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.
Only Vanderbilt University affiliated authors are listed on VUIR. For a full list of authors, access the version of record at https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6715680/ ; Fanconi anemia (FA) is a genetically heterogeneous disorder with 22 disease-causing genes reported to date. In some FA genes, monoallelic mutations have been found to be associated with breast cancer risk, while the risk associations of others remain unknown. The gene for FA type C, FANCC, has been proposed as a breast cancer susceptibility gene based on epidemiological and sequencing studies. We used the Oncoarray project to genotype two truncating FANCC variants (p.R185X and p.R548X) in 64,760 breast cancer cases and 49,793 controls of European descent. FANCC mutations were observed in 25 cases (14 with p.R185X, 11 with p.R548X) and 26 controls (18 with p.R185X, 8 with p.R548X). There was no evidence of an association with the risk of breast cancer, neither overall (odds ratio 0.77, 95% CI 0.44-1.33, p = 0.4) nor by histology, hormone receptor status, age or family history. We conclude that the breast cancer risk association of these two FANCC variants, if any, is much smaller than for BRCA1, BRCA2 or PALB2 mutations. If this applies to all truncating variants in FANCC it would suggest there are differences between FA genes in their roles on breast cancer risk and demonstrates the merit of large consortia for clarifying risk associations of rare variants. ; We thank all the individuals who took part in these studies and all the researchers, clinicians, technicians and administrative staff who have enabled this work to be carried out. We acknowledge all contributors to the COGS and OncoArray study design, chip design, genotyping, and genotype analyses. ABCFS thank Maggie Angelakos, Judi Maskiell, Gillian Dite. ABCS thanks the Blood bank Sanquin, The Netherlands. ABCTB Investigators: C.L.C., Rosemary Balleine, Robert Baxter, Stephen Braye, Jane Carpenter, Jane Dahlstrom, John Forbes, Soon Lee, Deborah Marsh, Adrienne Morey, Nirmala Pathmanathan, Rodney Scott, Allan Spigelman, Nicholas Wilcken, Desmond Yip. Samples are made available to researchers on a non-exclusive basis. The ACP study wishes to thank the participants in the Thai Breast Cancer study. Special Thanks also go to the Thai Ministry of Public Health (MOPH), doctors and nurses who helped with the data collection process. Finally, the study would like to thank Dr Prat Boonyawongviroj, the former Permanent Secretary of MOPH and Dr Pornthep Siriwanarungsan, the Department Director-General of Disease Control who have supported the study throughout. BBCS thanks Eileen Williams, Elaine Ryder-Mills, Kara Sargus. BCEES thanks Allyson Thomson, Christobel Saunders, Terry Slevin, BreastScreen Western Australia, Elizabeth Wylie, Rachel Lloyd. The BCINIS study would not have been possible without the contributions of Dr. K. Landsman, Dr. N. Gronich, Dr. A. Flugelman, Dr. W. Saliba, Dr. E. Liani, Dr. I. Cohen, Dr. S. Kalet, Dr. V. Friedman, Dr. O. Barnet of the NICCC in Haifa, and all the contributing family medicine, surgery, pathology and oncology teams in all medical institutes in Northern Israel. The BREOGAN study would not have been possible without the contributions of the following: Jose Esteban Castelao, Angel Carracedo, Victor Munoz Garzon, Alejandro Novo Dominguez, Sara Miranda Ponte, Carmen Redondo Marey, Maite Pena Fernandez, Manuel Enguix Castelo, Maria Torres, Manuel Calaza (BREOGAN), Jose Antunez, Maximo Fraga and the staff of the Department of Pathology and Biobank of the University Hospital Complex of Santiago-CHUS, Instituto de Investigacion Sanitaria de Santiago, IDIS, Xerencia de Xestion Integrada de Santiago-SERGAS; Joaquin Gonzalez-Carrero and the staff of the Department of Pathology and Biobank of University Hospital Complex of Vigo, Instituto de Investigacion Biomedica Galicia Sur, SERGAS, Vigo, Spain. BSUCH thanks Peter Bugert, Medical Faculty Mannheim. The CAMA study would like to recognize CONACyT for the financial support provided for this work and all physicians responsible for the project in the different participating hospitals: Dr. German Castelazo (IMSS, Ciudad de Mexico, DF), Dr. Sinhue Barroso Bravo (IMSS, Ciudad de Mexico, DF), Dr. Fernando Mainero Ratchelous (IMSS, Ciudad de Mexico, DF), Dr. Joaquin Zarco Mendez (ISSSTE, Ciudad de Mexico, DF), Dr. Edelmiro Perez Rodriguez (Hospital Universitario, Monterrey, Nuevo Leon), Dr. Jesus Pablo Esparza Cano (IMSS, Monterrey, Nuevo Leon), Dr. Heriberto Fabela (IMSS, Monterrey, Nuevo Leon), Dr. Fausto Hernandez Morales (ISSSTE, Veracruz, Veracruz), Dr. Pedro Coronel Brizio (CECAN SS, Xalapa, Veracruz) and Dr. Vicente A. Saldana Quiroz (IMSS, Veracruz, Veracruz). CBCS thanks study participants, co-investigators, collaborators and staff of the Canadian Breast Cancer Study, and project coordinators Agnes Lai and Celine Morissette. CCGP thanks Styliani Apostolaki, Anna Margiolaki, Georgios Nintos, Maria Perraki, Georgia Saloustrou, Georgia Sevastaki, Konstantinos Pompodakis. CGPS thanks staff and participants of the Copenhagen General Population Study. For the excellent technical assistance: Dorthe Uldall Andersen, Maria Birna Arnadottir, Anne Bank, Dorthe Kjeldgard Hansen. The Danish Cancer Biobank is acknowledged for providing infrastructure for the collection of blood samples for the cases. COLBCCC thanks all patients, the physicians Justo G. Olaya, Mauricio Tawil, Lilian Torregrosa, Elias Quintero, Sebastian Quintero, Claudia Ramirez, Jose J. Caicedo, and Jose F. Robledo, the researchers Ignacio Briceno, Fabian Gil, Angela Umana, Angela Beltran and Viviana Ariza, and the technician Michael Gilbert for their contributions and commitment to this study. Investigators from the CPSII cohort thank the participants and Study Management Group for their invaluable contributions to this research. They also acknowledge the contribution to this study from central cancer registries supported through the Centers for Disease Control and Prevention National Program of Cancer Registries, as well as cancer registries supported by the National Cancer Institute Surveillance Epidemiology and End Results program. CTS Investigators include Leslie Bernstein, S.L.N., James Lacey, Sophia Wang, and Huiyan Ma at the Beckman Research Institute of City of Hope, Jessica Clague DeHart at the School of Community and Global Health Claremont Graduate University, Dennis Deapen, Rich Pinder, and Eunjung Lee at the University of Southern California, Pam Horn-Ross, Christina Clarke Dur and David Nelson at the Cancer Prevention Institute of California, Peggy Reynolds, at the Department of Epidemiology and Biostatistics, University of California San Francisco, H.A-C, A.Z., and Hannah Park at the University of California Irvine, and Fred Schumacher at Case Western University. DIETCOMPLYF thanks the patients, nurses and clinical staff involved in the study. We thank the participants and the investigators of EPIC (European Prospective Investigation into Cancer and Nutrition). ESTHER thanks Hartwig Ziegler, Sonja Wolf, Volker Hermann, Christa Stegmaier, Katja Butterbach. FHRISK thanks NIHR for funding. GC-HBOC thanks Stefanie Engert, Heide Hellebrand, Sandra Krober and LIFE -Leipzig Research Centre for Civilization Diseases (Markus Loeffler, Joachim Thiery, Matthias Nuchter, Ronny Baber). The GENICA Network: Dr. Margarete Fischer-Bosch-Institute of Clinical Pharmacology, Stuttgart, and University of Tubingen, Germany [H.B., W-Y.L.], German Cancer Consortium (DKTK) and German Cancer Research Center (DKFZ) [H. B.], Deutsche Forschungsgemeinschaft (DFG, German Research Foundation) under Germany's Excellence Strategy - EXC 2180 -390900677, Department of Internal Medicine, Evangelische Kliniken Bonn gGmbH, Johanniter Krankenhaus, Bonn, Germany [Yon-Dschun Ko, Christian Baisch], Institute of Pathology, University of Bonn, Germany [Hans-Peter Fischer], Molecular Genetics of Breast Cancer, Deutsches Krebsforschungszentrum (DKFZ), Heidelberg, Germany [UH], Institute for Prevention and Occupational Medicine of the German Social Accident Insurance, Institute of the Ruhr University Bochum (IPA), Bochum, Germany [Thomas Bruning, Beate Pesch, Sylvia Rabstein, Anne Lotz]; and Institute of Occupational Medicine and Maritime Medicine, University Medical Center Hamburg-Eppendorf, Germany [Volker Harth]. HABCS thanks Michael Bremer and Johann H. Karstens. HEBCS thanks Sofia Khan, Johanna Kiiski, Kristiina Aittomaki, Rainer Fagerholm, Kirsimari Aaltonen, Karl von Smitten, Irja Erkkila. HKBCS thanks Hong Kong Sanatorium and Hospital, Dr Ellen Li Charitable Foundation, The Kerry Group Kuok Foundation, National Institute of Health 1R03CA130065 and the North California Cancer Center for support. HMBCS thanks Johann H. Karstens. HUBCS thanks Shamil Gantsev. KARMA thanks the Swedish Medical Research Counsel. KBCP thanks Eija Myohanen, Helena Kemilainen. We thank all investigators of the KOHBRA (Korean Hereditary Breast Cancer) Study. LMBC thanks Gilian Peuteman, Thomas Van Brussel, EvyVanderheyden and Kathleen Corthouts. MABCS thanks Milena Jakimovska (RCGEB "Georgi D. Efremov), Emilija Lazarova (University Clinic of Radiotherapy and Oncology), Katerina Kubelka-Sabit, Mitko Karadjozov (Adzibadem-Sistina Hospital), Andrej Arsovski and Liljana Stojanovska (Re-Medika Hospital) for their contributions and commitment to this study. MARIE thanks Petra Seibold, Dieter Flesch-Janys, Judith Heinz, Nadia Obi, Alina Vrieling, Sabine Behrens, Ursula Eilber, Muhabbet Celik, Til Olchers and Stefan Nickels. MBCSG (Milan Breast Cancer Study Group): Bernard Peissel, Jacopo Azzollini, Dario Zimbalatti, Daniela Zaffaroni, Bernardo Bonanni, Mariarosaria Calvello, Davide Bondavalli, Aliana Guerrieri Gonzaga, Monica Marabelli, Irene Feroce, and the personnel of the Cogentech Cancer Genetic Test Laboratory. We thank the coordinators, the research staff and especially the MMHS participants for their continued collaboration on research studies in breast cancer. MSKCC thanks Marina Corines, Lauren Jacobs. MTLGEBCS would like to thank Martine Tranchant (CHU de QuebecUniversite Laval Research Center), Marie-France Valois, Annie Turgeon and Lea Heguy (McGill University Health Center, Royal Victoria Hospital; McGill University) for DNA extraction, sample management and skillful technical assistance. J. S. is Chair holder of the Canada Research Chair in Oncogenetics. MYBRCA thanks study participants and research staff (particularly Patsy Ng, Nurhidayu Hassan, Yoon Sook-Yee, Daphne Lee, Lee Sheau Yee, Phuah Sze Yee and Norhashimah Hassan) for their contributions and commitment to this study. The NBCS Collaborators would like to thank the Oslo Breast Cancer Research Consortium, OSBREAC (breastcancerresearch. no/osbreac/), for providing samples and phenotype data. NBHS and SBCGS thank study participants and research staff for their contributions and commitment to the studies. We would like to thank the participants and staff of the Nurses' Health Study and Nurses' Health Study II for their valuable contributions as well as the following state cancer registries for their help: AL, AZ, AR, CA, CO, CT, DE, FL, GA, ID, IL, IN, IA, KY, LA, ME, MD, MA, MI, NE, NH, NJ, NY, NC, ND, OH, OK, OR, PA, RI, SC, TN, TX, VA, WA, WY. The authors assume full responsibility for analyses and interpretation of these data. OFBCR thanks Teresa Selander, Nayana Weerasooriya. ORIGO thanks E. Krol-Warmerdam, and J. Blom for patient accrual, administering questionnaires, and managing clinical information. The ORIGO survival data were retrieved from the Leiden hospital-based cancer registry system (ONCDOC) with the help of Dr. J. Molenaar. PBCS thanks Louise Brinton, Mark Sherman, Neonila Szeszenia-Dabrowska, Beata Peplonska, Witold Zatonski, Pei Chao, Michael Stagner. The ethical approval for the POSH study is MREC/00/6/69, UKCRN ID: 1137. We thank staff in the Experimental Cancer Medicine Centre (ECMC) supported Faculty of Medicine Tissue Bank and the Faculty of Medicine DNA Banking resource. PREFACE thanks Sonja Oeser and Silke Landrith. PROCAS thanks NIHR for funding. RBCS thanks Petra Bos, Jannet Blom, Ellen Crepin, Elisabeth Huijskens, Anja Kromwijk-Nieuwlaat, Annette Heemskerk, the Erasmus MC Family Cancer Clinic. We thank the SEARCH and EPIC teams. SGBCC thanks the participants and research coordinator Ms Tan Siew Li. SKKDKFZS thanks all study participants, clinicians, family doctors, researchers and technicians for their contributions and commitment to this study. We thank the SUCCESS Study teams in Munich, Duessldorf, Erlangen and Ulm. SZBCS thanks Ewa Putresza. UCIBCS thanks Irene Masunaka. UKBGS thanks Breast Cancer Now and the Institute of Cancer Research for support and funding of the Breakthrough Generations Study, and the study participants, study staff, and the doctors, nurses and other health care providers and health information sources who have contributed to the study. We acknowledge NHS funding to the Royal Marsden/ICR NIHR Biomedical Research Centre. BCAC is funded by Cancer Research UK [C1287/A16563, C1287/A10118], the European Union's Horizon 2020 Research and Innovation Programme (grant numbers 634935 and 633784 for BRIDGES and B-CAST respectively), and by the European Community's Seventh Framework Programme under grant agreement number 223175 (Grant Number HEALTH-F2-2009-223175) (COGS). The EU Horizon 2020 Research and Innovation Programme funding source had no role in study design, data collection, data analysis, data interpretation or writing of the report. Genotyping of the OncoArray was funded by the NIH Grant U19 CA148065, and Cancer UK Grant C1287/A16563 and the PERSPECTIVE project supported by the Government of Canada through Genome Canada and the Canadian Institutes of Health Research (grant GPH-129344) and, the Ministere de l'Economie, Science et Innovation du Quebec through Genome Quebec and the PSR-SIIRI-701 grant, and the Quebec Breast Cancer Foundation. Funding for the iCOGS infrastructure came from: the European Community's Seventh Framework Programme under grant agreement No. 223175 (HEALTH-F2-2009-223175) (COGS), Cancer Research UK (C1287/A10118, C1287/A10710, C12292/A11174, C1281/A12014, C5047/A8384, C5047/A15007, C5047/A10692, C8197/A16565), the National Institutes of Health (CA128978) and Post-Cancer GWAS initiative (1U19 CA148537, 1U19 CA148065 and 1U19 CA148112 -the GAME-ON initiative), the Department of Defence (W81XWH-10-1-0341), the Canadian Institutes of Health Research (CIHR) for the CIHR Team in Familial Risks of Breast Cancer, and Komen Foundation for the Cure, the Breast Cancer Research Foundation, and the Ovarian Cancer Research Fund. The DRIVE Consortium was funded by U19 CA148065. The Australian Breast Cancer Family Study (ABCFS), BCFR-NY, BCFR-PA, BCFR-UTAH, the Northern California Breast Cancer Family Registry (NCBCFR) and Ontario Familial Breast Cancer Registry (OFBCR) were supported by grant UM1 CA164920 from the National Cancer Institute (USA). The content of this manuscript does not necessarily reflect the views or policies of the National Cancer Institute or any of the collaborating centers in the Breast Cancer Family Registry (BCFR), nor does mention of trade names, commercial products, or organizations imply endorsement by the USA Government or the BCFR. The ABCFS was also supported by the National Health and Medical Research Council of Australia, the New South Wales Cancer Council, the Victorian Health Promotion Foundation (Australia) and the Victorian Breast Cancer Research Consortium. J.L.H. is a National Health and Medical Research Council (NHMRC) Senior Principal Research Fellow. M.C.S. is a NHMRC Senior Research Fellow. The ABCS study was supported by the Dutch Cancer Society [grants NKI 2007-3839; 2009 4363]. The Australian Breast Cancer Tissue Bank (ABCTB) was supported by the National Health and Medical Research Council of Australia, The Cancer Institute NSW and the National Breast Cancer Foundation. C.L.C is a NHMRC Principal Research Fellow. The ACP study is funded by the Breast Cancer Research Trust, UK and KM and AL are supported by the NIHR Manchester Biomedical Research Centre and by the ICEP ("This work was also supported by CRUK [grant number C18281/A19169]"). The AHS study is supported by the intramural research program of the National Institutes of Health, the National Cancer Institute (grant number Z01-CP010119), and the National Institute of Environmental Health Sciences (grant number Z01-ES049030). The work of the BBCC was partly funded by ELAN-Fond of the University Hospital of Erlangen. The BBCS is funded by Cancer Research UK and Breast Cancer Now and acknowledges NHS funding to the NIHR Biomedical Research Centre, and the National Cancer Research Network (NCRN). The BCEES was funded by the National Health and Medical Research Council, Australia and the Cancer Council Western Australia and acknowledges funding from the National Breast Cancer Foundation (J.S.). The BREast Oncology GAlician Network (BREOGAN) is funded by Accion Estrategica de Salud del Instituto de Salud Carlos III FIS PI12/02125/Cofinanciado FEDER; Accion Estrategica de Salud del Instituto de Salud Carlos III FIS Intrasalud (PI13/01136); Programa Grupos Emergentes, Cancer Genetics Unit, Instituto de Investigacion Biomedica Galicia Sur. Xerencia de Xestion Integrada de Vigo-SERGAS, Instituto de Salud Carlos III, Spain; Grant 10CSA012E, Conselleria de Industria Programa Sectorial de Investigacion Aplicada, PEME I+ D e I + D Suma del Plan Gallego de Investigacion, Desarrollo e Innovacion Tecnologica de la Conselleria de Industria de la Xunta de Galicia, Spain; Grant EC11-192. Fomento de la Investigacion Clinica Independiente, Ministerio de Sanidad, Servicios Sociales e Igualdad, Spain; and Grant FEDER-Innterconecta. Ministerio de Economia y Competitividad, Xunta de Galicia, Spain. The BSUCH study was supported by the Dietmar-Hopp Foundation, the Helmholtz Society and the German Cancer Research Center (DKFZ). The CAMA study was funded by Consejo Nacional de Ciencia y Tecnologia (CONACyT) (SALUD-2002-C01-7462). Sample collection and processing was funded in part by grants from the National Cancer Institute (NCI R01CA120120 and K24CA169004). CBCS is funded by the Canadian Cancer Society (grant #313404) and the Canadian Institutes of Health Research. CCGP is supported by funding from the University of Crete. The CECILE study was supported by Fondation de France, Institut National du Cancer (INCa), Ligue Nationale contre le Cancer, Agence Nationale de Securite Sanitaire, de l'Alimentation, de l'Environnement et du Travail (ANSES), Agence Nationale de la Recherche (ANR). The CGPS was supported by the Chief Physician Johan Boserup and Lise Boserup Fund, the Danish Medical Research Council, and Herlev and Gentofte Hospital. COLBCCC is supported by the German Cancer Research Center (DKFZ), Heidelberg, Germany. Diana Torres was in part supported by a postdoctoral fellowship from the Alexander von Humboldt Foundation. The American Cancer Society funds the creation, maintenance, and updating of the CPSII cohort. The CTS was supported by the California Breast Cancer Act of 1993, the California Breast Cancer Research Fund (contract 97-10500) and the National Institutes of Health (R01 CA77398, K05 CA136967, UM1 CA164917, and U01 CA199277). Collection of cancer incidence data was supported by the California Department of Public Health as part of the statewide cancer reporting program mandated by California Health and Safety Code Section 103885. HAC receives support from the Lon V Smith Foundation (LVS39420). The University of Westminster curates the DietCompLyf database funded by the charity Against Breast Cancer (Registered Charity No. 1121258) and the NCRN. The coordination of EPIC is financially supported by the European Commission (DG-SANCO) and the International Agency for Research on Cancer. The national cohorts are supported by: Ligue Contre le Cancer, Institut Gustave Roussy, Mutuelle Generale de l'Education Nationale, Institut National de la Sante et de la Recherche Medicale (INSERM) (France); German Cancer Aid, German Cancer Research Center (DKFZ), Federal Ministry of Education and Research (BMBF) (Germany); the Hellenic Health Foundation, the Stavros Niarchos Foundation (Greece); Associazione Italiana per la Ricerca sul Cancro-AIRC-Italy and National Research Council (Italy); Dutch Ministry of Public Health, Welfare and Sports (VWS), Netherlands Cancer Registry (NKR), LK Research Funds, Dutch Prevention Funds, Dutch ZON (Zorg Onderzoek Nederland), World Cancer Research Fund (WCRF), Statistics Netherlands (The Netherlands); Health Research Fund (FIS), PI13/00061 to Granada, PI13/01162 to EPIC-Murcia, Regional Governments of Andalucia, Asturias, Basque Country, Murcia and Navarra, ISCIII RETIC (RD06/0020) (Spain); Cancer Research UK (14136 to EPIC-Norfolk; C570/A16491 and C8221/A19170 to EPIC-Oxford), Medical Research Council (1000143 to EPIC-Norfolk, MR/M012190/1 to EPIC-Oxford) (United Kingdom). The ESTHER study was supported by a grant from the Baden Wurttemberg Ministry of Science, Research and Arts. Additional cases were recruited in the context of the VERDI study, which was supported by a grant from the German Cancer Aid (Deutsche Krebshilfe). FHRISK is funded from NIHR grant PGfAR 0707-10031. DGE is supported by the all Manchester NIHR Biomedical Research Centre (IS-BRC-1215-20007). The GC-HBOC (German Consortium of Hereditary Breast and Ovarian Cancer) is supported by the German Cancer Aid (grant no 110837, coordinator: R.K.S., Cologne). This work was also funded by the European Regional Development Fund and Free State of Saxony, Germany (LIFE - Leipzig Research Centre for Civilization Diseases, project numbers 713-241202, 713-241202, 14505/2470, 14575/2470). The GENICA was funded by the Federal Ministry of Education and Research (BMBF) Germany grants 01KW9975/5, 01KW9976/8, 01KW9977/0 and 01KW0114, the Robert Bosch Foundation, Stuttgart, Deutsches Krebsforschungszentrum (DKFZ), Heidelberg, the Institute for Prevention and Occupational Medicine of the German Social Accident Insurance, Institute of the Ruhr University Bochum (IPA), Bochum, as well as the Department of Internal Medicine, Evangelische Kliniken Bonn gGmbH, Johanniter Krankenhaus, Bonn, Germany. The GEPARSIXTO study was conducted by the German Breast Group GmbH. The GESBC was supported by the Deutsche Krebshilfe e.V. [70492] and the German Cancer Research Center (DKFZ). The HABCS study was supported by the Claudia von Schilling Foundation for Breast Cancer Research, by the Lower Saxonian Cancer Society, by the Friends of Hannover Medical School and by the Rudolf Bartling Foundation. The HEBCS was financially supported by the Helsinki University Central Hospital Research Fund, Academy of Finland (266528), the Finnish Cancer Society, and the Sigrid Juselius Foundation. The HERPACC was supported by MEXT Kakenhi (No. 170150181 and 26253041) from the Ministry of Education, Science, Sports, Culture and Technology of Japan, by a Grant-in-Aid for the Third Term Comprehensive 10-Year Strategy for Cancer Control from Ministry Health, Labour and Welfare of Japan, by Health and Labour Sciences Research Grants for Research on Applying Health Technology from Ministry Health, Labour and Welfare of Japan, by National Cancer Center Research and Development Fund, and "Practical Research for Innovative Cancer Control (15ck0106177h0001)" from Japan Agency for Medical Research and development, AMED, and Cancer Bio Bank Aichi. The HMBCS and HUBCS were funded by the German Research Foundation (Do761/10-1) and by the Rudolf Bartling Foundation. The HUBCS was further supported by a grant from the German Federal Ministry of Research and Education (RUS08/017), and by the Russian Foundation for Basic Research and the Federal Agency for Scientific Organizations for support the Bioresource collections and RFBR grants 14-04-97088, 17-29-06014 and 17-44-020498. Financial support for KARBAC was provided through the regional agreement on medical training and clinical research (ALF) between Stockholm County Council and Karolinska Institutet, the Swedish Cancer Society, The Gustav V Jubilee foundation and Bert von Kantzows foundation. The KARMA study was supported by Marit and Hans Rausings Initiative Against Breast Cancer. The KBCP was financially supported by the special Government Funding (EVO) of Kuopio University Hospital grants, Cancer Fund of North Savo, the Finnish Cancer Organizations, and by the strategic funding of the University of Eastern Finland. The KOHBRA study was partially supported by a grant from the Korea Health Technology R&D Project through the Korea Health Industry Development Institute (KHIDI), and the National R&D Program for Cancer Control, Ministry of Health & Welfare, Republic of Korea (HI16C1127; 1020350; 1420190). LMBC is supported by the 'Stichting tegen Kanker'. DL is supported by the FWO. The MABCS study is funded by the Research Centre for Genetic Engineering and Biotechnology "Georgi D. Efremov" and supported by the German Academic Exchange Program, DAAD. The MARIE study was supported by the Deutsche Krebshilfe e. V. [70-2892-BR I, 106332, 108253, 108419, 110826, 110828], the Hamburg Cancer Society, the German Cancer Research Center (DKFZ) and the Federal Ministry of Education and Research (BMBF) Germany [01KH0402]. MBCSG is supported by grants from the Italian Association for Cancer Research (AIRC) and by funds from the Italian citizens who allocated the 5/1000 share of their tax payment in support of the Fondazione IRCCS Istituto Nazionale Tumori, according to Italian laws (INT-Institutional strategic projects "5 x 1000"). The MCBCS was supported by the NIH grants CA192393, CA116167, CA176785 an NIH Specialized Program of Research Excellence (SPORE) in Breast Cancer [CA116201], and the Breast Cancer Research Foundation and a generous gift from the David F. and Margaret T. Grohne Family Foundation. MCCS cohort recruitment was funded by VicHealth and Cancer Council Victoria. The MCCS was further supported by Australian NHMRC grants 209057 and 396414, and by infrastructure provided by Cancer Council Victoria. Cases and their vital status were ascertained through the Victorian Cancer Registry (VCR) and the Australian Institute of Health and Welfare (AIHW), including the National Death Index and the Australian Cancer Database. The MEC was supported by NIH grants CA63464, CA54281, CA098758, CA132839 and CA164973. The MISS study is supported by funding from ERC-2011-294576 Advanced grant, Swedish Cancer Society, Swedish Research Council, Local hospital funds, Berta Kamprad Foundation, Gunnar Nilsson. The MMHS study was supported by NIH grants CA97396, CA128931, CA116201, CA140286 and CA177150. MSKCC is supported by grants from the Breast Cancer Research Foundation and Robert and Kate Niehaus Clinical Cancer Genetics Initiative. The work of MTLGEBCS was supported by the Quebec Breast Cancer Foundation, the Canadian Institutes of Health Research for the " CIHR Team in Familial Risks of Breast Cancer" program -grant #CRN-87521 and the Ministry of Economic Development, Innovation and Export Trade - grant #PSR-SIIRI-701. MYBRCA is funded by research grants from the Malaysian Ministry of Higher Education (UM. C/HlR/MOHE/06) and Cancer Research Malaysia. MYMAMMO is supported by research grants from Yayasan Sime Darby LPGA Tournament and Malaysian Ministry of Higher Education (RP046B-15HTM). The NBCS has received funding from the K.G. Jebsen Centre for Breast Cancer Research; the Research Council of Norway grant 193387/V50 (to A-L Borresen-Dale and V.N.K.) and grant 193387/H10 (to A-L Borresen-Dale and V. N. K.), South Eastern Norway Health Authority (grant 39346 to A-L Borresen-Dale) and the Norwegian Cancer Society (to A-L Borresen-Dale and V. N. K.). The NBHS was supported by NIH grant R01CA100374. Biological sample preparation was conducted the Survey and Biospecimen Shared Resource, which is supported by P30 CA68485. The Carolina Breast Cancer Study (NCBCS) was funded by Komen Foundation, the National Cancer Institute (National Cancer Institute CA058223, U54 CA156733, U01 CA179715), and the North Carolina University Cancer Research Fund. The NGOBCS was supported by the National Cancer Center Research and Development Fund. The NHS was supported by NIH grants P01 CA87969, UM1 CA186107, and U19 CA148065. The NHS2 was supported by NIH grants UM1 CA176726 and U19 CA148065. The ORIGO study was supported by the Dutch Cancer Society (RUL 1997-1505) and the Biobanking and Biomolecular Resources Research Infrastructure (BBMRI-NL CP16). The PBCS was funded by Intramural Research Funds of the National Cancer Institute, Department of Health and Human Services, USA. Genotyping for PLCO was supported by the Intramural Research Program of the National Institutes of Health, NCI, Division of Cancer Epidemiology and Genetics. The PLCO is supported by the Intramural Research Program of the Division of Cancer Epidemiology and Genetics and supported by contracts from the Division of Cancer Prevention, National Cancer Institute, National Institutes of Health. The POSH study is funded by Cancer Research UK (grants C1275/A11699, C1275/C22524, C1275/A19187, C1275/A15956 and Breast Cancer Campaign 2010PR62, 2013PR044. PROCAS is funded from NIHR grant PGfAR 0707-10031. The RBCS was funded by the Dutch Cancer Society (DDHK 2004-3124, DDHK 2009-4318). The SASBAC study was supported by funding from the Agency for Science, Technology and Research of Singapore (A*STAR), the US National Institute of Health (NIH) and the Susan G. Komen Breast Cancer Foundation. The SBCGS was supported primarily by NIH grants R01CA64277, R01CA148667, UMCA182910, and R37CA70867. Biological sample preparation was conducted the Survey and Biospecimen Shared Resource, which is supported by P30 CA68485. The scientific development and funding of this project were, in part, supported by the Genetic Associations and Mechanisms in Oncology (GAME-ON) Network U19 CA148065. SEARCH is funded by Cancer Research UK [C490/A10124, C490/A16561] and supported by the UK National Institute for Health Research Biomedical Research Centre at the University of Cambridge. The University of Cambridge has received salary support for PDPP from the NHS in the East of England through the Clinical Academic Reserve. SEBCS was supported by the BRL (Basic Research Laboratory) program through the National Research Foundation of Korea funded by the Ministry of Education, Science and Technology (2012-0000347). SGBCC is funded by the NUS start-up Grant, National University Cancer Institute Singapore (NCIS) Centre Grant and the NMRC Clinician Scientist Award. Additional controls were recruited by the Singapore Consortium of Cohort StudiesMulti-ethnic cohort (SCCS-MEC), which was funded by the Biomedical Research Council, grant number: 05/1/21/19/425. The Sister Study (SISTER) is supported by the Intramural Research Program of the NIH, National Institute of Environmental Health Sciences (Z01-ES044005 and Z01-ES049033). The Two Sister Study (2SISTER) was supported by the Intramural Research Program of the NIH, National Institute of Environmental Health Sciences (Z01-ES044005 and Z01-ES102245), and, also by a grant from Susan G. Komen for the Cure, grant FAS0703856. SKKDKFZS is supported by the DKFZ. The SMC is funded by the Swedish Cancer Foundation. The SZBCS was supported by Grant PBZ_KBN_122/P05/2004. The TNBCC was supported by: a Specialized Program of Research Excellence (SPORE) in Breast Cancer (CA116201), a grant from the Breast Cancer Research Foundation, a generous gift from the David F. and Margaret T. Grohne Family Foundation and the Ohio State University Comprehensive Cancer Center. The TWBCS is supported by the Taiwan Biobank project of the Institute of Biomedical Sciences, Academia Sinica, Taiwan. The UCIBCS component of this research was supported by the NIH [CA58860, CA92044] and the Lon V Smith Foundation [LVS39420]. The UKBGS is funded by Breast Cancer Now and the Institute of Cancer Research (ICR), London. ICR acknowledges NHS funding to the NIHR Biomedical Research Centre. The UKOPS study was funded by The Eve Appeal (The Oak Foundation) and supported by the National Institute for Health Research University College London Hospitals Biomedical Research Centre. The USRT Study was funded by Intramural Research Funds of the National Cancer Institute, Department of Health and Human Services, USA. The WAABCS study was supported by grants from the National Cancer Institute of the National Institutes of Health (R01 CA89085 and P50 CA125183 and the D43 TW009112 grant), Susan G. Komen (SAC110026), the Dr. Ralph and Marian Falk Medical Research Trust, and the Avon Foundation for Women.
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/
International audience ; The collective work presents the study and publicationof excavated materials of an archaeologically known twoapsechurch from the first half of the 9th to the first half ofthe 10th century at the top of the Tuzluk Hill in the Yedi Evlerarea, Crimean Peninsula, near the village of Semidvorie(Alushta, Crimea, Ukraine). This sanctuary was linked tothe large agricultural and pottery producing settlement thatexisted in this economically developed and populous regionin the second half of the 8th/9th - first half of the 10th century.The settlement was situated 150-250 meters to the east andsoutheast from the church. Just 350 meters southeast fromthe church was a medieval cemetery of the "Suuksu" typeof the 7th – 8th / 9th (?) centuries existed which was left by thepopulation usually identified as Crimean Goths tribes.In 2007, an area of around 96 m2 was investigated andchurch ruins and surrounding cultural layer were studied.The stratigraphical analysis managed to identify here 44archaeological layers or contexts, one medieval grave withdouble burials, and a Bronze Age cultual place. The studyof ruins shows that the sanctuary was rebuilt multiple times.The church consisted of two communicating compartmentsof different sizes. As for characteristic features, the southernmain apse is bigger in size than the northern one, andthere was an entrance in the main part of the church throughthe northern compartment as well as two other doorwaysfrom the west and from the south. The western portal of thenorthern compartment was completely open and no traces ofwall masonry here were attested. In contrast to the southerncompartment, the foundation of the northern part was cutin natural. The three-layer masonry wall was made of localpoor faceted rectangular stones of various sizes. For buildingmortar, mud solutions with clay loam as a binder elementwere mostly used. The inside of the southern churchwalls was plastered with lime mortar, which in some placesis preserved in situ, and painted with red linear and geometricpatterns including letters or even inscriptions that aretoday illegible. The roof likely had two slopes covered bylocally made tiles of different types.The overall dimensions of the church were: width – 5.60-5.70 m, length - 8.50 m. The thickness of the wall was about0.7 m. Structure remains are preserved to a height of 0.80 m.Both apses have shoulders connecting apsidal semicirclesand walls. The external diameter of the southern apse is 2.13m. The internal dimension of the southern main compartmentis 2.34×4.15 м. The external diameter of the northernapse is 1.20 m, while the internal is 0.63 m. The width in thewestern part of the northern compartment is 1.34 m, and inthe eastern part it is reduced to 1.26 m. The church was orientedto the northeast. The azimuth of its central axis is 47°,which roughly corresponds to the azimuth point of sunriseduring the summer solstice for Crimean latitude.SUMMARYIn the first chapter, written by V. Kirilko, the buildinghistory of the church and its architectural peculiarities arepresented. The double apse sanctuary belongs to the relativelyrare type of churches of the Middle Byzantine periodthat could be described as a two-apse church with unequalapses of different sizes. G. Dimitrokallis (1976), the authorof the most representative corpus of double apse byzantinesanctuaries, classified them as "pseudobiconques." Thereare some examples of double apse churches in the Crimea(Sotera near Alushta, Sudak, Funa near Luchistoe settlement,Chembalo fortress in Balaklava). Yet, these sanctuariesmainly date back to the 14th century, with the one exceptionbeing the Sotera church that belonged to the periodof the 8th-10th century, and none of them provides an exactparallel to the church of Yedi Evler.During the short period of its history, the church wascompletely rebuilt at least once. The first building periodinvolved the creation of the main southern church with theapse and the three entrances from the west, south and north.It is highly likely that the church was intentionally conceivedby priests, ktitores or the Christian community as a doubleapse and two-part building. Immediately after the perfectionof the southern church, the additional northern compartmentwith open western portal and separate apse was added. Thispart of the church was connected to the main church via aspecial doorway in the wall dividing the compartment thatpreviously served as the northern entrance to the southernchurch. In fact, the second building period is distinguishedonly theoretically as a final step in the construction of thechurch. The chronology of the first two periods of the building'shistory, based mainly on the study of pottery and ceramicmaterials from the complex, dates back to the firsthalf of the 9th century, or more precisely the second-third tothe middle of the century.After a short period the church was completely destroyed,most likely due to inadequate construction worksor an earthquake. The third building period is determined as860-880s, when the sanctuary was rebuilt and reconstructed.After reconstruction, the northern compartment was buriedby earth and ruined stones and preserved according tocanon law practices for unused sacral Christian objects. Inthe third building period, the northern part was not active asa liturgical zone. The sanctuary became an ordinary ruralByzantine one-apse, one-nave church. A narthex was constructedin the eastern part of the sanctuary. The doorwaybetween the southern and northern parts was closed off bywall masonry. During the third building period, only twoentrances — the southern and western — were still active.The main entrance was the southern one, which was addedby a wooden apprentice. After the second deterioration ofthe church in the first half of the 10th century, no more renovations were carried out. The ruins were reused by the localpopulation for ordinary purposes no earlier than in the secondhalf of the 14th -15th century, as pottery fragments fromthe ruins show. Most probably, the narthex and apse wereused at this time as a temporary living structure in what isregarded in the chapter as the fourth building period. Theauthor proposes graphical reconstruction of the sanctuaryaccording to fourth building periods and shows architecturalparallels to this building among contemporary churches ofthe Northern Caucasus and Minor Asia.Chapter two, author I. Teslenko, deals with the stratigraphyof the site and description of archaeological layers.The analysis of excavated materials provided in the chapterallowed for the presentation of all steps of anthropogenicactivity on the Tuzluk Hill from the Bronze Age to moderntimes. The description of materials is organized by archaeologicallayers, with general characteristics of different findsincluded. Every layer inside and outside the church is attributedto a corresponding building period. A hypothesison the formation of each layer and its causes are also given.The most important layers are linked to two dilapidationsof the church, and some of them are attributed to regular liturgicallife and different rituals practiced in and around thesanctuary. Several layers may be left from construction andreconstruction works. A detailed description of the archaeologicalfinds and a cultural and liturgical interpretation ofstructures, layers and bones are given in the next chapters.In the third chapter, I. Teslenko provides an analysis ofceramic and pottery materials from the church. During theexcavation, 2,589 fragments of roof tiles and kalypters (55%of all ceramic materials), 637 fragments of kitchen and tablewares (13.5%) and 1,485 pieces of pithoi and amphora (31.5%) were recorded. Among them 9 intact rectangular rooftiles that were still preserved and 5 kalypters can be fragmentarilyreconstructed. Several tiles have a constructionsign or craftsmen marks as tridents and Greek letters «λ»,«ρ», «π» «В», «V». A theoretical estimation on the numberof tiles, including kalypters for covering the roof, has beendone. The amount is between 374 tiles / 376 kalypters and396 tiles / 397 kalypters in the second and third buildingperiod respectively. Accordingly, in the second period theweight of the roof was about 3893-3897 kg, for the thirdperiod – 4118-4122 kg.Nearly all excavated ceramic materials came from localproduction. The author lists the characteristics and providesa description of clay pottery and ceramic items, which showtwo craftsmen traditions. The first one emerged locally andis characteristic of primitive treatments, the use of a handpottery wheel and unsatisfactory baking. The second craftsmentradition reflects well-organized, high-technology commodityproduction oriented on the external wine trade. It ispresented specially by amphora. Today, there are more than40 known pottery workshops with high-technology kilns inthe southern part of the Crimean peninsula. Such a potterytradition was most likely brought here in the 8th-9th centuryfrom Minor Asia. The author discusses chronologies ofvarious types of local pottery, particularly amphora, and hemakes comparisons to groups of amphora known from differentregions of the Byzantine World. Local amphoras arepresented by so-called "Black Sea type" (second variant),which was produced until the mid-10th century, according tothe author. At the archaeological site, only two fragments ofimported pottery have been recorded: the bottom of a highneck brown clay jug with wide flat handles, no earlier thanthe mid-9th century, and a fragment of Glazed White Ware II,according to J.W. Hayes, from 10th century Constantinople.The kitchen pottery which were in use in Khazar kaganateis also absent. Ceramic finds in the church date back mainlyto the end of 8th-10th century; only several fragments of twored glazed sgraffito bowls and one fragment of a brown unglazedpot come from the 14th-15th century.The fourth chapter presented by I. Teslenko and A.Musin describes and studies the collection of glass lampfragments (342 items) that are partially not indentified.The bulk (91%) of the lamps comes from the third buildingperiod and is concentrated near the southern entrance tothe church, where the liturgy should start. Precisely withinthe same zone, micropieces of flint made by strike-a-lightfor making "liturgical fire" were recorded, and kitchen andbone remains from community meals were also attested.Glass lamps are presented by two main groups: polycandelonor beaker-shaped lamps with hollow stems, and singlelamps with handles on the rim. All lamps have close parallelsamong glass finds from other Middle Byzantine sanctuaries,for instance, Myra-Demre in Turkey, Thessaloniki inGreece, Chersoneses in Crimea, etc. The glass is mainly coloredlight green and blue. A slowly increased percentage ofpotassium oxide recorded by optical emission spectroscopymay point to glass production centers in the southeasternpart of Asia Minor or Levant.Chapter five, written by A. Musin, analyzes and classifiesmetal crosses found in the church. The excavation recordedat least 30 crosses and their fragments. Crosses wereused throughout the entire period of the church's existence.Crosses are regarded as an ex-voto offering. Most of themwere concentrated in the altar zone of the sanctuary andnear the southern entrance to the church. Two crosses wereput in wall masonry that closed the doorway between thenorthern compartment and the main church during the thirdbuilding period, evidently with apotropaic magic purposes.Presumably, crosses were suspended on the church wall oron elements of the church's interior, or inserted in them. Thecorpus of crosses is divided into five typological groups.The main group consists of iron crosses with an extendedlower branch made of two plates connected with a rivet thatderived from individual processional crosses and turned inex-voto. Some crosses with splayed arms were cut from thinsheet-metal, including copper alloy and probably silver,and decorated with punch ornamentation. Two crosses weremade of silver coins: Umayyad dirham (661 – 750 AD) andimitation of Arab-Sassanian half-drachma of the Sassanidking Kosrou II (590-629 AD).The two last groups of crosses can be compared to thecrosses of the type 1.2.2 according to J. Staecker found inEarly Rus' and Scandinavia in the 10th – 11th century, especiallyknown to be in graves in Birka (Sweden), Gnezdovonear Smolensk, Timerevo near Yaroslavl (Russia), Kiev,Iskorosten (Ukraine) and other political and economic centersof the formation of early medieval states in Russia andSweden. Several scholars have insisted that the crosses havean Anglo-Saxon origin and appeared in Sweden around930-940s AD with the mission of bishop Uni from BritishIslands. However, after the Yedi Evler excavation, the Byzantineorigin of these crosses is quite clear. Crosses fromEastern and Northern Europe may have been created usinga Byzantine example or brought directly from this regionin several cases. During the cultural transformation of theChristianization period, crosses that initially belonged to liturgicalpublic culture were turned in barbarian society intoprivate devotion objects and used as an element in burialcustoms.Nearly all crosses found in the Yedi Evler church haveparallels in other regions of the Byzantine Empire and theneighboring region in the Black Sea coastland, Mediterranean,Asia Minor, Northern Caucasus and Balkans. Suchex-voto crosses illustrate a special feature of post iconoclasticculture in the beginning of the Middle Byzantine period,as well as large distribution of personal reliquary-crossesof the end of the 9th – 11th century. However, prior to becomingan ex-voto offering in church interior, both types ofcrosses were generally used in private Christian devotion.It is largely accepted that the 9th -11th century was a periodof increasing individualism, social atomism and growingemphasis on personal piety. With that in mind, individualcrosses were evidence of the new post-iconoclasm Orthodoxyas a manifestation of personal activity in church lifeand a sign of the victory of polis community tradition overimperial tyranny.The process of donating personal crosses to churchesshould be regarded as a special way of reconciling personaldevotion with the liturgical needs of the local communityencouraged by Church hierarchy. The present hypothesisis confirmed by information in the Byzantine MonasticTypikons, especially that of Empress Irene Doukaina Komnenefor the Convent of the Mother of God Kecharitomenein Constantinople founded between 1100 and 1118, whichprescribed that each Saturday laymen would offer crosses-stauria in the sanctuary for the commemoration of thedeceased, and that other crosses must be brought similarlyeach Sunday on behalf of the living who are recorded on thediptychs. Crosses from the Yedi Evler church and in othercases should be regarded as an archaeological illustration ofsuch a ritual.Other small finds from the church like nails, chain linksfor the suspension of lamps, fragment of bronze wire, leadplates from a wick holder, buttons of bronze, small greenglass beads, and an iron arrow-head characteristic of EasternEurope military culture in the 10th/11th - 13th century aredescribed and analyzed in chapter six by I. Teslenko. Twoamulet-pendants found in the church that are made of clamshell of Cerithium vulgatum and tooth of deer of Cervuselaphus, which could also be offered in the sanctuary asex-voto, are presented in chapter seven by G. Gavris and I.Teslenko.Chapters eight to twelve compiled by G. Gavris, V.Logvinenko, and S. Leonov deal with bones and faunisticremains including birds, mammals, fishes, marine mollusks,and land snails recorded during the excavations. As a result,information is exhausted on the repertoire of animal sacrifices,a normal practice in rural parish Byzantine churches,and the composition of church festive meals has been determined.Among 139 identified bones of mammals, 64% belongto Ovis aries and Capra aegagrus hircus, 16% to Sus scrofadomesticus, 6% to Lepus europaeus and 2 % to Bos Taurus.Birds are presented with 148 individuals of 19 species,including 78% of Gallus domesticus and Gallus domesticussm. and an insignificant quantity of bones of Otis tarda,Cygnus olor, Perdix perdix etc.It is quite interesting to note that fishes are nearly absentfrom the collection, and consequently, on the table of parishmen who lived along the sea coast, only 13 bones ofAcipenser gueldenstaedtii and Perciformes were recorded.Evidently, bones from the excavation present the remainsof a festive meal and not an everyday diet. However, shellfishesare recorded here in 1900 fragments of Mytilus galloprovincialis(95% of mollusk) and a small number ofPatella ulyssiponensis and Ostrea lamellose. Eriphia spinifronspresented in 4-5 individuals should also be noted. Terrestrialgastropods mollusks are mainly presented by Helixalbescens (72.4%), Monacha fruticola (24.2%) Chondrulatridens (3.2%), and only one shell of Brephulopsis cylindrical.Some remarks on the distribution of animal bonesin the excavated complex will be provided in the followingchapters.In chapter thirteen, I. Teslenko proposed and arguedthe chronology of the site based mainly on pottery analysis.Coins from the 7th – mid-8th century that were used forthe manufacturing of crosses give only large terminus postquem for the church building. Amphora with small horizontalmultiple grooves on the surface well-known in Crimeanot later than the beginning - first half of the 9th century arenot recorded among the excavation materials; so the beginningof the church complex must date back to the secondthird-middle of the 9th century. The find of the fragment of ahigh neck jug with wide flat handles in layers of the secondbuilding period, and their absence later on, puts the date ofthe rebuilding of the church at 860-880 AD. The presence oflocal "Black Sea type" amphora of the second variant andthe absence of forms similar to amphora of types I and IIbaccording to N. Günsenin allow to propose the first half –mid of the 10th century as the final stage of the church's existenceand that of surrounding settlements. Another find isthe fragment of Glazed White Ware II, dated no earlier thanthe beginning of the 10th century. The history of the churchactually spans about 100 (± 20-25) years.Chapter fourteen by A. Musin discusses liturgical ritualspracticed in the sanctuary against the large background ofByzantine church culture and shows parallels from relatedterritories. To explain the meaning and origin of the two unequalapse church building in the Yedi Evler area, the authorprovides a thorough account of the phenomenon of doubleapse churches with unequal apses from Transcaucasia andthe Northern Caucasus through Asia Minor and the GreekIslands up until biapsidal churches were recorded in medievalItaly in the 9th-13th century. As a result, a conclusionhas been made that the Mediterranean World did not havea unique genesis of double apse churches. Late Antiquitychurches with two symmetrical naves and apses cannot beregarded as a direct prototype for the Yedi Evler church andrelated building. The architecture of Transcaucasia and theNorthern Caucasus sometimes gives similar features, forexample Mgvimevi, Georgia, the end of the 13th century,but all of them were built later than the monument underconsideration.The "pseudobiconques" churches with a reducednorthern apse are also known in medieval Italy and Corsicaof the 10th-12th century (see for example: San Venerio,La Spezia-Migliarina, Liguria; San Tommaso al Poggio,Rapallo, Liguria; Santa Maria della Chiappella, Rogliano,Haute-Corse; Santa Maria di Sibiola, Serdiana, Sardegna).However, they hardly could be a source of inspirationfor builders of the Yedi Evler church for cultural andchronological reasons. The Italian architecture of the "chiesebiabsidate" did, however, deeply influence the appearanceof two apse churches in Crimea and Muscovite Russia inthe end of the 14th-15th century. Nevertheless, early Italiantwo apse sanctuaries, especially with different apses and anadditional northern entrance, could initially reflect the sameprocess of the change of liturgical planning as in the YediEvler church.It should be acknowledged that "pseudobiconques"churches are not very characteristic for the Greek Island.Some indirect parallels can bee seen in the planning ofthe church of St Spyridon – Panagia Protothroni Halkia,Halki, Naxos Island; church of St Pantaleon, Kotraphi,Peloponnesus; church of St Athanasius, Phaturu, PatmosIsland; church of St Athanasius, Phaturu, Patmos Island. Inall cases, it is difficult to say whether the additional reducedcompartment was initially intended for this or that particularliturgical ritual. It is quite possible that both naves wereused for the Eucharist. However, in the Middle Byzantineperiod, the appearance of double churches of Sts John andGeorge, Sarakini, Samos, and the Monastery of St JohnChrysostomos at Koutsovendis, Cyprus can be attested.The double apse church was renewed in the 10th century inÜçayak, near Kirşehir, Central Anatolia, Turkey. The mostnotable fact is that the high density of two apse middlebyzantine churches, including the "pseudobiconques"sanctuary, is known to have existed in the ancient Pontprovince and near Trabzon, Turkey, for example in Koralla,Görele Burunu fortress or Gantopedin fortress (Matzouka,Zana Kale), Labra, Maçka Dere, near Köpruna Köy. Thisregion always had direct ties with the northern Black Seacoast and Crimea during Antiquity and Middle Ages.At the same time, the closest parallel to the Yedi Evlerchurch can be seen in the 10th-11th century double apsechurch in the Upper City of Middle Byzantine settlementin Boğazköy (Hattusa, Asia Minor), Turkey, excavated by P.Neve in the early 1980s. At the small northern compartmentthat served as the principle entrance in the southern mainchurch, obviously meant for the Eucharist, a considerablenumber of metal ex-voto crosses was recovered. Thecombination of such features attested both in Yedi Evlerand Boğazköy and the chronological coincidence cannot beaccidental.The author argued that different liturgical functions of twochurch compartments and the subsidiary role of the northernpart may be stressed by their sizes and architectural volumesand expressed in the exterior of churches in an architectonicway and by means of architecture. An additional means ofspecial organization of two parts of liturgical space involvedthe arrangement of a separate doorway to the main churchvia the northern compartment as a supposable place of initialworship rituals.Such a change in liturgical planning finds its possibleexplanation in the reform of Prothesis/Proskomedia,which took place in Middle Byzantium during and rightafter the iconoclasm period. The Euchologion Barberinigr. 336, the oldest Orthodox liturgical book of the end ofthe 8th century, reported the appearance of the first priest'sprayer for the preparation of bread and wine as gifts for theEucharist. There was a time when the clergy and monksestablished control over the expression of community andindividual piety within the bringing of liturgical gifts. Thechapter argues in support of a hypothesis on the Prothesisfunction established in the northern compartment in MiddleByzantine churches with two unequal apses such as YediEvler, Sotera, Boğazköy, several sanctuaries of Pont andTrabzon, etc. as a materialization of church reforms at thattime. It is quite possible that contemporary Italian churcheswith two unequal apses were also influenced by the samearchitectural and liturgical innovation in the beginning of theMiddle Byzantine period, especially since the EuchologionBarberini is a manuscript of southern Italian provenance,which reflects, however, practices of Constantinople.Architectural studies let us assume that initially, for anewly performed ritual, the northern annexes or nave ofchurch could be reserved, but later such liturgical planninginnovation did not catch on in church practice. Both preanaphoraand anaphoric rituals were concentrated in thealtar zone.The architectural implementation of the Prothesisreform could be reflected in another way, for example, in theconstruction of rectangular annexes to Middle Byzantinechurch as monastery Kisleçukuru, Antalia, and in İnişdibifortified settlement, Istlada, near Kekova – Myra/Demre,both in Turkey provide examples. In fact, the MiddleByzantine period is generally characterized by the risingof additional architectural volumes and a compartmentaround the main church building within the multiplicationof liturgical rituals and "Privatisation" of Liturgy.As proof for the given hypothesis, a find of liturgicalequipment in the church can be added. At the central partof the northern compartment just opposite the doorway tothe main church, an almost rhomboidal flat stone with dimensionsof 0.5 х 0.7 m (weight 75 kg) was attested. Itshorizontal position in situ was fixed by two roof tiles andfragments of amphora. A considerable number of potteryand glass fragments was concentrated around the stone, aswell as some animal bones. At the east end of the northernapse, the bottom of pithos and fragmentary sheep skullwere also recovered, which indicate some unknown ritual.It is quite possible that such flat stones laying directly on thechurch floor and serving as the Prtothesis table for offeringliturgical bread and wine were typical for rural Byzantinechurches, as the information of Pratum spirituale by JohnMoschus suggests.No remains of the altar table or distinct elements of thealtar screen were recorded during the excavations. This impliesthat the Holy table in the church could be made ofwood and the altar screen existed as a cloth curtain or katapetasma.However, the altar zone was separated from thenaos by a terrace cut in natural as a kind of bema. Near thebema, there was a pit, most likely for a water reservoir usedfor church needs and ritual purification purposes. Beside thispit within the altar zone, several roof tiles were stocked as aspecial construction associated with finds of metal crossesand glass lamp fragments that may be regarded as an elementof an unpreserved altar barrier.Such liturgical elements as the offering of ex-voto crossesand new arrangement of the Prothesis ritual may suggesta monastic influence in the area. Additionally, this possibilityis confirmed by some features of burial custom of thegrave excavated near the church to the southeast from themain apse, i.e. the fixation of the head of one buried senilisman with the help of small stones or a special head-supportknown in the practice of Mont Athos monasteries and in theTypikon of Studios monastery in Constantinople. This observationallows for a revision of the role of Byzantine monasticismin the development of Crimean Christian cultureof the iconoclasm and posticonoclasm period, especiallysince an erroneous hypothesis on the "mass migration" ofByzantine monks-iconodoules to the Crimean peninsulabased on an uncritical review of the information of the Lifeof Saint Stephen the Younger has been abandoned after newresearch.However, rituals practiced in the Yedi Evler church werelinked not only to monastic practices but also to popularChristianized rituals, as finds of animal bones in and aroundthe church suggest. Without a doubt, these kitchen remainstestify to animal sacrifice and parish community or familyfestive meals organized in the church. The finds of oxremains, an animal usually offered as a sacrifice in ruralGreek communities during sanctuary consecration, nearthe western and southern entrances to the church may referto rituals of dedication of the church after its constructionand reconstruction in the second and third building periods.Other bones and faunal remains are relatively proportionallyspread out in the church complex. It is difficult todeterminate where exactly the common meals took place.Most likely, during the first period of church life it was thenorthern part of the church; the joint offering of gifts forthe Eucharist and ordinary meal in the same place near theflat stone in the northern part of the church shows a kindof syncretism of liturgical and popular rituals. During thelast period, when the northern compartment was buried accordingto canon law postulates the main part of the kitchenremains was concentrated near the southern entrance to thesanctuary.The practice of animal sacrifices and parish meals waslargely in use in Byzantine popular religion, or so-called"parish Orthodoxy." In spite of prescriptions against suchpractices, which can be found in canon law, it was regardedas a norm in society, and even hagiographical texts, for example,the Life of Saint Nicolas of Sion in Asia Minor, tellabout such rituals without any fulmination. Rituals of animalsacrifices are also known in the North Caucasus, Transcaucasia,and the Balkans and are still preserved in ethnographicpractice until the beginning of the 20th century andon several territories up until the present age. For example,in the Farassa area, Cappadocia, modern Feke, Adana Province,Turkey, in the Greek parish the ritual of animal sacrificeswas recorded in the church opposite the main altar on abig stone. This parallel may suggest that the flat stone in thenorthern part of the Yedi Evler church, apart from its Prosthesisfunction, could have also served as archaic sacrifice.The remains of rituals of church consecration are alsoknown from the excavations. They have been attestedthanks to one-time concentrations of charcoals and fireplacesas well as kitchen remains opposite to the entrances of thesanctuary. For the first church consecration, three fireplaceswere recorded to the north, west and south of the church.The second consecration left one fireplace to the south fromthe church according to the position of the main doorwayduring the third building period.Within the last zone, micropieces of flint made by strikea-light were found. It is obvious that there was a specialplace here for making 'liturgical fire' before the beginningof office of vespers. Evidently, the celebration in the churchwas not conducted every day, but on special days includingFeast and Sunday Liturgies. Today the ritual of makingnew fire before offices is still preserved in Latin andGreek parish life, only on the eve of Easter Day when theliturgical light for the ceremony is normally lit from a bonfireburned outside the church. In Russian and UkrainianOrthodoxy, such practice has been abandoned. A specificderivate of such practices is the ritual of 'Holy Fire' in thechurch of Holy Sepulcher in Jerusalem on Great Saturday,the day before Orthodox Easter, presented in mass mentalityand church propaganda as a miracle. However, the practiceof making 'new' or 'holy' fire, especially at the beginningof spring, is well known thanks to ethnological research inWestern and Central Europe, and relations between churchrituals and folklore customs are difficult to establish. Multiplefragments of glass lamps in the same zone hardly referto any rituals, nor do presented remains of lamps accidentallybroken during manipulation. Only one church customthat involves the intentional breaking of wedding glass cupsof wine was first attested in the Euchologion Paris Coislin.213 in 1027 AD. However, until the 12th century, the churchblessing of wedding was practiced in the aristocratic milieuand was not very widespread in rural society.In sum, the local parish community had enough cultivatedlevel of religious life and combined innovations ofliturgical mainstream of Byzantine society issued from culturalcenters and archaic practices belonging to the provincialrural population.The conclusions presented by I. Teslenko and A. Musinsummaries research results and give future perspectives.For the first time in the history of excavations of Crimeanmedieval churches, thanks to careful digging and fieldfixation, architectural archaeology managed to record manyliturgical features and everyday life elements characteristicof Byzantine rural churches. It allowed for determining acharacteristic of the material culture of the local populationduring the "demographic boom" and establishing of themataadministrative division in Byzantine Empire in the 8th-9thcentury. Church planning kept the very important step inthe development of the initial part of East-Christian Liturgyas ritualisation of Prothesis. Archaeological contextspreserved intact bones of animal sacrifices and communitymeals appropriated to Byzantine popular religion, tracesof making of 'holy' or liturgical fire as micropieces of flintmade by a light-a-strike, and ex-voto offering in the formof metal crosses, and amulets pendants that at the sametime could serve as interior church decoration. Such findsallowed us to establish byzantine origin of several typesof Christian devotional crosses pendants from the 10th-11th century originated from the territories of Early Rus'and Scandinavia. The church in Yedi Evler is an examplemonument of the Middle Byzantine period for the study ofliturgical devotion, rural sacral architecture and everydaylife of provincial settlements, which should be useful forthe understanding of both Crimean medieval culture and thehistory of other parts of the Byzantine World.The study of the Yedi Evler church permits us todraw some conclusions about the historical developmentand cultural situation in the southern part of the Crimeanpeninsula at the end of the 8th – mid 10th century. The materialculture of the local population known from the result ofthe church excavation and investigation of surroundingsettlements and pottery workshops suggests importantinnovation, such as stone housebuilding using roof tiles,high-technology pottery production with very effectivekilns, winemaking oriented to local and long distancetrade, and ecclesiastical architecture of basilica-type parishchurches. All these improvements were previously unknownfor the autochthonic people, which may be indentified tothe Crimean Goths. The settlement archaeology in the areashows that the above-mentioned innovations were broughthere with the wave of mass migration, and newly-establishedresidences of the new population existed quietly side by sidewith previous habitations. This situation may demonstratethe process of mutual integration and even acculturation ofautochthonic people in higher organized society. Most likely,the main group of migrants came from Asia Minor andbrought the mentioned traditions of Byzantine-Rhômaioscivilization, including high technology in pottery andliturgical innovations reflected in ecclesiastical architectureand devotional practices.Undoubtedly, the colonization of the southern part of theCrimean peninsula was organized by the administration ofthe Byzantine Empire in the framework of the establishingof the themata system. The theme ta Klimata in this areawas constituted in 841 AD, and later in the 850s it wasreorganized in the theme of Chersoneses. In the same vein,the new church administration was established here. Theregion under question had probably been included in themetropolitan of Ghotia or Doros, whose eastern borderseparating it from another one new diocese of Sougdaia orSourozh, now Sudak, was exactly across from the Yedi Evlervalley. The Goths diocese is referred to as "a certain regionalong the coast there called Dory," mentioned by Procopiusof Caesarea in his panegyric on the building activity of theemperor Justinian De Aedificiis.The chronology of pottery materials suggests that thechurch in Yedi Evler and the local agglomeration, as wellas a considerable part of settlements in Southern and South-Western Crimea, ceased to exist at the same time in the firsthalf of the 10th century. Such a social collapse may be linkedto the politically unstable situation in the area caused by theconflict between the Byzantine Empire and Khazar kaganateand active military raids of the Rus' from the Middle Dnieperarea to the Black Sea and Caspian Sea regions, Asia Minorand Constantinople. The local population moved to moresecure regions or fled behind city walls for protection.This publication is supplemented by appendixes withcatalogues of finds of various categories including metals,glass, and faunal artifacts (I. Teslenko, N. Turova), pottery,ceramic and stone materials (O. Ignatenko, I. Teslenko),architectural elements (V. Kirilko), find of Bronze Ageperiod (I. Teslenko), description and results of opticalemission spectroscopy of glass finds (A. Egor'kov) andstudy of flint finds (V. Chabai).
Summary of the Study Introduction Sudan is the third largest country on the African continent with a total area of 1,882,000 sq km. before the secession of South Sudan in 2011; Sudan was the largest country in Africa, covering I million square miles. Sudan is unique and complex in its climate, politics, environment, languages, cultures, religion and ethnicities. Demographically, Africans are the majority (52%), with Arab and Beja tribes constituting 38% and 6% of the population, respectively. Over 597 tribes live in Sudan that speak more than 400 dialects and practice different religions, live in Sudan. Muslims make up 70% of the total population of Sudan, followers of indigenous beliefs comprise 25% and Christians constitute 5% of the population. The complex mixture of the Sudanese social fabric renders it neither distinctly African nor Arab country. The Sudanese, however, have long disagreed about Sudan's identity. For some, Sudan should be Arab and Muslim. Other believe that the country should respect and accommodate all the cultures, religions and minorities within its territory. Most of Sudan constitutions stated that Islam and Arabic language should define the national identity. Politically, since the independence, Sudan has experienced a fluctuation between military rule and democratic rule. In fact, Sudan spent thirty years under the military rule, and only twelve years under democratically elected governments. The successive governments have frequently made use of emergency legislation to broaden the executive powers. These legislative measures have contributed to conflict and facilitated a range of human rights violations. In addition to the political instability, Sudan has the distinction in Africa in enduring a devastating civil war: that is: Sudan's north-south civil war. The conflict started just a year before the independence of Sudan, in 1956. The cumulative impact of that conflict has been massive. The conflict has caused horrendous loss of life in any interstate war, and has produced the largest internally displaced population (IDP) in the world. Sudan north-south conflict has long been perceived as ethnic or even religious conflict between the north and the south. Ethnicity has been used generously in the description of that conflict. Yet, a closer look at the history of the conflict reveals that the root-causes of that conflict are highly complex. But, this is by no means to say that conflict has had no ethnic, racial and religious overtones. The eruption of the north-south conflict was the result of a combination of factors. One could trace the root-causes of the conflict to the invasion of the south from the north by Turkiyya that expanded southwards, and the simultaneous development of slave trade. Thereafter, the British rule contributed in different ways to the crystallizing of the north-south dichotomy. After the independence of Sudan, successive governments, were unsuccessful in handling the growing southern problem, ranging from neglect to attempts to reverse the British isolation by enforced Arabisation and Islamization of the southern Sudan. The north-south conflict ended, in 1972, when Addis Ababa Agreement was signed by then President Nimeiry. But, the conflict broke out again, in 1983, when the Addis Ababa Agreement was abrogated by the then President Nimeiry. After a series of peace talks (which witnessed 'start and stop'), a Comprehensive Peace Agreement (CPA) was concluded, in 9 January 2005, between the Government of Sudan (GoS) and the Southern Sudan People's Liberation Movement (SPLM/SPLA) to end the conflict. The CPA provides for a temporary solution for the conflict through, inter alia, the distribution of the power between the north and the south of Sudan by establishing a decentralised system of government with a significant devolution of powers within which the Southern Sudan is to enjoy a regional autonomy and share half of the resources with north Sudan for a period of six years. Furthermore, the CPA creates joint institutions, such as, the Government of the National Unity (GoNU) in which the Southern Sudan participate and share ministerial posts. The CPA also provides for the establishment of a number of commissions for implementing and monitoring the CPA, for instance, the Evaluation and Monitoring Commission, the National Human Rights Commission, etc. At the end of the interim period, a referendum on the self-determination is to be held, in 2011, in which the people of the Southern Sudan will decide whether to remain within a united Sudan or to secede and form an independent State. The Aim of the Study The significance of this study derives from the conclusion of the CPA and the adoption of the Interim National Constitution (INC) that called for democratic transformation so as to bring an end to Sudan north-south conflict. While the CPA ended Sudan's north-south conflict, a lasting peace and a democratic transformation, in Sudan, may prove elusive unless the CPA provisions are translated into reality, especially the implementation of constitutional, legislative and institutional reforms, including human rights protection and respect for the rule of law. The study aims to answer whether the CPA and INC can fulfil their roles in securing peace and establishing a framework in which the constitutional protection of human rights are recognised and effectively implemented through the availability of the various mechanisms. In this respect, the CPA provided for the adoption of a new constitution (INC), with a view to embedding constitutionalism, rule of law promotion, and protection of human rights. It is, therefore, this study is meant to analyze the constitutional, legislative and institutional reforms of the CPA and INC with a view to examining whether such constitutional reforms may be conducive for a lasting peace, in Sudan, that is based on human rights protection, constitutionalism and the rule of law. The CPA stipulated the need for institutional and legislative changes to reduce the risk of recurrence of human rights violations. To this end, the CPA mandated the adoption of a bill of right (for the promotion and protection of human rights) and provided for re-restructuring of the courts system. Such institutional reforms are aimed at embedding constitutionalism. That is to say: establishing a system in which the constitution provides an agreed upon framework for the exercise of powers and the protection of human rights. In this respect, the study examines whether the outcome of the constitutional reforms process (to recognise, implement, and protect human rights as provided for in the INC) have been reflected in institutional and legislative reforms to protect and prevent human rights violations and address past violations and systemic factors that have contributed to violations. To that end, the human right jurisprudence of the constitutional court will be examined. The Organization of the Study a) The Structure of the Political/Governance System in Sudan under the INC With the devolution of the powers and resources to the Southern Sudan level and other States, the governance system, under the INC, is structured with four levels of government: the national level at the apex, the Government of South Sudan level, the State level (25 States), the local level. Now, the government responsibilities are decentralized and the national government allocates a significant proportion of revenues to the States. It is, therefore, that the first question that this study poses is: What is the impact of the current governance in giving greater equity of representation and decision-making influence to communities across Sudan, thereby facilitating conflict management to achieve a lasting peace in Sudan? In Sudan, previously appropriate design of institutions to ensure political accommodations for all social groups has not been established in a way that would give them the chance to function properly. Now, the INC restructures the prevailing governance system by establishing a decentralized system of government that bears the characteristics of asymmetrical/symmetrical federalism - asymmetrical in the structure and responsibilities of subunits, with the level of South Sudan having more powers and resources than other States across Sudan. Establishment of a federal structure may constitute a mechanism for preventing a relapse into conflict through the devolution of the powers to the State level. For a federal to work effectively, it requires a functional court system to decide on the jurisdictional limits of the different levels of government. Nevertheless, the relevance of the court system in resolving the intractably political contentions in federal countries, especially in transition situations, is uncertain. Noticeably missing from the literature is the study and analysis of the impact of the role of court system in post conflict countries. That said, the role of the court system in preserving democracy has grown in importance with the increase recognition of the judicial review of the constitutionality of the acts of the government organs and the recognition and the protection of human rights provisions. It is, therefore, that the involvement of the courts is necessary to ensure the successful operation of the federalism and thus the failure or the success of federalism is contingent on the implementation of the federal system by the courts. According to some scholars, 'federalism means legalism – the predominance of the judiciary in the constitution- the prevalence of a spirit of legality among the people'. As '[the] courts …are actually telling a government how far it can go with its assigned constitutional rights'. This leads to the second question that this study addresses which relates to the analysis of the constitutional reform as provided for in the INC, in general, but with a special focus on the role of the court system, through the application of judicial review and protection of human rights, to resolve not only disputes in litigations between private parties, but also to prevent the arbitrary exercise of the government power. b) The Structure of the Legal System (Court System) in Sudan under the INC The available literature presents different views as to the role of the court system in new democracies. On one hand, one view assumes that the courts have a fairly wide discretion to decide the outcome of the controversial cases to the needs of the political moment. The other view, on the other hand, takes the position that political actors do not exert any kind of influence at all on the way judges make their decisions. A third source, and with which I agree, argues that legal rules do put constrains over the exercise of the judicial discretion in controversial cases. A fourth view argues that in new fragile democracies constitutional courts/supreme courts should not be involved in judicial review, especially on adjudicating issues related to social and economic rights, which may profoundly affect the allocations of resources and violate the doctrine of separation of powers. In this respect, the study considers whether the court system, as restructured in the INC, and other constitutional guarantees introduced to the legal system as a whole, offer good prospects for constitutionalism that may control the power of the government so as not act arbitrarily. The role of court system in resolving disputes is highly contingent on the substantive law and the institutional structure within which the courts apply laws. Thus, this study examines to what extent the current structure of the legal system under the INC and the protection of human rights through the application of the Bill of Rights by the courts may signal the State's commitment to constitutionalism and respect to the rule of law. It is, therefore, that the role of the court system (in contributing to democratic transformation in Sudan) should be evaluated against the legal framework: that is the INC, with a focus on the independence of the judiciary, the application of the Bill of Rights and the rules governing the judicial review. c) The Legislative and Institutional Reforms under the INC The functions of the courts, in developing countries, have experienced increasingly transformative role as institutions that can hold the government organs accountable. The study aims to examine the practice of constitutionalism: that is, the implementation of the INC constitutional, institutional and legislative reforms, especially the compliance with the provisions of the INC and the CPA, in particular the role of the constitutional court as "a positive legislator". In this regard, the Sudanese Constitutional Court may play an important role in the law reform process given its power to annul laws found unconstitutional. This entails the non-applicability of such laws and, as a result, would compel the government institution/organ concerned to adopt new legislation that is in conformity with the INC. Thus far, the Sudanese constitutional court, under the INC, has received a number of human rights cases that involved issues related to violations of human rights or related to the constitutionality of key legislation, such as counter-terrorism laws, immunities for officials and statutes of limitation for torture. So what role the constitutional court has played in the law reform process under the INC? For the court system to play a role in the democratic reform, a comprehensive law reform process is seen as a prerequisite to bring the existing laws in line with the provisions of the INC and enacting new laws. Therefore, this study identifies what legislative and institutional reforms that have been undertaken by the parties to the CPA during the interim period to address human rights violations, root-causes of the conflict; inequality; marginalization, rule of law vacuum and weak democratic structures. Furthermore, this study offers empirical evidence for the judicial behavior of the Sudanese constitutional court through a systematic examination of selected human rights jurisprudence of the constitutional court to gauge its role in the law reform process in Sudan since the adoption of the INC. Overview of the Study and the Main Findings of the Study Introductory Chapter: Overview of the Study The Introductory Chapter provides an overview of the study, including, the key features of the State of Sudan, the aim of the study, the main objectives of the study, and a general overview of the study. Chapter One: A Historical Background of Sudan's North-South Conflict Chapter One gives a rich and deep account of Sudan north-south conflict. It looks at the root-causes of the conflict by elaborating on different factors that directly and indirectly contributed in making that conflict protracted. Chapter one moves on to consider the end of the first Sudan's north-south conflict which was ended when Addis Ababa Agreement was signed in 1972. Chapter one further elaborates on Sudan's second north-south conflict which broke out in 1983. Finally, Chapter one touches on the various peace initiatives that ended by the conclusion of the CPA. Chapter One concludes by analysing the CPA. In the final analysis, the CPA made significant changes the prevailing governance and legal systems in Sudan by establishing a federal system, introduced a dual legal system a bill of rights, provided for the right to self-determination for the south Sudan, established institutions for the protection of human rights by establishing mechanisms such as National Human rights Commission, and distributed the wealth equally between the north and the south. However, the CPA failed to include the Sudanese people in the talks leading to the conclusion of the CPA, as the CPA was bilateral reflecting the views of the north and the south. Chapter Two: The Structure of the Governance System under the INC The INC describes Sudan as a decentralized State with different levels of government: the national level, the Southern Sudan level, the State level and the local level. It further grants the Southern Sudan autonomy status. A careful analysis of the current governance arrangements reveals that the INC provides for asymmetric/symmetrical federalism system of governance. Chapter Two discusses the allocation of legislative powers between the national government, the Southern Sudan and the rest of the country and the nature of the constitutional design of the INC to manage diversity of Sudan (ethnic, linguistic, religious and cultural diversity). At the outset of Chapter Three provides an overview the fundamental principles of federalism and provides a brief historical background of federalism in Sudan and how federalism arrangements can play a role as a tool for peace-building. In the final analysis, in contract with old constitutions of Sudan, the INC establishes a federal system, with four levels of government; national, south Sudan, State and local levels. The INC federal system guarantees the special characteristics of all ethnic and religious groups in Sudan through the creation of the Council of the States. However, all the States in Sudan are not treated equally, because (1) two States have special status (South Kordofan and Blue Nile States), and (2) between the ten States in the South and the national level, the Government of South Sudan (GoSS) is inserted to exercise authority in respect of the ten States at South Sudan level. This means the INC creates asymmetrical/symmetrical federalism, as the South Sudan level enjoys significant autonomy and exclusive authority over ten States in South Sudan. All the States in Sudan are not treated equally, because (1) two States have special status (South Kordofan and Blue Nile States), and (2) between the ten States in the South and the national level, the Government of South Sudan (GoSS) is inserted to exercise authority in respect of the ten States at South Sudan level. This means the INC creates asymmetrical/symmetrical federalism, as the South Sudan level enjoys significant autonomy and exclusive authority over ten States in South Sudan. The INC Schedules (A – C) distribute the exclusive and legislative powers to the national level (A), the GoSS level (B), and the state level (C). Schedule (D) lists the concurrent powers and Schedule (E) allocates the residual powers as per its nature. Schedule (F) is a provision to resolve conflict that might arise under Schedule (D). It should be noted that not all issues listed in the INC schedules are allocated to one level of government only. For example, several substantive issues are granted to the national level as an exclusive competence, to the South Sudan level as an exclusive competence and at the same time to all levels of government as a concurrent power, such as telecommunication. With regard to the legislative powers allocated to the tens states at the South level, the GoSS according to Schedule (B) has the competence to enact a kind of framework with regard to issues that fall under the exclusive South Sudan State competence, thereby limiting the legislative powers of the ten States in South Sudan. Finally, the INC has reinforced existing power relations and failed to provide structural changes for democratic transformation, as the INC asymmetrical federalism accommodates the demands of the South Sudan only. As the INC does not accommodate the demands of the different ethnic and cultural groups in the different regions of Sudan as demonstrated in Darfur Peace Agreement and East Sudan Agreement. Chapter Three: The Structure of the Legal System under the INC The INC altered the Sudanese legal system with a view to accommodating the competing views: Sharia law and secularism. For a proper understanding of the present Sudanese legal system and an assessment of the role of the court system in contributing to democratic governance, a glance at the Sudanese legal history is necessary. Firstly, Chapter Three reviews the constitutional developments in Sudan since the independence to the present day. Secondly, Chapter Three provides overview of the structure of the court system in a decentralized system and focuses on the contribution of the court system to democratic transformation through limiting the acts of the government. Chapter Three further discusses issues that may impact of the role of the court system in contributing to democratic transformation. Yet, the role of the court system in promoting democratic transformation is contingent on the constitution, the substantive law, etc. For instance, instituting the principles of constitutionalism is contingent on the independence of the judiciary, as an independent judiciary is required for the protection of constitutional rights and to restrain the actions of the government. Thus, it is important to understand under what conditions the court system develops such accountability functions: that is, what conditions favor the ability of the court system to exercise an effective accountability functions. It is, therefore, Chapter Three examines (a) how the INC re-structures the court system in the north and the south of Sudan so as to give effect to the principles of the federalism and legal pluralism; (b) the rules regulating the judicial review, and (c) the protection of human rights through the implementation of the bill of rights by the court, all of which signal the commitment of the State to establish democratic governance. Finally, Chapter Three attempts to evaluate the independence of the judiciary and the rules that govern the judicial review before and after the adoption of the INC with a view to assessing the fidelity of the government to the principles of constitutionalism, and whether the limitations observed in the actual conduct of the government. In the final analysis, the INC constitution making process was bilateral reflecting the views of the parties to the CPA and lacked inclusiveness, but provides for a pluralism legal system by providing for a constitution for south Sudan and 25 State constitutions. The INC introduces State judiciary and South Sudan judiciary and opted for an integrated the court system. That is: the State courts apply the State laws, the national laws and the South Sudan laws. In the North, the State courts are still organized by the national level, although the NC provides for the establishment of the State judiciary. At the South Sudan level, all State courts are organized and financed at the level. Towards the South Sudan, the National Supreme Court is the final court of on matters arising under national laws The INC emphasizes the importance of protecting; respecting and promoting human rights through the inclusion a bill of right and incorporation via Art. 27(3) of the INC all human rights treaties that Sudan has ratified, thereby the human rights contained in the INC directly applicable before the Sudanese courts. Also, the implementation of some human rights requires revision of the existing statutory laws. To date there has been limited legislative reforms to address human rights violations. A few laws have been reformed but fall short of Sudan international obligations, such as Criminal Act, Security Laws, Immunity Laws, etc. The INC differentiates between the north and the south regarding the sources of legislation. Art. 5 of the INC lists Sharia as one of the sources of legislation along with the consensus of the people at the national level. Art. 5(2) of the INC names popular consensus and the values and the customs of the people of Sudan as the sources of legislation in South Sudan. The INC contains special rules for national legislation if its source is religion or custom. In that case, a state where the majority of residents do not practice such religion or customs may introduce different legislation allows practices or establishes institutions in that State that are consistent with its own religion or customs. The INC establishes human rights commission for the implementation of the bill of rights as well as a commission for the protection of non-Muslims in the Capital. The INC has chosen a concentrated system of judicial review and a hybrid system of judicial review with respect to the South Sudan as the Supreme Court of South Sudan acts as a constitutional court and a high court of Appeal with respect to South Sudan. The newly enacted Judicial and Administrative of 2005 does not provide for concrete judicial review of law and bars the court from question the constitutionality of law by way of making referral to the constitutional court, thereby renders the judiciary unable to deal with crucial constitutional issues. Chapter Four: Institutional and Legislative Reform: Practice of Constitutionalism In order to understand whether the adoption of the INC has brought any changes may enhance the role of the court system in contributing to democratic transformation; Chapter Four scrutinizes the compliance of the statutory law with the provisions of the INC, the law reform process in Sudan and the implementation of law in practice. Chapter Four further presents an analysis of more pertinent provisions of civil and political rights in the light of the laws and practices prevailing in the country to assess the extent to which the principles laid down in the INC are complied with. It further assesses the involvement of the Sudan constitutional court in the law reform process by reviewing a selected human rights jurisprudence of the constitutional court. Finally, Chapter Four makes a reference to the jurisprudence of other constitutional courts (the German constitutional court, the Indian Supreme Court and the South African constitutional court) by way of comparison. In the final analysis, a) the INC does not set out procedure for concrete review and access to the court is not free; b) The court has a broad power to consider and adjudge and annual any law in contravention with the constitution and restitute the right to the aggrieved person and compensate for the harm. The court may also order interim measures to avoid any harm. As such, the court can abolish laws and compel the government to enact new law; c) the constitutional court has reviewed a number of cases that alleged the violation of human rights. The court has demonstrated reluctance to declare legislation unconstitutional. Interpretation of the bill of rights and reference to international human rights lacked consistency and the court has taken deference to the executive; d) the constitutional, legislative and institutional changes did not acknowledge past human rights violations through mechanisms that would question the way of governance and persisting inequalities and injustices; e) the constitutional court has institutional weaknesses and its jurisprudence has largely upheld existing laws such as immunities laws and the constitutional court made limited reference to international human rights law; f) the constitutional, legal and institutional reforms failed to generate the sense of constitutionalism and the fundamental change that were to remove the causes for human rights violations and provide effective remedies. A number of laws contravening the human rights are still in force, such as, Public Order Act, Immunity of police, security and army officers, inadequate laws for the protection of women's rights; and finally, the implementation of CPA as a means of democratic transformation left an unreformed government virtually intact Chapter Five: Post- Referendum Sudan Chapter Five looks at the constitutional developments after the secession of South Sudan, with a focus on constitution making process in Sudan. The Southern Sudan Referendum for self-determination, held in July 2011, clearly indicated that the absolute majority of those who participated in the referendum for the Southern Sudan favour separation of the Southern Sudan from Sudan. The secession of the South Sudan on July 9, 2011, as a result of the referendum on self-determination provided by the CPA has created a new reality in Sudan with far reaching economic, political and social implications. Economic and financial losses related to the secession are substantial and have affected all sectors of the economy. Sudan has lost three-quarters of its largest source of foreign exchange (oil), half of its fiscal revenues and about two-thirds of its international payment capacity. In general, the secession of South Sudan resulted in a 36.5% structural decrease in overall government revenues. The unresolved issue of Abyei constitutes a trigger for potential violent tension in the future between Sudan and South Susan. Abyei status is yet to be decided, as both Sudan and South Sudan claiming it as part of its territory. Its final status will be decided by a Referendum for which implementation mechanisms have not yet been agreed upon by the two countries. The end of the CPA necessitated a constitutional review process to decide on the new constitution to replace the INC. However, for a constitution to be able to win the affections of the citizens of the State, it will be necessary to involve those citizens in the constitution-making process that establishes such a constitution, so as to ensure that the process is inclusive and reflects the aspirations of the Sudanese people at large. It is, therefore, important to increase public involvement in the constitution-making process by inviting public participation. In order for the design of a constitution and its constitution-making process to play an important role in the governance system, the design of the constitution has to be responsive to the aspirations of the ordinary people. A constitutional review process is currently under way but has not resulted in any clear proposals. That said, since 2011, a constitutional review has been underway in Sudan. The constitutional review process has not been participatory or inclusive. Lively debates on the new constitution in general, and the Bill of Rights and human rights protection in particular, have nevertheless ensued. These debates have been driven by a keen awareness of the importance of constitutional rights. These debates reflect both traditional concerns over the protection of civil and political rights, particularly in the administration of justice, and other issues that have also become a cause of acute concern. These include the desire for the realization of economic, social and cultural rights, and the rights of members of groups who suffer discrimination, particular women, religious and ethnic minorities and persons with disabilities. Currently, public debate over the new constitution is proceeding, although the Government has not yet announced a timeframe for the constitution making process, amid a polarization of views on diverse issues such as the decentralization of power and wealth sharing between the different regions of Sudan. Since 2011, the Government of Sudan, in collaboration with the UNDP and other UN agencies, initiated the forum on public participation in constitution making to facilitate open and public dialogue. This approach has been based on the need to pursue the constitutional process/review inclusively, transparently and participatory to ensure all sectors of society including civil society organizations and opposition political groups participate fully in the process.
Abstract UPT Aneka Industri dan Kerajinan Surabaya is the Technical Services Unit are carrying out Development and Small and Medium Industries Development and Human Resources through Technical Training in the field of Management, Technology, Production Process, Standards, Environment and Information. In improving the performance of the employees in that agency with the necessary changes in work procedures to improve leadership. There are so many ways to improve performance by way of leadership, from the nature of good leadership through effective leadership style so that employees can change their way of working. Because this company is a government company is bona fide and generates revenue from all areas of the required procedures for working very well ordered. Improve the ability and quality of work that the company will then be developed. Manage, serve and process are all ways good leadership to improve employee performance. Keyword:Employee,Leader, Introduction Nowadays, many people decide to become a leader. They do competition to find new innovation for their leadership and they want to be different with other leadership that had already started first. In the work of world every leader must be ready to get complain from their employees. Leadership itself is a person who has the skills or strengths, in particular skill or ability in a field that he is able to influence other to jointly undertake specific activities for the achievement of one or more goalsIntensive competition requires that manufacturers to be competitive with other manufacturers worldwide. Each company must be able to be effectively and efficiently to build an effective performance in order to achieve goals and success, then various components contained in a company should be run according with the objectives to be achieved. One component that has role very important is human resources, which is the leader/supervisor and employee/subordinates. Leadership is an organization or business. The leader of the organization must be able to use its authority in changing the attitudes and behavior of employees that want to work hard and wish to achieve optimal results. Leadership style leaders used can effect thoughts, feeling, attitudes and behavior members of the organization/subordinate (Nawawi, 2003). The sense of satisfaction in the work then the individual will display good personal organization, positive performance satisfactory companies and raised a willingness to undertake the level of labor productivity high for the organization and for improving achievement goals. The few things that can be identified from the dissatisfaction is absenteeism at work, lazy, malingering, absent from work, events strike, the use of time is not efficient and an even worse quit his job. Leadership can good or bad influence organizational climate, which in turn will direct impact on the effectiveness of the work of his subordinate. This leads to leaders must be able to create a conducive organizational climate that achieve job satisfaction, which in turn have an impact on the achievement of objectives organizational. Symptoms employee dissatisfaction can be seen from the absence of harmonious relation between the parties led to the employee, which is the leader less attention to the rights of the employees. For that leader has a very important role in improving job satisfaction employees. Based on the above, the study of the relationship style leadership and employee job satisfaction is very important to do. Definition of Leadership Leadership is one of the function of management human resources that make other people resolve work, maintaining morale and motivate subordinates (Dessler, 1997). From time to time the leadership of an attention to human, human being because of the leadership needed the limitation and advantages of certain human. On the one hand, man limited his ability to lead in other hand there are people who have excess capacity to lead. Here is the emergence of the need for leaders and leadership. Leadership the art of influencing other to directing the will, ability and effort in achieving goal leader. Leadership as an art show that activities affect others are individual, it is not the same way people or pattern between the leaders with one other. Therefore, an effective leader must be able to make purpose as the purpose of the organization, or otherwise make organizational goals into objectives and the ability of leaders lead it should result in all members of the organization felt that the purpose of the organization as a common goal. Mc Gregore in Agus Dharma (1992) says that scouting realize organizational goals and effectiveness when purpose of the organization is supported by all parties in the organization. Leadership is the power to move people and yourself toward a goal or vision particular, as well as power to transform the mobile community. Leadership the power to move people toward a goal or certain dreams. Obviously, there is someone who can move people toward a goal without it should be a true leader, but only a provocateur, even manipulator. Therefore, in addition to causing the motion, a leader is also a person who is able to produce a change or transformation in those he leads, he themselves and the system or community to which they belong. Thus, we recognize a true leader or not of the presence of motion and changes factors (A movement and Transformation Leader) as a prerequisite. Leadership is more detailed in Yulk (1998) is a process of influence, that influence the interpretation about events for followers, the choice of targets for group or organization, organization of work activities to achieves these objectives, the motivation of the followers to achieving goals, maintaining cooperation and team work, and obtaining the support and cooperation of the people who are outside the group or organization. According to Chandra (2005) a leader is a can create a situation in which his followers to step by step move towards their agreed upon with voluntary. Under this view, it is clear that a follow the leader because of his vision, mission formulation or target work. They believe in the leadership because what you want to accomplish along with his followers is a good a clear. They chose to follow because of the leaders are able to explore what has been unconsciously their dreams. This is a major factor determining success of a leader. According Arep and Cape (2002) leadership is properties that should be possessed by a leader, who in it is application to the person of consequences leaders are as follows: must take their own decision explicitly and precisely (decision making), must have the courage to accept this risk themselves, should dare to accept it is own responsibility (the principle of absolute of responsibility). Leadership Effectiveness Understanding of the effectiveness by John Ivancevich Nawawi (2003) is an assessment made in relation to achievement of individuals, groups and organization. The closer the achievement achieved with the expected performance, the more effective assessment of individuals, groups and organizations. By Drucker in Nawawi (2003), the effectiveness is to implement the right (doing the right), an achievement, effectiveness often described as "doing something right" means an activity or work that helps an organization reach the target. The effectiveness of leadership based on the theory of leadership situational (Contingency Theory). In practice, this view assume that no one leader is consistently using particular leadership style regardless of the situation it facts. This is, person's leadership effectiveness depend on its ability to "read" the situation faces and adjust his style to the situation such a way that it effectively perform these function leadership (Siagian, 2003). The success of a leader is that if he can adjust your leadership style to the situation at hand. Situational leadership as well as taking into account factors conditions, time and space play role in a determining the choice of appropriate leadership style. So the effectiveness of leadership a person is determined by the ability to recognize to appropriate nature of the conditions it faces, whether the condition contained in organization and conditions that are outside the organization but have an impact on the course of the organization (Siagian, 2003). In other words, situational leadership theory assumes no single behavioral or leadership style that can affect human behavior or members of the organization to act, to do or work in all situations. Effective leaders have the behavior or leadership style that is flexible able to diagnose situation and use behaviors or styles leadership according to the circumstances they face (Nawawi, 2003). Nature and Characteristics of Leadership According to A.Dale Timpe (1991) there are eight (8) properties improve their productivity:The ability to concentrate, The emphasis on the value of a simple, Always hang out with people, Avoid artificial professionalism, Managing change, Select the people, Avoid doing all by yourself, Dialing with failure. According to Kantz in Nawawi (2003) three characteristic effective leaders are: 1) Have the technical skills such as the ability to apply specialized knowledge in the form of skills in the art. 2) Having the human skills that include the ability work together, understand and be able to motivate others, both of individual or groups. 3) Conceptual skills such as the ability of mental or intellectual to analyze and diagnose complex situation, in particular the time to take a decision. Similarly, according to Browers and Seashore (2003) suggest three characteristic of effective leaders, consisting of: a) Support the behavior of leaders who demonstrate to ability to enhance self-esteem and feeling that are considered important by others especially that people they lead. b) Ease of interaction of leader behaviors that stimulate, member organizations to develop relationship intimate and mutually satisfying. c) Ease of work that is a leader in helping behavior members carry out the work achieve the goals, through activity of job scheduling, coordination, planning, provision of resources such as equipment, labor, material or ingredients work and technical knowledge in the work. Terms and Character of the Leader According Arep and Cape (2002), an outline of a leader should ideally have three general categories, namely: 1) The ability to analyze and draw appropriate conclusions. He must be able to analyze something of a problem, situation or particular set of circumstances and draw conclusions appropriate. 2) The ability to develop an organization and can selecting, and placing the right people to fill position in the organization. 3) The ability to create such a way that the organization concerned running smoothly towards goals, ideals and the decision of higher level to the subordinates, that the goals and the decisions that are acceptable properly. Leadership Strategy Efforts to streamline the organization's leadership must performed by using a strategy that guarantees the highest ability to achieve organizational goals. Strategy such leadership requires the ability to implement leadership functions effectively and efficiently in order to get support, without losing the respect, awe and obedience of all the members of the organization. The main strategy will only be realized if leaders in the running of social interaction with members of the group, showing the ability to understand, concerned and involved in the issues, and organization and its members. Leadership functions according to Nawawi (2003) are: Decision making function, functions of instruction, consultative function, delegates participatory function. a) Decision function Organization will only move dynamically if the leader have the power or ability to perform authority as decision-makers who will or should carried out by members of the organization. For that decision require courage because any definite decision at risk, especially if the process or mechanism is not meet the demands of the decision-making strategy implementation leadership, to be more accurate in leadership for streamline the organization, a leader must include members of the organization, according to the position and responsibilities. Inclusion can be done by provides an opportunity to provide input, such as creativity, initiatives, suggestion, opinions and feedback. Function instruction is order from a leader to realize the organization effect must be clear, both on the content terms and language that should be adjusted to the level skills or education of members who receive orders. Effective leaders don't need to be emotionally error in executing command members. Leaders must be willing to look for the causes of errors, both in execution of the order on him as well as possible caused by a lack of clear leadership in providing orders. In giving the order should be followed as well to give an explanation to members of the organization will carry on the impact or consequences that would occurs when in command is done in correctly. Thus, it can be expected to be more careful execution of the command caution and careful, because a warrant maybe quite difficult for the implementing organization members. Consultative function is streamline the organization every leader must be prepared and willing to provide opportunity for member organization to consult in resolving the issues related to work and it is not impossible to consult on issues related to personal directly or indirectly to the job. Consultative function can also mean members of the organization were opportunity convey criticism, advice, information and opinions related to the job and the organization. This function is useful for improvement leadership, especially for new decision making, thus can improve leadership in effecting organization. Participatory function is the ability of leaders to include members of the organization according to position and authority in order to participate actively in relevant activities, can be realized through work in teams to reduce individual. Willingness shoot leaders and leaders below for participate in helping member organization carry work or resolve the problem faced by provide guidance, direction, discuss, resolve urgent work together. Delegatife function is every leaders need and has power or authority and responsibility should be implemented properly, appropriately and correctly, the leader must be able to divide the work and delegation of authority, and responsibilities in timely execution of the work and fair, as well as in decision making in accordance limit the power and responsibility that has been delegated. Control in Leadership Control in leadership do to keep that effect in the activities of members of the organization has always focused on mutually agreed goals. Control also significantly members of the organization to prevent and avoid activities that deviate from the goals of the organization. If to achieve a purpose, leaders have set up a way, but in implementation found a new, more effective and possible goals can be achieved more quickly, as well as risks low, then the leader must make decisions specify the use of the new method. Control activities in leadership must start the clarity of the objectives to be achieved by the organization, either leader and members of the organization. Organizational goals perceived as a common goal can be used intensively activities affect thought, feeling, attitudes and behaviors, through the direction of the members of the organization. Activity organizing the control is carried out by dividing duty or authority and responsibility into practice. The division of task is followed by its implementation by every member of organizations that have been implemented should be decided continue to perform the role of the controlled trough coordination, monitoring and redirection. So leader effective for activities that have been implemented should be decided continue to perform the role of the controllers so that the activities do not deviated from it is original purpose. Research Methodology Data can be a company's working hours for employees. This data then needs to be processed and converted into information. If the hours worked per employee is then multiplied by the value per-hour, it will produce a certain value. If the picture of each employee's earnings and then added together, will result in recapitulation salary to be paid by the company. Payroll is the information for the owner of the company. Information is the result of a process of existing data, or data that can be interpreted as having meaning. Information will unlock everything that is unknown. Basically, this research is categorized as qualitative research, since the data are in the form of words or sentences which are separated according to each category in order to get the conclusion (Arikunto, 1996:243). In this study, entitled "Leadership in Improving Employees' Performance in UPT Aneka Industri dan Kerajinan Surabaya". Based on the question "How does the leader role in improving the employees' performance?" and "How the employees' performance can be improved through the leader role?" Qualitative data is data in the form of words or in the form of verbal statements, not the robin figures. The qualitative data obtained through a variety of data collection techniques such as interviews, document analysis, focus group discussions, or observations that have been set forth in the court record (transcript). Another form of qualitative data was obtained through shooting images or video footage. Qualitative data include: 1. Inductive, which is based on one or a number of specific data to derive a conclusion by way of generalization, or analogy or causal relationship 2. Deductive, which is a process of thinking which is based on an existing propositions to acquire new proposition as the conclusion to the syllogism, the argument consisting of three propositions (the major premise, minor premise and conclusion or conclusions) 3. Comparative namely by outlining the similarities and differences between the two data objects under study. Subjects in this study were all employees. Researchers from the source there are 43 employees working in various industries and Crafts UPT Aneka Industri dan Kerajinan Surabaya. On the subject of this study, researchers led to all employees in order to improve their performance with the leadership role that will be applied. Leadership effectiveness is influenced by many diverse and varied, several factors related to leadership effectiveness, among other: task structure, leadership awareness of employees, skills and leadership skills, leadership traits superior and subordinate relationships, management support and human resources, a position of power, subordinate effort, behavior management and external coordination, of those factors when analyzed can be made a set of factors is smaller than the initial factors, namely: leadership factors, factors boss and subordinates and environmental factors. Based on these factors can be seen how the relationship with the leadership of subordinates in decision making and problem solving. Leadership style reflect the relationship in this study is how the leader relates to subordinates in order to improve the performance of the good and positive in an institution. Effective leadership that is able to run by leaders. Will be able to streamline the organization and increase employee productivity. With the respect to this benchmark in studying leadership in effective institutions can be seen from: achieving the institution itself, employee satisfaction and development of the company itself. So, if the factors of leadership effectiveness can be carried out well and the leadership is able to apply his leadership style according to the situation and condition is going to reach benchmark of effective leadership, it has been demonstrate effective leadership and employee productivity indirectly itself will increase. Data and information collection is a process of obtaining data and preparing useful to describe that result of data collected to be use as information, for example as part of a process improvement or similar project. The purpose of data collection is to obtain information to keep on way, to make decisions about the important issues, and also to give information on the others in specific topic. In general the data collection is to answer the problems that will be discussed as well as provide information about the problem and issues. In this study the data of things that can be applied by employees is the attitude of leadership, responsibility and attitude performance. All that can be applied when the employee aware of the importance of improved performance in an institution. The effect of the attitude of a leader can also affect how the performance of its employees whether they are good or bad. Therefore, a good attitude and decisive leadership is needed in the soul of a leader so that the performance of employees and leaders to get maximum results. By applying the managerial role of the leader in the employee's performance is expected to improve the performance of employees in a company or institution. Employees can apply the leadership that has been adopted by leaders in the office working on a task or attitude in the office everyday. Given such, will appear sustainable attitude among employees and leaders that will create a good performance. The research instrument is any equipment that is used to acquire, manage, and interpretation information from the respondents who performed the same measurement pattern. Research instrument designed for one purpose and cannot be used in another study. Peculiarities of every object of research led to a researcher must design their own instrument used. Arrangement for each research instrument is not always the same as the other studies. This is because the purpose and mechanism of action in any research techniques also vary. Several types of instruments in the study were as follows: 1) Test The test is a series of questions or exercises or other tools used to measure the skills, measurement, intelligence, ability or talent possessed by individuals or groups. 2) Questionnaire or questionnaires Questionnaires are a number of written questions used to obtain information from respondents in terms of their personal statements, or the things that he knew. 3) Interview (interview) Interview is used by researchers to assess the state of a person, for example to find data on student background variables, the elderly, education, attention, attitude towards something. 4) Observation In the sense that observational studies are conducted direct observations, observations can be done with the test, questionnaire, range images, and sound recordings. Observation contains a list of the types of activities that may arise and will be observed. 5) Graduated scale (ratings) Rating or a graduated scale is a measure of the scale, subjective made. Although this produces a graduated scale data rude, but enough to give specific information about the program or person. This instrument can easily provide an overview of performance, especially in the performance of duty, which shows the frequency of appearance of the properties. In preparing the scale, which needs to be considered is how to define a variable scale. What is in question should be what can be observed respondent. 6) Documentation Documentation, from the origin of the document, which means that the written stuff. In exercising methods of documentation, research investigating the written objects such as books, magazines, documents, regulations, minutes of meetings, and so on. Register questionnaire is a series of questions posed to the respondents in order to collect information from respondents about the object being studied, either in the form of opinions, responses, or himself. As a research instrument, then these questions should not deviate from the direction that will be achieved by the proposed project, which is reflected in the formulation of hypotheses. Thus the list of questions that must be filed with the tactical and strategy so as to filter out the information required by the respondent. Questions raised by the respondent should be clear formula, so researchers will receive the right information from the respondents. Because the respondent and the interviewer can interpret the meaning of a sentence different from the intent of researchers, so that the contents of the question cannot be answered precisely. Besides, it should also be noted that where the direction is achieved, given no clear direction may not be able to formulate a list of questions adequately. Compile a draft list of questions is actually a collective work across research team members. Involvement of all members of the research team will contribute research instrument construction completion. Steps in compiling a list of questions are determination of the required information, determination of the data collection process, preparation of the research instrument, testing instrument research. Result and Discussion Basically a company or institution can run smoothly when it has a strong foundation. And foundation here in question is a leader. When a leader has a dominant role in the company or institution, then the employees will follow the rules and will get good results in the form of improved performance. Therefore, there is no doubt that the role of leadership can improve employee performance. The Leader Role in Improving Employees' Performance The role of leadership is crucial in a job. Who first determined is to choose a leader who can truly lead a company or institution. When we get a leader who deserves to lead the leader must have a vision and mission for the welfare of its employees by way of improving the performance of employees. A leader does not have to give orders to his subordinates or employees to do something, but by way of an example, the employee will follow what their leaders are doing as long as it's true. The employees' performance can be improved through leader role Leadership is one of the issues in the management which is still interesting enough to be discussed until today. Mass media, both electronic and print, often featuring opinion and conversation discuss about leadership. Leadership role and strategic importance to the achievement of the mission, vision and goals of an organization, is one of the motives that drive people to always investigate the intricacies associated with leadership. Quality of leadership is often regarded as the most important factor in the success or failure of the organization as well as the success or failure of a business-oriented organizations in both the public and, generally perceived as a success or a failure of leadership. Once the importance of the issue of the role of the leader so that the leader be the focus of interest to researchers in the field of organizational behavior. Organizations that succeed in achieving its objectives and be able to fulfill its social responsibility will depend on the leadership. When the leader is able to perform well, it is possible that the organization will achieve its goal. An organization needs an effective leader, who has the ability to influence the behavior of its members or subordinates. Leadership style is a way used by a leader in influencing the behavior of others. Leadership style is the norm of behavior that is used by a person when the person is trying to influence the behavior of others. Each style has advantages and disadvantages. A leader will use the appropriate leadership style and personality skills. Every leader in providing care to foster, promote and direct all potential employees in the environment have different patterns with each other. The difference is caused by different leadership styles also vary from each leader. Correspondence between leadership styles, norms and organizational culture is seen as a key prerequisite for the successful achievement of organizational goals. Leader etymologically derived from the word "pimpin" (lead) means guided or guided, so in which there are two parties that led (the people) and the lead (priest). Having added the prefix "pe" to "leader" (leader) means those who influence others through the process of communication so that the authority of the act is something other people achieve specific goals. Is a leader who has the ability to influence individuals and groups can work together to achieve the intended purpose. Hendry in Kartini Kartono Pratt Fairchild (2006:38-39) argues that leaders in the broad sense is a person who leads by way of initiating social behavior by regulating, indicating, organize or control efforts / attempts of others or through prestige, power or position. Anagora (1992) in Harbani (2008:5) argues, that leadership is the ability to influence others, through communication either directly or indirectly, with the intention to drive people to the understanding, awareness and happy to follow the will of the leadership of the leadership is defined as the process of influencing and directing a variety of tasks related to the activities of the group members. Leadership is also defined as the ability to affect a variety of strategies and objectives, the ability to influence the commitment and devotion to duty in order to achieve common goals and capabilities affect the group in order to identify, nurture and develop organizational culture (Stogdill in Stoner and Freeman 1989: 459-460). Elements of leadership according to Stogdill is he involvement of members of the organization as a follower, distribution of power among the leaders of member organizations, legitimacy granted to followers, leaders influence followers through a variety of ways. Leadership is an activity to influence the behavior of others so that they would be directed to achieve certain goals. Leadership is defined as the ability to move or motivate some people to simultaneously perform the same activities and focused on achieving the goal. From the above, it is basically a leader who has the ability to move others and be able to influence that person to do something in accordance with the goals to be achieved. Conclusion Leadership is one of the function of management human resources that make other people resolve work, maintaining morale and motivate subordinates (Dessler, 1997). From time to time the leadership of an attention to human, human being because of the leadership needed the limitation and advantages of certain human. On the one hand, man limited his ability to lead in other hand there are people who have excess capacity to lead. Here is the emergence of the need for leaders and leadership. The success of a leader is that if he can adjust your leadership style to the situation at hand. Situational leadership as well as taking into account factors conditions, time and space play role in a determining the choice of appropriate leadership style. So the effectiveness of leadership a person is determined by the ability to recognize to appropriate nature of the conditions it faces, whether the condition contained in organization and conditions that are outside the organization but have an impact on the course of the organization (Siagian, 2003). In other words, situational leadership theory assumes no single behavioral or leadership style that can affect human behavior or members of the organization to act, to do or work in all situations. Effective leaders have the behavior or leadership style that is flexible able to diagnose situation and use behaviors or styles leadership according to the circumstances they face (Nawawi, 2003). In this study the data as the information needed to give an overview of the research. Data is something that does not have any meaning for the recipient and is still in need of a treatment. In this case, the data can be regarded as an object and a subject of the information is useful for the recipient. Information can also be caled as a result of processing or data processing. Quality of leadership is often regarded as the most important factor in the success or failure of the organization as well as the success or failure of a business-oriented organizations in both the public and, generally perceived as a success or a failure of leadership. Once the importance of the issue of the role of the leader so that the leader be the focus of interest to researchers in the field of organizational behavior. Organizations that succeed in achieving its objectives and be able to fulfill its social responsibility will depend on the leadership. When the leader is able to perform well, it is possible that the organization will achieve its goal. An organization needs an effective leader, who has the ability to influence the behavior of its members or subordinates. Thus, a leader or head of an organization will be recognized as a leader if he can have an influence and capable of directing his subordinates towards the achievement of organizational goals. Suggestion Expectations of the employees are in the presence of a wise leader and able to adjust the structure of the company or institution can work to change the existing errors in the body corporate. In the end, that the existence of a leadership role within a company or institution can improve and enhance the performance of employees and can form a good partnership between employees and management. REFERENCE Peraturan Gubernur Jawa Timur, 2008, Organisasi dan Tata Kerja Unit Pelaksanaan Teknis Dinas Perindustrian dan Perdagangan Provinsi Jawa Timur, Surabaya. Prayoga, Sondra, 2011, The Role of Exhibition to Increase Foreign and Domestic Market Activity TIU (Technical Implementation Units) REPTC (Regional Export Training and Promotion Center) of East Java. http://id.wikipedia.org/wiki http://id.wikipedia.org/wiki/DEKRANASDA www.google.com www.blogspot.com
IntroducciónLas sucesivas crisis fiscales que han acontecido en la problemática historia económica argentina han sido causadas principalmente por dos situaciones: la existencia de una desmesurada confianza que generaba burbujas (como la "crisis de progreso" de 1890) o una irresuelta puja distributiva que generaba déficit fiscales insostenibles (por ejemplo, 1975, 1989, 2001).Este trabajo hace hincapié en la segunda situación e intenta argumentar el inicio de las pujas distributivas irresueltas en el juego de suma cero que prosiguió a la incipiente articulación del proceso de industrialización argentino en la década del 20'.En primer lugar, debemos argumentar el comienzo del proceso de industrialización en los 20', detallando las visiones contrapuestas. En segundo lugar, debemos discutir por qué este proceso habría supuesto un juego de suma cero. En tercer lugar, intentaremos demostrar por qué, asumiendo la existencia de un juego de suma cero, eso necesariamente devendría causa de la volatilidad de los ciclos económicos argentinos y, eventualmente, de las sucesivas crisis fiscales.Por ende, primero debemos introducir brevemente el debate sobre las condiciones del proceso de industrialización en Argentina.La década del 20 y el proceso de industrialización¿Hay una relación analítica entre el juego de suma cero entre el sector agropecuario y el sector industrial y la sistemática presencia de crisis fiscales en la economía argentina? ¿Cuándo comienza el juego de suma cero entre el sector agropecuario y el sector industrial y cuál es la relación entre ese juego y las sucesivas crisis fiscales argentinas? Este trabajo intenta marcar la existencia de una relación analítica entre la oposición campo-industria y la acentuada volatilidad de los ciclos económicos argentinos.Si bien la literatura especializada había mencionado la década del 30' como el momento histórico donde se consolida la incipiente industria, contemporáneamente los historiadores han situado ese proceso mucho antes: según Fernando Rocchi, en la década final del siglo XIX pueden verse intentos de protección a industrias nacientes en el interior del país, como la vitivinícola en Mendoza y la caña de azúcar en Tucumán (1). Los grupos de interés se articulaban eficientemente para lograr cuotas y tarifas que impidieran el acceso al mercado doméstico de bienes producidos en el extranjero.Un trabajo muy influyente sobre el rol jugado por un proceso de industrialización tardío es "Las Etapas del Desarrollo Económico Argentino", donde Guido Di Tella y Manuel Zymelman desarrollan la teoría de la "gran demora". ¿En que consiste? En la supuesta incapacidad de los policy makers en ver que se agotaba un (largo) modelo y ciclo económico, siendo necesario empezar a pensar una nueva manera de insertarse en una economía mundial que iniciaba un proceso de cambio. Para los autores, se había alcanzado la frontera de producción agrícola y se necesitaba pensar un nuevo país basado en el desarrollo de una política industrial específica. Sin embargo, esta posición tiene demasiados problemas. Por un lado, supone un análisis ex post de los acontecimientos. Es decir, Di Tella y Zymelman exponen la supuesta incapacidad de los dirigentes para realizar un cambio de política desde la perspectiva que les daba conocer el futuro. A su vez, la teoría de la "gran demora" no se cuestiona por qué no se podía profundizar la frontera de producción agrícola, asumiendo que efectivamente se hubiera alcanzado. ¿Qué había hecho que los 20' reflejaran un límite para la expansión agrícola? ¿Por qué la economía argentina no habría podido lograr nuevas ganancias de productividad en el sector? (2).En cambio, Javier Villanueva critica la visión tradicional sobre el inicio de la industrialización en los 30´, producto de las dificultades que supuestamente habría generado la Gran Depresión. Según Villanueva, esa es una versión "olímpica", es decir, alejada del análisis detenido de los acontecimientos locales. El autor sostiene que la industria argentina había comenzado a despegar en los años 20´ como consecuencia de una incipiente política proteccionista. Villanueva considera acertada la implementación de este conjunto de políticas. Según Villanueva, "…puede observarse que la tasa de crecimiento de la actividad industrial es por lo menos igual o aun mayor para el periodo comprendido entre 1911-1929, que para el periodo 1929-1939…si lo que se somete a la observación es, no ya la tasa de crecimiento del sector mismo, sino de la participación porcentual en la producción total del país, las conclusiones son parecidas a las señaladas anteriormente…"(3).A su vez, sostiene que:Los datos del censo de 1946 sugieren la idea de que, en lo que se refiere a la creación de establecimientos industriales, con independencia de su tamaño, los años 20´ no resultaron menos fructíferos que los del 30´. En 1946 continuaban produciendo 9943 empresas de la cepa de 1926-1930 contra 9962 del periodo 1931-1935…La tasa de crecimiento más elevada de la inversión en el sector industrial corresponde a los años 1923-1929. Un examen de la inversión en equipos y maquinarias industrial contribuye a reafirmar lo expuesto en los párrafos anteriores: entre los años 1924 y 1930 se produce la más amplia inversión en el sector industrial hasta la segunda guerra mundial. (4)Podemos ver el siguiente cuadro elaborado por el autor:Producto Bruto Nacional: Sectores agrícola y manufactureroParticipación y aumento en la participación (1900 – 1950) Fuente: Javier Villanueva, "El origen de la industrialización argentina," Op. cit., [en línea] disponible enwww.educ.ar 7.Por su parte, Pablo Gerchunoff y Horacio Aguirre ven en la política económica de los 20' un antecedente del peronismo pero con apertura, es decir, salarios reales altos, un desarrollo industrial incipiente y un sector agro-ganadero con menor peso relativo. Para los autores The 1920s are thus placed as a "missing link" in Argentine economic history: it is a period that does not seem to carry with it distinct features of its own, but rather tends to be depicted as either the proto-history of economic stagnation or the epilogue of open-economy development…The fact that import prices retained during the 1920s part of their gains of the previous decade, gave way to conditions that favoured a 'spontaneous' kind of protection; in contrast, high export prices in the 1940s presented peronism with an opportunity to seize resources and allocate them to the industrial sector. Whereas the radical administrations would not break ties with the past in terms of identifying exports as the growth engine, and would thus take an attitude of 'benign neglect' towards industry, the peronist creed had industrial development as one of its pillars -and so would finance subsidies to industries with the trade surplus. It was 'market driven' industrialisation that took place in the 1920s, as opposed to active pro-industrial policies in the 1940s." (5)A partir de estas distintas posiciones que reflejan los historiadores económicos, podemos ver que la década del 20' no es el comienzo del proceso de industrialización argentino pero sí deviene como el periodo donde, sin saberlo los actores, se estaba alcanzando un punto en que la continuación exitosa del histórico modelo agro exportador necesitaría de inversiones importantes para mantener su eficiencia económica. En este sentido, la articulación de un sector industrial con capacidad para capturar rentas devenía no sólo un problema para el sector agropecuario sino para la economía en su conjunto.El comienzo de un proceso de industrialización no necesariamente tiene que generar juegos de suma cero con otros actores. ¿Por qué ello habría ocurrido en Argentina y cuales han sido sus características peculiares?Oposición campo - industria y juegos de suma ceroA partir de los aportes de los historiadores económicos, podemos reformular el problema: la década del 20' no significa el comienzo del proceso de industrialización argentino, sin embargo, puede significar el comienzo del juego de suma cero entre el sector agropecuario y el incipiente sector industrial. ¿Cuándo se dan los juegos de suma cero? Cuando hay dos o mas actores con la suficiente capacidad para generar y mantener un marco institucional donde uno captura sistemáticamente la mayor eficiencia de otro. Es importante notar que lo analíticamente relevante no es la existencia de un juego de suma cero sino la permanencia del mismo en el tiempo. Es decir, un problema atrae a analistas e historiadores no cuando sucede en un momento T1 sino cuando sigue sucediendo, sin solución de continuidad, en T2, T3, Tn. Así, lo que debemos responder es por qué se mantiene en el tiempo un marco donde un sector A es lo suficientemente productivo para ser sistemáticamente capturado y un sector B es lo suficientemente eficiente para capturar sistemáticamente a A.¿Por qué el juego de suma cero habría comenzado en los 20' y por que no había existido tal juego anteriormente? Como mencionamos, para la existencia de un juego de suma cero se necesitan al menos dos actores: uno que produzca los bienes que otro captura. Podemos pensar que antes de la década del 20' no estaban en la economía argentina suficientemente configurados los actores relevantes para la existencia de un juego de estas características. Es decir, el sector agropecuario expandía su producción y el mundo demandaba sus productos, mientras que por otro lado el sector industrial no era lo suficientemente articulado y poderoso como para capturar parte de las rentas agropecuarias. La década del 20 da comienzo a una particular economía política de la Argentina por la concatenación de estas características: 1) un sector agropecuario (relativamente) menos productivo que en el pasado, 2) un sector industrial en proceso de articulación y 3) una crisis en ciernes. ¿Cuál es la novedad analítica que nos provee la economía política de finales de los 20'? La existencia de un sector industrial con la capacidad de capturar la renta de un sector lo suficientemente productivo para ser capturado justo en el momento histórico donde acontecía una caída en la demanda de lo que producía dicho sector capturado y la economía mundial se adentraba en una Gran Depresión. ¿Es azarosa la aparición conjunta en el tiempo de un sector industrial con la capacidad de capturar y una economía que se avecinaba a la situación de un juego de suma cero? No necesariamente. Es posible que la mayor capacidad de captura se haya debido a la debilidad relativa que crecientemente mostraba el eficiente sector agropecuario argentino.El juego de suma cero que se avecinaba puede ser percibido en la siguiente definición de Gerchunoff y Llach:Mencionamos dos asimetrías. Una podría llamarse la asimetría sectorial; otra, la asimetría regional. La asimetría sectorial alude a la vasta brecha de productividad entre actividades primarias y secundarias. Como consecuencia de la escasa población y de la abundancia de tierra fértil (combinadas, al menos en un principio, con una mínima existencia de capital acumulado), la Argentina estuvo siempre muy bien preparada para producir alimentos. Esa ventaja absoluta para la elaboración de bienes primarios, resultado de la demografía y de la naturaleza, fue al mismo tiempo la fuente de la gran desventaja comparativa que siempre tuvo la Argentina para la producción industrial, que requería precisamente los factores menos abundantes, el trabajo y el capital. La relación entre abundancia de factores productivos y perfil productivo era visible para los observadores más agudos de la joven Argentina. Carlos Pellegrini presentaba en el Congreso de 1899 una versión rudimentaria del teorema Heckscher-Ohlin: "En la República Argentina es muy caro el capital y es muy cara la mano de obra, por ejemplo, mientras que hay otras naciones en que una y otra cosa son más baratas. En la República Argentina hay facilidades de otro orden, que no se encuentran en otros países. Una industria cualquiera que requiriera mucha mano de obra, sería una industria muy difícil de arraigar en la República Argentina, porque desde el principio tendría que luchar contra esta condición especial nuestra, que es la falta de mano de obra." (6) Podemos introducir la cuestión de la oposición campo-industria desde la perspectiva analítica que da la oposición campo-ciudad. Sostiene Varshney Ashutosh:A history of ideas on town-country struggles must start with the obvious fact that as economies develop and societies modernize, agriculture declines. Before the rise of industrial society, all societies were rural. If we look at the most industrialized societies of today, their agricultural sectors constitute less than five per cent of GDP. Contrariwise, in the poorest economies of the world, agriculture still accounts for anywhere between 30 to 65 per cent of GDP (World Bank, 1991: 208-9).(7)Así, si bien el autor se refiere a la problemática relación campo-ciudad en África, el desarrollo que hace nos sirve para Argentina:Using theories of collective action, Bates (1981) reformulated this argument. One can identify 3 steps in his argument. First, to extract resources for the treasury, city and industry, African states set prices that hurt the countryside. Second, by selectively distributing state largesse (subsidies and projects), African states divide up the countryside into supporters that benefit from state action and opponents who are deprived of state generosity, and are frequently punished. Such policy-induced splits pre-empt a united rural front. Third, independently of the divisive tactics of the state, rural collective action is difficult because (a) the agriculture sector is very large with each peasant having a small share of the product, and (b) it is dispersed, making communication difficult. The customary free-rider problem in such situations impedes collective action. Industry, on the other hand, is small and concentrated in the city, and the share of each producer in the market is large, making it worthwhile for each producer to organize."(8)A su vez, la asimétrica relación entre el campo y la industria depende en parte importante del grado de desarrollo de la economía en cuestión. Richard Peerlberg ha realizado una síntesis del problema en el American Journal of Agricultural Economics:Un excelente estudio para explicar por qué todos los países desarrollados tienden a proteger a los productores agropecuarios es un libro publicado por Anderson y Hayami. Los autores realizan una comparación de las variaciones nominales en la protección del sector agrícola (es decir, la ratio entre el precio interno y el externo) en 15 países, desarrollados y en vías de desarrollo, en el periodo 1955-80. Los autores encuentran que el 70% de estas variaciones en la protección nominal puede ser explicada, país por país, a través de la variación de los indicadores de urbanización e industrialización (indicadores como ratio tierra-trabajo y ratio productividad del trabajo agrícola versus productividad del trabajo industrial). Anderson y Hayami concluyen que, mas allá de la distintiva historia de un país, su cultura o instituciones, el nivel de protección para el sector agrícola tenderá a crecer junto a la industrialización, o más precisamente, cuando las ventajas comparativas de la agricultura decrecen. Así, en cuanto las ventajas comparativas se trasladan de la agricultura a la industria, el foco de la protección cambiará desde la industria a la agricultura. Anderson y Hayami estudian particularmente esta tendencia en Asia Oriental, donde países como Japón, Corea, y Taiwán han pasado dramáticamente de castigar impositivamente a proteger al agro, una vez que el rápido proceso de industrialización comenzó.(9)De la cita anterior surge un punto analítica y políticamente central para este trabajo: mientras en los países desarrollados la industrialización supuso un proceso donde se pasaba de castigar a proteger al sector agropecuario, la experiencia Argentina ha mostrado el camino inverso. El país "era desarrollado" cuando no se protegía al agro y comenzó a retrasarse (relativamente, en relación al ingreso per capita de los países ricos) cuando inició el supuesto proceso de industrialización. Es decir, este camino inverso refleja la asimétrica relación entre un sector agrícola altamente productivo y un sector industrial poco productivo. El siguiente gráfico refleja la decadencia relativa:Evolución relativa del ingreso por habitante de Argentina.Ingreso per cápita argentino como % del promedio entre Estados Unidos, Francia, Reino Unido, Italia, Alemania, Bélgica, Canadá, Australia, Nueva Zelanda y Brasil. Fuente: Pablo Gerchunoff y Lucas Llach, Ved en Trono a la Noble Igualdad, Op. cit., 8.Juegos de suma cero y repetición de crisisDurante la crisis y post crisis de 1929 es cuando comienza a consolidarse el juego de suma cero que se institucionaliza en la estable puja distributiva que impone el primer peronismo. La influencia que la Gran Depresión ha tenido en la economía política de la Argentina no puede subestimarse. Tanto la Gran Depresión como el primer peronismo son variables centrales para entender por qué acontece una puja distributiva de baja calidad institucional, que se consolida en el tiempo independientemente de las sucesivas crisis fiscales que ayuda a provocar. Podemos ver los siguientes indicadores:La depresión del comercio argentino:exportaciones e importaciones durante la crisis Fuente: Pablo Gerchunoff y Lucas Llach, El ciclo de la ilusión y el desencanto: Un siglo de políticas económicas argentinas (Buenos Aires: Ariel, 1998), 114. (De aquí en adelante: Pablo Gerchunoff y Lucas Llach, El ciclo de la ilusión y el desencanto)¿Cuáles son las nuevas variables que aparecen con la Gran Depresión? La principal variable que genera la crisis es una ola proteccionista. Una segunda variable, relacionada con la primera, es la incipiente consolidación de la Industrialización por Sustitución de Importaciones (ISI), modelo económico-político que es institucionalizado por el primer peronismo. Una crisis puede tener la particularidad de generar incentivos económicos e institucionales anteriormente inexistentes. Sin embargo, lo relevante de la crisis del 29' para la economía política de la Argentina ha sido contribuir a generar nuevos incentivos que se fueron consolidando con las sucesivas crisis. Es decir, es un dato analítico inusual que las posteriores crisis fiscales hayan contribuido a institucionalizar un patrón de captura en vez de generar incentivos para al menos intentar modificar la economía política del estancamiento.La crisis del 29' nos provee también indicadores comparados:Un mundo en crisis:Caída máxima del producto en tiempos de la Depresión (%) Fuente: Gerchunoff, Pablo y Llach, Lucas, El ciclo de la ilusión y el desencanto, Op. cit., 119.Como mencionamos, podemos ver que la puja distributiva que comienza en el juego de suma cero de finales de los 20's se consolida durante el primer peronismo(10): Fuente: elaboración propia con datos provistos en CD con estadísticas de Gerardo Della Paolera y Alan Taylor,A New Economic History of Argentina (EEUU: Cambridge University Press, 2003): Nominal Wage Index (IEERAL (1986) and Mundlak, Cavallo and Domenech (1989)) (De aquí en adelante: Gerardo Della Paolera y Alan Taylor, A New Economic History of Argentina)La puja distributiva también queda reflejada en el Índice de Precios al Consumidor: Fuente: elaboración propia con datos provistos en CD con estadísticas de Gerardo Della Paolera y Alan Taylor,A New Economic History of Argentina, Op. cit.Por otro lado, podemos ver como después de la Gran Depresión los salarios del sector agropecuario se recuperan en parte, para volver a caer con la llegada del primer peronismo. En cambio, los salarios del sector industrial permanecen en una meseta durante la Depresión, para alcanzar un aumento notable con la llegada del peronismo: Fuente: elaboración propia con datos provistos en CD con estadísticas de Gerardo Della Paolera y Alan Taylor,A New Economic History of Argentina, Op. cit.Por último, es necesario mostrar la discriminación al campo que se consolida e institucionaliza con el primer peronismo:La discriminación al campo(Base 1925-1929 = 100) Fuente: Gerchunoff, Pablo y Llach, Lucas, El ciclo de la ilusión y el desencanto, Op. cit., 189.¿Por qué habría una relación entre el juego de suma cero planteado y la repetición de las crisis fiscales en Argentina? Como mencionamos, la década del 20 contribuyó a consolidar un proceso de industrialización de baja calidad. En ese marco, el problema no sólo era la mala calidad de la industrialización sino el momento histórico donde ello acontecía. Cuando más se necesitaban recursos para producir nuevas ganancias de productividad en el sector agropecuario argentino, comenzaba una eficiente captura por parte de un nuevo actor. Esta sistemática captura puede ejemplificarse en la aparición de la Junta Nacional de Granos en 1935 y en las políticas distributivas implementadas por el primer peronismo(11). Sin embargo, aquí el punto analítico principal es que el juego de suma cero se institucionaliza con el primer peronismo, y las sucesivas crisis fiscales son incapaces de generar incentivos como para modificar la captura en marcha.A partir de la cita anterior de Astoney Vahsney, podemos pensar que la complejidad de la experiencia argentina se debe en parte a la existencia de un proceso de industrialización donde el perjudicado es el sector agropecuario y el protegido es precisamente un sector industrial con bajos índices de productividad. Siguiendo esta lógica, es posible ver que la mala calidad del proceso de industrialización argentino institucionaliza un marco estable de captura porque el sector eficiente es también el más atomizado políticamente. Así, las sucesivas crisis fiscales reflejan la existencia de una irresuelta puja distributiva. Esta particular economía política de la captura puede ayudarnos a articular una explicación sobre la estabilidad del estancamiento.El juego de suma cero supone la existencia de cierta ineficiencia económica y esta a su vez supone la posibilidad de un sector público que gasta por encima de sus ingresos. A su vez, eso genera una crisis. Sin embargo, esa crisis fiscal no necesariamente supone una cesación de pagos. Della Paolera, Irigoin y Bózzoli hacen hincapié en un punto analíticamente central: para ellos, los problemas de incumplimiento del sector público argentino no tienen que medirse sólo en relación al default de bonos de la deuda sino al default interno que significa la desvalorización de la moneda local debido a la inflación causada por la excesiva monetización. La impresión de moneda local es una deuda que el Estado contrae con sus ciudadanos y la monetización de los déficits es, para los autores, una manera de incumplir con las obligaciones asumidas. Es decir, no sólo se pueden violar los derechos de propiedad a través de la cesación de pagos de bonos de la deuda publica sino también a través de la cesación de pagos de hecho que significa la impresión de moneda que genera procesos inflacionarios. En palabras de los autores:As was the case prior to 1850s, currency issue was the ultimate recourse taken to meet the fiscal gap. This was the result of the government's capacity to influence the authorities in charge of monetary policymaking. Eventually, excessive monetary expansion led to inflation and allowed the government to repudiate some of its liabilities. Because inflation diminished the real value of money, the monetization of the fiscal deficit acted as a progressive expropriation of domestic currency held by private agents, i.e., it acted as an inflation tax. This permanent erosion in the purchasing power of the public's cash holdings had dramatic consequences. Over time, this repeatedly used device reached extreme proportions: on a percentage basis, increases in the fiscal deficit were often met one-for-one with increases in inflation tax…The use of monetization to finance persistent fiscal deficits was one of the main problems of the Argentine economy in the second half of the 20th century. (12)Las crisis económicas pueden reflejarse en incumplimientos en el pago de bonos pero también en el valor de la moneda local. El sector público argentino ha sistemáticamente monetizado sus déficits y generado así ganadores y perdedores. Sin embargo, lo destacable del proceso ha sido la dificultad para modificar el patrón de captura. Es decir, una pregunta central que debe responder la historia económica no es la existencia de una puja distributiva sino la irresuelta permanencia de la misma. En este trabajo hemos intentado marcar que esa irresuelta permanencia se ha debido en parte a la compleja e inusual relación dada en un país que elige para modernizarse depender de la eficiencia del sector agropecuario. A su vez, ello no sólo generó la existencia de un juego de suma cero sino la estabilidad de ese juego. La razón de la estabilidad hay que buscarla en la lógica de la acción colectiva: el incipiente sector industrial no sólo era ineficiente económicamente sino que se encontraba en una relación de poder asimétrica y ventajosa con el crecientemente desarticulado sector agropecuario, situación que contribuyó a institucionalizar el juego de suma cero incluso ante la sucesión de crisis fiscales.Consideraciones finales¿En qué medida el incipiente proceso de industrialización en marcha en los años 20' potenció un juego de suma cero entre el campo y la industria y, al hacerlo, ha contribuido a generar diversos ciclos de expansión populista que, dado su volatilidad, ayudaron a consolidar un marco institucional de sucesivas crisis? Es decir, ¿potencian los juegos de suma cero la volatilidad de los ciclos económicos?En el presente trabajo hemos intentado marcar una relación entre el juego de suma cero del campo y la industria y la volatilidad de los ciclos económicos en Argentina a partir de la institucionalización de la captura. ¿Cuál ha sido la particularidad de la economía política de la Argentina? Posiblemente, que la captura ha sido estable debido a que el proceso de modernización supuso la protección para la industria y no para el campo. Esto hizo estable la captura y una captura estable devino en sucesivas crisis fiscales que, a su vez, no podían generar un cambio posterior en los incentivos institucionales.La volatilidad del ciclo económico argentino ha sido producto en parte de la mala calidad de la puja distributiva. Una puja distributiva es de mala calidad cuando se institucionaliza una captura de un actor sobre otro y las sucesivas crisis (de mayor o menor volatilidad) no pueden modificar los incentivos. Si bien podemos enumerar decenas de pujas distributivas que permanecen en la misma dinámica, sin solución de continuidad, debemos preguntarnos qué tiene de distintivo la puja que surge con el proceso de industrialización. Lo distintivo es la concatenación con la Gran Depresión y la necesidad de desarrollar importantes inversiones en un sector agropecuario que debía competir con un mundo crecientemente protegido pero competitivo. A su vez, la mala calidad de la industrialización argentina se concatena con una eficiente articulación política del sector urbano-industrial. Asimismo, el peronismo institucionaliza este mecanismo y hace que la puja distributiva que había nacido fuera de difícil modificación incluso después de sucesivas y profundas crisis fiscales. BibliografíaDella Paolera, Gerardo y Alan Taylor. A New Economic History of Argentina. EEUU: Cambridge University Press, 2003.Di Tella, Guido y Manuel Zymelman. Las etapas del desarrollo económico argentino. Buenos Aires: Eudeba, 1967. Díaz Alejandro, Carlos. Essays on the Economic History of the Argentine Republic. New Haven: Yale University Press, 1970.Gerchunoff, Pablo y Horacio Aguirre. In Search of the Missing Link: the Argentine Economy in the 1920s. Mimeo. Buenos Aires: Universidad Di Tella, 2003. Gerchunoff, Pablo y Damián Antúnez. "De la bonanza peronista a la crisis del desarrollo." En Los Años Peronistas, Vol VIII de la Nueva Historia Argentina, ed. Juan Carlos Torre, 125-205. Buenos Aires: Sudamericana, 2002.Gerchunoff, Pablo y Lucas Llach. El ciclo de la ilusión y el desencanto. Buenos Aires: Ariel, 1998.Gerchunoff, Pablo y Llach, Lucas. Ved en Trono a la noble igualdad. Crecimiento, equidad y política económica en la Argentina, 1880-2003. Buenos Aires: Fundación Pent, 2003.Paarlberg, Robert. "The Political Economy of American Agricultural Policy: Three Approaches." The American Journal of Agricultural Economics71 (diciembre 1989): 1157-1164. [en línea] disponible en http://chla.library.cornell.edu.Rocchi, Fernando. Building a Nation, Building a Market: Industrial Growth and the Domestic Economy in Turn-of-the- Century Argentina. PhD dissertation. Santa Barbara: UC Santa Barbara, 1997.Varshney, Ashutosh. "Introduction: Urban Bias in Perspective." Journal of Development Studies 29 (julio 1993): 3-22.Villanueva, Javier. "El origen de la industrialización argentina." Desarrollo Económico 47 (oct-dic 1972): 1-24. [en línea] disponible en www.educ.ar.NOTAS(1) Ver Fernando Rocchi, Building a Nation, Building a Market: Industrial Growth and the Domestic Economy in Turn-of-the-Century Argentina. Ph.D. dissertation (Santa Barbara: UC-Santa Barbara, 1997).(2) Ver Guido Di Tella y Manuel Zymelman, Las etapas del desarrollo económico argentino (Buenos Aires: Eudeba, 1967).(3) Javier Villanueva, "El origen de la industrialización argentina," Revista de Desarrollo Económico 47 (oct-dic 1972): 4. [en línea] disponible en www.educ.ar. (De aquí en adelante: Javier Villanueva, "El origen de la industrialización argentina").(4) Javier Villanueva, "El origen de la industrialización argentina," Op. cit., [en línea] disponible enwww.educ.ar 6.(5) Pablo Gerchunoff y Horacio Aguirre, In Search of the Missing Link: the Argentine Economy in the 1920s.Mimeo (Buenos Aires: Universidad Di Tella, 2003), 1 y 20. El investigador Carlos Díaz Alejandro desacredita la posibilidad de la década del 20´ como un punto de inflexión. El historiador económico cubano demuestra que las tasas de crecimiento continuaban siendo elevadas y superiores a la tasa promedio de los países principales. Ver la clásica obra: Carlos Díaz Alejandro, Essays on the Economic History of the Argentine Republic (New Haven: Yale University Press, 1970).(6) Pablo Gerchunoff y Lucas Llach, Ved en Trono a la Noble Igualdad. Crecimiento, Equidad y Política Económica en la Argentina: 1880-2003 (Buenos Aires: Fundación Pent, 2003), 3. (De aquí en adelante: Pablo Gerchunoff y Lucas Llach, Ved en Trono a la Noble Igualdad).(7) Ashutosh Varshney, "Introduction: Urban Bias in Perspective," Journal of Development Studies 29 (julio 1993): 7. (De aquí en adelante: Ashutosh Varshney, "Introduction: Urban Bias in Perspective")(8) Ashutosh Varshney, "Introduction: Urban Bias in Perspective," Op. cit.: 7.(9) Robert Paarlberg, "The Political Economy of American Agricultural Policy: Three Approaches," The American Journal of Agricultural Economics 71 (diciembre 1989): 1158. [en línea] disponible en http://chla.library.cornell.edu.(10) Tomando en cuenta la mayor participación del sector industrial en el Producto Bruto Nacional, especificado anteriormente en el cuadro de Javier Villanueva titulado "Producto Bruto Nacional: Sectores agrícola y manufacturero".(11) Ver Pablo Gerchunoff y Damián Antúnez, "De la bonanza peronista a la crisis del desarrollo," en Los Años Peronistas, vol VIII de la Nueva Historia Argentina, ed. Juan Carlos Torre, (Buenos Aires: Sudamericana, 2002).(12) Gerardo Della Paolera, María Alejandra Irigoin y Carlos G. Bózzoli, "Passing the buck: Monetary and fiscal policies," en A New Economic History of Argentina, ed. Gerardo Della Paolera y Alan Taylor (EEUU: Cambridge University Press, 2003), 72-73. A su vez, Della Paolera y Taylor desarrollan la relación entre moneda y baja calidad institucional en Gerardo Della Paolera y Alan Taylor, Straining at the Anchor (Chicago: The University of Chicago Press, 2001). *Licenciada en Relaciones Internacionales (Universidad Torcuato Di Tella-Argentina), maestrando en Arquitectura Urbana (Universidad Di Tella-Argentina)Ha sido Profesora Adjunta en Historia Economica (Universidad Di Tella-Argentina)