itual direction. That same religious would be the first to insist that God would take care of him somehow. What is more natural than that He should do so by means of help that is always at hand, the help of spiritual books? One who has tried by every possible means to get spiritual direction, yet, cannot find it, may turn with perfec~ confidence to those spiritual books which will keep his battery charged. 267 ommun{cal:{ons Who May "Follow Him"? Reverend Fathers: It is not without a coi~siderable degree of temerity that I even attempt a reply to Sister Mary Digna's scholarly article, "That God's Will be Better Known," published in the 3uly issue of REVIEW FOR RELIGIOUS. However, as it deals with a subject of paramount importance to fill religious orders, I would like to express what is a purely personal'reaction to the article. Let me begin by saying that I definitely do not approve of any diagnostic tests being given to a candidate on admission to a nov;- tiate or at any time during the novitiate training period. In the first place, any of these tests--that is: I.Q., aptitude, per-sonality, or emotional reaction tests--are vary likely to defeat their purpose not only by failing to give accurate information about an applicant to religious life but also by conveying actual ~nisinforma-tion. What was this novitiate period for many of us? Wasn't it a time when our hearts almost broke with homesickness, when every fibre of our being was taut and strained in an effort to adjust our-selves to a mode of life different in almost every detail from the old one left bebin:d? Might not the score, of a diagnostic test be very different .just a few years later when, as a professed religious, one has achieved a serenity and poise that is seldom compatible with a period of grave adjustment? Secondly, should not even a reasonably' capable master or mis-tress of novices be able to know fairly accurately, after two or three years of constant companionship and supervision, something of the intelligence, aptitudes, and emotional reactions of the novices? But, one may object, this purely subjective opinion should at least be supplemented by a purely objective score. Maybe so, but remember that in this case the subjective verdict is frequently based on years of experience with young novices and also on a knowledge of the spe-cific needs and requirements of a particular congregation. In regard to that typ_e of emotional reaction test designed to convey information concerning impulses and emotions of the sex instinct, I will admit that there may be factors involved here with which I am not familiar. That any anomaly along this line cer-tainly makes one an unfit subject for religious life is unquestionable. But again, I am willing to place this too in the hands of a shrewd, 268 COMMUNICATIONS alert, and spiritually wise master, or mistress of novices. "I'o boil it all down--isn't this idea of injecting these various tests into our novitiates find religious communities merely an unneces-sary form of secularization? Doesn't it tend to overlook a little the tremendous power of divine grace operating in a soul seeking to serve God? The use of a "natural aptitude" test whiCh would tend to prevent a superior from placing a "round peg in a square hole" might also undervalue the tremendous power of a work done in simple obedience. Certainly the religious literally writhing under an unpleasant, distasteful employment has infinitely more-opportunity to follow the divine precept to "take up your cross daily" than she who is happily and efficiently employed in a work agreeable to nature. What were the requirements stipulated by the first Novice Master on the shore ~f Galilee? Just the briefly stated "Come, ~ollow Me." But oh, the infinite possibilities for courage, sanctity, and even ultimate martyrdom contained in those three simple" words! Would not a modern psychologist be rather gravely concerned over the prob-able I.Q. of James and John, who were obtuse enough to hope for an earthly kingdom from a carpenter's Son? What would a present-day psychiatrist think of the apparent emotional instability of Peter who in one exultant outburst cried out, "Thou art Christ, the Son of the living God," and then, not so long afterwards, muttered mis-erably to an illiterate barmaid, "I know not the Man"? But Christ knew what patient training could accomplish with His novices, and ¯ He took them for what they were Worth and in spite of their weak- ~esses. In conclusion, may I ask what one of us in religion would like to feel that a Mission a~ssigned or an employment given was in any way the result of tests administered perhaps years ago in one's novitiate days? What infinitely greater security there would be in knowing that an obedience had been given after a provincial or Other superior had knelt humbly before Christ in the tabernacle and with a fervent, heartfelt "Veni, Sancte Spiritus'" begged for guidance in placing her subjects. The religious then accepts her charge, whatever it may be, knowing it to be sanctified by obedience, fortified by faith, and ulti-mately made the "sweet yoke" and "burden light" because of that burning love for her Divine Bridegroom which had made it possible for her to "leave all things and follow Him." --SISTER MARY OF ST. GERTRUDE, R.G.S. 269 .uesE ons and Answers 35 Is it possible to gain ~he "tofies quoties" indulgence for the Poor Souls on November 2nd in a prlvafe chapel in which Mass is said daily but which is usedoonly by religious? This chapel is part of parish church It will be' well to explain the meaning of private oratory before answering our question. Before the Code of Canon Law was pro-mulgated in 1917, it was customary tocall the ordinary chapels of religious communities either domestic chapels or private chapels. Now the Code defines a private o'r domestic chapel ~s one erected in a pri-vate house in favor of a family or private lay person; whereas the chapel erected for the benefit of a community or group of the faithful is called a semi-public chapel. Of higher rank are public chapels and churches (see canon 1188). Generally speaking, the chapels in reli-gious communities are semi-public chapels. The officiai book on indulgences, Preces et Pia Opera, states spe-cifically under No. 544 that the indulgences for the Poor Souls may be gained by the, faithful on November 2nd "as often as they visit a church or public oratory or (for those who may legitimately use it) a semi-public oratory." Again, in an introduction which explains some general prin-ciples about indulgences, this same official text states under No. 4 that when a visit to a church is required it may be made "to a church, or to a public chapel, or (for those having the legitimate use of it according to canon 929) to a semi-public oratory." Religious, the.refore, may, make all "required~ visits t~ a church" in their own chapels according to the conditions laid down in canon 929: "The faithful of either sex who, for the pursuit of religious per-fection, or' for education, or for health's sake, live a common life in houses established with the consent of. the ordinaries, but which have no church or public chapel [of their own], and likewise all persons ¯ who live in the same place for the purpose of ministering to them, whenever a visit to any unspecified church or public oratory is pre- ~ scribed for gaining irli:lulgences, may m'ake the visit in :the~h~pel of their own house where they can legitimately satisfy the obligation of hearing Mass, provided that they duly perform the other works prescribed." 270 QUESTIONS AND ANSWERS We may, therefgre, conclude that religious who legitimately enjoy the benefit of a semi-public chapel, may make whatever visits are required for gaining indulgences in their own chapel, even though there is a parish church nearby, provided that it is not required that a determined church be visited. If a specit~c church or public oratory is prescribed for the visit, then it cannot be made in the community chapel but must be made ifi the church or public chapel specified. m3b--. We have fwd years 'of novitiate. The reception is held on August !2th, and two years later, on the same date, the novices take their vows. Is this in accordance with canon law, or should the vows be fa~en on the 13th of August after the completion of the two years of novitiate? Canon 555, § 2 tells us that if the constitutions prescribe more than a year for the novitiate, the extra time is not required for valid-ity unless the same constitutions expressly declare otherwise. There-fore, unless your constitutions expressly declare t~at the second year of novitiate is required t~or oalidit~t of the subsequent vows, you need have no worries about the past. As for the future, it is a probable opinion, which may be fol-lowed in practice, that, if the constitutions prescribe two years of novitiate but do not expressly require the second year for validity, the profession of t.emporary vows may be validly and licitly made on the same calendar day on which the habit was received or the novi-tiate begun (See Larraona, Commentarium pro Religiosis, 1942, p. 16, note 973; Schaefer, De Religiosis, ed. 4, 1947, p. 513, n. 906). Hence you many continue your. practice of having the reception on August 12th and of allowing the novices to take their vows two years later on August 12th. According to our constitutions, to be elected superior general the candidate must obtain half the votes plus one. We have been following 3ardi's system of voffn9 (El Derecho de las Religlosas, Vich, 1927, articles 2:~0-242), namely, the name of the candidate is written in the cen-ter of the ballot. The ballot is then signed by the voter at the bottom: and the signature sealed. In case a candidate receives exactly one vote more than half, all the ballots in his favor are opened and the signatures examined in order to make certain that the candidate has not voted for h~mself'thus~ making the election null and vold. This method of procedure 271 QUESTIONS AND ANSWERS Reoieto for Religious has .been severely criticized as being contrary to the spirit of the law, if not contrary to the letter. Please give us your opinion in thematter. The manner of election suggested by Father Jardi, which you follow, is the manner prescribed by Pope Pius X for the election the Holy Father by the cardinals. There is one difference, however, to which Father Jardi obviously did not advert. In the papal elec-tion, each cardinal, after signing and sealing his name at the bottom of the ballot, put on theoutside of the sealed part a secret symbol (three numbers, three letter~, a drawn image, etc.) which is known to him, to the presiding officer, ~nd to the scrutators alone. Then in case a cardinal received exactly two-thirds of the votes, his personal oote alone would be opened to make sure that he had not voted for himself. It was not necessary to open all the votes of all those who voted for him, since his vote was recognized by his cryptic symbol. It would certainly be contrary to the spirit of the canons of the Code regarding elections to open all the ballots of those who voted for a candidate in order to find out whether the candidate had voted for himself, since to do so would embarrass at least half of the voters. I do not think that it wc.uld make the election invalid, becausethe informaticn is given to those who are bound to secrecy. As a matter of fact, in a recent constitution of December 8, 1944, Pope Pius XII revised the method of electing a pope, especially the r~oi~t in ~,uestion. A vote of two-thirds of the ballots plus one is now required for a valid election; and the cardinals are no longer obliged to sign their ballots, since this provision makes it unnecessary to inquire whether the person elected voted for himself or not. In conclusion I would suggest that you change your constitutions by dropping the obliga~.ion of .having the members of the chapter sign their ballots, annd by requiring that the candidate must obtain two votes more than half the ballots cast. In this way it will always be certain that the candidate received at least one more than half the votes, even though he voted for himself. These changes will have to be approved by the Holy See, if your congregation has papal approval; or by all the bishops in whose territory you hav~ houses, if you are a diocesan congregation. .38 when it is found necessary to change some of the "legal articles" in the constitutions of a religious community, does that give the liberty fo 272 September, 1949 QUESTIONS AND ANSWERS make changes in the prayers and other spiritual articles confMned in the same consfifutions? Some think that it does; others maintain that the original constitutions should be adhered to as much as possible. When the Code of Canon Law was promulgated in 1917, it became necessary for all religious institutes to revise their constitu-tions to bring them into conformity with the new laws of the Church. I.suppose that is what our questioner refers to when he speaks of "legal articles." As a matter of fact, the Sacred Congrega-tion of Religious issued a declaration on October 26, 1921, stating that "the text of the constitutions is to be amended only in those things in which the constitutions are opposed to the Code; or, if it is a case of deficiency, additions may be nhade; and as far aspossible the words of the Code itself are to be used." The same declaration, how-ever, made allowance for other changes also, provided that "the pro-posed changes have been discussed and approved by the General Chapter." In the new Normae (A.A.S. 13-317), which the Sacred Congre-gation has drawn up for itself as a guide in the approval of new constitutions, it recommends that all formularies of prayers as well as longer ascetical instructions, spiritual exhortations, and mystical considerations be put into the directory or some other such ascetical book, "since the constitutions shduld contain only the constitutive laws of a congregation as well as the directive laws of the actions of the community, whether those pertaining to government, or those pertaining to discipline and the norm of life." This does not mean that all ascetical articles are to be excluded, because the Normae state explicitly that "brief statements regarding the spiritual and religious life are opportune" in the constitutions. To answer our question: For all changes in the constitutions of a religious institute: the permission of the Holy See is required in the case of a pontifical institute; that of all the bishops in whose diocese the institute has houses in the case of a diocesan institute. These changes should be discussed and voted upon in a general chapter before being submitted to the proper authority for approval. The mind of the Church is that the constitutions of religious institutes should not contain formularies, such as prayers, daily order, and so forth. These should be put into the custom book or director3~, or some such similar book. 273 BOOK REVIEWS Religious Does the chaplain have the r;cjht fo say the funeral Mass and hold the exequles for a deceased religlous Sister of the house where he is chaplain? The common opinion, both before and after the Code, held tha~ nuns ("rnoniales") were exempt from parochial jurisdiction; hence, before the Code the chaplain alone had all the parochial powers in their behalf; but after the Code these powers were divided between the chaplain and the confessor (see canons 514, § 2 and 1230, § 5). In the case of nuns not exempt from the local o~din, ary's jurisdic-tion, the chaplain's powers under canon 1230, § 5 were questioned: but the Code Commission, on January 31, 1942, decided that even in this case the right to conduct the funeral of the nuns belonged to the chaplain, and not to the parish priest. Other lay religious (Sisters---not nuns)are subject to canon 1230, § 1, that is, the pastor has the right to conduct their funerals unless the local ordinary has granted the community exemption from the jurisdiction of the pastor in conformity with canon 464, § 2. In this latter case the chaplain, not the pastor, has the right to conduct the funerals of the members of the community. took Reviews THE LITTLE OFFICE OF THE BLESSED VIRGIN. By a Master of Novices. Pp. x -}- 431. The Newman Press, Westminster, Maryland, 1948. $3.50. Priests, religious, and laity alike will welcome this new edition of The Little ONce of the Blessed Virgin. In this ~-olume is contained an explanation of the origin and history of the Office, a chapter on attention and intention, and one on the rubrics. This latter chapter is especially helpful in solving the difficulties that may arise in the recitation of the Office. The procedure to be followed for each of the hours is carefully outlined in detail. Following these introductory chapters, the Office itself follows. On one side of the page the Latin text is given, and parallel to that on the opposite page is an English translation. Directions are given at the beginning of each hour. It is to be regretted that in making this new edition the publishers did not avail themselves of the new approved translation of the Psalms and that the Pater, Ave, and 274 September, 1949 BOOK REVIEWS Credo in Latin were omitted. Surely everyone knows the English version of these prayers; but for those who are required to recite the Office in Latin, the Latin version is essential. One of the finest parts of the.book is the commentary that fol-lows the Office proper. The greater part of the commentary is taken from the Mirror of Ot~r L'adg. This commentary not only sup-plies an explanation of the prayers of the Little Office, but also provides excellent topics for contemplation. It is full, complete, beautiful, and reverent. Explanations in praise of the Blessed .Vir-gin by the great St. Bernard and many of the other outstanding saints are interspersed throughout the commentary. Finally, in an appendix, is given the Office of the Dead, and also the new Office for November 2. This little book is certainly to be recommended to those religious who must recite the Little Office of the Blessed Virgin according to rule. It will certainly help one to acquire a deeper understanding of the Office, and lead to greater reverence and devotion. -~L. 3ANSEN, S.J. THE VEIL UPON THE HEART. By George Byrne, S.d. Pp. viii -f- 103. The Newman Bookshop, Westminster, Maryland, 1947. $2.25. This booklet of essays on prayer from the penetrating pen of an Irish ,lesuit will be read with relish by saint as well as by sinner. Scripture texts worn from use take on a newness that only a man of prayer can put into them, for example: "There is no better commen-tary on the nature of prayer and its efficacy than the meeting of the virgin disciple and the impure woman in a supreme act of divine faith: 'T