Suchergebnisse

Rangelands sind weltweit Lebensgrundlage für hunderte von Millionen Bauern. Eine weithin akzeptierte Definition stammt von der American Society for Range Management (zitiert nach McGuire 1978): Rangelands are "…lands on which the native vegetation is predominantly grasses, grass like plants, forbs or shrubs suitable for grazing or browsing use which includes lands revegetated naturally or artificially to provide a forage cover that is managed like native vegetation….". Vorrangig sind Rangelands in semi-ariden Gebieten zu finden – dort sind aufgrund von zu geringen oder ungleich im Jahresgang verteilten Niederschlägen zumeist andere agrarwirtschaftliche Nutzungen als Weide, wenn überhaupt, nur nachrangig zu finden. Im Iran sind die semi-ariden Rangelands die flächenmäßig größten terrestrischen Ökosysteme. Die in der Literatur genannten Schätzungen variieren – mit Badripour et al. (2006) kann man von knapp 55 % der Landoberfläche des Iran ausgehen. Rangelands sind für den Iran von herausragender gesellschaftlicher Bedeutung (mehr als 2,5 Mill. Menschen leben als Semi-Nomaden in verschiedensten Form von der Weidenutzung der Rangelands) und von großer ökonomischer Bedeutung (rund 6 % des inländischen Bruttosozialprodukts werden in den Rangelands erwirtschaftet, insbesondere durch Produkte wie Fleisch, medizinische Pflanzen und Kräuter sowie Honig). Darüber hinaus kommt den Rangelands hohe ökologische Bedeutung zu (Schutzfunktionen, Biodiversität). Seit vielen Jahrzehnten wird in der Literatur von dramatischen Degradationen der Rangelands berichtet, verursacht durch Fehl- und Übernutzungen (Weide zur Unzeit, jahreszeitlich zu lange Weide, Überbesatz an Vieh usw.). Staatliche Programme wie der "Rangeland Management Plan" (RMP) und "Grazing Licences" (GL) haben diese Zerstörungen der Rangelands durch Fehl- und Übernutzung nur partiell aufhalten können. Offensichtlich ist die tatsächliche Nutzung der Rangelands maßgeblich durch informale (nichtstaatliche, lokale) Regeln und nicht durch staatliche Regulierung geprägt. Fragestellungen der Arbeit Zentrale Anliegen vorliegender Arbeit sind • die Beschreibung der Nutzungssysteme der Rangelands im Iran, wie sie in der Praxis tatsächlich vorzufinden sind und • die Erklärung der Prozesse der dramatischen Degradationen der Rangelands als Auswirkungen des Handelns der Semi-Nomaden im Spannungsfeld von staatlichen Programmen und informalen Institutionen vor Ort. Zur Grobgliederung Die Arbeit ist in drei große Hauptkapitel gegliedert. Basierend auf den Theorien der Neuen Institutionenökonomik, besonders auf den Arbeiten von Ostrom, wird in Kapitel B eine sozioökonomische Analyse der Landnutzung in Iran durchgeführt. Diese bildet den theoretischen Rahmen für die nachfolgenden empirischen Studien. Die Übernutzung des Weidelands wird erklärt als Auswirkung des Handelns der lokalen Nutzer, die nicht die Möglichkeit haben, die sozialen Bedingungen wie die Eigenschaften der Ressourcen oder die kulturellen Traditionen direkt zu beeinflussen. In Kapitel C werden die Ergebnisse der empirischen Fallstudie präsentiert sowie die verschiedenen identifizierten Landnutzungssysteme der Untersuchungsregion Semnan vorgestellt. In Kapitel D werden die Ergebnisse der sozioökonomischen Analyse, die hauptsächlich auf Literaturrecherchen basieren, in Verbindung gebracht mit den Ergebnissen der empirischen Studie. Abschließend werden Schlussfolgerungen zur Rangeland-Nutzung im Iran gezogen und offene Forschungsfragen angesprochen. Literaturüberblick: Probleme des Managements der Rangelands im Iran (Kapitel B I) Kapitel B I dient der ausführlichen Information zu der o. g. Problemstellung. Es wird ein Überblick gegeben über die ökologischen Eigenschaften der Rangelands des Iran, ihre Produktivität für Viehwirtschaft sowie ihre Vielgestaltigkeit aus Sicht der Nutzung durch Nomaden und Bauern. In einem umfänglichen historischen Rückblick werden die staatlichen Bemühungen um Steuerung der nachhaltigen Nutzung der Rangelands seit der islamischen Revolution 1978 erläutert. Theoretischer Bezugsrahmen: Management von Common Pool Ressourcen aus Sicht der Neuen Institutionenökonomik (NIE) (Kapitel B II) Theoretische Grundlegung für die Arbeit sind die Theorien der NIE, insbesondere die Arbeit von Ostrom. In Abgrenzung vor allem zur neoklassischen Ökonomik wird zunächst dargelegt, worin der wissenschaftliche Fortschritt mit der zusätzlichen Betrachtung von informalen und formalen Institutionen zur Erklärung von Nutzungssytemen von Common Pool Ressourcen besteht. Die diesbezüglichen Grundlagen der NIE werden ausführlich dargelegt und dienen schließlich (in enger Anlehnung an die Arbeiten von Ostrom) zur Entwicklung eines Modells der Nutzung von Rangelands im Iran. "Property in Use Systeme" (PUR) werden strukturiert durch die so genannte "action arena", umschrieben als alle das jeweilige lokale Handeln bestimmenden formalen und informalen Institutionen. Dieses Nutzungshandeln hat ökologische, ökonomische und soziale Gegebenheiten zur Folge (die so genannten "outcomes"). Die empirisch feststellbaren Unterschiede lokaler PURs werden erklärt mit unterschiedlich vorzufindenden Eigenschaften der Ressource Rangeland, der lokalen Gruppenzugehörigkeit, des Dorfes/der Stadt und der vorgebenen Märkte. Dieses Modell dient als theoretischer Bezugsrahmen für die folgenden empirischen Studien. Gründe für die Auswahl der Untersuchungsregion Semnan Die Hauptkriterien für die Auswahl der Untersuchungsregion waren: • Zugang und ausreichende Daten und Informationen zu den ökologischen Bedingungen der Rangelands • Die Vergleichbarkeit der eigenen Daten mit anderen Forschungsprojekten und Studien über Rangeland-Nutzung in Iran Zugang zu ausreichenden Daten und Informationen über die ökologischen Bedingungen der Rangelands des Iran zu bekommen ist keine triviale Angelegenheit aufgrund der großen räumlichen Ausdehnung der Ranglands. Daher war der Zugang zu ausreichenden Informationen zu den ökologischen Bedingungen eines der Hauptkriterien für die Auswahl der Untersuchungsregion. Für nahezu alle Rangelands der Untersuchungsregion waren Informationen zu der Futtermittel-Produktivität der Weiden mit Bezug zu den Rangeland Management Plänen (RMP) oder den Weide-Lizenzen (GL) zugänglich. Die Vergleichbarkeit der Daten mit anderen Forschungsprojekten und Studien über Weideland-Nutzung in Iran war das zweite Auswahlkriterium. Die Auswahl der Kriterien erfolgte mit Hilfe der staatlichen "Forest, Range and Watershed Management Organization" im Iran. Die Ziele der empirischen Studie Die Ziele waren • den Diffusionsprozess und die Diffusionsgeschwindigkeit des "Rangeland Management Plans" in der Region Semnan zu analysieren, • die Landparzellen in der Region Semnan zu beschreiben sowie die Wahrnehmung der Nutzer in Bezug auf die Rangeland-Bedingungen and den Zweck der Landnutzung zu untersuchen, • die Reaktion der Nomaden bzw. Halb-Nomaden auf die staatlichen Regulationsversuche zu analysieren, • die Typen der informellen Institutionen, die aktuell in Semnan angewendet werden, zu identifizieren, • die Typen der informellen Institutionen in Bezug auf das jeweils angewendete Nutzungsregime zu klassifizieren, • Faktoren zu identifizieren, die das jeweils angewendete Nutzungsregime beeinflussen, • die Wahrscheinlichkeit der Umsetzung des "Rangeland Management Plans" in der Region Semnan aus Sicht der Nutzer mit Hilfe der identifizierten Faktoren abzuschätzen. Methoden An den Fragestellungen pragmatisch orientiert kamen verschiedenste Methoden zur Anwendung: Dokumentenanalysen (v. a. offizielle Statistiken und Dokumente), Literaturanalysen (wissenschaftliche Arbeiten verschiedenster Disziplinen zur Nutzung der Rangelands in Semnan, darüber hinaus für Vergleichszecke aber auch mit Bezug zu anderen Regionen im Iran und weltweit) sowie Methoden der quantitativen empirischen Sozialforschung (Interviews, Datenauswertung mittels beschreibender und schließender Statistik) und der qualitativen empirischen Sozialforschung. Ergebnisse Teilstudie 1: Der Diffusionsprozess der staatlichen Poltikinstrumente "Rangeland Management Plans"(RMP) und "Grazing Lizence"(GL) (Kapitel C IV) Dieses Kapitel beginnt mit einer Beschreibung des Diffusionsprozesses des "Rangeland Management Plans" in der Untersuchungsregion. Auf die Analyse der regionalen Unterschiede folgt eine Einführung in das so genannte "Bass Modell" (nach Bass (1969); siehe auch Kapitel B II 4.1). In dem "Bass Modell" werden die Koeffizienten geschätzt, die den Diffusionsprozess der RMP und GL in Semnan beschreiben. Das Modell liefert u. a. Hinweise zur Diffusionsgeschwindigkeit, mit der die lokalen Nutzer die Innovation umsetzen. Die Geschwindigkeit wird mit den folgenden Koeffizienten geschätzt: • Koeffizient p schätzt die individuelle Tendenz die Innovation anzuwenden • Koeffizient q schätzt den Einfluss von vorherigen Nutzern auf potentielle Nutzer Ergebnisse Teilstudie 2: Einstellungen der lokalen Nutzer der Rangelands zu den staatlichen Programmen RMP und GL (Kapitel C V) Dieses Kapitel beginnt mit einer Beschreibung der Landparzellen in Semnan, die für die Analyse der Perspektive der Nutzer im Hinblick auf RMP und GL genutzt werden. Die Stichprobe wird zunächst hinsichtlich soziodemographischer Charakteristika der Befragten beschrieben (n = 70). Die Nutzer wurden zu ihren Wahrnehmungen bezüglich der Bedingungen der Rangelands sowie bezüglich der Zwecke der Landnutzung befragt. U. a. werden folgende Aspekte von den Nutzern herausgestellt: • Vorteile wie die Bestimmung der Landgrenzen • Nachteile wie fehlender Zugang, hohe Anpassungskosten und reduziertes Einkommen • Kompatibilität der "Rangeland Management Plans" mit den Traditionen • Problem der "Sichtbarkeit" der Auswirkungen des RMP • Trockenheit als (vermeintlicher) Hauptgrund für Degradationen • Mißtrauen in das staatliche Regulierungssystem • Eigentumsverhältnisse und Privatisierung Das Kapitel endet mit einer Diskussion zu den wichtigsten Ergebnissen. Ergebnisse Teilstudie 3: Aktuelle informelle Institutionen (Kapitel C VI) Zunächst wird ein historischer Überblick zum Rangland-Management in der Untersuchungsregion gegeben. Staatliche Programme und die Reaktion der Nomaden auf diese Programme werden literaturgestützt beschrieben. Anhand der Analyse der derzeitigen informellen Institutionen werden Gründe für die Etablierung von Nutzungsregeln (Strategien) identifiziert sowie die Existenz von Sanktionen erklärt. Ergebnisse Teilstudie 4: Aktuelle "Property in Use Systeme" (PUR) (Kapitel C VII) Dieses Kapitel knüpft an die vorherigen Teilstudien mit einer Klassifikation der identifizierten informellen Strategien an. Es werden "Property in Use Strategien" (in Bezug auf Eigentumsrechte), "Production in Use Strategien" (in Bezug auf Produktion) und "Exclusion in Use Strategien" (in Bezug auf Ausschluss-Optionen) identifiziert. Jede dieser Strategie wird detailliert in Beziehung gesetzt zu den jeweils vorgefundenen Eigentumsrechten im Untersuchungsgebiet. Der Begriff "Property in Use Regimes" (PUR) dient zur Klassifizierung von typischen "Mustern" der kombinierten Nutzung von oben genannten Strategien. Es wurden vier Nutzungsregime identifiziert: • unregulated common property regime (UCPR) ("nicht reguliertes Nutzungsregime") • common property regime with rotational access (CR) ("Nutzungsregime mit turnusmäßigem Zugang") • common property regime with a unique decision maker (CU) ("Nutzungsregime mit einem einzigen Entscheidungsträger") • Mini common property regime (Mini) ("Mini-Nutzungsregime") Diese Nutzungsregime unterscheiden sich deutlich bezüglich wesentlicher Einflussfaktoren wie "resource characteristics" (Eigenschaften der Ressourcen), "village characteristics" (Eigenschaften der untersuchten Gemeinden) und "group characteristics" (Eigenschaften der Gruppen bzw. Gruppenzugehörigkeit"). Um die jeweils zentralen Einflussfaktoren für die verschiedenen Nutzungsregime zu bestimmen, kamen die statistischen Modelle der Faktorenanalyse, der Varianzanalyse und der multinomialen logistischen Regression zur Anwendung. Als wesentliche Größen werden bezüglich "resource characteristics" die Faktoren Winter-, Sommer- und Frühlings- Weideland), bezüglich der "village characteristics" die Faktoren Bevölkerungsdichte und "Dorf-Typ" sowie bezüglich der "group characteristics" die Faktoren Alter, Beruf, Bildung, Einkommen, Wohnort und Größe der Herde in die Analyse einbezogen. Mittels der multinomialen logistischen Regression kann einerseits die Wahrscheinlichkeit bestimmt werden, mit der das jeweilige Nutzungsregime tatsächlich zur Anwendung gelangt. Zum anderen kann gezeigt werden, dass die verschiedenen Nutzungsregime in unterschiedlichem Maße zur Degradation der Rangelands beitragen. Schlussfolgerung Die empirischen Ergebnisse zur Nutzung der Rangelands in Semnan zeigen, dass die Nutzer unabhängig von den staatlichen Regulierungsversuchen ihre eigenen Regeln entwickelt haben. Ein großer Teil der lokalen Institutionen, die mit dem Rangeland-Management verknüpft sind, haben den Status von "Strategien" und sind nicht als Normen internalisiert. Daher kann geschlussfolgert werden, dass die lokalen Institutionen noch in der Entwicklung sind. Dies kann als große Chance der Gestaltung gesehen werden. Es scheint Möglichkeiten zu geben, die existierenden Institutionen des Rangeland-Managements zu verbessern oder gar neue institutionelle Regeln zu entwickeln. Die Befragungen haben verschiedene Gründe für die Nicht-Umsetzung des RMP aufgedeckt: • Die "Nicht-Sichtbarakeit der oben definierten "outcomes" und der Nutzenstiftungen, die mit dem Plan verbunden sind • Fehlendes Wissen über den RMP • Fehlendes Vertrauen in den Staat und die Besitzverhältnisse • Einschätzungen zum Problem der Trockenheit . Ein Lösungsvorschlag zur "Nicht-Sichtbarkeit" der Wirkungen der RMP ist die Bereitstellung von Informationen, z.B. durch Informationskampagnen. Öffentlichkeitsarbeit und Zugang der lokalen Bevölkerung zu derartigen Informationen sollte sichergestellt werden. Workshops, Fernsehen und Radio sowie symbolische Zeremonien für die kooperativen Gruppen sind Vorschläge aus der ausgewerteten Literatur (siehe hierzu Hejazi 2007). Ein Lösungsvorschlag für das fehlende Vertrauen in den Staat sowie in die Besitzverhältnisse könnte die Privatisierung sein. Zwar hatten die Nutzer kein besonderes Interesse an der Privatisierung der Rangelands. Die Ergebnisse haben aber gezeigt, dass Sommer-Weiden im Gegensatz zu Winter-Weiden bevorzugt wurden. Allerdings konnten keine Gründe für diese Präferenzen in der vorliegenden Untersuchung identifiziert werden. Für das Problem der Einschätzungen zur Bedeutung von Trockenheit für die Degradationen wird empfohlen, ein ausführliches Monitoring von Trockenheitsperioden bzw. -zyklen mit ihren Langzeitwirkungen auf die Nutzungsregime zu etablieren. Im Hinblick auf die Equilibrium-Theorie (Gleichgewichtstheorie) sollte beispielsweise untersucht werden, ob und inwiefern Rangelands im Iran die Bedingungen des Gleichgewichts überhaupt erfüllen. Ein derartiges Monitoring könnte positiven Einfluss auf den Erfolg von staatlichen Programmen wie RMP haben. Ein weiterer Lösungsvorschlag wäre die Folgen von Trockenperioden mit entsprechenden Managementmaßnahmen zu begegnen - z. B. die Fütterung während der Weide-Pausen sicherzustellen und Pläne hierfür weiter zu entwickeln. Eine Alternative zu den staatlichen Regulierungen könnten schließlich selbstregulierte Systeme sein. Ohne Zweifel würde die Entwicklung von selbstregulierten Systemen der gemeinsamen Nutzung der Rangeland insbesondere wegen der Vielfalt und der Vielschichtigkeit der Interessen der lokalen Nutzer sowie der Transaktionskosten für Vereinbarungen bzw. Verhandlungen große Anstrengungen erfordern (Houtte 2001, Macadam and Drinan 2004, McAdams and Rasmusen 2007), Derartige Systeme böten aber immerhin eine Option, die derzeitige Situation im Hinblick auf die Bedürfnisse der lokalen Nutzer zu verändern bzw. eventuell zu verbessern – z. B. zu veränderter Einkommenssituation beizutragen. Die Weitergabe von für das Rangeland-Management wichtigen Informationen könnten innerhalb eines selbstregulierten Systems - unabhängig von staatlichen Regulierungen - eine Lösungsstrategie für das fehlende Wissen sein. Ein selbstreguliertes Systems würde schließlich dem Problem des fehlenden Vertrauens in die staatlichen Regulierungen entgegen wirken. ; Rangelands are the livelihood for hundreds of millions of farmers-. An widely accepted definition from the American Society for Range Management (cited after McGuire 1978) is: Rangelands are "…lands on which the native vegetation is predominantly grasses, grass like plants, forbs or shrubs suitable for grazing or browsing use which includes lands revegetated naturally or artificially to provide a forage cover that is managed like native vegetation….". Rangelands can be found previously in semi-arid areas – due to this fact other agricultural uses than pasture can be found rarely. In Iran, the semi-arid rangelands cover the majority of the terrestrial areas. Regarding the area of rangeland in Iran, different figures can be find in the literature, due to using various definitions. Badripou et al. (2006) estimate that 55% of the Iranian land is occupied by rangelands. Rangelands have a great importance for the society - more than 2.5 million people live as semi-nomads in different regions. The rangelands are also of great economic importance, 6% of the gross national product are meat, medical plants, herbs, and honey. Moreover, the rangelands fulfil important ecological functions such as the provision of biodiversity and the maintenance and preservation of biotic cycles. Since several decades there has been reported dramatic degradation of the rangelands, mainly affected by overuse (untimely grazing, overexploitation and overstocking). Governmental plans as the rangeland management plan and grazing licences rarely contributed to the problem of overgrazing. Obviously the informal institutions play the most important role in extracting the rangeland resources. The central aims of the thesis are • to describe the practical systems of rangeland management in Iran (the case study of Semnan) • To find explanations of the processes of the dramatic degradation of the rangelands as effects of acting of the semi-nomads in the face of governmental programs and informal institutions applied in Semnan Province Structure of the thesis The thesis is structure in three main parts. The following two research approaches are used to answer these central objectives: • Based on the theories of New Institutional Economics, especially Elenor Ostrom 's literature on the common property management and an extensive socio-economic analysis of land use in Iran, the theoretical framework for the empirical study is developed in chapter B. This framework presents the overuse of rangelands as effect of local institutions that were rarely influenced by the cultural traditions, instead the "resource characteristics", "group characteristics", "village characteristics" and "market. • Based on this theoretical framework, chapter C presents the empirical case study to describe and explain the different rangeland use regimes in Semnan Province. • In chapter D, the results from the predominantly literature based analysis of socio-economic conditions in Semnan Province are connected with results from the empirical case study. Conclusions for rangeland management in Iran are drawn and questions for further research are recommended. Literature overview: Problems of the management of the rangelands in Iran (Chapter BI) Chapter BI gives detailed information on the stated problem. An overview is being given in terms of ecological characteristics of the rangelands in Iran, the productivity of livestock, diversity in terms of usage by nomads and farmers. A historical outline of the governmental programs to regulate sustainable use of rangelands since the Islamic revolution in 1978 is given. Theoretical frame: management of common pool resources from the perspective of New Institutional Economics (NIE) (Chapter BII) The theoretical frame of the thesis are the findings of New Institutional Economics (NIE), especially Ostrom. Against the background of neoclassical economics the scientific progress of the view of informal and formal institutions in terms of explanation of using systems of common pool resources is presented. The background of NIE is described in detail (mainly referring to Ostrom) and serve for the development of a model of rangeland management in Iran. Property in-use regimes (PURs) are being structured by the so-called "action arena", and are referred to the informal institutions associated with property rights. Empirically observable differences of local PURs are explained in terms of characteristics of the rangeland resources, the characteristics of the users' groups, characteristics of the study villages and the given markets. The model serves as theoretical background for the following empirical studies. Reasons for choosing Semnan Province as research area The main criteria for the selection of Semnan Province as the research area were: • Access and sufficient data information on ecological conditions of the rangelands including ecological quality • An accessibility to a rich source of collected data since many research studies on Iranian rangelands have been conducted in this area To get access and sufficient data information on ecological conditions of the rangelands in Iran is not trivial due to the difficulty of the large size of the rangelands. Therefore, accessibility to rich information on the ecological quality of investigated rangelands formed the main criteria for the site selection. For almost all of rangelands in the study area, information on the forage productivity in terms of grazing (carrying capacity) was accessible through either Range Management Plans or Grazing Licenses. In addition, many research studies in Iranian rangelands, on the field of rangeland ecology were conducted in this area. The selection criteria were based on the Forest, Range and Watershed Management Organization . The specified objectives of the case study are: • To analyse the diffusion process and the diffusion speed of the RMP in Semnan Province • To describe the land parcels in Semnan Province and to identify the perception of the rangeland conditions and the purpose of land use from the perspective of the users • To analyse the reaction of the nomads on Governmental campaigns • To identify the type of the informal institutions currently applied in the study area • To classify the applied property regimes based on the informal property institutions • To identify factors that influence the applied regime • To estimate the possibility of implementing the defined property regimes by the users 'groups Methods According to the research questions, different methods were used for collecting data and data analysis: literature review (scientific papers from different disciplines on the use and management of rangeland of Semnan Province but also other regions in Iran for the comparison of results), document analysis (mainly official statistics such as excel data files and documents), methods of quantitative social research such as interviews and descriptive statistics as well as methods of qualitative social research. Results from the first part of the case study: diffusion process of the governmental policy instruments - the rangeland management plan (RMP) and Grazing Licences (GL) (Chapter C IV) This chapter starts with a description of the diffusion process of the RMP in the study area. Having the analysis of regional differences, the Bass model, derived from the theory of diffusion, is applied (see also chapter B II 4.1). The Bass model is used to estimate the coefficients related to the rates of adoption of the two study areas Semnan and Damghan to the RMP. The model describes the diffusion speed, at which the potential adopters implement the innovation. The speed is estimated via two coefficients • coefficient p measuring the individual tendency to apply the innovation • coefficient q measuring the influence of the former adopters on the potential adopters' to apply the innovation Results from the second part of the case study: attitude and perception of local users of the rangelands towards the governmental policy instruments RMP and GL (Chapter C V) This chapter starts with a description of the land parcels in Semnan Province which are used for the analysis of the users' perspective towards the RMP. The study sample is described in terms of socio-demographic characteristics of the respondents (n = 70).The users perspective of rangeland is presented in terms of landholders perception of the rangeland conditions and the purpose of land use. Several attributes are identified from the perspective of the users: • advantages such as determination of land boundary • disadvantages such as lack of accessibility, high adjustment costs and reduced income • compatibility such as match of the plan with the local knowledge • observability such as visible effects of the plan • other factors such as drought and trust about the state system • common ownership such as privatization The chapter ends with a discussion on the main findings. Results from the third part of the case study: The currently applied informal institutions (Chapter C VI) Chapter six starts with an overview of the history of rangeland management in the study area. Governmental campaigns and the reaction of the nomads on these campaigns are described. The analysis of current informal institutions results in the identification of reasons for rule establishment and the existence of sanctions. The institutions for the study region are identified as strategies. The chapter ends with a conclusion of the main findings. Results from part four of the case study: Current Property in-use regimes in Semnan Province (Chapter C VII) This chapter begins with the classification of the identified informal strategies. The classification results in property in-use strategies, production in-use strategies and exclusion in-use strategies. Each strategy is described in detail in relation to the aim of the establishment. Paying attention to the group-established property strategies, the whole implemented system is called property in-use regime (PUR) because the groups are governors on the study parcels of rangeland. The four identified regimes are • the unregulated common property regime (UCPR) • the common property regime with rotational access (CR) • the common property regime with a unique decision maker (CU) • Mini CPR within CPR (Mini) In the following section, influential factors on the applied property in-use regimes are being identified. The influential factors are resource characteristics, village characteristics and group characteristics. In order to develop an indicator for the resource characteristics a factor analysis is being conducted on variables related to ecological conditions of the rangeland. For the group characteristics, in addition to the relevant theoretical variables, the "sources of income" and "living location" are found through the exploratory survey. The cluster analysis was used to distinguish various patterns in the "group characteristics" and "village characteristics". An ANOVA analysis was conducted to examine the differences among the PURs in terms of "resource characteristics" (winter, summer and spring rangeland), "group characteristics" (demographic variables of age, education, income, flock size, heterogeneity in age and heterogeneity in flock), and "village characteristics" (type of the village, city and population density). The last part of chapter seven presents the model of property in use regimes in Semnan Province. The model includes the three scopes of characteristics identified in the previous section. The resource characteristics include factors for winter, summer and spring rangelands. The group characteristics include the variables such as age, occupation, flock size and the living location. The village characteristics include the variables such as population density, the type of village, and city. A multinomial logit regression is used to estimate the probability of selecting a property in use regime by the rangeland holders. The key variables are found "population density", "heterogeneity in flock size" and "spring rangelands". Conclusion The empirical results of Semnan rangelands reveal that RMP holders developed their own regulations. A major part of local institutions associated with rangeland management are still in the form of strategies and have not been internalized as norms. It can be concluded that the local institutions are still in transition. This can be seen as a great chance due to they have the opportunity to improve the existing institutions associated with rangeland management, or even to establish new institutional rules. The study reveals several reasons for not implementing the RMP regulations • non visibility of potential outcomes and benefits • lack of knowledge about the plan • lack of trust in the government and type of ownership • the problem of drought in some areas of the study region Proposed solutions to the non visibility of potential outcomes and benefits as well as the lack of knowledge about the plan are to provide information. These should be distributed among the local population e.g. through information campaigns. Public ceremonies should be established to make sure that the local population has access to this information. Training sessions, TV and radio programs, symbolic ceremonies and organization of cooperative groups are proposed as well (Hejazi 2007). According to the literature, a solution to the problem of rangeland degradation might be privatization. However, the rangeland holders did not present a dramatic interest in privatizing rangelands. But it was found that the interest of rangeland holders for privatizing summer lands was greater than for the winter lands or spring lands. However, reasons for this preference could not be identified in this study. Due to the frequent event of drought in some areas of the study region, it is recommend to conduct an in-deep monitoring of specific drought cycles as well as the long-term impact of droughts on dynamic of property regimes. With consideration to the fact that locating in the non-equilibrium environment is a major concern for all rangelands in arid and semi-arid regions, it is strongly recommended to investigate whether the Iranian rangelands meet the non-equilibrium conditions. If the conditions of the non-equilibrium do not meet, the drought management should be still the basic purpose of any improvement program. An alternative to the policies of the government might be a self-regulated system. Even if the common nature of rangeland resources, the diversity of interests of the local users, and the transaction costs of negotiation might be a challenge in a self-regulated system (Houtte A.V. 2001; Macadam R. and Drinan J. 2004; McAdams and Rasmusen 2007), applying this policy is still an effective option. Implementation of this system requires the government to support the rangeland holders in establishing their own system, and provide them with some facilities in which they have difficulty, such as establishing enforcement system, sanctions and provision of necessary information. By applying this policy, the needs of the rangeland holders, such as changes in the income situation e.g. getting cheaper loans for equipment or finding additional occupation opportunities to should be considered. The lack of trust towards the government supports the suggestion for the implementation of this policy.

This article proposes a conceptual framework for the analysis of varieties of academic capitalism. The central thesis maintains that these varieties arise from the specific characteristics that in each country organize the the three vertical blocks that make up national systems of higher education (HE): (i) its grounding political economy structure, (ii) the organizational field and the coordination dynamics between universities, and (iii) the systems' governance modalities, its policy paradigm and instruments. Each variety of academic capitalism is characterized by the degree of privatism in these three blocks and their constituent elements. Thus, in the case of the political economy regime, the level of private presence in the provision and financing of a system plays a determining role and, therefore, the degree of marketization, commodification, commercialization and financialization of higher education. In the case of the organizational field, the impact of these previous processes on the entrepreneurialization and managerialism of participating institutions and on the competition and coordination of HE is of particular interest, as well as the degree of freedom and regulation that prevail in the relevant HE markets. Finally, the governance of academic capitalism depends in each case on the paradigms that guide public policies, the selection of policy instruments, and the way in which stakeholders participate in the governance structure. A brief summary and identification of future research lines for further studying varieties of academic capitalism complete this article. ; El presente artículo propone un marco conceptual para el análisis de las variedades de capitalismo académico. La tesis central sostiene que dichas variedades surgen de las características específicas que en cada país asumen los tres pisos que componen los sistemas nacionales de educación superior: (i) su régimen estructurante de economía política, (ii) la configuración del campo organizacional y las dinámicas de coordinación entre las universidades, y (iii) la modalidades de la gobernanza de los sistemas, sus orientaciones paradigmáticas de política para el sector y la selección de instrumentos para su aplicación. Cada variedad de capitalismo académico se caracteriza por el grado de privatismo en esos tres pisos. Así, en el caso del régimen de economía política, juegan un papel determinante el nivel de presencia privada en la provisión y el financiamiento de los sistemas y, por ende, los grados de mercadización, comodificación, comercialización y financiarización de la educación superior. En el caso del campo organizacional, interesan sobre todo los impactos de los anteriores procesos en la empresarialización y el gerencialismo de las instituciones y en las dinámicas de competencia y coordinación de los sistemas, así como los grados de libertad y regulación que prevalecen en los mercados pertinentes. Por último, la gobernanza del capitalismo académico depende en cada caso del paradigma que guía las políticas, la selección de instrumentos empleados por aquellas y la forma en que se integran las diferentes partes interesadas en la estructura de la gobernanza. Se completa el artículo con un breve resumen y la identificación de líneas de investigación para avanzar en el estudio de las variedades de capitalismo académico.El presente artículo propone un marco conceptual para el análisis de las variedades de capitalismo académico. La tesis central sostiene que dichas variedades surgen de las características específicas que en cada país asumen los tres pisos que componen los sistemas nacionales de educación superior: (i) su régimen estructurante de economía política, (ii) la configuración del campo organizacional y las dinámicas de coordinación entre las universidades, y (iii) la modalidades de la gobernanza de los sistemas, sus orientaciones paradigmáticas de política para el sector y la selección de instrumentos para su aplicación. Cada variedad de capitalismo académico se caracteriza por el grado de privatismo en esos tres pisos. Así, en el caso del régimen de economía política, juegan un papel determinante el nivel de presencia privada en la provisión y el financiamiento de los sistemas y, por ende, los grados de mercadización, comodificación, comercialización y financiarización de la educación superior. En el caso del campo organizacional, interesan sobre todo los impactos de los anteriores procesos en la empresarialización y el gerencialismo de las instituciones y en las dinámicas de competencia y coordinación de los sistemas, así como los grados de libertad y regulación que prevalecen en los mercados pertinentes. Por último, la gobernanza del capitalismo académico depende en cada caso del paradigma que guía las políticas, la selección de instrumentos empleados por aquellas y la forma en que se integran las diferentes partes interesadas en la estructura de la gobernanza. Se completa el artículo con un breve resumen y la identificación de líneas de investigación para avanzar en el estudio de las variedades de capitalismo académico.El presente artículo propone un marco conceptual para el análisis de las variedades de capitalismo académico. La tesis central sostiene que dichas variedades surgen de las características específicas que en cada país asumen los tres pisos que componen los sistemas nacionales de educación superior: (i) su régimen estructurante de economía política, (ii) la configuración del campo organizacional y las dinámicas de coordinación entre las universidades, y (iii) la modalidades de la gobernanza de los sistemas, sus orientaciones paradigmáticas de política para el sector y la selección de instrumentos para su aplicación. Cada variedad de capitalismo académico se caracteriza por el grado de privatismo en esos tres pisos. Así, en el caso del régimen de economía política, juegan un papel determinante el nivel de presencia privada en la provisión y el financiamiento de los sistemas y, por ende, los grados de mercadización, comodificación, comercialización y financiarización de la educación superior. En el caso del campo organizacional, interesan sobre todo los impactos de los anteriores procesos en la empresarialización y el gerencialismo de las instituciones y en las dinámicas de competencia y coordinación de los sistemas, así como los grados de libertad y regulación que prevalecen en los mercados pertinentes. Por último, la gobernanza del capitalismo académico depende en cada caso del paradigma que guía las políticas, la selección de instrumentos empleados por aquellas y la forma en que se integran las diferentes partes interesadas en la estructura de la gobernanza. Se completa el artículo con un breve resumen y la identificación de líneas de investigación para avanzar en el estudio de las variedades de capitalismo académico.El presente artículo propone un marco conceptual para el análisis de las variedades de capitalismo académico. La tesis central sostiene que dichas variedades surgen de las características específicas que en cada país asumen los tres pisos que componen los sistemas nacionales de educación superior: (i) su régimen estructurante de economía política, (ii) la configuración del campo organizacional y las dinámicas de coordinación entre las universidades, y (iii) la modalidades de la gobernanza de los sistemas, sus orientaciones paradigmáticas de política para el sector y la selección de instrumentos para su aplicación. Cada variedad de capitalismo académico se caracteriza por el grado de privatismo en esos tres pisos. Así, en el caso del régimen de economía política, juegan un papel determinante el nivel de presencia privada en la provisión y el financiamiento de los sistemas y, por ende, los grados de mercadización, comodificación, comercialización y financiarización de la educación superior. En el caso del campo organizacional, interesan sobre todo los impactos de los anteriores procesos en la empresarialización y el gerencialismo de las instituciones y en las dinámicas de competencia y coordinación de los sistemas, así como los grados de libertad y regulación que prevalecen en los mercados pertinentes. Por último, la gobernanza del capitalismo académico depende en cada caso del paradigma que guía las políticas, la selección de instrumentos empleados por aquellas y la forma en que se integran las diferentes partes interesadas en la estructura de la gobernanza. Se completa el artículo con un breve resumen y la identificación de líneas de investigación para avanzar en el estudio de las variedades de capitalismo académico.El presente artículo propone un marco conceptual para el análisis de las variedades de capitalismo académico. La tesis central sostiene que dichas variedades surgen de las características específicas que en cada país asumen los tres pisos que componen los sistemas nacionales de educación superior: (i) su régimen estructurante de economía política, (ii) la configuración del campo organizacional y las dinámicas de coordinación entre las universidades, y (iii) la modalidades de la gobernanza de los sistemas, sus orientaciones paradigmáticas de política para el sector y la selección de instrumentos para su aplicación. Cada variedad de capitalismo académico se caracteriza por el grado de privatismo en esos tres pisos. Así, en el caso del régimen de economía política, juegan un papel determinante el nivel de presencia privada en la provisión y el financiamiento de los sistemas y, por ende, los grados de mercadización, comodificación, comercialización y financiarización de la educación superior. En el caso del campo organizacional, interesan sobre todo los impactos de los anteriores procesos en la empresarialización y el gerencialismo de las instituciones y en las dinámicas de competencia y coordinación de los sistemas, así como los grados de libertad y regulación que prevalecen en los mercados pertinentes. Por último, la gobernanza del capitalismo académico depende en cada caso del paradigma que guía las políticas, la selección de instrumentos empleados por aquellas y la forma en que se integran las diferentes partes interesadas en la estructura de la gobernanza. Se completa el artículo con un breve resumen y la identificación de líneas de investigación para avanzar en el estudio de las variedades de capitalismo académico.El presente artículo propone un marco conceptual para el análisis de las variedades de capitalismo académico. La tesis central sostiene que dichas variedades surgen de las características específicas que en cada país asumen los tres pisos que componen los sistemas nacionales de educación superior: (i) su régimen estructurante de economía política, (ii) la configuración del campo organizacional y las dinámicas de coordinación entre las universidades, y (iii) la modalidades de la gobernanza de los sistemas, sus orientaciones paradigmáticas de política para el sector y la selección de instrumentos para su aplicación. Cada variedad de capitalismo académico se caracteriza por el grado de privatismo en esos tres pisos. Así, en el caso del régimen de economía política, juegan un papel determinante el nivel de presencia privada en la provisión y el financiamiento de los sistemas y, por ende, los grados de mercadización, comodificación, comercialización y financiarización de la educación superior. En el caso del campo organizacional, interesan sobre todo los impactos de los anteriores procesos en la empresarialización y el gerencialismo de las instituciones y en las dinámicas de competencia y coordinación de los sistemas, así como los grados de libertad y regulación que prevalecen en los mercados pertinentes. Por último, la gobernanza del capitalismo académico depende en cada caso del paradigma que guía las políticas, la selección de instrumentos empleados por aquellas y la forma en que se integran las diferentes partes interesadas en la estructura de la gobernanza. Se completa el artículo con un breve resumen y la identificación de líneas de investigación para avanzar en el estudio de las variedades de capitalismo académico.El presente artículo propone un marco conceptual para el análisis de las variedades de capitalismo académico. La tesis central sostiene que dichas variedades surgen de las características específicas que en cada país asumen los tres pisos que componen los sistemas nacionales de educación superior: (i) su régimen estructurante de economía política, (ii) la configuración del campo organizacional y las dinámicas de coordinación entre las universidades, y (iii) la modalidades de la gobernanza de los sistemas, sus orientaciones paradigmáticas de política para el sector y la selección de instrumentos para su aplicación. Cada variedad de capitalismo académico se caracteriza por el grado de privatismo en esos tres pisos. Así, en el caso del régimen de economía política, juegan un papel determinante el nivel de presencia privada en la provisión y el financiamiento de los sistemas y, por ende, los grados de mercadización, comodificación, comercialización y financiarización de la educación superior. En el caso del campo organizacional, interesan sobre todo los impactos de los anteriores procesos en la empresarialización y el gerencialismo de las instituciones y en las dinámicas de competencia y coordinación de los sistemas, así como los grados de libertad y regulación que prevalecen en los mercados pertinentes. Por último, la gobernanza del capitalismo académico depende en cada caso del paradigma que guía las políticas, la selección de instrumentos empleados por aquellas y la forma en que se integran las diferentes partes interesadas en la estructura de la gobernanza. Se completa el artículo con un breve resumen y la identificación de líneas de investigación para avanzar en el estudio de las variedades de capitalismo académico. ; Este artigo propõe um quadro conceitual para a análise das variedades do capitalismo acadêmico. A tese central é que que estas variedades resultam das características específicas de cada país nos três níveis que compõem os sistemas nacionais de ensino superior: (i) o seu regime estruturante de economia política, (ii) a configuração do campo organizacional e a dinâmica de coordenação entre universidades, e (iii) as modalidades de governança dos sistemas, incluindo as políticas públicas centrais para o setor e a seleção dos instrumentos para a sua implementação. Cada variedade do capitalismo académico é caracterizada pelo grau de privatização destes três níveis. Assim, em relação ao regime de economia política, o nível de participação privada no fornecimento e financiamento dos sistemas e, portanto, os graus de comercialização, mercantilização, comercialização e financeirização do ensino superior desempenham um papel determinante. Em relação ao campo organizacional, os impactos dos processos acima mencionados sobre a orientação empresarial e gestão das instituições e sobre a dinâmica da concorrência e coordenação dos sistemas, bem como os graus de liberdade e regulamentação que prevalecem nos mercados relevantes, são de particular interesse. Finalmente, a governança do capitalismo acadêmico depende em cada caso da orientação geral das políticas, da seleção dos instrumentos utilizados na implementação das políticas da forma como os diferentes setores são integrados na estrutura geral de governança. Ao final se apresenta um breve resumo e a indicação de linhas de pesquisa para prosseguir no estudo das variedades do capitalismo académico.

"Das Recht auf Entwicklung muss so verwirklicht werden, dass den Entwicklungs- und Umweltbedürfnissen der heutigen und der kommenden Generationen in gerechter Weise entsprochen wird" (Rio-Erklärung Grundsatz 3).Dieser Grundsatz wurde 1992 bei der UN-Konferenz für Umwelt und Entwicklung 1992 in Rio de Janeiro von den Vereinten Nationen (VN) festgelegt. Damals kamen Vertreter*innen aus 178 Ländern zusammen, um über Fragen zu Umwelt und Entwicklung im 21. Jahrhundert zu beraten. Die Rio-Konferenz führte zu wichtigen klimapolitischen Ergebnissen wie der Agenda 21 und der Rio-Erklärung und endete mit der Unterzeichnung der Klimakonvention durch 154 Staaten. Die Klimakonvention, die zwei Jahre später in Kraft trat, beinhaltete in Artikel 2"... das Ziel der Stabilisierung der Treibhausgasemissionen in der Atmosphäre auf einem Niveau, das eine gefährliche anthropogene Störung des Klimas verhindert sowie dessen Folgen abmildert" (Simonis et al. 2017, S. 267).Angekommen im 21. Jahrhundert, ist dieses Ziel als nicht verwirklicht anzusehen. Waren es im Jahr der Rio-Konferenz 1992 noch 23.230 Millionen Tonnen CO₂-Emissionen, so sind es 2022 37.150. (https://de.statista.com/statistik/daten/studie/37187/umfrage/der-weltweite-co2-ausstoss-seit-1751/). Die Treibhausgasemissionen sind seit 1992 – mit Ausnahme der Zeit der Covid-19-Pandemie – konstant angestiegen. Und das, obwohl die VN 1995 bei der ersten COP (Conference of the Parties) in Berlin das Berliner Mandat veröffentlichten, das als Basis für das 1997 verabschiedete Kyoto-Protokoll diente und in dem sich die Vertragsstaaten einigten, den Ausstoß von Treibhausemissionen zu senken (Vgl. Simonis et al. 2017, S.267). Die damalige deutsche Umweltministerin Angela Merkel sprach auf der COP zu den VN:"Wie wir hier in Berlin miteinander reden, wie wir fähig sind, Probleme zu lösen, wird ein Symbol dafür sein, ob es gelingen kann, globale Probleme gemeinsam in Angriff zu nehmen oder nicht."Gut gesprochen, doch sinnbildlich für das "gemeinsam in Angriff nehmen der globalen Probleme" und das Einhalten des Kyoto-Protokolls steht die USA, die mit dem Argument, dass Industrienationen bei der Reduktion des Treibhausgasausstoßes eine größere Last tragen als Entwicklungsländer, 2001 aus dem Protokoll wieder austraten (Vgl. Simonis et al. 2017, S.267). Die Treibhausgasemissionen sind trotz des verabschiedeten Kyoto-Protokolls stetig gestiegen und so hat es von Rio an 23 Jahre gebraucht, bis 2015 auf der COP 21 in Paris das Pariser Klimaabkommen verabschiedetet wurde, mit dem Ziel, den Anstieg der weltweiten Durchschnittstemperatur auf 1,5 °C – mit einer Obergrenze von 2 °C – zu beschränken. 8 Jahre später gilt das 1,5-°C-Ziel als nicht mehr realistisch und auch die Obergrenze von 2 °C ist stark gefährdet (Vgl. von Brackel et al.).So kamen Ende des Jahres 2023 die Vertreter der Nationen in Dubai zusammen, um auf der COP 28 wieder einmal darüber zu verhandeln, wie die Welt den voranschreitenden Klimawandel aufhalten kann. Doch wenn das 2 °C Ziel stark gefährdet ist und die Treibhausgaswerte weiter ansteigen, kommen Fragen auf:Wie gedenken die VN, die Treibhausgasemissionen zu verringern?Wieso hat es von der Rio-Konferenz an 23 Jahre gedauert, bis das Pariser Abkommen verabschiedet wurde?Auf welche Maßnahmen konnten die VN sich im Kampf gegen den Klimawandel einigen?Welche Rolle und Verantwortung nehmen die Industrienationen ein?Diese Seminararbeit wird sich mit einer Einordnung der COP28 in die Entwicklung der vorangegangenen Klimakonferenzen befassen und einen Überblick über die komplexe Klimapolitik der Vereinten Nationen geben.Von Rio zur COP1 und dem Kyoto-AbkommenDen Beginn der zwischenstaatlichen Klimaverhandlungen markiert die Konferenz der VN über Umwelt und Entwicklung 1992 in Rio de Janeiro, die in zwei wichtigen umweltpolitischen Ereignissen mündete: der Rio-Erklärung über Umwelt und Entwicklung und der Agenda 21 (vgl. Simonis et al. 2017, S. 267).Rio-Erklärung: In der Rio-Erklärung legten die VN das Ziel fest"… durch die Schaffung von neuen Ebenen der Zusammenarbeit zwischen den Staaten, wichtigen Teilen der Gesellschaft und den Menschen eine neue und gerechte weltweite Partnerschaft aufzubauen, bemüht um internationale Übereinkünfte, die die Interessen aller achten und die Unversehrtheit des globalen Umwelt- und Entwicklungssystems schützen, anerkennend, dass die Erde, unsere Heimat, ein Ganzes darstellt, dessen Teile miteinander in Wechselbeziehung stehen." (Rio-Erklärung über Umwelt und Entwicklung, S. 1).In der Erklärung wurde erstmals global das Recht auf nachhaltige Entwicklung, Forderungen sowie Voraussetzungen zur Umsetzung verankert. Daneben stehen Menschenrechte und der Schutz der Rechte zukünftiger Generationen im Mittelpunkt. Im ersten Grundsatz heißt es:"Die Menschen stehen im Mittelpunkt der Bemühungen um eine nachhaltige Entwicklung. Sie haben das Recht auf ein gesundes und produktives Leben im Einklang mit der Natur" (Rio-Erklärung über Umwelt und Entwicklung, Grundsatz 1).Insgesamt umfasst das Dokument 27 Grundsätze und Prinzipien, die die Rahmenbedingungen und Grundsätze für die Umsetzung der Ziele festlegen.Agenda 21: In der Agenda 21 wurden detaillierte Handlungsaufträge zur Erhaltung der Umwelt und Menschheit festgeschrieben, mit dem Ziel, der Verschlechterung der Situation des Menschen und der Umwelt entgegenzuwirken und eine nachhaltige Nutzung von natürlichen Ressourcen zu gewährleisten. Die Handlungsaufträge der Agenda 21 bestehen aus 40 Kapiteln und sind thematisch in vier Dimensionen unterteilt (Vgl. Lexikon der Nachhaltigkeit, 2015): Soziale und wirtschaftliche Dimension (Kapitel 2-8) – Armutsbekämpfung, Bevölkerungsdynamik, Gesundheitsschutz und nachhaltige Siedlungsentwicklung. Erhaltung und Bewirtschaftung der Ressourcen für die Entwicklung (Kapitel 9-22) – Schutz der Erdatmosphäre, Bekämpfung der Entwaldung, dem Erhalt der biologischen Vielfalt und die umweltverträgliche Entsorgung von Abfällen. Stärkung der Rolle wichtiger Gruppen (Kapitel 23–32) – diversen gesellschaftlichen Gruppen, die für die Umsetzung der Agenda von besonderer Bedeutung sind. Möglichkeiten der Umsetzung (Kapitel 33-40) – Rahmenbedingungen zur Umsetzung der finanziellen und organisatorischen Instrumente (Technologietransfer, Bildung, internationale Zusammenarbeit). (Agenda 21, https://www.un.org/depts/german/conf/agenda21/agenda_21.pdf) Die Umsetzung der Handlungsdimensionen erfolgt mehrdimensional. Auf nationaler Ebene bspw. durch Planung von Strategien und Maßnahmen zur Umwelterhaltung. Auf institutioneller Ebene durch Akteure wie NGO. Eine exekutive Rolle fällt den Bürger*Innen zu, die durch ihre Bereitschaft zur Beteiligung an den Maßnahmen einer nachhaltigen Entwicklung mitentscheidend sind. Diese ist u.a. abhängig von der Kommunalverwaltung, die die Aufgabe der Vermittlung zwischen den Nationen und den Bürger*Innen hat (vgl. Lexikon der Nachhaltigkeit, 2015).Klimarahmenkonvention: Die Unterzeichnung der Klimarahmenkonvention durch 154 Staaten markiert das Ende der Rio-Konferenz und bildet die völkerrechtliche Basis für den weltweiten Klimaschutz. Das vorrangige Ziel war – wie in der Einleitung u.a. genannt – die Stabilisierung der Treibhausgaskonzentration auf ein Niveau, das verhindert, dass es zu gefährlichen Störungen des Klimasystems kommt. Die Umsetzung der Klimarahmenkonvention wird durch Berichterstattung über die Treibhausgasemissionen und Minderungsmaßnahmen geprüft. Diese Kontrolle sowie die Weiterentwicklung der Klimarahmenkonvention geschieht jährlich auf den seit 1995 stattfindenden Weltklimakonferenzen (COP) (vgl. Umweltbundesamt, 2024).COP1 und COP2Wie eben genannt, findet die Umsetzung, Beratung und Kontrolle der Maßnahmen auf der jährlichen Conference of Parties (COP) statt. Die COP stellt das wichtigste Organ der Klimarahmenkonvention dar und besteht aus 197 Mitgliedsstaaten (Stand COP28), die nach Einstimmigkeitsprinzip über die Maßnahmen und Umsetzung entscheiden (Simonis et al. 2017, S. 268). 1995 fand die erste COP in Berlin statt. Diese wurde geprägt durch zähe Verhandlungen zwischen der "Alliance of Small Island States" (AOSIS), auf deren Seite auch die BRD stand, und den "JUSCANZ-Staaten" (Japan, USA, Kanada, Australien, Neuseeland).Deutschland und die AOSIS forderten eine Reduktionsverpflichtung der Treibhausgasemissionen von 20 % bis zum Jahr 2005 im Vergleich zu den Emissionen aus dem Jahr 1990. Die USA, die im Jahr 1990 für 23 % der weltweiten Treibhausgasemissionen verantwortlich waren, und die anderen JUSCANZ-Staaten lehnten diese Verpflichtung ab. Die Verhandlungen endeten letztendlich in dem von US-Seite vorgeschlagenen "Berliner Mandat". In diesem verpflichteten sich die Vertragsstaaten, bis 1997 ein Protokoll zur Begrenzung und Reduzierung des Ausstoßes von Treibhausgasen auszuarbeiten (vgl. Simonis et al. 2017, S. 268f). Auf der in Genf stattfindenden COP2 wurden die Klimaverhandlungen weiter vorangetrieben. Einen großen Faktor hierfür stellte der Wandel der Klimaaußenpolitik der USA dar. Der damalige Präsident Bill Clinton stand in der Klimapolitik unter großem Einfluss des Vize-Präsidenten Al Gore und konnte durch diesen zu Zugeständnissen in den Verhandlungen bewegt werden. Die COP2 mündete in der Genfer Deklaration, in der die Aufforderung festgehalten wurde, die Klimaverhandlungen bis zur COP3 zu beschleunigen (vgl. Simonis et al. 2017, S. 269).COP3 und das Kyoto-Protokoll Die COP3 fand 1997 im japanischen Kyoto statt. Im Vordergrund stand die Verhandlung des im Berliner Mandat festgelegten völkerrechtlich verbindlichen Protokolls zur Reduktionsverpflichtung von Treibhausgasemissionen. Sie waren geprägt von unterschiedlichen Positionen und Interessenlagen der Mitgliedsnationen. Die USA, als einer der größten Verursacher von Treibhausgasen, sprachen sich gegen eine einheitliche Zielvorgabe zur Reduzierung der CO₂-Emissionen für alle Länder aus. Auch andere Industrieländer wie Japan und die EU vertraten diesen Standpunkt.Aufgrund der anfangs unflexiblen Verhandlungshaltung der USA kam es auf Seiten der Entwicklungs- und Schwellenländer wie z.B. der Allianz der AOSIS, die sich für eine einheitliche Zielvorgabe aussprachen, zu Zweifeln, dass es zu einer Einigung kommen könnte. Letztendlich konnten sich die Nationen der Weltklimakonferenz auf eine Zielsetzung zur Reduzierung von Treibhausgasemissionen im Zeitraum von 2008 bis 2012 (u.a. USA 7 %, Japan 6 % und die EU 8 %) einigen.Festgeschrieben wurden die Verpflichtungen im Kyoto-Protokoll, das (nach Artikel 25) in Kraft treten sollte, sobald "mindestens 55 Staaten, die zusammengerechnet mehr als 55 % der CO₂-Emissionen des Jahres 1990 verursachten, das Abkommen ratifiziert haben" (Lexikon der Nachhaltigkeit, 2015).Das Kyoto-Protokoll unterscheidet zwischen Schwellen-/Entwicklungsländern und Industriestaaten. Industrieländer wie Russland, Japan, USA oder die EU (1997 bestehend aus 15 Ländern) verpflichteten sich, aufgrund ihrer historischen Verantwortung für den Anstieg der Treibhausgasemissionen, diese zu reduzieren. Schwellenländer wie China oder Indien mussten genauso wie die Entwicklungsländer keine verbindlichen Maßnahmen eingehen, erkannten jedoch durch die Unterzeichnung die Notwendigkeit an, gegen den Klimawandel vorgehen zu müssen.Neben den Reduktionszielen führte das Kyoto-Protokoll zur Gründung neuer Institutionen und Instrumente, die durch technische und wissenschaftliche Beratung das Erreichen der Emissionsreduzierung zusätzlich unterstützen sollten (vgl. Simonis et al. 2017, S. 270f.).Ratifizierung des Kyoto-Protokolls Bis zur Ratifizierung des Kyoto-Protokolls sollte es bis 2005 dauern. Grund dafür war u.a. die in Artikel 25 festgehaltene Hürde zur Ratifizierung. Die von den Unterzeichnern des Kyoto-Protokolls angestrebte schnelle Ratifizierung verzögerte sich durch offene Fragen im Protokoll. Ein zentraler Streitpunkt war der Umgang mit flexiblen Maßnahmen, um die Reduktionsziele einhalten zu können.Ein Beispiel für diese Maßnahmen betrifft Senken, also die Speicherung von Kohlenstoff durch Wälder, Böden und Meere sowie Maßnahmen zur Aufforstung und Wiederaufforstung. Die USA plädierten für eine großzügige Anrechnung flexibler Maßnahmen, um die vorgegebenen Ziele überhaupt erreichen zu können, während die EU nach außen hin für eine strengere Obergrenze eintrat, intern aber hinsichtlich dieser Thematik gespalten war.Bei den auf die COP 3 folgenden COP4 bis COP6 kam es zu keinen signifikanten Einigungen. Neben der Konfliktlinie zwischen den USA und der EU kam es zur Auseinandersetzung zwischen der Umbrella-Gruppe (ehemalige Mitglieder der JUSCANZ, die sich nach der Verabschiedung des Kyoto-Protokolls aufgelöst und sich mit Island, Russland und der Ukraine neu formiert haben) und den G77-Staaten (Zusammenschluss der Entwicklungsländer der Vereinen Nationen) mit China, bei der die EU erfolglos versuchte zu vermitteln. Die andauernde Uneinigkeit zwischen den verschiedenen Parteien mündete letzten Endes darin, dass die USA unter Präsident George W. Bush 2001 aus dem Kyoto-Protokoll austrat (vgl. Simonis et al. 2017, S. 273 ff.). Nach dem Ausscheiden der USA übernahm die EU die Führung, um die Ratifizierung voranzutreiben. Industrieländer wie Japan, Russland oder Australien nutzten das drohende Scheitern des Kyoto-Protokolls als Druckmittel gegenüber der EU, um Regelungen bspw. für flexible Maßnahmen zu ihren Gunsten auszulegen. Die EU, die sich stark für das Inkrafttreten des Kyoto-Protokolls einsetzte, ging bei den Verhandlungen auf den auf die COP6 (Den Haag) folgenden Konferenzen Kompromisse ein. Daraus resultierte, dass die strikten Begrenzungen für flexible Maßnahmen, bspw. hinsichtlich von Senken, bei den Folgeverhandlungen auf der COP6II (Bonn) aufgehoben wurden, wovon vor allem Russland und Kanada stark profitierten.Bereits verhandelte Punkte wurden bei der COP7 (Marrakesch) auf erneuten Druck von Kanada, Russland und dazu auch Japan neu verhandelt. Das Resultat war das Übereinkommen von Marrakesch, was neben 15 Maßnahmen zur Umsetzung des Kyoto-Protokolls die Regelungen für die Anrechnung flexibler Maßnahmen noch weiter aufweichte. Die folgenden Klimakonferenzen COP8 (Neu-Delhi) und COP 9 (Mailand) waren weiter von Verhandlungen und technischen Fragen geprägt, führten letztendlich im November 2004 zu der Ratifikation durch Russland und dadurch zum Inkrafttreten des Kyoto-Protokolls im Jahr 2005.Bei der COP10 (Buenos Aires) war nach langen vorangegangenen Verhandlungen zur Ratifizierung erstmals wieder Platz für andere Themen, wie die Anforderungen an die Industrieländer, Maßnahmen und Ressourcen für die Anpassung von Entwicklungsländern an die Folgen des Klimawandels bereitzustellen. Am 16. Februar 2005 trat das Kyoto-Protokoll und seine Umsetzungsregeln in Kraft, kurz nachdem das Emissionshandelssystem der EU (erhebliche Senkung der Treibhausgasemissionen bis 2030 und Netto-Null-Emissionen bis 2050) im Januar eingeführt wurde (vgl. Simonis et al. 2017, S. 274 f).Post-Kyoto-ÄraDas Inkrafttreten 2005 leitete eine neue Ära der Klimaverhandlungen ein, mit dem Ziel, ein neues Abkommen für die Zeit nach der Verpflichtungsperiode des Kyoto-Protokolls (2008-12) auszuarbeiten. Auf der COP11 (Montreal) traten die Mitglieder der MOP (Meeting of Parties of the Kyoto Protocol) unter der Führung der EU und gestützt von der AOSIS zusammen und einigten sich auf Folgeverhandlungen über die Verpflichtungen der Industrieländer für die "Post-Kyoto-Zeit." Ausgenommen waren Australien und die USA, die seit dem Austritt mehrmals versucht hatte, die Kyoto-Verhandlungen zu behindern und den Klimawandel infragezustellen.Neben den Folgeverhandlungen wurde die Miteinbeziehung der Schwellenländer und der USA in zukünftige Verhandlungen festgeschrieben. 2005 kam es durch den Hurrikan "Katrina" in den USA zu verheerenden Schäden, die offenlegten, dass die Kosten, die ein ungebremster Klimawandel durch z.B. Katastrophen verursacht, deutlich höher ausfallen als die Kosten für Treibhausgasreduktionsmaßnahmen (vgl. Simonis et al. 2017, S. 275 f). Auf der COP12 (Nairobi) konnten die Staaten sich einigen,"... die bisherigen Ergebnisse des Kyoto-Protokolls nach Artikel 9 bis 2008 einer Effektivitätsprüfung zu unterziehen und die Entwicklungsländer bei CDM und Anpassungsmaßnahmen verstärkt einzubeziehen (Sterk et al. 2007: 141 f., zitiert nach Simonis et al. S.276)."COP13Ein erheblicher Fortschritt in der internationalen Klimapolitik gelang den VN 2007 auf der COP13 (Bali) hinsichtlich des Ziels, sich auf das Post-2012-Abkommen zu einigen. Die zwei zentralen Vorhaben hierfür waren zum einen die Verpflichtung der Industrieländer für eine zweite Kyoto-Phase zwischen 2013 und 2020 und die Aufnahme von Mitigationsmaßnahmen durch die Entwicklungsländer.Bei den letzteren standen vor allem China, das 2007 an der Spitze der Treibhausgasemissionen stand und sich in der Vergangenheit gegen freiwillige Maßnahmen zur Treibhausgasreduzierung durch Schwellen- und Entwicklungsländer ausgesprochen hatte, aber auch Indien in der Kritik. Die USA blockierten früh den Verlauf der Verhandlungen, was dazu führte, dass die Entwicklungsländer ankündigten, einem neuen Abkommen nur zuzustimmen, wenn die USA auch beteiligt sind.Die Position der USA führte zu massiver Kritik vonseiten der oppositionellen Demokraten in den USA und der amerikanischen Öffentlichkeit. Durch den steigenden Druck gab die US-Regierung ihre Blockade-Haltung auf, und die Verhandlungen über ein Nachfolgeabkommen und Verlängerung des Kyoto-Protokolls mit Einbezug der Entwicklungsländer konnten weitergeführt werden.Für die Post-Kyoto-Zeit wurde festgelegt, dass für die Anpassungsmaßnahmen der Entwicklungsländer ein Anpassungsfonds bis 2012 gegründet werden muss. Das Geld hierfür wird von den Vertragsstaaten bereitgestellt und von der Weltbank sowie dem globalen Umweltfonds verwaltet. Des Weiteren wurden finanzielle Zusagen für den REDD+-Mechanismus, der für die Förderung der Erhaltung und Erhöhung der Kohlenstoffbestände in den Wäldern und für eine nachhaltige Waldbewirtschaftung sowie vermiedene Entwaldung steht, vereinbart, was vor allem für die Entwicklungsländer einen bedeutenden Schritt darstellte (vgl. Simonis et al. 2017, S. 276 ff.). Die Verhandlungen über das Nachfolgeabkommen des Kyoto-Protokolls sollten über die COP14 (Posen) hinaus auf der COP15 in Kopenhagen abgeschlossen werden.COP15 - COP17Die COP15 in Kopenhagen, die den Erwartungen nicht gerecht werden konnte und als gescheitert (vgl. SPD, 2010) betitelt wurde, kann rückblickend gesehen als ein Zwischenschritt zu dem anstrebten Folgeabkommen verstanden werden. Früh wurde klar, dass das Ziel des Nachfolgeabkommens für die Post-Kyoto-Zeit in Kopenhagen nicht zu erreichen sein wird. Obgleich die Staaten es nicht schafften, ihr Ziel zu erreichen, erzielten sie in einigen Punkten einen Konsens. Das wichtigste Ergebnis der COP15 stellt die Anerkennung des 2°C-Ziels und die daraus resultierende Notwendigkeit tiefer Einschnitte bei den globalen Emissionen dar.Neben diesem Beschluss wurde festgelegt, dass in einem pledge and review-Verfahren (versprechen und überprüfen) die Staaten ihre Emissionsziele angeben müssen und diese im Hinblick auf die Erreichbarkeit des 2°C-Ziels überprüft werden. Im Vergleich zu früheren Beschlüssen wurden neben den Industrieländern in diesem Verfahren auch die Entwicklungsländer mit einbezogen (vgl. Simonis et al. 2017, S. 278 f). Der damalige deutsche Bundesumweltminister Norbert Röttgen sagte nach der COP15:"Wir haben nicht das erreicht, was wir uns gewünscht haben, aber das, was erreicht werden konnte – die Alternative von wenig wäre nichts gewesen… Trotz der Enttäuschungen von Kopenhagen dürfen wir das Ziel eines umfassenden, weltweiten Klimaschutzabkommens nicht aufgeben." (BMUV, 2009).Nachdem die Übereinkunft von Kopenhagen (https://www.bmuv.de/fileadmin/Daten_BMU/Download_PDF/Gesetze/copenhagen_accord_bf.pdf) aufgrund des Einspruchs von Ländern wie u.a. Bolivien nicht formal rechtlich verabschiedet und nur zur Kenntnis genommen werden konnte, wurde auf der COP16 im Cancun-Abkommen das 2°C-Ziel als offizielles international gemeinsames langfristiges Ziel festgelegt. Bis 2015 sollte zudem überprüft werden, ob es erforderlich ist, das 2°C-Ziel auf 1,5 °C herabzusetzen. Daneben wurde für die Entwicklungsländer, die besonders von den Folgen des Klimawandels betroffen sind, ein Programm zur Unterstützung sowie ein grüner Klimafonds eingerichtet, der ab 2020 jährlich 100 Milliarden Dollar bereitstellen soll (vgl. Simonis et al. 2017, S. 279). Die COP17 in Durban läutete eine neue Phase der Klimaverhandlungen ein. Nachdem im Vorfeld der Verhandlungen die BASIC-Staaten (ein Verbund aus Brasilien, Südafrika, Indien und China) sich auf die gemeinsame Forderung geeinigt hatten, dass auch nach dem Ablauf des Kyoto-Protokolls die Verantwortung für die Treibhausgasemissionen weiterhin ausschließlich bei den Industrieländern liegt, und China, Indien und die USA sich gegen verpflichtende Ziele ausgesprochen hatten, gestalteten sich die Verhandlungen anfangs schwierig.Im weiteren Verlauf gelang es der EU, die Blockadehaltung zu lösen und China und Indien dazu zu bewegen, das Durban-Abkommen zu unterzeichnen, das die Industrieländer sowie China und Indien dazu verpflichtet, sich bis 2015 rechtlich verbindliche Emissionsziele zu setzen. Trotz diesem Erfolg gab es von Seiten der NGO Kritik, dass es erneut nicht gelungen sei, verbindliche Emissionsziele festzusetzen, was auf die Blockadehaltung der USA zurückgeführt wird. Die Weiterführung der Post-Kyoto-Verhandlungen wurde auf die COP18 in Doha vertagt (vgl. Simonis et al. 2017, S. 282 f).COP18 - COP20 Bei der COP18 in Katar gelang es, das Kyoto-Protokoll von 2013 bis 2020 zu verlängern, mit dem Ziel eines Folgeabkommens, das 2020 in Kraft treten sollte. Die Verlängerung des Kyoto-Abkommens wurde von einem faden Beigeschmack geprägt, da mit Japan, Kanada, Russland und Neuseeland vier Industrieländer aus dem Protokoll austraten. Das hatte zur Folge, dass die teilnehmenden 37 Kyoto-Staaten für nur noch 15 % der weltweiten Emissionen verantwortlich waren und das Kyoto-Protokoll realpolitisch an Relevanz und Glaubwürdigkeit einbüßte. Im selben Zeitraum veröffentlichte die UNEP (UN Environment Programme) einen Bericht mit dem Ergebnis, dass die weltweiten Emissionen seit 2000 um 20 % angestiegen sind (vgl. Simonis et al. 2017, S. 283). 2013 fand die COP19 in Warschau statt, mit der Aufgabe, offen gebliebene Fragen der COP18 abzuschließen. Ein Erfolg konnte bei der Finalisierung des Waldschutzmechanismus REDD (siehe Abschnitt COP13) verbucht werden, bei der sich die Entwicklungsländer mit der Idee eines fondsbasierten Mechanismus zur Finanzierung von Waldschutzprojekten gegenüber den Industrieländern, die eine marktbasierte Lösung durch einen Zertifikatshandel präferierten, durchsetzten. Bei der Frage nach konkreten Zusagen über die Verpflichtung für ein Folgeabkommen nach 2020 einigte man sich, dass die Staaten, die bereit sind, diesem beizutreten, bis Anfang 2015 ihre Emissionsziele bekannt geben müssen (vgl. Simonis et al. 2017, S. 283). Bei der COP20 in Lima stand die Vorbereitung eines neuen Klimaschutzabkommens, das auf der COP21 in Paris finalisiert werden und 2020 in Kraft treten sollte, im Vordergrund. Im Beschluss von Lima wurden die Staaten dazu aufgerufen, bis Mai 2015 eigene Klimaschutzbeiträge vorzulegen und anzugeben, wie sie ihre Treibhausgasemissionen mindern können. Des Weiteren wurde bekannt gegeben, dass Staaten in den grünen Klimafonds, der bis 2020 100 Mrd. USD schwer sein soll, 10 Mrd. USD eingezahlt und dadurch die finanzielle Basis geschaffen haben (vgl. Umweltbundesamt, 2014).COP21 und der Pariser KlimaabkommenNachdem seit der Ratifizierung des Kyoto-Abkommens über ein Folgeabkommen ab 2020 verhandelt wurde, konnten sich die Vertragsstaaten 2015 auf der COP21 in Paris einigen und erreichten mit dem Pariser Klimaabkommen (https://www.bmuv.de/fileadmin/Daten_BMU/Download_PDF/Klimaschutz/paris_abkommen_bf.pdf), was 2009 auf der COP15 in Kopenhagen noch scheiterte. Die Staatengemeinschaft einigte sich völkerrechtlich verbindlich auf folgende Hauptziele, die in Artikel 2 des Abkommens festgeschrieben sind:a) "der Anstieg der durchschnittlichen Erdtemperatur deutlich unter 2 °C über dem vorindustriellen Niveau gehalten wird und Anstrengungen unternommen werden, um den Temperaturanstieg auf 1,5 °C über dem vorindustriellen Niveau zu begrenzen, da erkannt wurde, dass dies die Risiken und Auswirkungen der Klimaänderungen erheblich verringern würde; b) die Fähigkeit zur Anpassung an die nachteiligen Auswirkungen der Klimaänderungen erhöht und die Widerstandsfähigkeit gegenüber Klimaänderungen sowie eine hinsichtlich der Treibhausgase emissionsarme Entwicklung so gefördert wird, dass die Nahrungsmittelerzeugung nicht bedroht wird; c) die Finanzmittelflüsse in Einklang gebracht werden mit einem Weg hin zu einer hinsichtlich der Treibhausgase emissionsarmen und gegenüber Klimaänderungen widerstandsfähigen Entwicklung." (BMUV, 2015. Übereinkommen von Paris)Im Vergleich zum Kyoto-Protokoll sind im Pariser Abkommen nicht nur die Industrieländer, sondern alle Vertragsländer dazu verpflichtet, nationale Klimaschutzpläne (nationally determined contributions, kurz NDCs) umzusetzen, die in 29 Artikeln festgehalten sind. Die Artikel enthalten u.a. Elemente zur Milderung und Anpassung an den Klimawandel, Finanzierung von Klimaschutz- und Anpassungsmaßnahmen, Technologietransfer, Ausbau von Kapazitäten sowie Transparenz von Maßnahmen und Unterstützung. Entwicklungsländer sollen bei den Maßnahmen zur Umsetzung unterstützt werden.Um zu überprüfen, ob die Verpflichtungen des Pariser Klimaabkommens eingehalten werden, soll ab 2023 alle fünf Jahre eine Bestandsaufnahme durchgeführt werden. Damit das Klimaabkommen in Kraft treten konnte, war wie beim Kyoto-Protokoll eine Ratifizierung durch mindestens 55 Staaten, die mindestens 55 Prozent der globalen Treibhausgasemissionen verursachen, nötig. Die Ratifizierung erfolgte im Vergleich zum Kyoto-Ankommen schneller, sodass das Pariser Klimaabkommen am 4. November 2016 offiziell in Kraft treten konnte.Durch das Pariser Klimaabkommen wurde der Klimawandel sowie die Notwendigkeit, diesen zu bekämpfen, auf internationaler Ebene anerkannt, es wird daher als ein Meilenstein in der internationalen Klimapolitik angesehen. Kritik gab es von Forschenden und Klimabewegungen dafür, dass das 1,5°Grad Ziel realistisch gesehen mit den im Abkommen festgelegten Rahmenbedingungen nicht mehr zu erreichen ist und auf internationaler Ebene die Rechtsverbindlichkeit fehlt (vgl. Watjer, 2020).Post-COP21-ÄraCOP22 - COP27Auf die Weltklimakonferenz in Paris folgte die COP22 in Marrakesch, die am 7. November 2016, sechs Tage nach dem Inkrafttreten des Pariser Klimaabkommens, startete. Auf der Agenda stand neben der Ausgestaltung des Pariser Klimavertrags die Finanzierung des Klimaschutzes für Entwicklungsländer, mit besonderem Fokus auf Afrika (vgl. Lili Fuhr et al., Nov. 2016).Diese Themen rückten durch den Sieg von Donald Trump bei den US-Wahlen früh in den Hintergrund, was zu einer gedrückten Stimmung unter den Vertragsstaaten führte, da die Sorge bestand, die USA könnte aus dem Pariser Abkommen wieder austreten, da Trump den Klimawandel in der Vergangenheit als chinesische Verschwörung bezeichnet und das Klima-Engagement der USA kritisiert hatte (FAZ, 2020).Nach unruhigem Start der COP22 konnten die VN mit der "Proklamation von Marrakesch" (https://unfccc.int/files/meetings/marrakech_nov_2016/application/pdf/marrakech_action_proclamation.pdf) eine Proklamation verabschiedeten, in der 197 Staaten – darunter auch die USA – zu maximalem politischen Engagement gegen den Klimawandel aufgerufen haben. Fast 50 Staaten erklärten in der Proklamation, schnellstmöglich - spätestens bis 2050 - klimaneutral zu werden und komplett auf erneuerbare Energien umstellen zu wollen. Die Industriestaaten gaben die Zusage, den Grünen Fond, der ab 2020 jährlich 100 Milliarden für Entwicklungsländer im Kampf gegen den Klimawandel bereitstellen soll, zur Verfügung zu stellen (vgl. Europäisches Parlament, 2016).Am 5. August 2017 verkündete Donald Trump bei den VN den Austritt der USA aus dem Pariser Klimaabkommen im Jahr 2020. Im November 2017 trafen sich die Vertragsstaaten in Bonn auf der COP23. Die Präsidentschaft hatten die Fidschi-Inseln inne, die als erster kleiner Inselstaat den Vorsitz bei einer Klimakonferenz übernahmen. Auf der Agenda stand die Ausarbeitung eines Regelwerks zur Umsetzung des Pariser Klimaabkommens, mit dem Ziel, dieses im Folgejahr bei der COP24 in Katowice zu verabschieden.Die Konferenz endete damit, dass zu allen Kapiteln des Regelwerks umfassende Textbausteine mit Kommentaren und Vorschlägen der Länder vorgelegt werden konnten. Weitere Ergebnisse stellten eine internationale Allianz zum Ausstieg aus Kohlekraftwerken von 25. Ländern und Regionen dar, darunter Kanada, die UK, Frankreich und mehrere US-Bundesstaaten, ein Arbeitsprogramm für die Landwirtschaft und die Talanoa-Dialoge als neues Gesprächsformat. Bei diesem handelt es sich um ein traditionelles, auf gegenseitigem Respekt basierendes Kommunikationsformat, das dazu beitragen soll, dass Staaten ihre Ziele beim Klimaschutz nachbessern, ohne sich gegenseitig mit vergangenen Versäumnissen und Verhaltensweisen zu konfrontieren (Vgl. Lili Fuhr et al., 2017).Im Oktober 2018 veröffentlichte der Weltklimarat (IPCC) einen Sonderbericht (https://www.ipcc.ch/site/assets/uploads/2020/07/SR1.5-SPM_de_barrierefrei.pdf), der die Auswirkungen eines Temperaturanstiegs um 1,5 °C gegenüber vorindustriellen Werten bewertet. Der Bericht kam zu dem Ergebnis, dass die aktuellen Klimaziele der Staaten nicht ausreichen und nach derzeitigem Stand sich die globale Temperatur bis 2030 um über 3 °C erhöhen wird.Dieser Sonderbericht sorgte auf der COP24, die kurz nach Erscheinen des Berichts im Dezember in Katowice stattfand, für große Diskussion. Die USA, Saudi-Arabien und weitere arabische Ölstaaten gaben an, den Bericht nicht anzuerkennen und versuchten, diesen zu verwässern. Letztendlich konnten sich die Vertragsstaaten auf das Katowice-Klimapaket (https://unfccc.int/sites/default/files/resource/Informal%20Compilation_proposal%20by%20the%20President_rev.pdf) einigen. In diesem wurden Details zur Umsetzung des Pariser Klimaabkommens festgeschrieben und festgelegt, wie die einzelnen Staaten ihre nationalen Klimabeiträge messen, vergleichen und an das Klimasekretariat der VN zu übermitteln haben.Beim Versuch, den Sonderbericht der IPCC in das Katowicer Dokument aufzunehmen, musste eine Kompromisslösung gefunden werden, indem die Vertragsstaaten im Regelwerk dazu aufgefordert werden, die Informationen des Berichts zu nutzen. Beim Thema eines globalen Emissionshandelssystems wurden Kernfragen weiterhin offengelassen (Vgl. Lehr, Schalatek, 2019).Nachdem sich im Vorfeld der COP25 in Madrid 66 Staaten zum Ziel der Klimaneutralität bis 2050 bekannt hatten, stellte die EU-Kommission auf der Konferenz den "Green Deal" (https://www.esdn.eu/fileadmin/ESDN_Reports/ESDN_Report_2_2020.pdf) mit dem Ziel vor, Europa bis 2050 zum ersten klimaneutralen Kontinent zu machen. Hierfür stellte die Kommission rund 50 Maßnahmen aus den Bereichen Klima- und Umweltpolitik, Energiepolitik, Industrie, Verkehrspolitik und Landwirtschaft vor und plante, um die Klimaneutralität bis 2050 voranzutreiben, diese per Gesetz festschreiben zu lassen (vgl. Auswärtiges Amt, 2019).Insgesamt verlief die COP25 ohne konkrete Ergebnisse. Beim Thema globaler Emissionshandel konnten die VN sich, wie schon auf der COP24, nicht einigen. Das lag unter anderem daran, dass sich Staaten wie Australien, USA und Brasilien wenig kompromissbereit zeigten:"Der Ausstieg aus Kohle, Öl und Gas komme nun in eine ernsthafte Phase, deshalb organisieren einige Staaten wie die USA, Brasilien und Australien, die eng mit der fossilen Lobby verbandelt sind, eine letzte Abwehrschlacht" (Christoph Bals, Politischer Geschäftsführer von Germanwatch, DW, 2019).Im November 2020 setzte sich Joe Biden bei der Wahl gegen Donald Trump durch. Daraufhin trat die USA dem Pariser Abkommen im Februar 2021 wieder bei. Im Juli 2021 trat das europäische Klimagesetz in Kraft, in dem die EU die Klimaneutralität bis 2050 zum verbindlichen Ziel, mit dem Zwischenziel einer Reduzierung der Netto-Treibhausgasemissionen um mindestens 55 % bis 2030, festgelegt.Im November 2021 kamen die Vertragsstaaten in Glasgow auf der COP26 (die 2020 aufgrund der Covid19-Pandemie auf 2021 vertagt wurde) zusammen, mit dem Ziel, sich auf einen gemeinsamen Kohleausstieg zu einigen. Dieses Ziel konnte teilweise erreicht werden: Im Klimapakt von Glasgow einigte man sich aufgrund des Drucks der von Kohle abhängigen Staaten wie China und Indien lediglich auf einen schrittweisen Abbau.Festgehalten wurde auch, dass der Ausstoß von klimaschädlichen Treibhausgasen weltweit noch in diesem Jahrzehnt um 45 Prozent sinken muss, wenn das 1,5-Grad-Limit erreichbar bleiben soll. Daneben wurden die reichen Länder aufgefordert, das Geld für die 100 Mrd USD, mit denen die Entwicklungsländer im Kampf gegen den Klimawandel unterstützt werden sollen, bereitzustellen. Eine Überraschung stellte der USA-China-Pakt dar, in dem beide Länder verkündeten, eine gemeinsame Arbeitsgruppe einrichten zu wollen, um den Umbau zu einer klimaneutralen Weltwirtschaft zu beschleunigen (vgl. Dlf, 2021).Die COP27 wurde 2022 im ägyptischen Scharm El-Scheich ausgetragen. Das wichtigste Ergebnis stellt der Fond für klimabedingte Schäden und Verluste dar, der von den Entwicklungsländern seit mehreren Jahren gefordert wurde. Durch diesen sollen ärmere, durch den Klimawandel stark bedrohte Länder bei Schäden, die durch Klimakatastrophen verursacht wurden, Ausgleichszahlungen erhalten. Keine erheblichen Fortschritte konnten dagegen bei den Lösungsansätzen zur Einhaltung des 1,5°C-Ziels aus dem Pariser Abkommen gemacht werden. Versuche, weitergehende Formulierungen zu einem Ausstieg aus fossilen Brennstoffen und Kohle zu verfassen, wurden von China und Saudi-Arabien blockiert. Als Erfolg wird die Klimapartnerschaft zwischen Industrieländern wie den USA und Deutschland mit Entwicklungsländern wie Ägypten, Mexiko und Südafrika gesehen. Die Industrieländer stellen Mittel bereit, um bei den kleineren Ländern die Energiewende voranzutreiben (vgl. Dlf, 2022). COP28 in DubaiAuf der COP28, die vom 30. November bis 12. Dezember 2023 in Dubai stattfand, wurde seit dem Pariser Klimaabkommen erstmals offiziell Zwischenbilanz gezogen. Die EU (-7,4 %) und die USA (-3,0 %) haben es 2023 geschafft, ihre Emissionen im Vergleich zu 2022 zu verringern. In Indien (+8,2 %) und China (+4,0 %) sind sie dagegen angestiegen. Die selbst gesetzten Ziele zur Treibhausgasemission, die sich die Staaten gesetzt hatten, konnten nicht erfüllt werden.Im Vergleich zum Vorjahr sind die Emissionen um 1,1 % angestiegen und liegen bei 36,8 Milliarden ausgestoßenen Tonnen CO₂. Diese werden ergänzt durch Maßnahmen wie z.B. das Roden von Wäldern, sodass die Endbilanz bei 40,9 Milliarden Tonnen CO₂ liegt (vgl. Appelhans, 2023). Die Zwischenbilanz zeigt deutlich, dass die aktuellen Maßnahmen und Umsetzungen der Nationen nicht ausreichen, um das 1,5°C-Ziel zu erreichen.Das "sichtbarste" Ergebnis der Konferenz stellt die Einigung der Weltgemeinschaft auf einen Beschlusstext zu einem "Übergang weg von fossilen Energieträgern in den Energiesystemen" dar. Ziel ist es, durch einen Ausstieg aus fossilen Energien (Öl, Gas, Kohle…) den globalen Süden, den die Auswirkungen des Klimawandels am stärksten treffen, vor weiteren drohenden Katastrophen zu schützen.Bei den fossilen Brennstoffen (Öl und Gas) wurde sich auf den Begriff "Abkehr" anstatt Ausstieg als Kompromiss geeinigt. Dies ist zurückzuführen auf Staaten wie Saudi-Arabien, deren Wirtschaft auf dem Handel mit fossilen Brennstoffen beruht und für die ein Ausstieg, Stand jetzt, nicht in Frage kommt. Um den Ausstieg zu erreichen, benötigt es einen schnellen Umstieg auf erneuerbare Energien. Im Beschlusstext wurde das Ziel formuliert,"... die Kapazität der erneuerbaren Energien bis 2030 zu verdreifachen und das Tempo bei der Energieeffizienz in diesem Zeitraum zu verdoppeln." (BMZ, COP28 Abschnitt 2)Neben dem Ausstieg einigten sich die Staaten auf die Ausgestaltung des auf der COP27 beschlossenen Fonds für Klimaschäden im Globalen Süden. Deutschland und Saudi-Arabien kündigten an, für diesen jeweils 100 Millionen Euro bereitzustellen (vgl. bpb, 2023).Fazit und AusblickDie Historie der zurückliegenden Klimakonferenzen zeigt klar auf, wie kompliziert und hoch angespannt die internationale Klimapolitik ist. Um einen Konsens zu erzielen und ein Vorankommen zu ermöglichen, müssen in der Regel package deals und Kompromisse eingegangen werden, was eine schnelle und effektive internationale Zusammenarbeit erschwert.Ergebnisse zu erzielen, kostete in der Vergangenheit viel Zeit - Zeit, die die Welt und vor allem der globale Süden nicht mehr hat. 2009 scheiterte der erste Versuch, den Klimawandel als ein ernstzunehmendes Problem international offiziell anzuerkennen, auf der COP15 in Kopenhagen. Und es dauerte bis 2015, dass die Vertragsstaaten sich einigen konnten und mit dem 1,5°C-Ziel den Klimawandel anerkannten und ihm gemeinsam den Kampf ansagten. Die Historie von Rio bis Paris offenbart zwei Probleme der internationalen Klimapolitik:Die internationale Klimapolitik ist träge und kommt nur langsam voran. Um überhaupt einen Konsens zu finden, mussten zwischen den Nationen in der Regel immer Kompromisse eingegangen werden. Dies ist am Verlauf des Kyoto-Protokolls, als die EU bei Maßnahmen wie den Senken Industrieländern wie Kanada und Russland entgegenkam, damit das Protokoll überhaupt noch ratifiziert werden kann, gut ersichtlich. Wenige Jahre später stiegen Russland und Kanada bei der Verlängerung des Kyoto-Protokolls bis 2020 dann aus.Es gibt keinen internationalen Souverän, der die einzelnen Staaten maßregelt und Konsequenzen verhängt, wenn Staaten es nicht schaffen, ihre Emissionen zu verringern. Trotz des Pariser Abkommens sind die Treibhausgasemissionen seit 2015, mit Ausnahme der Phase der Covid19-Pandemie, angestiegen. Konsequenzen gab es für die Industrienationen, die Hauptverursacher von Treibhausgasemissionen sind, nicht. Das 1,5°C-Ziel, das bereits 2015 von Kritiker*innen als unrealistisch angesehen wurde, ist acht Jahre später mit dem Trend, dass die CO₂-Emissionen weiter ansteigen, kaum noch zu erreichen. Die Prognose in Bezug auf den Klimawandel sieht für die kommenden Jahre düster aus. Hoffnung könnte der auf der COP28 beschlossene Ausstieg bzw. die Abkehr von fossilen Brennstoffen, die über 80 % der CO₂-Emissionen ausmachen, bieten. Dieser Beschluss könnte - nach dem Pariser Abkommen - ein weiter großer Schritt in die richtige Richtung sein. Wie groß dieser Schritt ausfällt, ist abhängig davon, wie sich die Vertragsstaaten an dem Ausstieg beteiligen und wie schnell sie versuchen, diesen umzusetzen.Ein weiterer Hoffnungsschimmer könnte die steigende Verantwortung sein, die die Industrieländer für den Klimawandel übernehmen. Der globale Süden, der vom Norden über Jahre hinweg ohne große Rücksicht auf Folgen ausgebeutet wurde (und immer noch wird), bekommt das Ausmaß des Klimawandels am deutlichsten zu spüren. Durch den auf der COP27 verabschiedeten Fond für Klimakatastrophen erhält er von den Industrienationen finanzielle Unterstützung, was einen Anfang darstellt. Die Industriestaaten, allen voran die EU, haben sich dazu bekannt, den globalen Süden nicht mehr im Stich zu lassen. Dies kann man gleichzeitig als Zeichen sehen, dass die VN erkannt haben, dass der Klimawandel nur im Kollektiv aufgehalten werden kann.Der Trend der letzten Klimakonferenzen ist positiv. Ob dieser Trend anhält, hängt klimapolitisch stark von den USA, China und mit einigen Abstrichen Indien und den Öl-Staaten ab. Die USA, die eine lange Historie besitzt, sich in der Klimapolitik querzustellen und nicht zu kooperieren, steht vor einem Wahljahr 2024, in dem Donald Trump die Chance hat, nach 2016 erneut zum Präsidenten gewählt zu werden. Trump, dessen Politik unberechenbar ist, ist kein Befürworter von Maßnahmen gegen den Klimawandel und trägt die Verantwortung dafür, dass die USA 2020 aus dem Pariser Abkommen ausgetreten sind.Die USA pflegen trotz des gemeinsamen Pakts für eine klimaneutrale Wirtschaft ein angespanntes Verhältnis zu China, das eskalieren könnte. China, das in Sachen Treibhausgasemissionen seit über zehn Jahren an der Spitze steht, hat lange versucht, sich unter dem Deckmantel "Schwellenland" vor klimapolitischer Verantwortung zu drücken. In der nahen Zukunft könnte sich dies mit Indien, das inzwischen bei den Emissionen auf Platz 3 (Stand 2022) steht, wiederholen.Sollten sich die USA, China und Indien als Top 3 (https://de.statista.com/statistik/daten/studie/179260/umfrage/die-zehn-groessten-c02-emittenten-weltweit/) in Sachen Treibhausgasemissionen aus dem Kampf gegen den Klimawandel zurückziehen bzw. bei dem Ausstieg aus fossiler Energie nicht mitziehen, sieht es düster für den Rest der Welt aus. Auch die Blockadehaltung in Bezug auf den Ausstieg aus fossilen Brennstoffe der Ölstaaten wie Saudi-Arabien muss beobachtet werden.Neben den Wahlen in den USA darf die EU-Wahl nicht unterschätzt werden. In den vergangenen Jahren konnten rechtspopulistische Parteien, von denen viele Klimawandelleugner (vgl. Schmidt-Mattern, 2019) sind, fast in allen EU-Ländern Stimmen dazugewinnen. Sollte es innerhalb des EU-Parlaments zu einem starken Rechtsruck kommen, könnte dies auch Auswirkungen auf die Klimapolitik der EU haben. Das wäre fatal, da die EU schon seit der Rio-Konferenz im Kampf gegen den Klimawandel als Vorreiter agiert und regelmäßig zwischen Parteien mit verschiedenen Standpunkten als Zwischenhändler agiert und so Kompromisse erreicht. Die Voraussetzungen für einen erfolgreichen Kampf gegen den Klimawandel stehen auf wackligen Beinen, doch der Trend der vergangenen Jahre ist positiv, was Anlass zur Hoffnung gibt. Dennoch müssen die Staaten, wenn sie noch eine Chance haben wollen, den Klimawandel einzudämmen, geschlossener und vor allem schneller agieren als noch in der Zeitspanne zwischen Rio de Janeiro und Paris. LiteraturAuswärtiges Amt. 2018. "Erfolgreicher Abschluss der "COP24" in Kattowitz".  https://www.auswaertiges-amt.de/de/aussenpolitik/klimaaussenpolitik/cop-24-kattowitz/2171152 (24.03.24).Auswärtiges Amt. 2019. "COP25: nationale Anstrengungen zum Klimaschutz deut-lich ausbauen". https://www.auswaertiges-amt.de/de/aussenpolitik/klimaaussenpolitik/cop25-madrid/2283322 (24.03.24).BMUV 2009. "Kopenhagen Vereinbarung". https://www.bmuv.de/gesetz/die-kopenhagen-vereinbarung (24.03.24).BMUV. "Übereinkommen von Paris". https://www.bmuv.de/fileadmin/Daten_BMU/Download_PDF/Klimaschutz/paris_abkommen_bf.pdf (25.03.24)BMZ. "Klimaabkommen von Paris". https://www.bmz.de/de/service/lexikon/klimaabkommen-von-paris-14602 (24.03.24).BMZ. "2023 Weltklimakonferenz in Dubai (COP 28)". https://www.bmz.de/resource/blob/196012/cop28-ergebnisse.pdf (24.03.24).Dlf. 2021. "UN-Klimakonferenz in Glasgow – Aufforderung zum Kohleausstieg".  https://www.deutschlandfunk.de/klimakonferenz-cop26-klimawandel-glasgow-100.html (24.03.24).Dlf. 2022. "Klimakonferenz in Ägypten – Was von den Ergebnissen des Klimagipfels zu halten ist". https://www.deutschlandfunk.de/weltklimakonferenz-abschlusserklaerung-aegypten-cop27-100.html (24.03.24).Dlf. 2023. "Was der Beschluss der Weltklimakonferenz für fossile Energien bedeu-tet". https://www.deutschlandfunk.de/cop-weltklimakonferenz-abschlusstext-fossile-energien-100.html (24.03.24).DW. 2019. "Weltklimakonferenz endet fast ergebnislos". https://www.dw.com/de/weltklimakonferenz-in-madrid-geht-fast-ergebnislos-zu-ende/a-45925392 (24.03.24).Europäisches Parlament. 2016. "Fragen und Antworten zur COP22 in Marrakesch 2016". https://www.europarl.europa.eu/topics/de/article/20161114STO51118/fragen-und-antworten-zur-cop22-in-marrakesch (24.03.24).Europäisches Parlament. 2017. "Reform des Emissionshandelssystems der EU".   https://www.europarl.europa.eu/topics/de/article/20170213STO62208/reform-des-emissionshandelssystems-der-eu (25.03.24).Fuhr, Lili, Liane Schalatek und Simon Ilse. 2016 "Uns bleibt immer Paris' – eine Analyse zur Klimakonferenz in Marrakesch". Heinrich-Böll-Stiftung.  https://www.boell.de/de/2016/11/24/uns-bleibt-immer-paris (25.03.24).Fuhr, Lili, Liane Schalatek und Simon Ilse. 2016 "Die COP 22 in Marokko muss das Paris-Abkommen mit Leben erfüllen". Heinrich-Böll-Stiftung. https://www.boell.de/de/2016/10/28/die-cop-22-marokko-muss-das-paris-abkommen-mit-leben-erfuellen (24.03.24).Fuhr, Lili, Liane Schalatek und Don Lehr. 2017. "Wir werden nicht untergehen, wir sind hier um zu kämpfen!": Eine Auswertung der COP 23". Heinrich-Böll-Stiftung. https://www.boell.de/de/2017/11/27/wir-werden-nicht-untergehen-wir-sind-hier-um-zu-kaempfen-eine-auswertung (24.03.24).ESDN. 2020, "Green Deal". https://www.esdn.eu/fileadmin/ESDN_Reports/ESDN_Report_2_2020.pdf (24.03.24).FAZ. 2020. "Amerika offiziell aus Pariser Klimaabkommen ausgetreten". https://www.faz.net/aktuell/wirtschaft/klima-nachhaltigkeit/usa-offiziell-aus-pariser-klimaabkommen-ausgetreten-17035358.html (24.03.24).Hintergrund aktuell-Redaktion. 2020. "Fünf Jahre Pariser Klimaabkommen". Bpb. https://www.bpb.de/kurz-knapp/hintergrund-aktuell/322749/fuenf-jahre-pariser-klimaabkommen/ (24.03.24).Hintergrund aktuell-Redaktion.  2023. "Weltklimakonferenz in Dubai (COP28)". Bpb.  https://www.bpb.de/kurz-knapp/hintergrund-aktuell/543080/weltklimakonferenz-in-dubai-cop28/ (24.03.24).IPCC Sonderbericht. 2018. IPPC. https://www.ipcc.ch/site/assets/uploads/2020/07/SR1.5-SPM_de_barrierefrei.pdf (24.03.24).Kopenhagen Vereinbarung. 2009. Bmuv. https://www.bmuv.de/fileadmin/Daten_BMU/Download_PDF/Gesetze/copenhagen_accord_bf.pdf (24.03.24).Landeszentrale für politische Bildung Baden-Württemberg. "Pariser Klimaabkommen". https://www.lpb-bw.de/pariser-klimaabkommen (24.03.24).Lehr, Don und Liane Schalatek. 2019. "Hohe Erwartungen, große Enttäuschung: Auswertung der UN-Klimakonferenz von Katowice (COP 24)". Heinrich-Böll-Stiftung. https://www.boell.de/de/2019/01/15/hohe-erwartungen-grosse-enttaeuschung-eine-auswertung-der-un-klimakonferenz-von-katowice (24.03.24).Lennon, Erika, Sebastien Duyck und Nikki Reisch. 2021. "Auf der COP26 setzen sich Scheinlösungen gegenüber echten Ambitionen durch". Heinrich-Böll-Stiftung. https://www.boell.de/de/2021/12/17/auf-der-cop26-setzen-sich-scheinloesungen-gegenueber-echten-ambitionen-durch (24.03.24).Lexikon der Nachhaltigkeit. 2015. "Agenda 21". https://www.nachhaltigkeit.info/artikel/agenda_21_744.htm (24.03.24).Lexikon der Nachhaltigkeit. 2015. "UN Klimakonferenz Kyoto, 1997". https://www.nachhaltigkeit.info/artikel/un_klimakonferenz_kyoto_1997_1453.htm (24.03.24).Schmidt-Mattern, Barbara. 2019. "Rechtspopulistische Parteien beeinflussen Klimapolitik".  https://www.deutschlandfunk.de/europa-rechtspopulistische-parteien-beeinflussen-100.html (24.03.24).Simonis, Georg (Hg.) (2017). "Handbuch Globale Klimapolitik". Brill/Schönigh Verlag. SPD. 2010. "Klimaschutz: Die richtigen Lehren aus Kopenhagen ziehen" https://www.spdfraktion.de/themen/klimaschutz-richtigen-lehren-kopenhagen-ziehen (24.03.24).Statista Research Department. 2023. "CO₂-Emissionen weltweit in den Jahren 1960 bis 2022". https://de.statista.com/statistik/daten/studie/37187/umfrage/der-weltweite-co2-ausstoss-seit-1751/ (24.03.24).Statista. 2022. "CO₂-Emissionen: Größte Länder nach Anteil am weltweiten CO₂-Ausstoß im Jahr 2022". https://de.statista.com/statistik/daten/studie/179260/umfrage/die-zehn-groessten-c02-emittenten-weltweit/ (24.03.24).SZ. 2021. "Weltklimarat: Zwei-Grad-Ziel droht unerreichbar zu werden". https://www.sueddeutsche.de/wissen/klimawandel-ipcc-weltklimarat-erderwaermung-co2-duerre-starkregen-meeresspiegel-1.5377150 (24.03.24).Übersicht über die Klimaverhandlungen. Europarl. https://www.europarl.europa.eu/infographic/climate-negotiations-timeline/index_de.html#event-2023 (24.03.24).Umweltbundesamt. 2024. "Klimarahmenkonvention und das Übereinkommen von Paris". https://www.umweltbundesamt.de/daten/klima/klimarahmenkonvention (24.03.24).Umweltbundesamt. 2014. "Zwanzigste UN-Klimakonferenz (COP 20 | CMP 10)". https://sns.uba.de/chronik/de/concepts/t-2f28febf_14a9fe1f1a8_-5f73.html (24.03.24).Umweltbundesamt. 2024. "Übereinkommen von Paris". https://www.umweltbundesamt.de/themen/klima-energie/internationale-eu-klimapolitik/uebereinkommen-von-paris#nationally-determined-contributions-ndcs (24.03.24).UNFCCC. "1 MARRAKECH ACTION PROCLAMATION FOR OUR CLIMATE AND SUSTAINABLE DEVELOPMENT". https://unfccc.int/files/meetings/marrakech_nov_2016/application/pdf/marrakech_action_proclamation.pdf (24.03.24).UNFCCC. 2018. "Katowicer Klimapaket". https://unfccc.int/sites/default/files/resource/Informal%20Compilation_proposal%20by%20the%20President_rev.pdf (24.03.24).UNFCC. 2019. "Statement by the Executive Secretary of UN Climate Change, Patri-cia Espinosa, on the Outcome of COP25". https://unfccc.int/news/statement-by-the-executive-secretary-of-un-climate-change-patricia-espinosa-on-the-outcome-of-cop25 (24.03.24).Vereinte Nationen. "Rio Erklärung über Umwelt und Entwicklung". https://www.un.org/depts/german/conf/agenda21/rio.pdf (24.03.24).Vereinte Nationen. "Agenda 21 Konferenz der Vereinten Nationen für Umwelt und Entwicklung Rio de Janeiro, Juni 1992". https://www.un.org/depts/german/conf/agenda21/agenda_21.pdf (24.03.24).Von Brackel, Benjamin, Christoph von Eichhorn und Marlene Weiß. 2021. "Weltklimarat: Zwei-Grad-Ziel droht unerreichbar zu werden". SZ. https://www.sueddeutsche.de/wissen/klimawandel-ipcc-weltklimarat-erderwaermung-co2-duerre-starkregen-meeresspiegel-1.5377150 (24.03.24).Wajer, A. 2020. "Pariser Klimaabkommen". Bpb. https://www.bpb.de/kurz-knapp/lexika/das-europalexikon/309438/pariser-klimaabkommen/ (24.03.24).Yasmin, Appelhans. 2023. "CO2-Emissionen erreichen neuen Höchstwert". Tagesschau. https://www.tagesschau.de/wissen/klima/kohlenstoffbericht-100.html (24.03.24).

Dear readers, authors and reviewers,As usual in RESI's issues, vol. 9, n. 2, brings papers from authors from many different institutions. This time, the authors of the ten papers come from eleven different universities. This provides clear evidence of the journal's spread of reach and capilarity. What calls the attention now is the fact that three of the papers were submitted in English, although there are Latin Americans among their authors. There are at least five other papers going through the review process right now that were also written in English in spite of their authors being native speakers of Portuguese or Spanish, which increases or perception that there is a trend towards that.RESI's editors consider this a very positive movement, because it increases the visibility of the journal among a broader audience. The fact that RESI pioneered the adoption of DOAJ, now the leading indexer of open access academic journals in the world, and that it started using DOI to identify its issues and papers prior to most other Latin American journals demonstrate our concern in providing more visibility to the research that is carried out in Latin America. Of course, publishing papers in English will make that effort more effective. RESI intends to become a connection hub between our scientific community and that of the Norther Hemisphere. Therefore, papers in English will always be very welcome.In spite of that, we would like to stress our commitment with the publication of sound research developed in Portugues or Spanish, because that is essential for the integration of ibero-american researchers, something which still needs a lot of promotion. We should also highlight that issues involving information systems many times have a relevant cultural component that needs to be addresses by researchers that are familiarized with local realities and generate results that can be discussed with local authorities and society in general. And that is, surely, easier to do using the national language of those concerned. We shouldn't be happy to only import technologies that were developed in "the developed world" (no matter what that means!) adapting them to our local problems without a thorough reflection on their capacity, or even usefulness, in solving them.Therefore, at the same time we celebrate the interest and the courage of our authors to try and express themselves in a foreign language, in order to increase the visibility of their work, we will always be open to papers written by authors in their native language, if we have the technical conditions to review it properly, which currently only happens to Portuguese, Spanish and English. After all, an electronic journal such as RESI can provide international visibility for those who seek it, while also creating a democratic environment for the discussion of local issues with those who have a particular interest on it, which may be less effective if not done in the national language of the stakeholders.Having this reflection been made, we invite our authors, reviewers and readers to keep this "caotic" diversity of languages, perspectives and ideologies which have always characterized the University and now call attention to the papers that comprise this issue, which will be briefly presented in the next few paragraphs:The first paper, "Information systems graduate education and research in Brazil", written by Renata Mendes de Araujo and Márcio de Oliveira Barros, opens this issue with an important issue to all of those involved with graduate education in the Information Systems' field, which is the way we are forming the next generations of researchers in our maters and doctorate programs. In this paper, the authors report their experience in consolidating their graduate school at Unirio. The paper is addressed to researchers that deal with IS from an informatics perspective, but could also interest those who see IS from a managerial perspective.Lisiane Barea Sandi and Amarolinda Zanela Saccol show their concern with the way our society is assimilating new technologies, highlighting the fact that, in spite of the obvious benefits, there are also reasons for concern. In " Information overload due to the adoption of mobile and wireless information technologies and its consequences to sales professionals" the authors use an exploratory survey with 75 sales professionals, trying to analize the impacts of mobile telephony on their quality of life."The influence of managerial work determinants on the perception of fitness between technology and task: an exploratory study" is the work developed by Débora Bobsin, Monize Sâmara Visentini and Mauri Leodir Löbler, where they try to contribute to the understanding of information systems as tools to support the activities that are expected to be carried out by managers in organizations. The authors conclude that the more experience managers have with information systems, the more they consider that technology can affect his/her tasks. Also, the more access a user has to a system, the more he/she perceives the fit between technology and task.In "Motivation to create free and open source projects and how decisions impact success", Carlos Denner Santos Jr. and Kay M. Nelson propose a theoretical model that helps assess the reasons that lead an organization to get involved in open software development projects, so that, in the future, such projects can have their success evaluated in a more objetive way. This is an interesting complement to another paper the first author had published at Revista de Administração de Empresas, v. 50, n. 4, late in 2010.In "Engagement or friendship? The perspective of customers and suppliers about business relationships in the software sector", Rita de Cássia de Faria Pereira, Carlo Gabriel Porto Bellini and Fernando Bins Luce use a very original approach (interviews of pairs of customers-suppliers in the software industry – 14 dyads) to analyze issues concerning their relationships (commitment, trust, adaptation, cooperation, and communication) and contextual factors that may amplify or moderate those attributes (uncertainty, interdependence, and the existence of alternative suppliers).Edimara Mezzomo Luciano, Leandro Pilatti, Maurício Gregianin Testa and Ionara Rech deal with the use of COBIT framework to improving management processes of outsourced activities for both involved companies. The paper's title is " Applicability of COBIT in managing outsourced information technology activities: an investigation based on two multinational companies".Perceiving the influence of information technologies on the way companies organize themselves and coordinate their activities with those of customers and suppliers, Dayane Mayely Silva de Oliveira and Max Fortunato Cohen (UFA), carried out a literature review and mapped 21 technologies that facilitate the integration of production processes and emphasize the collaboration among autonomous organizations. This is reported in: "IT use along the supply chain in conjunction with the major management collaboration techniques".Problems involving information security increase as companies integrate their processes and systems to those of their business partners by means of computer networks. Concerned with that, Alexandre dos Santos Roque, Raul Ceretta Nunes and Alexandre Dias da Silva developed, in their paper "Proposition of a dynamic model for managing security information on industrial environments", a dynamic model for information security management, in which interaction, cooperation and motivation (of upper-management, supervisors and workers) are emphasized in order to meet the new demands of information security management: responsibility, trust and ethics.In an environment of activity/process integration of organizations and their business partners and huge information flow among the interested partiesas discussed in a previous paper in this issue (see Oliveira and Cohen), it becomes essential to adopt information security policies to make sure that information is always available to those who need it and do not fall in wrong hands. Leonardo Guerreiro Azevedo, Diego Alexandre Aranha Duarte, Fernanda Baião and Claudia Cappelli developed a set of criteria and a method to assess tools for management and execution of authorization rules for the access and use of information systems, applying them to a real situation at Petrobrás, one of the leading oil companies in the world, which they discuss in "Evaluating tools for execution and management of authorization business rules".Finally, the paper "Requirements and wished features for software testing tools: a study based on the use of SQFD", authored by Ismayle Sousa Santos, Rodolfo S. Ferreira de Resende, Pedro Alcântara Santos Neto and Clarindo Isaias P. da Silva e Padua presents the adaptation of QFD (Quality Function Deployment), a Quality technique developed originally for industrial products, to sortware development. By means of intelligent argumentation and detailing of all necessary steps for implementing the methodology, the authors make it easy for the reader to understand its possible use in the new field and contribute for its dissimination among the software developers. I wope you all have fun reading the papers in this issue!Alexandre R. GraemlEditor ; Prezados leitores, autores e revisores,O volume 9, número 2, como tem sido usual nas edições da RESI desde a sua fundação em 2002, é marcado pela diversidade geográfica dos seus autores. Desta vez, há onze instituições representadas entre os autores dos dez artigos publicados. Isto evidencia a abrangência e capilaridade deste periódico, agora com a contribuição de autores de seis estados brasileiros: Amazonas, Minas Gerais, Piauí, Rio de Janeiro, Rio Grande do Sul e São Paulo, além de um norte-americano, do estado de Illinois, nos Estados Unidos. Mas o que chama mais atenção, e talvez já demonstre a preocupação dos autores brasileiros e latino-americanos em aumentar a visibilidade internacional da sua produção, é que três dos dez artigos ora publicados foram submetidos à revista em inglês. Há pelo menos outros cinco artigos de autores de língua espanhola ou português em análise no momento, para eventual publicação em edições posteriores da revista, o que reforça a percepção de que existe uma tendência nessa direção.Os editores da RESI consideram essa iniciativa louvável. O fato de a RESI ser o periódico brasileiro há mais tempo no DOAJ, o principal indexador de revistas de acesso livre no mundo, e de dispor de DOI para todos os artigos publicados nos últimos anos, individualmente, demonstra a nossa preocupação em dar visibilidade à pesquisa realizada na América Latina e para que isso ocorra mais eficazmente devemos começar a explorar mais o idioma inglês, não só no abstract, como sempre foi feito, mas também no corpo dos nossos trabalhos, sempre que possível. O esforço de internacionalização da revista, que pretende ser o principal fórum de discussões da área na América Latina, mas também um meio de conexão da nossa comunidade científica com os pesquisadores do Hemisfério Norte, deve ir nessa direção. Por isso, são muito bem vindos os manuscritos em inglês.Apesar disso, gostaríamos de reforçar nosso comprometimento com a publicação de bons textos em português ou espanhol, porque eles são essenciais para a maior integração dos pesquisadores ibero-americanos, que ainda precisa ser muito fomentada. É importante lembrar que as temáticas de sistemas de informação estão (e em alguns casos deveríam ser ainda mais!) relacionadas a questões culturais que precisam ser exploradas na pesquisa de autores que estejam familiarizados com as realidades locais envolvidas e gerar resultados de pesquisa que possam ser discutidas com agentes governamentais e a comunidade local, algo que, seguramente, ocorre de forma facilitada no idioma nacional. Não basta importarmos tecnologias dos "países mais desenvolvidos" (o que quer que isso signifique!) adaptando-nos a elas sem uma reflexão sobre sua capacidade, ou mesmo utilidade, na solução dos nossos problemas, considerando que foram desenvolvidas em outro contexo e, possivelmente, para outros fins.Por isso, ao mesmo tempo que festejamos o interesse (e a coragem!) dos nossos autores de se utilizarem de idioma estrangeiro para tornar sua pesquisa mais visível no exterior, em uma atitude nítidamente expansionista, também queremos deixar claro que a RESI sempre estará aberta e acolherá com carinho os trabalhos escritos no idioma original do seu autor, desde que tenhamos condições técnicas de avaliá-lo competentemente, o que hoje ocorre para o português, o espanhol e o inglês. Afinal, uma revista eletrônica como a RESI pode fornecer grande visibilidade internacional para aqueles que a procuram, mas também um espaço de discussão democrático que possibilite a comunicação dos seus autores com a sociedade, principalmente nos casos em que houver questões culturais e sociais importantes em discussão, o que pode ficar prejudicado se não no idioma nacional.Feita essa reflexão inicial e o convite para que mantenhamos sempre a "caótica" diversidade de idiomas, de perspectivas e de ideologias que caracteriza a Universidade, gostaria de chamar a atenção de todos para os artigos que compõem essa edição, brevemente descritos a seguir:O primeiro artigo, "Information systems graduate education and research in Brazil", de Renata Mendes de Araujo e Márcio de Oliveira Barros, ambos da Unirio, abre essa edição da RESI discutindo um tema muito importante para os pesquisadores que estudam Sistemas de Informação no Brasil, que é a forma como estamos preparando as novas gerações de pesquisadores em nossos programas stricto sensu. No artigo, os autores relatam a experiência de sua instituição na consolidação de um curso de pós-graduação na área. O trabalho é mais voltado para programas com origem na informática, mas encontrará leitores também entre aqueles que estudam as tecnologias de informação a partir de uma perspectiva de negócios.Lisiane Barea Sandi e Amarolinda Zanela Saccol, da Unisinos, demonstram sua preocupação com a forma como a sociedade está se apropriando das novas tecnologias, salientando que, além dos óbvios benefícios, há também questões preocupantes, que precisam ser discutidas. Em "Sobrecarga de informações geradas pela adoção de tecnologias da informação móveis e sem fio e suas decorrências para profissionais de vendas" as autoras se utilizam de uma survey exploratória com 75 profissionais da área de vendas, procurando analisar os impactos do telefone celular sobre sua qualidade de vida."A influência dos determinantes do trabalho gerencial na percepção do ajuste entre a tecnologia e a tarefa: um estudo exploratório" é o trabalho de Débora Bobsin, Monize Sâmara Visentini e Mauri Leodir Löbler (UFRGS e UFSM), em que procuram contribuir para o entendimento dos sistemas de informação como ferramenta de suporte para a execução das tarefas que compõem o papel do gestor na organização. Os autores concluem que quanto mais aumenta a experiência do indivíduo com os Sistemas de Informação, maior o ajuste percebido por ele, entre a tecnologia e a tarefa que executa. Da mesma forma, quanto maior o acesso do usuário ao sistema, maior o ajuste percebido entre tecnologia e tarefa.Em "Motivation to create free and open source projects and how decisions impact success", Carlos Denner Santos Jr. e Kay M. Nelson (USP e Southern Illinois) propõem um modelo teórico que ajuda a avaliar o que leva uma organização a se envolver em projetos de desenvolvimento de software livre para que, no futuro, seja possível avaliar com mais propriedade o sucesso dessas iniciativas. Trata-se de um complemento interessante a outro artigo publicado recentemente pelo primeiro autor na RAE (v. 50, n. 4, out/dez 2010).Em "Namoro ou amizade? A visão de clientes e fornecedores sobre relacionamentos de negócio no setor de software", Rita de Cássia de Faria Pereira, Carlo Gabriel Porto Bellini e Fernando Bins Luce (os três primeiros da UFPB e o último da UFRGS) adotam uma abordagem bastante original (entrevistas com 14 díades cliente-fornecedor do setor gaúcho de software - 28 empresas ao todo) para analisar aspectos relacionados ao relacionamento entre essas empresas (comprometimento, confiança, adaptação, cooperação e comunicação) e fatores contextuais que podem influenciá-los (incerteza, interdependência e disponibilidade de fornecedores alternativos).Edimara Mezzomo Luciano, Leandro Pilatti, Maurício Gregianin Testa e Ionara Rech (todos da PUC-RS) analisam a forma como a adoção do framework do COBIT pode auxiliar no aprimoramento dos processos de gestão das atividades terceirizadas, tanto pela empresa terceirizada quanto pela que terceiriza o serviço. O título do artigo é: "Aplicabilidade do Cobit na gestão de atividades de tecnologia da informação terceirizadas: uma investigação com base em duas empresas multinacionais".Percebendo a influência cada vez mais intensa das tecnologias da informação sobre a forma como as organizações se organizam para a produção e agregação de valor, Dayane Mayely Silva de Oliveira e Max Fortunato Cohen (UFA), fazem um levantamento bibliográfico sobre o fenômeno, mapeando 21 tecnologias que facilitam a integração de processos produtivos e incentivam a colaboração entre empresas autônomas. Isto é relatado em: "Os usos da TI ao longo da cadeia de suprimentos e em conjunto com as principais técnicas colaborativas de gestão".Os problemas relacionados à segurança da informação aumentam, na medida em que as empresas se informatizam e integram seus processos aos de parceiros de negócios por meio de redes de computadores. Preocupados com isso, Alexandre dos Santos Roque, Raul Ceretta Nunes e Alexandre Dias da Silva (UFSM) desenvolvem, em seu artigo "Proposição de um modelo dinâmico de gestão de segurança da informação para ambientes industriais", um modelo dinâmico de gestão da segurança da informação em que a interação, a cooperação e a motivação das pessoas (alta-gerência, chefes e funcionários) são priorizadas para atender os novos requisitos da gestão da segurança da informação: responsabilidade, confiança e ética.Em um cenário de integração das atividades das empresas com parceiros de negócios e grande fluxo de informações entre elas, conforme discutido inclusive em outro artigo dessa edição (ver Oliveira e Cohen), torna-se essencial que se adotem políticas de segurança da informação, para garantir que ela esteja sempre acessível àqueles que precisam e devem ter acesso a ela e não caiam em mãos indesejadas. Leonardo Guerreiro Azevedo, Diego Alexandre Aranha Duarte, Fernanda Baião e Claudia Cappelli (todos da Unirio) desenvolvem um conjunto de critérios e um método para avaliação de ferramentas para gestão e execução de regras de autorização para o acesso e utilização de sistemas, aplicando-os ao caso real da Petrobrás, conforme relatado em "Evaluating tools for execution and management of authorization business rules".O artigo "Requisitos e aspectos técnicos desejados em ferramentas de testes de software: um estudo a partir do uso do SQFD", de Ismayle Sousa Santos, Rodolfo S. Ferreira de Resende, Pedro Alcântara Santos Neto e Clarindo Isaias P. da Silva e Padua (a primeira da UFPI e os demais da UFMG) apresenta uma adaptação ao desenvolvimento de software da ferramenta QFD (desdobramento da função qualidade), tão defendida pelos guros da qualidade para aplicação a processos industriais. A argumentação inteligente e o detalhamento dos passos a serem executados na implementação da metodologia facilitam a compreensão do seu uso pelo leitor e contribuem para a sua divulgação entre os informáticos. Desejo a todos uma ótima leitura!Alexandre Reis GraemlEditor

Ziele und Befunde der Arbeit Das durchgeführte Forschungsvorhaben zeigt durch einen holistischen, gleichzeitig politikwissenschaftlichen wie auch historischen Ansatz Folgendes: Nämlich, warum und wie das liberale, regelbasierte Weltordnungssystem im Untersuchungsraum der US-Präsidentschaften von Clinton bis Obama kontinuierlich durch ein System der realistischen, kurzfristig wirkenden Durchsetzung vitaler Interessen mittels militärischer Instrumentenpräferenz unter fortlaufender militärischer Optimierung ergänzt bzw. ersetzt wird. Dies erklärt auch, warum die "transaktionale Führung Trumps"(1), die nach dem Untersuchungsraum von 1993 bis 2017 mit Außenwirkung die Reduktion idealistischer "Grand Strategy"-Elemente bzw. wohlwollender Ordnungsmacht unter Kostenabwälzung und Vorteilsverringerung europäischer Nato-Verbündeter vornimmt, in Kontinuität zur ausgeübten Führungsmacht der Amtsvorgänger steht. Ergebnisse dieser Dissertation wie die sich ab 1993 immer nachdrücklicher abzeichnende Auflösung der multilateralen Grundordnung legen damit nahe, Trumps bisherige Außen- und Sicherheitspolitik als deutlich spürbares Krisensymptom und nicht als Ursache dieses Abbaus der nach 1945 eingerichteten Weltordnung einzustufen. Diese Auflösung ist mit einer Erosion des letztlich transatlantisch angestoßenen bipolaren "amerikanischen Systems" gleichzusetzen. Die Implementierung dieses Systems erfolgte als "Lernstunde zweier Weltkriege" auf Basis der mit der Aufklärung und den amerikanischen Gründungskennziffern eingeleiteten neuzeitlichen Ordnungskonzeptionen: Daher ist diese Auflösung auch ein Indikator für das Scheitern neuzeitlicher Ordnungskennziffern, die sich im "American way of life" entfalten konnten. Als ursächlich für die geschilderte Entwicklung wird eine von Clinton bis Obama konstant ansteigende Gesamtbedrohung nachgewiesen, mit der die konsequente Schwächung amerikanischer Vormacht verknüpft ist. Diese fußt u.a. auf der Basis von seit 1979 postulierten Klimawandeleffekten als Bedrohungsverstärker bei erreichter amerikanischer Förderspitze in fossilen Rohstoffen und ansteigendem Ressourcenbedarf im Kontext schrumpfender Rohstoffvorkommen. Weiter sind für den Untersuchungsraum die zunehmende Einwirkung der in den 1980er Jahren begonnenen "US-Konservativen Revolution" auf die Ausübung der Außen- und Sicherheitspolitik unter Einflusszugewinn von Konzernen und Lobbygruppen auf beispielsweise policy-Implementierung sowie die neuen Rahmenbedingungen zu addieren. Darunter fallen die sich ausformende Digitalisierung, die hohen Ressourcenverbrauch mit sich bringt, und die ansteigende Weltbevölkerung unter spezifischen demographischen Vorzeichen. Darüber hinaus sind beispielsweise die Beibehaltung des bipolar angewachsenen Rüstungssektors als ökonomische Basis militärischer Vormacht und das langsame Abbröckeln der Dollar-Hegemonie seit etwa 1973 zu berücksichtigen. Durch komplexes Zusammenspiel von "Grand Strategy"-Umsetzung gemäß der Prämisse amerikanischen Führungsmachtausbaus unter neokonservativem bzw. christlich-rechtem Einfluss mit asymmetrischen sowie reaktivierten konventionellen Bedrohungsgegenständen, Bedrohungsverstärkern und neuen Rahmenbedingungen wird der lineare Verlauf der Gesamtbedrohung im Zeitraum von 1993 bis 2017 verständlich: Im Kontext der "Grand Strategy"-Ausführungen erklären insbesondere das Bedrohungsabwehr-, Bedrohungsverstärker- und Marktwirtschaftsverständnis der US-Far Right in komplexer Wechselwirkung mit erstarkenden transnationalen Konzernen, Lobbygruppen, Individuen(2), informellen Netzwerken und staatlichen Akteuren in Bezug auf Bedrohungsgegenstände sowie Bedrohungsverstärker(3) im Zusammenhang mit der post-bipolaren, globalen Verankerung amerikanischer Wirtschafts- und Konsummuster das Folgende: Nämlich die Anpassung der amerikanischen Bedrohungsabwehr - unter Aufbau der "imperial presidency"(4) bzw. Einhegung des Systems von "checks and balances" - samt deren Implikationen auf das bipolare liberale Ordnungssystem. Sodann wird die notwendige Weiterführung in der Nato durch amerikanisch aufgeworfenen Nato-Umbau zur entsprechenden Umsetzung transformierter amerikanischer Bedrohungsabwehr bzw. Legitimierung der systemischen Anpassung begreifbar. Genauso wird nachvollziehbar, dass die so eingerichtete Bedrohungsabwehr nur kurzfristig abwehrt: Stattdessen verstärkt sie asymmetrische und konventionelle Bedrohung wie auch Bedrohungsverstärker - unter Einleitung von Rüstungsspiralen bzw. Demontierung der Rüstungskontrolle - und damit die Gesamtbedrohung. Dies lässt einen Konfliktausbruch jenseits des bisher Vorstellbaren konstant näher rücken. Gleichzeitig ist der dringende Bedarf an Mobilisierung der transatlantischen Zusammenarbeit im Hinblick auf Förderung der globalen Kooperation staatlicher, aber auch nichtstaatlicher Akteure hinsichtlich der Bedrohungswurzeln samt der sich verschlechternden Voraussetzungen illustriert: Denn mit jedem Anstieg der Gesamtbedrohung ist durch die eingeleitete amerikanische sicherheitspolitische Anpassung und deren Weiterführung in der Nato ein Abbau der regelbasierten Basiskennziffern im Untersuchungsraum verknüpft. Dies reduziert in fortlaufender Konsequenz die Grundlage für oben genannte, konstant zentraler werdende Zusammenarbeit, um eine sukzessive Erosion des bipolaren "amerikanischen Systems" unter künftigen Dystopien zu verhindern bzw. zumindest zu begrenzen. Durch die Forschungsergebnisse wird der bisherige Forschungsstand auf den Kopf gestellt, da so beispielsweise gezeigt werden kann, dass mittels der Transformation der Nato keine gleichberechtigte transatlantische Lastenteilung oder eine Weiterentwicklung der Nato gemäß der Nato-Gründungskennziffern erzeugt wird. Dies gilt auch für den europäischen Widerstand gegenüber der tatsächlichen Verankerung der Natotransformationspositionen(5), der auf die Erosion des bipolaren liberalen Ordnungssystems bzw. der US-Vorteilsgewährung sowie so begünstigter Partikularinteressensicherung abhebt. Außerdem wird deutlich, dass eine Kontinuitätslinie in der Bedrohungsabwehr von Clinton bis Obama unter unterschiedlicher Außenwirkung und dem Grundmuster "Battleship America" vorliegt - und eben nicht eine multilateral ausgerichtete Außen- und Sicherheitspolitik unter Clinton, die als Folge von 9/11 in einen unilateralen Pendelausschlag unter G. W. Bush 43 mündet, der durch die Obama-Administration wieder zurückgenommen wird. Die Arbeit basiert auf einer umfassenden Fülle an Literatur, die das aufwendige Literaturverzeichnis widerspiegelt: Darunter fallen vielfältige amerikanische und europäische Publikationen, Monographien und entsprechende Sekundärliteratur, wie Biographien, Veröffentlichungen unterschiedlichster Natur wichtiger Vertreter der transatlantischen Forschungselite, Akteure der entsprechenden Politikplanung und -ausführung und wissenschaftliche Artikel aus Fachzeitschriften zu allen Forschungsbereichen bzw. politikwissenschaftlicher Methodik und Theorie. Weiter wurden u.a. Veröffentlichungen bzw. relevante Dokumente von Regierungen, Außenministerien, Verteidigungsministerien, Regierungsorganen, Denkfabriken, universitären Forschungszentren sowie der Nato verwendet. Struktur der Arbeit Konkret ist die vorliegende Dissertation in zwei Bände sowie einen Anhangsband unterteilt: Band 1 umfasst Schwerpunkt 1, eine Prozessanalyse unter offensiver neorealistischer Verortung, Band 2 den darauf aufbauenden Schwerpunkt 2, einen Vergleich ("structured focussed comparison") unter defensiver neorealistischer Verortung. Im Anhangsband finden sich ergänzende Ausführungen zu Kapitel 1, Band 1 in Bezug auf den Forschungsstand, Literatur und Quellenlage, theoretische Verortung sowie Wahl des Untersuchungsraumes bzw. ausgewählter europäischer Nato-Partner. Weiter sind ein historisches Kapitel als Voraussetzung zum "process-tracing" in Kapitel 2, Band 1 und ein Abbildungs- und Abkürzungsverzeichnis wie auch ein Literaturverzeichnis enthalten. Insgesamt ermitteln die beiden aufeinander aufbauenden Schwerpunkte mittels qualitativer Methoden das Folgende: Nämlich die übergeordnete amerikanische sicherheitspolitische Reaktion auf eine neue Gesamtbedrohung sowie deren Weiterführung und Legitimierungschance in der Nato im Untersuchungsraum von Clinton bis Obama. Auf Basis des ersten Teils der Hypothese wird in Schwerpunkt 1, Band 1 ein Zusammenhang zwischen der Beibehaltung des bipolaren "US-Grand Strategy"-Ziels amerikanischer Führungs- und Ordnungsmacht sowie bipolarer außenpolitischer "Grand Strategy"-Kennziffern bzw. einer sich komplex entwickelnden neuen Gesamtbedrohung, amerikanischer sicherheitspolitischer Anpassung und der notwendigen Weiterführung in der Nato durch Natotransformation mittels amerikanisch aufgeworfener Natotransformationspositionen hergestellt. In Schwerpunkt 2, Band 2 wird auf Basis des zweiten Teils der Hypothese der transatlantische Aushandlungsprozess zur Etablierung der amerikanisch vorgeschlagenen Natotransformationspositionen in Augenschein genommen: Vor diesem Hintergrund wird überprüft, ob diese tatsächliche Verankerung bzw. Konkretisierung des Ausbaus amerikanischen Vormacht am Widerstand der ausgewählten europäischen Nato-Bündnispartner Frankreich, Deutschland und Großbritannien scheitert. Im Gesamtergebnis zeigt sich, dass aufgrund einer sich entwickelnden komplexen, linear ansteigenden Gesamtbedrohung die Chance zum Ausbau amerikanischer Führungsmacht konstant abnimmt. Dies muss mittels amerikanischer sicherheitspolitischer Anpassung kompensiert werden. Die daher erfolgende amerikanische sicherheitspolitische Neuausrichtung auf Basis der eingeleiteten "Revolution im Militärwesen" modifiziert wiederum die Kennziffern bipolarer kollektiver Sicherheitsgewährleistung. Alles wird mittels tatsächlicher Verankerung der amerikanischen Natotransformationspositionen ermöglicht bzw. legitimiert. Das tatsächliche Erreichen der - die sicherheitspolitische amerikanische Anpassung konsequent weiterführenden - Transformation der Nato ermöglicht eine missionsorientierte, reaktionsbeschleunigende, flexible und globale Sicherheitsprojektion. Außerdem ist die Voraussetzung für "alliances of choice" innerhalb der Nato geschaffen. Weiter zementiert die Modifikation der "bipolaren Nato" die mittels sicherheitspolitischer amerikanischer Anpassung eingeleitete Erosion zentraler zivilisatorischer Errungenschaften bzw. Aufgaben bipolarer kollektiver Sicherheitsgewährleistung unter Vorteilsverringerung europäischer Nato-Bündnispartner. Die tatsächliche Verankerung der Natotransformationspositionen erfolgt mittels der Reaktivierung konventioneller Bedrohung im Kontext der Ukraine-Krise von 2014 und der Erweiterung der Nato-Partnerschaftsringe auf globaler Ebene, ohne diesen den Status eines Nato-Mitgliedsstaates zu gewähren. Damit wird der Bündnisfall nicht globalisiert. Der ausgeübte deutsch-französische Widerstand wird besonders intensiv durch den Einbezug der europäischen Gründungsstaaten befördert, dagegen unterbleibt die Ausbildung einer europäischen Führungstroika durch Frankreich, Deutschland und Großbritannien. Darüber hinaus zeigt insbesondere die entsprechende Ursachenermittlung, dass trotz konstanter, aufeinander aufbauender amerikanischer sicherheitspolitischer Reaktion unter unterschiedlicher Außenwirkung sowie tatsächlicher Weiterführung in der Nato die Gesamtbedrohung nicht langfristig abgebremst wird: Dies führt zu einem konstanten Anstieg der Gesamtbedrohung unter fortlaufendem Einflussverlust staatlicher Akteure bzw. Machtdiffusion und -konzentration samt einer sukzessiven Chancenerhöhung reaktivierter konventioneller, nuklearer, Cyber- und ökologischer Zerstörungsszenarien. Auf dieser Basis entsteht die Konsequenz einer immer umfassenderen und die Reaktion beschleunigende Präzisionsabwehr unter ansteigender Versicherheitlichung, um die kontinuierliche Einengung amerikanischer Vormacht auszugleichen. Dies erzeugt im Fortlauf einen konstanten Abbau der Strahlungs- und Schlagkraft des liberalen, regelbasierten, bipolaren "amerikanischen Systems" sowie der Etablierung "idealistischer, liberaler" "Grand Strategy"-Elemente. Weiter ist damit - auf der Grundlage der aufeinander aufbauenden Natotransformationspositionen sowie Obamas "smart power"(6) im Untersuchungsraum - eine zunehmende Vorteilsverringerung der europäischen Nato-Verbündeten bzw. ein ansteigender Bedarf an US-Kostendämpfung verquickt. Zudem entwickelt sich eine immer geringer werdende Chance zur Entfaltung des postbipolar als "nicht verhandelbar" postulierten und global ausgebreiteten amerikanischen Lebensentwurfes in individueller, innerstaatlicher Ausprägung: Deren Artikulation erfolgt beispielsweise mittels zunehmendem Rechtspopulismus, Wahl von Außenseiterkandidaten, Zerfall traditioneller Parteiensysteme, isolationistischen Tendenzen unter ethnischer, regionaler Erstarkung, und Ablehnung von Supranationalität oder religiösem Fundamentalismus. Gleichzeitig ist die fortlaufende Erosion der globalen öffentlichen Güter identifizierbar. Damit ebnet all das oben Genannte den Boden für die Begrenzung amerikanischer wohlwollender Ordnungsmacht bzw. der Handlungsspielräume staatlicher Akteure - und für die Rückkehr zu klassischer Machtpolitik im Kontext entstandener Machtdiffusion bzw. -konzentration. Dies erschwert angesichts der Dringlichkeit einer langfristigen Eindämmung asymmetrischer bzw. konventioneller Sicherheitsbedrohungsgegenstände, -verstärker, -cluster und globalen Rahmenbedingungen folgende Chance: Nämlich die zu transatlantischer Zusammenarbeit in der Nato unter Wiederbelebung der politischen Organisation derselben sowie Erweiterung auf zusätzliche Ebenen und Akteure im Sinne von Vorbeugung bzw. vernetzter Sicherheit zur Erreichung entsprechender globaler Kooperation in Bezug auf Einhegen der Bedrohungswurzeln. Insgesamt wird durch diese Forschungsarbeit transparent, wie und warum die für den Untersuchungsraum von 1993 bis 2017 antizipierte "Friedensdividende" und das durch Präsident Clinton postulierte "age of hope" kaum spürbar wurden. Fußnoten (1) Vgl. Braml, Josef (2018), Trumps transaktionaler Transatlantizismus, in: Jäger, Thomas (Hrsg.), Zeitschrift für Außen- und Sicherheitspolitik, Oktober 2018, Volume 11, Ausgabe 4, S. 439-448, Wiesbaden. (2) Vgl. National Intelligence Council (Hrsg.) (2012), Global Trends 2013: Alternative Worlds (NIC 2012-001), https://publicintelligence.net/global-trends-2030/, letzter Zugriff: 12.04.19. Vgl. dazu auch das "international financial leadership, self-selected at Davos" bei McCoy, Alfred W. (2017), In the Shadows of the American Century. The Rise and Decline of US Global Power, Chicago. (3) Vgl. zu Bedrohungsverstärkern beispielsweise Mazo, Jeffrey (2010), Climate Conflict. How global warming threatens security and what to do about it, London, Abingdon. 1990 wurde bereits in Bezug auf den Bedrohungsverstärker Klimawandel für die entstehenden asymmetrischen bzw. konventionellen Bedrohungsgegenstände komplexe Cluster konstatiert: "Over the next half century, the global average temperature may increase by approximately 4 degrees C. (…) All nations will be affected. (…) How much time will there be to confirm the amount of change and then to act? (…) However, many believe that we will have waited too lang to avoid major dislocation, hardship and conflict - on a scale not as yet seen by man". Vgl. Kelley, Terry P. (1990), Global Climate Change. Implications For The United States Navy (The United States Naval War College, Newport, RI), http://documents.theblackvault.com/documents/weather/climatechange/globalclimatechange-navy.pdf, letzter Zugriff: 30.03.19. Dies lässt Hinweise auf die sich entwickelnde, konstant ansteigende Gesamtbedrohung im Untersuchungsraum von 1993-2017 zu. (4) Vgl. Schlesinger, Arthur M., Jr. (1973), The Imperial Presidency, Boston. (5) Die amerikanisch vorgeschlagenen Positionen zur Anpassung der Nato, die Nato Response Force sowie die Global Partnership Initiative, werden als "Natotransformationspositionen" bezeichnet: Mit deren tatsächlicher Etablierung war eine Transformation der Nato in konsequenter Weiterführung amerikanisch erfolgter sicherheitspolitischer Anpassung verknüpft. (6) Smart power geht auf Suzanne Nossel, Mitarbeiterin des UN-Botschafters Holbrooke während der Clinton-Administration, zurück: Vgl. Nossel, Suzanne (2004), Smart Power. Reclaiming Liberal Internationalism, http://www.democracyarsenal.org/SmartPowerFA.pdf, letzter Zugriff: 26.08.17. Weiter wird er Joseph Nye im Jahre 2003 als Reaktion auf die unilaterale Konzentration auf das militärische Instrument der G.W. Bush–Ära zugeschrieben. Vgl. Nye, Joseph S. Jr. (2011), The Future of Power, New York bzw. Nye, Joseph S. Jr. (2011), Macht im 21sten Jahrhundert. Politische Strategien für ein neues Zeitalter, München. Vgl. Rodham Clinton, Hillary (2010), Leading Through Civilan Power. Redefining American Diplomacy and Development, in: Foreign Affairs, November/December 2010, Vol. 89, No.6, S. 13-24. ; Aims and findings of the dissertation The completed research uses holistic, politological and historical approaches to present how, during the studied period of the administrations of Clinton to Obama, the liberal, rule-based world order system is gradually supplemented and replaced by a system of realist imposition of vital interests that have short-term effects, preferring military means combined with continuous military optimisation. This also explains a continuity between the leading-power policy of administrations in this study (1993-2017) and the subsequent period of the "transactional leadership of Trump"(1), with its recognizable, far-reaching effects of aiming to reduce idealistic Grand Strategy elements and measures of a benevolent order by passing on costs to and reducing the benefits of European NATO allies. The results of this dissertation, such as the increasingly evident dissolution of a multilateral fundamental order, therefore indicate that Trump's foreign and security policy to date should be regarded as a clearly noticeable crisis symptom, rather than the cause of a decline in the world order established after 1945. This decline is synonymous with the erosion of the transatlantically initiated bipolar "American system". Its implementation was the result of the "lesson of two world wars", based on modern concepts of order introduced by the Enlightenment and the founding criteria of the United States: thus its dissolution is also an indicator of the failure of contemporary criteria of order that thrive in the "American way of life". The cause of the described development is shown to be a constantly exacerbating overall threat, from Clinton to Obama, which is connected to the consistent erosion of US supremacy. Among other aspects, this is based on climate change effects postulated in 1979, which multiply the threat while coinciding with American peak production of fossil fuels and increased demand on resources in the context of dwindling raw material resources. Furthermore, during the period of this study, the "US conservative revolution", which began in the 1980s, increasingly affected foreign and security policy, combining with a consolidation in the influence of corporations and lobby groups in fields such as policy implementation and new underlying conditions. They include the onset of digitisation, entailing a high consumption of resources, and a growing world population faced with specific demographic indicators. Additionally, the maintenance of the armaments sector, originally a result of bipolar development, as the economic basis of military supremacy and the slow decline of the Dollar hegemony since around 1973, should also be taken into account. Complex interaction between Grand Strategy implementation according to the premise of expanding US-American dominance under neoconservative and Christian Right-wing influences, as well as asymmetrical and reactivated conventional security threats and threat multipliers clearly indicate the linear development of the overall threat in the period between 1993 and 2017: in the context of Grand Strategy statements, above all the understanding of defence against this threat, of the latter's multiplying factors and the market economy explains the following with respect to the US far-right in a complex interaction with the growth of transnational corporations, lobby groups, individuals(2), informal networks and state actors with respect to objects of threat and threat multipliers(3) in connection with the post-bipolar, global anchoring of US economic and consumer patterns: US adaptation of its reaction to this threat – while consolidating imperial presidency(4) and weakening the system of checks and balances – including its implications of a bipolar liberal order. In this way, the necessary continued leadership within NATO through the US-proposed NATO reform can be seen as an appropriate implementation of transformed threat-reaction measures and the legitimisation of systemic adaptation. It equally becomes clear that the established threat reaction measures only provide a short-term defence: instead, they enhance the asymmetric and conventional threat, as well as threat multipliers – by introducing arms races and breaking down arms control – thereby heightening the overall threat. The consequence is the consistently growing likelihood of a conflict of hitherto unimaginable proportions. At the same time, the urgent need to mobilise transatlantic cooperation with respect to supporting global cooperation between state and non-government actors is illustrated with respect to the roots of the threat and its deteriorating underlying conditions: each increase in the overall threat, the adapted US security policy and its continuation in NATO is connected to an erosion of rule-based underlying criteria during the studied period. This continuously and consistently undermines the basis of the above-stated, ever-increasingly important cooperation, to prevent or at least limit the successive erosion of the bipolar "American system" under future dystopias. The research results completely overturn the state of research to date, since for instance it is possible to show that, by means of NATO transformation findings, no transatlantic sharing of burdens on an equal footing and no NATO reform in accordance with its founding principles can be achieved. The same also applies to European opposition to the actual anchoring of NATO transformation positions(5), which is based on the erosion of the bipolar liberal order system and the maintenance of US advantages as well as the consolidation of particular interests they facilitate. Furthermore, it is apparent that a line of continuity in the threat-reaction measures from Clinton to Obama exists with varying external effects, along with an underlying pattern of "Battleship America" – as opposed to a multilaterally orientated foreign and security policy under Clinton, which merged into a unilateral, radical swing under G. W. Bush 43 following 9/11, but was reverted by the Obama administration. A comprehensive wealth of literature was used of the doctoral thesis, as reflected by the extensive bibliography: they firstly include diverse American and European publications, monographs and relevant secondary literature, including biographies, publications of various kinds of important political planning and implementation, as well as collected volumes and research articles from specialist journals on all fields of research and politological methodology and theory. The same applies to publications by leading European and American institutions, research centres and think tanks. Furthermore, this author used publications and documents by governments, foreign ministries, defence ministries, other government bodies and Nato. Dissertation structure This dissertation is divided into two volumes and one Appendix: Volume 1 discusses Focus 1, namely a process-tracing in the context of offensive neorealist positioning. Volume 2 presents Focus 2, which is based on the preceding focus in making a structured, focussed comparison in the context of defensive neorealist positioning. The Appendix volume contains further discussion of Chapter 1, Volume 1 with respect to the state of research, literature and sources, theoretical positioning and the choice of the region of study and selected European NATO partners. Furthermore, a historical chapter provides underlying information for process-tracing in Chapter 2, Volume 1, an index of images and abbreviations, and a bibliography. The entire dissertation uses qualitative methods to focus on these two mutually supporting, building on each other, themes to investigate the following from a US-perspective: firstly the overriding US security-policy reaction to a new overall threat and secondly, its continuation combined with the opportunity of for enabling and legitimising it within and through NATO during the studied period from Clinton to Obama. Based on the first part of this hypothesis, Focus 1 (Volume 1) establishes a connection between, on the one hand, maintaining the bipolar Grand Strategy target of consolidating the USA as a leading, regulating power, bipolar foreign-policy Grand Strategy indicators and a new overall threat that is developing in a complex way, and, on the other, the necessity of its continued leadership within NATO and the required NATO transformation according to US-proposed NATO transformation positions. Focus 2 (Volume 2) is based on the second part of the hypothesis, investigating the transatlantic negotiation process to establish these US-proposed NATO transformation positions: in this context, Volume 2 investigates whether the attempt to actually secure and consolidate such US supremacy was unsuccessful in the face of resistance from selected European NATO partners, namely France, Germany and the United Kingdom. The overall result shows that due to a complex, developing, linear increase in the overall threat, the chance for the USA to consolidate its status as a leading power is steadily diminishing. This must be compensated by adapting US security policy. The resulting American security-policy realignment based on the initiated "revolution in military affairs" in turn modifies the indicators of bipolar collective security guarantees. Everything is enabled and legitimised by means of actually securing US NATO-transformation positions. The actual implementation of such NATO transformation – representing the consistent adaptation of US security policy – enables a mission-orientated, rapid response, flexible, global security projection. It also creates conditions for "alliances of choice" within NATO. Furthermore, the modification of a "bipolar NATO" exacerbates the erosion of key achievements of civilisation as a result of adapted US security policy, as well as undermining the tasks of bipolar collective security guarantees through diminished benefits to European NATO partners. The actual anchoring of NATO transformation positions is achieved by reactivating the conventional threat in the context of the Ukraine crisis of 2014 and the extension of NATO partnership rings on a global level, without providing them with NATO membership status, thus avoiding globalisation in a mutual defence case. The German and French resistance is particularly intensive through the involvement of European founder states, while the formation of a European leadership triumvirate consisting of France, Germany and the United Kingdom does not take place. Moreover, a relevant investigation of causes particularly shows that despite constant mutually supporting US security reaction measures with varying international effects and actual continued leadership within NATO, the overall threat is not receding: this leads to a constant increase in the overall threat, a loss of influence of state actors, the diffusion and concentration of power and the increased probability of reactive conventional, nuclear, cyber and ecological destruction scenarios. On this basis, the consequence is an increasingly comprehensive and rapidly responding precision defence combined with growing securitization to compensate for the ongoing containment of US supremacy. This developing process steadily diminishes the reach and power of a liberal, rule-based, bipolar "American system" and the establishment of "idealistic, liberal" elements of US-Grand Strategy. This entails a further reduction in benefits for European NATO allies and increasing US cost-cutting demands – based on the successive NATO transformation positions that build on each other and Obama's "smart power"(6) during the period studied in this dissertation. Thus the chance is receding of developing the post-bipolar, globally adopted American way of life with individual national character, which is regarded as "non-negotiable": for instance its articulation is expressed through increasing right-wing populism, the election of outsider-candidates, the dissolution of traditional party systems, isolationist tendencies combined with burgeoning ethnic, regional movements, the rejection of supranationalism, and religious fundamentalism. At the same time, the ongoing erosion of global public goods is apparent. This all paves the way to limiting the benevolent American regulating power and state actors' leverage – and therefore to a return to classic power politics in the context of a resulting diffusion and concentration of power. In view of the urgency of a long-term containment of asymmetrical or conventional threats to security, or aspects that exacerbate such threats or clusters thereof, as well as underlying global conditions, this undermines the ability to achieve the following: to achieve transatlantic cooperation by broadening the range of levels and actors in the spirit of proactive and expanded, networked security to achieve according global cooperation with respect to containing the root causes of threats. Overall, this research work reveals how and why the anticipated "peace dividend" and the notion of an "age of hope", as postulated by President Clinton, were hardly perceptible during the period of study between 1993 and 2017. Notes (1) Cf. Braml, Josef (2018), Trumps transaktionaler Transatlantizismus, in: Jäger, Thomas (Hrsg.), Zeitschrift für Außen- und Sicherheitspolitik, Oktober 2018, Volume 11, Ausgabe 4, S. 439-448, Wiesbaden. (2) Cf. National Intelligence Council (Ed.) (2012), Global Trends 2013: Alternative Worlds (NIC 2012-001), https://publicintelligence.net/global-trends-2030/, last accessed: 12.04.19. See also the "international financial leadership, self-selected at Davos" cit. McCoy, Alfred W. (2017), In the Shadows of the American Century. The Rise and Decline of US Global Power, Chicago. (3) In 1990, the threat-enhancing nature of climate change was already postulated with respect to asymmetric objects of threat as well as conventional and complex clusters: "Over the next half century, the global average temperature may increase by approximately 4 degrees C. (…) All nations will be affected. (…) How much time will there be to confirm the amount of change and then to act? (…) However, many believe that we will have waited too long to avoid major dislocation, hardship and conflict – on a scale not as yet seen by man". Cf. Kelley, Terry P. (1990), Global Climate Change. Implications For The United States Navy (The United States Naval War College, Newport, RI), http://documents.theblackvault.com/documents/weather/climatechange/globalclimatechange-navy.pdf, last accessed: 30.03.19. Cf. Mazo, Jeffrey (2010), Climate Conflict. How global warming threatens security and what to do about it, London, Abingdon. This supports the thesis of a developing, constant overall threat during the period between 1993 and 2017. (4) Cf. Schlesinger, Arthur M., Jr. (1973), The Imperial Presidency, Boston. (5) In this dissertation, the proposed US positions on NATO adaptation, the NATO Response Force and the Global Partnership Initiative are described as "NATO transformation positions": Their actual establishment was connected to a NATO transformation with the consistent continuation of adapted US security policy. (6) Cf. Nossel, Suzanne (2004), Smart Power. Reclaiming Liberal Internationalism, http://www.democracyarsenal.org/SmartPowerFA.pdf, last accessed: 26.08.17, Nye, Joseph S. Jr. (2011), The Future of Power, New York, Nye, Joseph S. Jr. (2011), Macht im 21sten Jahrhundert. Politische Strategien für ein neues Zeitalter, München, Rodham Clinton, Hillary (2010), Leading Through Civilan Power. Redefining American Diplomacy and Development, in: Foreign Affairs, November/December 2010, Vol. 89, No.6, S. 13-24.

La presente tesi non è solo l'esito di una ricerca su un precetto giuridico controverso, ma è anche la narrazione di un processo personale di scoperta, che a partire dallo studio di una specifica norma ha fatto emergere la complessità delle interazioni nell'ambito delle politiche in materia penale, economica, e finanziaria. Partendo da un approccio microsociologico focalizzato sull'analisi di una determinata norma penale, il reato di riciclaggio,1 la ricerca ha dovuto confrontarsi con temi di interesse macrosociologico, al fine di inserire l'analisi della legge all'interno di un contesto più ampio di politiche nazionali, europee e internazionali, di attori e di governance transnazionale. Per mantenere la scientificità dell'elaborato ho omesso di esprimere opinioni personali sui temi, talvolta di carattere fortemente politico, e ho cercato, invece, di presentare aspetti critici e discussioni aperte fornendo una visione completa e imparziale delle contrastanti argomentazioni in modo da lasciare il lettore libero di trarre le proprie conclusioni. Il riciclaggio di denaro sporco è il processo tramite cui a proventi di reati viene data un'apparenza di essere stati guadagnati in modo illecito. È un reato tipico della cosiddetta 'zona grigia', poiché avviene al confine tra la sfera della legalità e quella dell'illegalità. Nel momento in cui profitti realizzati illecitamente si mescolano ai flussi di denaro lecito è molto difficile discernere ciò che ha un'origine legale da ciò che è stato guadagnato illegalmente. Il reato di riciclaggio di denaro sporco è stato introdotto proprio per affrontare questa difficoltà ed impedire che le strutture legittime dell'economia e della finanza globale venissero abusate da trasgressori al fine di ripulire i proventi di reato. Infatti i flussi di denaro sporco utilizzano spesso gli stessi canali usati per le transazioni lecite; la loro riuscita dipende dalla cooperazione di professionisti quali avvocati commerciali, agenti finanziari, commercialisti, la cui reputazione è raramente sospetta. Data questa promiscuità spesso la gravità del fenomeno è sottovalutata dal pubblico che non ha gli strumenti per riconoscerne la pericolosità, anche a causa dell'assenza di vittime dirette. Dall'altra parte le stime sulla quantità di proventi di reato riciclati a livello mondiale (che oscillano tra il 2,5 % e il 5,5 % del PIL globale) richiamano l'attenzione su quella che Dalla Chiesa definisce la mitologia del volume dell'economia criminale,2 e una parte della letteratura descrive il riciclaggio come il lato oscuro della globalizzazione,3 e come uno dei maggiori problemi dell'era moderna.4 Con questa ricerca ho voluto mettere in discussione l'efficacia del reato di riciclaggio nel far fronte al fenomeno dell'infiltrazione dei flussi di denaro sporco nell'economia lecita. Sebbene la pratica di nascondere i proventi di reato in modo da evitare la persecuzione giudiziaria risalga probabilmente a molto tempo addietro, il concetto giuridico di riciclaggio è relativamente recente ed è stato introdotto nei codici penali nella maggior parte del mondo a partire dalla fine degli anni 80.5 Nel frattempo un gran numero di autori si è scagliato contro la scarsa efficacia delle legislazione anti-riciclaggio6, nonostante le innumerevoli novità introdotte e i cospicui ammendamenti che hanno in larga parte espanso il campo di applicazione della normativa. La decisione di scegliere il contesto tedesco come caso di studio deriva dal fatto che il paese è considerato avere un rischio particolarmente alto di riciclaggio di denaro sporco. Secondo il rapporto emesso dal 2010 dal GAFI (Groupe d'Action Financière), dal FMI (Fondo Monetario Internazionale) e dall'OCSE (Organizzazione per la Cooperazione e lo Sviluppo economico)7 ci sono alcuni fattori che rendono la Germania propensa ad essere usata al fine di riciclaggio di denaro sporco: il volume del sistema economico-finanziario, la locazione strategica al centro dell'Unione Europea con forti legami internazionali, l'uso diffuso di denaro contante,8 l'apertura delle frontiere, la vastità del settore informale, l'importante ruolo a livello di economia globale, e il coinvolgimento nei flussi di denaro transfrontalieri. Anche i media, a partire soprattutto dalla pubblicazione del citato rapporto, hanno attirato l'attenzione del pubblico sul fenomeno, descrivendo la Germania come "paradiso" o "Eldorado" per i riciclatori. Alcuni recenti scandali hanno visto coinvolte prominenti banche tedesche, come la Deutsche Bank, la Commerybank e l'Hyopovereinsbank, contro cui procure straniere hanno sollevato l'accusa di riciclaggio di denaro sporco.9 La legislazione in atto, ed in particolare l'articolo 261 del codice penale tedesco, non sembra essere sufficientemente efficace per contrastare il fenomeno, nonostante gli abbondanti emendamenti e il continuo processo di aggiornamento e di espansione del campo di applicazione della norma. Al fine di spiegare questa per lo meno apparente incapacità della norma di fare fronte al fenomeno del riciclaggio, ho costruito l'ipotesi di ricerca sulla base delle teorie sociologico-giuridiche relative all'efficacia del diritto, alle funzioni manifeste e latenti delle norme e quindi alle intenzioni espresse e non dal legislatore, all'efficacia simbolica del diritto e di singole legislazioni e all'impatto, inteso come comprensivo degli effetti indesiderati o collaterali. L'ipotesi di ricerca è che la norma esplichi una funzione simbolica di allineamento dell'ordinamento nazionale a quello europeo e transnazionale, di compromesso tra gli interessi politici in gioco, e di creazione di consenso pubblico verso il legislatore per essersi occupato della questione. Si ipotizza che il legislatore abbia quindi consapevolmente accettato o addirittura scelto di formulare una norma strumentalmente poco efficace, ma simbolicamente capace di raggiungere i suoi obiettivi latenti. Si solleva inoltre l'ipotesi che la norma sia stata appositamente approvata con lo scopo di non modificare lo status quo delle relazioni e strutture economiche, e di permettere quindi l'ingresso di capitali sporchi nel paese, sulla base del motto pecunia non olet. La suddetta ipotesi viene parzialmente smentita dai risultati della ricerca empirica. La ricostruzione del processo di produzione legislativa mette in risalto l'esistenza di svariati e contrastanti interessi e della forte pressione esercitata dagli organismi internazionali per l'introduzione e lo sviluppo del reato di riciclaggio, e conferma, quindi, l'argomentazione che la norma sia stata approvata in un contesto di pressione politica esterna e di necessità di trovare un compromesso tra diverse parti politiche. Anche l'analisi degli aspetti problematici dell'articolo 261 del codice penale tedesco messi in risalto dalla dottrina supporta l'ipotesi della simbolicità della norma. Il fatto che il legislatore abbia formulato un reato così complesso crea evidenti problemi di integrazione dello stesso all'interno del sistema penale tedesco, e quindi di accettazione da parte degli studiosi e potenzialmente da parte degli operatori del diritto. Inoltre, la scelta di costruire un reato così complesso riflette la necessità di venire a compromesso con opposti interessi, ma potrebbe essere anche essere interpretata come un disinteresse al raggiungimento di un'efficacia materiale. La ricerca empirica sull'implementazione dell'articolo 261, invece, smentisce l'idea che la norma abbia un'efficacia puramente simbolica. Infatti il numero di condanne, di investigazioni, ed in generale l'uso ricorrente della legge riscontrato nelle statistiche criminali provano che essa conduca ad effetti strumentali, oltre che simbolici. Inoltre, nella prospettiva di alcuni degli operatori del diritto e degli esperti intervistati, l'articolo 261 è percepito come una norma particolarmente efficiente, sia in relazione alle quote di chiarimento, che come strumento di demarcazione tra comportamenti leciti e illeciti, in un contesto di deregolamentazione del settore finanziario. Da un'analisi piè ravvicinata delle statistiche e di altri rapporti emessi da enti internazionali e nazionali emerge però un quadro non così univoco: La norma sembra colpire più le vittime dei network criminali che operano a livello transnazionale che gli autori, perché spesso i colpevoli sono coinvolti in transazioni sospette in cambio di guadagni monetari. Le cospicue indagini finanziarie non riescono a raggiungere coloro che operano dietro gli esecutori dei reati minori, ed infatti la maggior parte di esse si concludono senza una condanna per riciclaggio. Questo a fronte di un volume di denaro sporco circolante nel paese che rimane allarmante, secondo alcuni degli studi analizzati. Se da una parte i risultati dell'applicazione della norma, sebbene strumentali, non possono considerarsi soddisfacenti, perché non sono riusciti ad evitare l'ingresso di capitali illeciti nell'economia nazionale, dall'altra parte sembra che l'esistenza di interessi profondamente contrastanti in gioco renda quasi impossibile la formulazione di un reato piè efficace. La tesi è composta da cinque capitoli, un'introduzione e una conclusione. Nel primo capitolo espongo le teorie sociologiche adottate per la valutazione di efficacia della norma e il metodo della ricerca. Inizialmente richiamo concetti di efficacia forniti da discipline affini alla sociologia del diritto - tra cui per esempio il concetto di efficienza e di efficienza indipendente rispetto allo scopo (zielunhabhängige Effizienz) riferito agli apparati amministrativi - che torneranno utili per l'interpretazione dei risultati delle interviste. Successivamente procedo con una panoramica sulle definizioni di efficacia del diritto fornite in sociologia del diritto, sulla ci base adotto una nozione "elastica" -riprendendola da Ferrari- di efficacia di una norma che guarda alle funzioni della norma e alle intenzioni del legislatore, in una prospettiva "intenzionalistica": "la corrispondenza fra un disegno politico di utilizzo di uno strumento normativo e i suoi effetti". Tale nozione, oltre a prestarsi ad un'analisi critica del diritto, fornisce indicazioni utili per l'analisi empirica dell'efficacia della legge in questione. In particolare ritengo utile considerare le seguenti variabili: le intenzioni latenti e manifeste del legislatore, gli scopi diretti e ed indiretti, l'eventuale efficacia simbolica del diritto, l'implementazione, la ricezione della norma nel senso di accettazione nel sistema giuridico e di interpretazione e percezione da parte degli operatori giuridici. Nella seconda parte si evidenzia il rilievo di tali variabili con riferimento specifico al diritto penale. In conclusione, sulla base delle riflessioni teoriche, formulo l'ipotesi sull'efficacia simbolica del reato di riciclaggio nell'ordinamento tedesco, che verrà poi verificata nei capitoli successivi. Nello specifico, presumendo che il reato di riciclaggio, introdotto come strumento fondamentale della lotta alla criminalità organizzata, così com'è formulato non adempie agli scopi dichiarati, nonostante gli innumerevoli emendamenti finalizzati proprio ad aumentarne l'efficacia, ipotizzo un'efficacia simbolica della norma, introdotta per offrire un'immagine di efficienza al pubblico (elettori). Inoltre sollevo l'ipotesi che la norma sia stata emanata appositamente inefficace per neutralizzarne le aspirazioni di punizione delle condotte illecite tipiche dei colletti bianchi, in una lettura moderna del conflitto sociale che avviene tramite l'emanazione di norme, con la volontà di decriminalizzare secondariamente comportamenti tipici delle classi forti. Nel secondo capitolo analizzo il processo legislativo a livello internazionale, europeo e nazionale. Il processo che ha portato alla creazione del reato di riciclaggio a livello internazionale viene ricostruito tramite dichiarazioni di intenti degli attori partecipanti, opinioni pubblicate, trascrizioni dei dibattiti parlamentari. Una particolare attenzione è posta sulle diverse intenzioni degli attori che hanno partecipato alla formulazione del reato. Il processo legislativo che ha portato alla formulazione dell'attuale legislazione anti-riciclaggio è un processo complesso, in cui diversi attori partecipanti hanno contribuito con differenti aspettative e dunque attribuendo diverse funzioni alla criminalizzazione del riciclaggio. Al fine di permettere svariate interpretazioni del dettato normativo in modo da soddisfare i differenti bisogni, e con lo scopo di trovare un compromesso tra gli interessi divergenti, il reato di riciclaggio è stato formulato in modo vago. Mentre alcuni Stati (ad esempio la Francia) inizialmente sostenevano l'introduzione del reato con lo scopo di combattere i paradisi fiscali e rafforzare la lotta all'evasione fiscale, altri Stati, come la Svizzera, hanno accettato di firmare l'accordo internazionale sulla criminalizzazione del riciclaggio solo a condizione che l'evasione fiscale non fosse inserito nella lista dei reati antecedenti. Con la nascita del GAFI la policy viene usata allo scopo di difendere l'integrità del sistema finanziario dall'infiltrazione di capitale illecito e dal 2001 si aggiunge la funzione di lotta al finanziamento del terrorismo. Tramite la soft law emanata dal GAFI per la prevenzione del riciclaggio, si trasferiscono compiti solitamente pubblici al settore privato: banche e istituti finanziari devono segnalare alla polizia ogni transazione sospetta, devono raccogliere e mantenere informazioni sui clienti e verificare le identità dei clienti. L'Unione Europea finora ha emanato quattro direttive nell'ambito del riciclaggio, l'ultima risale al 20 maggio 2015. Inizialmente la CE non aveva competenza in ambito penale, perciò la materia riciclaggio fu assorbita nella sfera economica (DG Economia e industria). La funzione dichiarata dal legislatore è la protezione del mercato interno, con particolare riguardo al fatto che i criminali possano sfruttare la libera circolazione dei capitali e l'eliminazione delle frontiere. Le direttive esprimono anche la volontà di impedire agli stati membri di emanare regolamentazioni che possano bloccare il libero mercato al fine di difendere le proprie economie dall'infiltrazione di capitale illecito. Emerge dunque un ulteriore conflitto di interessi. Nella seconda parte ricostruisco il processo legislativo e le evoluzioni interne alla Germania fino al momento della scrittura e fornisco il quadro del sistema repressivo e di prevenzione anti-riciclaggio. L'articolo 261 StGB è stato introdotto con legge Gesetz zur Bekämpfung des illegalen Rauschgifthandels und anderer Erscheinungsformen der Organisierten Kriminalität, quindi nell'ambito della lotta alla criminalità organizzata. Il dibattito parlamentare rileva che la norma è il frutto di un compromesso sotto diversi aspetti, non ultimo il fatto che è stata emanata del 1992, a pochi anni dalla riunificazione, e che quindi è parte del processo di negoziazione per la formazione di un diritto penale adattabile alle due culture giuridiche. Il legislatore tedesco evidenzia alcune funzioni della norma: la lotta al consumo di eroina e al traffico di stupefacenti, la diffusione e la pericolosità della mafia alla luce dei fatti recenti italiani, la volontà di proteggere l'amministrazione della giustizia e di isolare i criminali puntando alla criminalizzazione dei cosiddetti gate-keepers. Nel terzo capitolo individuo alcuni dei problemi sollevati dalla dottrina tedesca sul piano teorico con riferimento alla criminalizzazione del reato di riciclaggio nel contesto del sistema penale tedesco. Uno dei temi più discussi è relativo al bene giuridico protetto. La dottrina non ha ancora trovato un accordo su quale interesse sia protetto dall'articolo 261 StGB, le ipotesi sono: gli interessi dei reati antecedenti, l'amministrazione della giustizia, il sistema finanziario e la sicurezza. La vaghezza del dettato normativo non aiuta a trovare un interpretazione dottrinale univoca. La questione del bene giuridico protetto, lungi dall'essere una mera questione teorica, risente delle diverse funzioni attribuite alla norma dagli attori partecipanti al processo legislativo. Finora la giurisprudenza, che pur è intervenuta a chiarire altre questioni relative alla norma, non è intervenuta sul tema. Un altro tema su cui il dibattito è ancora aperto è il fatto di aver previsto al comma 5 l'ipotesi di colpa lieve, in controtendenza rispetto al legislatore europeo. Questo, secondo alcuni studiosi porta all'assurdo per cui anche il panettiere Tizio che vende del pane ad un evasore fiscale Caio potendo aver riconosciuto che Caio fosse un evasore, si rende colpevole di riciclaggio. La questione del livello di mens rea richiesto per una condanna per riciclaggio era sorta anche durante il dibattito parlamentare e l'introduzione del comma 5 è stato sostenuto da un emendamento della SPD che avrebbe voluto criminalizzare anche l'ipotesi di colpa lievissima. Questo, secondo la CDU avrebbe messo un freno al mercato e alle transazioni, poiché avrebbe costituito una minaccia per chiunque avesse intrapreso operazioni economiche. Essendo la funzione della norma incerta, la dottrina si divide tra chi sostiene che questa vasta criminalizzazione faccia perdere il senso del reato che sarebbe invece colpire i criminali che agiscono con intento, e chi invece sostiene che la norma abbia lo scopo di impedire qualsiasi infiltrazione di denaro illecito e quindi richieda una responsabilizzazione di tutti colori i quali prendano parte in operazioni finanziarie o economiche. Ancora una volta l'indeterminatezza del precetto legislativo è di ostacolo ad un'interpretazione univoca. Il quarto capitolo offre un'analisi qualitativa delle statistiche officiali sull'implementazione della legge dal 1992 ad oggi da parte delle istanze repressive e di prevenzione. Tra i dati analizzati i più rilevanti sono per esempio il numero di segnalazioni di transazioni sospette ricevuto dalle procure, il numero delle investigazioni condotte, il numero di condanne effettivamente inflitte ed eseguite e per quale delle ipotesi di riciclaggio, il volume di denaro confiscato. Essendo tali numeri indici del funzionamento del sistema penale e non del fenomeno del riciclaggio per sé, in conclusione si confrontano tali statistiche con le stime sul volume di flussi illeciti in Germania. Tale analisi, non potendo dare conto del numero dei reati evitati, sulla base dell'efficacia deterrente della norma, non intende esaurire il giudizio di efficacia della legislazione. Tra i risultati più rilevanti vi sono il fatto che il 60% delle persone condannate vengono condannate per l'ipotesi di colpa lieve, che solitamente consiste in casi in cui una persona poco abbiente ha accettato di far usare il proprio conto a terzi per operazioni sospette in cambio di un guadagno. Nel 5% dei casi le condanne sono inflitte per le ipotesi aggravate di commissione da membro di un'associazione criminale o in forma commerciale. Nel 90% dei casi le transazioni sospette segnalate alle procure portano a una chiusura dei procedimenti per mancanza di indizi che possano sostenere un rinvio a giudizio. La norma sembra colpire delinquenti minori e non grandi gruppi criminali, né altri delinquenti più potenti. Si ipotizza inoltre che l'incapacità di sostenere un rinvio a giudizio nonostante le informazioni acquisite e le indagini preliminari riduce la capacità deterrente della norma e permette, invece, ai criminali di conoscere le modalità di funzionamento del sistema repressivo e agire di conseguenza. Inoltre, le transazioni sospette sono segnalate nel circa 90% dei casi sa parte di istituti di credito, mentre gli altri enti obbligati dalla legislazione non sembrano partecipare attivamente al processo preventivo, in particolare il settore forense e immobiliare e del gioco d'azzardo. Sulla base di questi dati si ipotizza un effetto spill-over, ossia un trasferimento di illegalità dai settori più controllati a quelli meno controllati. I rapporti pubblicati dalla polizia, invece, considerano l'articolo 261 StGB come una norma con una delle più alte quote di chiarimento (ca 90%), quota calcolata sul numero di casi chiariti dal sistema penale, a prescindere dalle modalità di chiarimento. Per quanto riguardo il volume di denaro riciclato, il capitolo richiama alcune delle stime pubblicate da diversi enti, tra cui il Fondo Monetario Internazionale, il GAFI e la polizia criminale federale. Essendo il fenomeno del riciclaggio un campo in cui la cifra oscura è stimata essere molto alta, tali dati non possono essere presi come misura obiettiva del fenomeno. Infine il capitolo si conclude richiamando alcune analisi del tipo costi-benefici per misurare l'efficacia delle politiche anti-riciclaggio o alcune delle sue norme, condotte da enti terzi. Tali analisi sembrano concordare nel considerare i costi di implementazione della politica più alti rispetto ai benefici conseguenti. Nel quinto capitolo, infine, vengono discussi i risultati della ricerca empirica con gli operatori giuridici e con alcuni osservatori privilegiati, in modo da fornire una prospettiva interna sul funzionamento della norma. Tramite le interviste condotte si mettono in luce aspetti della prassi giuridica non fotografati dalle statistiche, allo scopo di offrire un'immagine dell'impatto della legge quanto più vicina possibile alla realtà. La ricerca empirica si avvale di interviste con operatori del diritto e con osservatori privilegiati che siedono in posizioni ministeriali rilevanti nella lotta al riciclaggio. La metodologia adottata è di tipo qualitativo, è stato fatto uso di interviste semi-strutturate a operatori del diritto e a osservatori privilegiati. Il capitolo presenta le percezioni degli intervistati su quattro temi principalmente: la dimensione del fenomeno del riciclaggio, l'adeguatezza tecnica della legislazione, i conflitti di interesse intrinseci alla legge e sorti dall'applicazione della norma e l'efficacia delle legge. A fronte di un rapporto emesso da quattro ONG nel novembre 2013, sulla base di statistiche prodotte dall'UNODC e dal Fondo Monetario Internazionale, e immediatamente riprese dai media, che descrive il paese come "Eldorado" per i riciclatori,10 le interviste sono dirette a cogliere l'opinione dei rispondenti sulle dimensioni del fenomeno del riciclaggio in Germania. Un intervistato ritiene inaccettabile desumere dal PIL tedesco il volume di affari del crimine organizzato nel paese, e obietta che non si possa, sulla base del giro d'affari del centro finanziario di Francoforte, definire lo stesso come centro di riciclaggio di denaro sporco. Un altro intervistato, dichiara, al contrario, che sicuramente il fatto che la Germania abbia un'economia stabile ed un settore bancario affidabile attiri coloro che vogliano investire proventi illeciti, neppure quest'ultimo possiede, però, dati affidabili sulla quantità di denaro riciclato. Il riciclaggio, come altri fenomeni legati alla criminalità organizzata, è una fattispecie che per definizione sfugge alle autorità e ai confini nazionali. Lo scopo dello stesso è nascondere proventi di reato e sottrarli in questo modo al sistema repressivo, questo è sicuramente un elemento che rende complessa, se non impossibile, la sua quantificazione. D'altra parte, osservano i soggetti intervistati autori del Rapporto del 2013, l'incapacità di fornire statistiche rilevanti dopo più di 20 anni di lotta al riciclaggio, sembra essere un sintomo di una carente volontà politica nel contrastare efficacemente il fenomeno. Secondo gli osservatori privilegiati se la Germania fosse davvero un paradiso per i riciclatori, ciò non sarebbe collegabile ad un deficit legislativo, dato l'impegno del governo nella lotta al riciclaggio, negando, quindi, l'accusa rivolta dai media per cui i criminali sceglierebbero il paese tedesco ai fini di riciclaggio di denaro sporco sulla base delle lacune normative. Agli intervistati è stato chiesto di evidenziare aspetti positivi e problematici della legislazione. Tra i più rilevanti vi sono: la necessità di bilanciare il bisogno di punire la condotta di riciclaggio e rispettare i principi fondamentali del sistema giuridico, il disinteresse da parte degli istituti finanziari nell'indagare l'origine del capitale investito dai clienti, anche in caso di sospetto di provenienza criminale, a causa della possibile conseguente perdita di reputazione nell'ipotesi di apertura di investigazioni da parte delle autorità sul cliente sospetto. Vi è poi una difficoltà materiale nel condurre indagini finanziarie, che spesso, conducono a condotte illecite commesse all'estero; sul punto si osserva che le condotte di riciclaggio, intese come operazioni atte ad ostacolare la provenienza delittuosa, non avvengono su territorio tedesco, bensì all'estero, il denaro che entra in Germania, è, quindi, già "pulito". Inoltre, l'articolo 261 è stato introdotto nel sistema tedesco come trasposizione di una direttiva Europea e non rifletteva una necessità interna dello Stato; la formulazione così vaga, infatti, si presta più per il sistema giuridico degli Stati Uniti, in cui non vige l'obbligo dell'azione penale, mentre in Germania, dove i pubblici ministeri hanno l'obbligo di azione penale, tale norma porta ad iniziare numerose indagini senza avere la capacità di proseguirle. In generale, gli intervistati rappresentanti dei Ministeri rilevano la forte pressione subita da parte del GAFI e dell'Unione Europea per l'emanazione della legge anti-riciclaggio e concordano nel dire che se la norma fosse stata creata sulla base di una necessità e di un dibattito nazionale sarebbe stata scritta diversamente. C'è chi individua nel sistema penale le cause di inefficacia dell'articolo 261, nello specifico, la limitata possibilità di effettuare intercettazioni telefoniche, le restrizioni in materia di inversione dell'onere probatorio, e lo scarso utilizzo della confisca dei proventi di reato a causa del disinteresse da parte delle procure (gestite a livello di Bundesländer) nell'investire risorse in tal senso dato che i beni confiscati non resterebbero in mano al Bundesland ma verrebbero raccolti in un fondo federale e poi spartiti. Si osserva una generale mancanza di risorse pubbliche che porta ad una carenza di personale coinvolto nelle investigazioni e, quindi, ad una incapacità di far fronte ai processi in corso in modo efficace. Per questo motivo, i pm non hanno la capacità di indagare più a fondo casi di riciclaggio all'apparenza semplici, ma che potrebbero portare alla luce organizzazioni criminali operanti nell'ombra. Alla totalità degli intervistati è stata chiesta un'opinione sull'efficacia della legge. L'articolo 261 del codice penale tedesco è stato definito da un soggetto "una legge scritta in modo indecente, che produce risultati banali sul piano delle statistiche criminali, soprattutto con riferimento alle condanne per riciclaggio in grossi casi di criminalità economica". Il reato è così difficile da provare in giudizio, che risulta facile, per la difesa, sfruttare le lacune legislative per evitare una condanna per riciclaggio. I rappresentanti dei Ministeri confermano che la lettera dell'articolo 261 crea confusioni e che quindi l'accusa, pur trovandosi di fronte ad un caso di riciclaggio spesso preferisca perseguire i delitti presupposto. Questo non è, però, un sintomo di inefficacia, dato che l'effettività a cui mira il Ministero dell'interno non è data dal numero di condanne per riciclaggio, ma dal numero di casi risolti, e quindi dal numero di condanne in generale, a prescindere dall'imputazione. D'opinione opposta un altro intervistato che ritiene che l'articolo 261 non abbia alcuna capacità deterrente nei confronti della criminalità organizzata, "la norma ricorre così raramente nella prassi giudiziaria che di fatto non rappresenta una "minaccia" per i potenziali criminali". I soggetti intervistati esprimono più soddisfazione a riguardo della legislazione di prevenzione (GWG); in particolare, con riferimento alle piccole e medie imprese, per le quali è difficile riconoscere tra i partner commerciali coloro i quali investono denaro di provenienza illecita, la possibilità di affidarsi alle autorità investigative, in caso di sospetto è fondamentale. Un avvocato specializzato in compliance per società, descrive la norma preventiva come molto efficace e severa, tanto che è impossibile per le aziende, specialmente per quelle di medie o piccole dimensioni, adempiere a tutti gli obblighi prescritti dalla norma, ma, egli osserva, l'efficacia del sistema sta proprio nel fatto che le autorità di controllo, consapevoli dell'elevata rigorosità della legge, chiudono un occhio di fronte a lievi inadempienze. Una legge meno severa e un controllo più fiscale non otterrebbero la stessa efficacia, perché la norma non avrebbe lo stesso potenziale deterrente. L'efficacia all'interno delle amministrazioni responsabili per la lotta al riciclaggio è interpretata come efficienza dell'apparato, per questo motivo, non ci sono verifiche sull'efficacia degli strumenti giuridici sulla base degli scopi dichiarati, quanto piuttosto sulla correttezza del funzionamento dell'amministrazione e sulle possibilità di migliorarlo; il punto è capire come migliorare, non se il sistema sia efficace o no. Agli intervistati è stata chiesta un'opinione sull'eventuale efficacia simbolica della legislazione. La maggioranza delle risposte è stata negativa, gli sforzi compiuti da parte dello Stato -e quindi delle procure, della autorità competenti e della polizia- nel contrastare il riciclaggio e la criminalità economica non possono essere considerati simbolici. Alcuni intervistati ritengono assolutamente necessaria e strumentale – e quindi non simbolica- l'esistenza del reato nel codice penale come demarcazione di illegalità di tali condotte e come strumento atto a contrastare la criminalità economica perché mette in chiaro entro quali limiti le società possano perseguire profitti in modo legittimo. Di opinione diversa, invece, gli avvocati penalisti i quali si sono detti favorevoli a tale definizione sulla base dello scarso numero di condanne e soprattutto sulla mancata previsione da parte del Governo di mezzi adeguati per l'implementazione della legislazione. Lo stesso è osservato dal terzo settore, il quale sostiene che, a fronte di una legge complessa, oggetto di svariati emendamenti nel corso degli anni, non c'è stato un sufficiente impegno sul versante dell'implementazione; il coinvolgimento del GAFI e dell'OECD nella lotta al riciclaggio è percepito come un modo per creare posti di lavoro e nuove figure professionali, più che un'arena dove discutere efficaci strumenti di lotta ai reati economici. Altri elementi interessanti riscontrabili nelle interviste sono i conflitti di interessi che emergono dall'applicazione delle leggi anti-riciclaggio. Tra essi, vi è il dibattito tra il Ministero dell'Interno e quello di Giustizia in riferimento all'adeguatezza dello strumento penalistico nel contrastare la criminalità economica, dibattito già affrontato dalla dottrina, a cui, però finora, non è stata data una risposta univoca. Da una parte il Ministero dell'Interno auspica un intervento giuridico più deciso, che, per esempio, ricomprenda il reato di riciclaggio nella responsabilità penale degli enti (non ancora esistente in Germania) e sollecita una svolta politica generale in tema di criminalità economica dalla deregolazione del mercato finanziario all'intervento dello Stato in ambito economico ai fini di chiarire i comportamenti leciti e quelli illeciti. Dall'altra parte, il Ministero della Giustizia considera erroneo il ricorso al diritto penale ai fini di risolvere problemi di tipo economico o finanziario e cerca di frenare la tendenza moderna alla proliferazione penale, a favore di un intervento di tipo preventivo-sociale. A tal proposito, si osserva che agli incontri del GAFI a cui partecipano i rappresentanti dei Ministeri di Giustizia, coloro che provino a richiamare l'attenzione sulla necessità di rispettare i principi fondamentali costituzionali e di limitare l'intervento penale a tutela dei cittadini, vengano tacciati di non voler combattere la criminalità organizzata in modo efficace. In conclusione riapro la prospettiva a livello globale ed inserisco il reato di riciclaggio in una riflessione più ampia sulla governace finanziaria. In una prospettiva storica di analisi delle politiche economiche recenti si osserva come vi sia stata una tendenza a deregolare il mercato per mano delle istanze tradizionali pubbliche, e al contempo un aumento di strumenti transnazionali di cosiddetta soft-law che si sono fatti portatori di interessi particolari. Finché questa conflittualità non verrà risolta sarà impossibile impedire il riciclaggio di denaro sporco. Con particolare riferimento al contesto europeo, si prende atto che è stato molto più facile chiudere le frontiere per le persone fisiche e non a quelle giuridiche o ai capitali. ; This paper aims to question the sociolegal1 effectiveness of the money laundering offence.2 The literature that assesses the effectiveness of the anti-money laundering system is abundant. While most of it does not question the regime's goals this paper takes a step back and critically looks at the law-making process. In addition, while most studies have assessed the effectiveness of anti-money laundering law by looking at statistical outcomes, this paper takes a step forward and tries to explain those statistics by looking at legal praxis and at indirect effects. The significance of the research derives from the insertion of the analysis on money laundering offence in a broader political, economic and historical context. The methodology adopted is qualitative, with the intended purpose of underlining the complexity of the issue tackled, rather than reducing it through a quantitative approach. While most of the existing literature has quantitatively assessed the effectiveness of the anti-money laundering regimes on the basis of statistical data and other quantitative indexes and has tried to reduce the complexity of the issue by measuring it numerically, this research adopts a qualitative methodology, which instead highlights the entanglement and the different perspectives on the question. Money laundering is the process of giving profits originated illegally an appearance of having been made lawfully.3 Due to the tightening of economic criminal policies that limit the possibility of integrating ill-gotten gains in the legitimate economy, offenders have developed more and more complex methods and subterfuges to launder proceeds of crime, so the rise of a proper 'money laundering industry' (industria del riciclaggio) is mentioned.4 The total volume of money laundered is estimated to amount to between 2,5 and 5, 5 % of the world GDP.5 Due to the borderline nature of money laundering, which happens between the so-called 'legitimate economy' and the 'dirty economy', and thus involves different actors such as banks, the financial sector, certain professions and businesses, offenders, victims and law enforcement agencies, the legal response needs to compromise with all the various economic, political, social and financial interests at play. Furthermore, where legitimate business intermingles with illegal business and legitimate funds with illicit funds, it is very difficult to distinguish what is legal from what is not. The criminalisation of money laundering was specifically supposed to tackle this fine line. The goal of this research is to assess whether the choice of criminalising money laundering has been effective to tackle this fine line. In order to assess the impact of the domestic implementation of the existing legal framework, the research uses a case study that specifically questions the effectiveness of the money laundering offence in the German national criminal legal system. The interest in the German case derives from the fact that, according to the IMF, the OECD and the FATF, Germany might have 'a higher risk profile for large scale money laundering than many other countries'.6 There are some factors identified as enablers of money laundering activities, such as the large economy and financial centre, the strategical location in the middle of Europe, with strong international links, the substantial proceeds of the crime environment involving organised crime operating in most profit generating criminal spheres, the open borders, the large informal sector and a high use of cash, the large and sophisticated economy and financial sector, the important role in world trade, and finally the involvement in large volumes of cross-border trade and financial flows. The media have kept on reporting the fact that Germany is an ideal country, or even a paradise for money launderers.7 According to most recent media reports, corruption is increasing in Germany along with money laundering and organised crime,8 and illicit financial flows are estimated to amount to 50 Billion Euros annually.9 Renowned banks such as Commerzbank, Deutsche Bank, and Hypovereinsbank have been the focus of recent scandals due to their involvement in large tax evasion and money laundering schemes, investigated mostly by US law enforcement agencies.10 The legal framework has been considered as not being sufficient to tackle the estimated volume of money laundering. In 2007 and 2010 the European Commission initiated two proceedings against the German government for having contravened the European treaty by not having effectively transposed into national law the European framework to tackle money laundering and terrorist financing.11 In response to this wave of criticism, some important changes have been made.12 With specific regards to penal law, the legislature has amplified the scope of the money laundering offence and the sphere of criminal liability in order to improve the effectiveness of the existing legislation.13 Yet the continual expansion process has raised legal challenges that could constitute an obstacle for the effective enforcement of the measure. With regards to international legislation, scholars have often criticized the ineffectiveness of the anti-money laundering regime to not be able to achieve its goals and thus to be only appearance of public action. 14 While there is theoretical support for the perception that policies have contributed to a decrease in the incidence of money laundering, there is no evidence that this goal has actually been achieved.15 The official discourse describes the regime as a crucial tool to prevent and combat money laundering, and lawmakers have been focusing on expanding the reach of anti-money laundering laws. This work however takes a critical approach towards the existing legal framework and presents the view that questioning the effectiveness of the money laundering offence is essential before expanding the scope of the existing legal framework.16 On the background of the reflections based on the sociolegal framework that sets the definition of legal effectiveness with specific respect to criminal law, and on the critical literature on the inadequateness of the international anti-money laundering system to eliminate the targeted activity recalled in the introduction, the hypothesis underlying the case study is the following: Article 261 Gcc may be an example of a symbolic legislation, whose latent functions prevail on its declared functions. In particular, it is hypothesised that the law is an example of a 'compromise-law' that satisfy all parties taking part in the law-making process, thanks to the vagueness of the wording that allows a broad range of possible interpretations, and also thanks to the actual ineffectiveness, which pleases those who were contrary to the introduction of the provision. It is here necessary to recall the considerations on the 'legislator' being an heterogeneous group of parties not only constituted of members of the Parliament but often also by external actors, who can influence more or less transparently the law making-process. While the manifested function of tackling money laundering has in fact remained in the background, the thesis hypothesises that other latent goals have been pursued. It is further hypothesised that the 'law inaction' is part of a process of decriminalisation that intentionally grants impunity to a certain group of actors, in this case those laundering money, while giving the appearance that the practice is not accepted by law by labelling it as criminal. By using the concept of function, the study focuses on eventual conflicting interests emerging throughout the policy-making process and/or being displayed through the implementation of the provisions. In order to verify these hypotheses the research proceeds with a case study that aims at empirically assessing the sociolegal effectiveness of Article 261 Gcc. In particular, by applying the 'elastic' definition of effectiveness, the following chapters analyse the law-making process, the level of acceptance by legal scholars, the implementation, and the opinions of legal experts and professionals. The methodology adopted is qualitative. The research consists of a case study that includes a documental research, a qualitative analysis of statistical data and the conduction of interviews with privileged observers and legal actors. The study is a macro-sociological assessment of the effectiveness of a criminal legislation through the analysis of the motives that have triggered lawmakers to enact the current legal framework and the practical effects of the 'law in action'17 and of the 'law inaction'.18 Thanks to the use of sociological conceptual tools, as the ones of function, symbolic effectiveness, power, labelling, and legal culture, the research critically approaches the legal framework. In addition, the sociolegal perspective allows us to take into account the multidisciplinary nature of the phenomenon of money laundering and of its countermeasures and the diverse conflicting interests at play. The work has been conducted by a single person and not by a team of researchers; this has imposed a limit on the interviewing sample and the impossibility of undertaking, along with the qualitative analysis of the provision, a qualitative analysis of the jurisprudence and a quantitative analysis of the case law. In addition, criminal provisions have a deterrent purpose, yet in certain cases it is almost impossible to quantify the deterrence effect of those provisions, as in the case of the money laundering offence, and this represents a shortcoming of the current research. Official numbers are highly problematic, this element, despite impeding an objective quantification of the phenomenon, can represent a partial result for the qualitative analysis, because it highlights the complexity of the matter. The anti-money laundering regime is constantly evolving, and this would require continuously updating the assessment, instead the research provides a picture of the current situation. Yet the work offers the reader an instrument to critically interpret also possible changes in the wording of the money laundering offence that may be made following the publication of this work. The outcomes of the critical study on the reasons and effects of the current legislation can be used as a starting point for further research; the methodology set for the empirical analysis can be applied to assess the effectiveness of following developments. The structure of the thesis is the following: The first chapter presents the theoretical sociolegal framework and provides an operational definition of the concept of effectiveness that directs the empirical research. At the end the chapter describes the methodology of the qualitative research. Chapter two traces the genesis of the money laundering offence, as well on an internal, European and domestic level. The chapter analyses legislative intents, parliamentarian debates and other external contributions as declarations of intents and opinions through a desktop-study. The third chapter is dedicated to the doctrinal debate about the money laundering offence regulated in the German penal code. In particular the chapter highlights the controversial issues that have emerged through the abundant legal scholarship production, which might affect the effectiveness of the money laundering offence. Chapters four and chapter five present the empirical research. The fourth chapter analyses the quantitative data of the implementation of the money laundering offence from a qualitative perspective. The last chapter presents the results of the interviews. The main outcomes of the research are that the interests expressed more or less manifestly from the actors taking part in the initial phase of the creation of the anti-money laundering regime were strongly conflicting with each other. One representative example is the question whether to use the policy also to tackle large scale tax evasion or to leave proceeds deriving from fiscal crimes outside of the regime. Very different justifications were given for the criminalisation of money laundering at different stages. Often the declared motives did not correspond to the real goals of the actors taking part in the law-making process. The rhetoric connected to the seriousness of the drug issue was the manifest function of the new criminalisation of money laundering. However, other latent goals, for instance, the desire of financial institutions to clean their reputation and gain customs confidentiality or the interest of some governments to curb tax evasion were already present during this initial phase. Another controversial issue concerns the fact national states have adopted anti-money laundering measures under the pressure of the FATF, which is led by most industrialised countries.19 Despite lacking democratic legitimation, the FATF has imposed worldwide a brand new regime of criminalisation, prevention and enforcement. The legal framework has been used to address ever-new challenges, and this expansion process has been coupled by a rhetoric that scholars have defined the securitisation rhetoric.20 The most recent function manifestly attributed to the anti-money laundering legal framework, that is, in short, the protection of the soundness of the financial system. Especially in times of financial insecurity, the tendency of hardening laws against economic crimes increases. Having previously deregulated the financial system to enhance economic liberties, legislatures resort to criminal law to control illegality in the economy. As a response to the European financial crisis of 2007-2011, legislatures, instead of rethinking the approach towards the protection of the global finance, called for a tightening of economic crimes regulations. The European discourse on money laundering has mostly been related to the destabilisation of the market, the abuse of capitals' movement liberty, the disintegration of the internal economy. But, why was the EU so keen on imposing a common standard for the criminalisation of money laundering, without even enjoying competence in penal matters? The introduction of a common anti-money laundering control policy served to a latent function, namely to the purposes of the creation of the 'Single Market', by way of avoiding that Member States would have adopted measures inconsistent with the completion of the Internal Market, while taking action to protect their own national economies from money laundering.21 This was done by avoiding that domestic regulations implemented for protecting national economies from the infiltration of ill-gotten capital could have hampered the freedom of movement of capital within the European borders. The tension emerges, also in the wording of the most recent EU money laundering Directives, due to lack of Community action against money laundering could lead Member States, for the purpose of protecting their financial systems, to adopt measures which could be inconsistent with completion of the single market.22 There are thus conflicting interests between the claim for regulation to avoid the infiltration of illicit capital, and the demand for deregulation to foster the free market. The European legislature, however, did not declare completely this intention and justified, instead, the imposition of anti-money laundering rules given the threats posed by money laundering to the financial system and thus to society. According to this critical approach, the criminalisation of money laundering turns out to be more of a political tool aimed at achieving governance within the EU, while being presented to the public as an essential intervention to guarantee security and well-being. Once again, thus, the declared goals of the lawmakers did not correspond with the real intentions. It is especially in the interest of a research on the law's effectiveness to unveil functions that were undeclared, in order to evaluate the outcomes in a more critical way. Also from the analysis of the national law-making process emerged divergent opinions and expectations relating to the criminalisation of money laundering. The Parliamentarians debate that took place with regard to the introduction of the money laundering offence and other instruments to tackle drug-trafficking shows that the discussion was deeply embedded in the political-historical context. Given that Germany was just reunified after a period of two dictatorial regimes, the hearing gives the impression that lawmakers felt the responsibility of creating a new legal system against such historical background. In order to balance the very different legal cultures, the divergent approaches had to be compromised. The introduction of a new crime was particularly delicate due to the discriminatory and arbitrary use of criminal labels by the previous dictatorial regimes. Therefore, delegates would not easily give up on fundamental rights for the cause of persecuting criminals. The legislation can be seen as an attempt to balance the need to adopt more effective measures to tackle crime and the necessity of respecting the rule of law and creating a 'militant democracy'. Yet, given the external pressure of the FATF, the EU and of the media, the text was less of a compromise and rather a ratification of 'internationally' accepted standards. The rule of law was not the only issue emerged in the initial phase of the political debate. Controversial opinions were raised also with regard to the questions of the mens rea and the interest protected by the new criminal provision: Certain political parties supported the broadest criminal liability to ensure an effective prosecution of money laundering, other parties were worried that a widespread liability would have been cumbersome for the economic system. Moreover, along with the expansion of the international criminal legal framework to fight against money laundering, also the scope of Article 261 Gcc was extended to include ever-new predicate offences. From the analysis of the doctrinal debate, it emerged that legal scholars have revealed technical hindrances that hinder the provision's legitimacy and thus hamper a positive integration of the act in the criminal legal system. In addition, given that most controversial issues are caused by the wording of the offence, the chapter seems to uphold the idea of an intentional potential decriminalisation of money launderers. The wording of Article 261 Gcc has the potential of frustrating some of the intentions expressed by the legislature in occasion of the adoption of the provision. While the vague formulation of the money laundering offence was thought to tackle ever-new emergencies and has been justified by legislatures as necessary to ensure a more effective fight against money laundering, it has also raised issues that, far from being purely dogmatic, have undermined the acceptance of such law. If law makers have designed the offence in a broad way to allow the criminalisation of conducts that could not have been prosecuted by the existing offences before, the large discretion left to prosecutors, has resulted in a cumbersome element for the prosecution of money laundering. In addition, criminalising the reckless conduct without envisaging a specific criminal liability for security positions has widened the scope of the offence to the point that the law has missed its function of isolating criminals by criminalising gate-keepers' activities. In addition it emerged that there are some open questions with regard to the wording of the offence, for example the question of the interests protected by Article 261 Gcc. On one side a state intervention is considered necessary to contain the impact of economic misbehaviours to protect citizens, on the other side it is important to limit the resort to criminal law only for safeguarding individual or collective situations and not for defending an existing economic structure. The economic system may, in fact, not be considered as a collective interest that needs protection. Also, safeguards provided by penal law need to be substantial and not symbolic, because they urge to change a given situation of inequality, where criminals can profit from illegal practices while legitimate economic actors undergo unfair competition. From the doctrinal analysis it has instead emerged that the legislator seemed to be more interested in drafting a symbolic legislation that can be hardly integrated in the legal system and that raise strong challenges. Lawmakers have been focusing on expanding the reach of anti-money laundering in order to improve its effectiveness, yet without providing legitimacy for such expansion. One of the most meaningful fact observed in the qualitative analysis of statistical data is that organised crime and 'gross money laundering' are not persecuted through Article 261 Gcc. This fact can be inferred by the low number of convictions pursuant to Article 261 (4),23 by the low number of money laundering proceedings categorised as organised crime and by the low number of investigations in the field of money laundering, tax crimes and economic crimes recorded by public prosecutors offices in 2013, where more than one person was involved (18 %). Yet, this does not mean that the criminal justice system does not act against them, but rather that it uses other tools to achieve the goal. While the low conviction rate for serious money laundering cases could be also a symptom of a high degree of deterrence of the provision, it seems that law enforcement uses the money laundering charge as a fallback for authorities who are unable to acquire sufficient evidence in a preliminary phase for the predicate crime and necessitate further information otherwise not accessible. The charge of money laundering allows investigators to access the vast amount of information recorded pursuant to the GwG, which would not be otherwise accessible. Yet, after the investigative phase, prosecutors seem to prefer to modify the charge and opt for indictment for predicate offences instead. The law seems to be effective to the extent that it facilitates the initial investigations, while it does not serve directly the function of punishing money launderers. Besides having a substantial nature, the provisions seem to have a procedural function. It can be inferred that prosecutors find particularly difficult to bring evidence against organised money launderers also due to the fact that professional offenders do not leave traces. From the scarce use of Article 261 Gcc for tackling organised criminality, it can be inferred that the measure is not serving for one of the purposes declared by the legislature when introducing the offence. In addition, it can be hypothesised that other measures may be more suitable to tackle 'gross money laundering'. Given the high number of STRs filed and the low number of money laundering charges and of convictions deriving from the STRs since the introduction of the laws, it can be assumed that the system has been anyway maintained because it still provides some sort of benefits. It can be hypothesised that one benefit is the number of information provided to law enforcement agencies. This amount of recorded information is helpful not only to support further indictments, but also to increase the personnel awareness about the ever-changing money laundering techniques and schemes. Again the effect of the 'law in action' differs in respect to the declared legislative intentions, which justified the criminalisation of money laundering with the necessity of tackling organised crime's economic power. By spelling out this function, the assessment on the effectiveness of the law - as the possibility of collecting information - can be positive. Yet, this effect could be considered a social cost rather than a benefit. On a theoretical side, many scholars see the recording of personal information by private actors as an infringement of the right to privacy.24 On a more practical side such mechanism imposes significant costs on the designated businesses and professions that are in charge of collecting the data.25 When compared to the effective outcomes of the preventive regulations, in terms of law enforcement results, this aspect does not seem to win a cost-benefit analysis, as showed in the quoted researches. If one considers the advantages in terms of information collected, the policy may be considered worth the burden imposed, instead. However, the fact that the laws would have an effective impact on the long run on the fight against money laundering and organised crime may be seen as a diminished deterrence effect, because perpetrators would have the time to adapt to the new laws and find new ways of circumventing them. A collateral effect of the long-run effectiveness of the policy hypothesised on the basis of the outcomes of the research on the implementation is the fact that perpetrators could take advantage of the initiated but not completed cases, by acquiring knowledge about law enforcement strategies and thus develop subterfuges to elude them. On the contrary, it seems that the legislature is always running after to cope with the offenders' ever-new strategies. In fact, regulations about a new sector are updated when there is evidence that there is a risk of money laundering in that specific sector. Yet, offenders might have already moved their laundering activities to another sector. On the assumption that the inclusion of the reckless conduct would have potentially criminalised daily activities, a focus was posed on the number of convictions related to Article 261 (5) Gcc26 to verify the target of the criminal provision. Since 2005 a high number of convictions have been actually referring to reckless money laundering. This shows that the offence is used to punish primarily 'petty money laundering'. This fact can also be inferred from the relevant number of money laundering cases to the detriment of senior citizens, signalled by the FIU in the recent years. Also the fact that a significant number of STRs is filed in relation to the 'financial agents' phenomenon' is a symptom that the preventive mechanism targets more 'small fishes' rather than big perpetrators. Individuals convicted for the reckless conduct may be even victims of a fraud perpetrated by criminal networks. However, the criminal network acting behind the offender remains undetected. If on the one side it cannot be claimed that such offenders, given the lower degree of culpability should not be punished at all, on the other side this effect of the law involves a change of paradigm. The money laundering offence was initially introduced with the goal of tackling serious crimes. The observed effect, however, changes the function and the nature of the law, so that Article 261 Gcc could be considered rather a 'blue collar crime' more than a 'white collar crime'. From the analysis on the quality of STRs filed to the FIU, it can be inferred that certain designated professions and businesses are very reluctant in filing STRs, despite their notably exposure to money laundering risks. The list of designated professions and businesses has been amplified over the years exactly with the goal of facing this transfer of crime from one area to the other. Yet some professionals, such as legal advisors, do not report them, although they possess the capacity of recognising illicit transactions. The fact that some sectors do not actively participate in the effort of preventing money laundering, by allowing criminal proceedings to enter the legitimate economy, may lead to a general ineffectiveness of the system, because it can significantly hinder the capacity of the whole anti-money laundering system to respond to the ability of offenders to move their field of activity there where the law is lax. The provision does generate some instrumental effects by punishing offenders and by triggering a cooperation directed at signalling suspicious transactions between the obliged entities and law enforcement. However, some of the effects do not seem to completely fulfil the legislature's declared goals. For example the chapter seems to prove wrong the legislature's expectation of tackling the grey area by punishing gate-keepers or the attributed function of eliminating organised and serious crime. Given the high costs of implementation highlighted by the cost-benefits analyses, the rather low outcomes seem to be insufficient to fulfil the legislature's goals. Since it is sufficient that without latent functions it would be impossible to explain the adoption and maintenance of a legal act,27 it can be concluded that the intents declared by lawmakers do not satisfy the reasons why the provision was introduced. This opens up the hypothesis that Article 261 Gcc is an example of a symbolic legislation, which has been enacted with the purpose of compromising a complex parliamentarian debate. The analysis of the law-making process has revealed the existence of different expectations attributed to the introduction of Article 261 Gcc. Expectations that were conflicting with each other had to be negotiated and were compromised through the formulation of a vague offence that allowed different interpretations. Yet, the implementation of the law has led to the re-emersion of some of the conflicting situations. In addition, given that the policy regulates a complex and multifaceted issue new conflicts have emerged through its enforcement. The effects triggered by the norm can be indeed perceived positively or negatively by the different actors involved. In particular five principal conflicting situations have surfaced from the interviews. The first issue is the role played by external actors in the law-making process and the constant influence exercised by those actors in the process of updating the policy. The imposition of a US American approach to money laundering control through the role of the FATF has also been highlighted in the second chapter. Specifically, some scholars see the development of a global prohibition regime fostered by the US in the diffusion of anti-money laundering law. According to this literature, the powerful state creates an international regime focussed on achieving its own goals through global acceptance triggered by the securitisation rhetoric and compliance processes imposed through the menace of exclusion by international business relations. The second conflict that emanates from the words of the respondents is the one of the demand for criminal law to face financial misbehaviours and the necessity of limiting the tendency of expanding criminal law on the background of a situation of financial instability. Given the previous deregulation of the market, policy makers need to control and sanction economic abuse in order to protect fair competition and law-abiding individuals. On the other hand, the state needs to respect fundamental principles, such as the rule of law and the principle of ultima ratio that imposes a restriction of the use of criminal law in situations in which no other measures are suitable. This conflict has already been raised along the formulation of the money laundering offence with regards to the question of the interests protected by the law. Despite the legislator tying to limit the scope of the offence by attributing to Article 261 Gcc the protection of the administration of justice and of the interests protected by the predicate offences, this explanation was not considered suitable to the peculiarity of the offence. Indeed, shortly after the enactment, legal scholarship and the judiciary entered in a vivid debate in order to identify more suitable interests protected by the law, among them the financial and economic system under different perspectives. However, as chapter three shows, no solution could be found. In fact, the question concerning the suitability of criminal law to tackle illicit financial flows is perceived in the current research as still unsolved. The matter does not only concern money laundering control. On the contrary, it is a fairly widespread issue that has recently emerged due to the tendency of hardening economic crimes on the background of a situation of financial instability. The third conflict can be summarised as the following: on the one hand the policy being required to interfere with the personal sphere of suspected money launderers; on the other hand private institutions being interested in protecting their relations with loyal and trusted customers. Therefore, they are reluctant to give law enforcement the possibility to interfere too much in their business. The interest manifested by the private sector involved in the prevention of money laundering seems thus to collide with the legislative intent of preventing the infiltration of dirty money by way of preventing gate-keepers to help money launderers. The clash emerges at a micro-economic level and is triggered by the fact that the anti-money laundering policy demands an active participation by private sector in the detection of suspects. Private actors, are not appropriate to bear the burden of detecting offenders, moreover they need to protect the relationships with customers by avoiding unnecessary interferences. At the same time, the privatisation of crime control is questionable also from a governance point of view. It seems therefore that the public interest in persecuting crimes through having access to personal information from the private sector only marginally collides with the interest of protecting the right to privacy. Businesses and professions are predominantly interested in not interfering with their clients and in not bearing the burden of detecting offenders. The issue was also addressed during the national Parliamentarian debate, with regards to the degree of mens rea required for money laundering criminal liability. Making everybody taking part in economic or financial activities actively participating in the monitoring of the economic system under the threat of criminal liability for negligent money laundering was considered harmful for the business market. The same debate has been picked up by legal scholarship too. Yet, it seems that, despite the law being the result of negotiations, the question is still open. The fourth issue consists of discording opinions with regards to the opportunity of including tax evasion as predicate offence for money laundering. On one hand there is the interest of tackling tax evasion through the anti-money laundering regime, on the hand the concern of keeping the two phenomena distinct in order to avoid an overrating of money laundering. Since the genesis of the anti-money laundering policy, some actors taking part in the international law-making process, opposed the labelling of 'black money', naming money deriving from tax violations, as 'dirty money', indicating all proceeds of crime typically committed by organised crime. This distinction was based on the perception that tax-related offences were less serious and less harmful than capital flight and were advocated by financial centres in order to maintain a good reputation while still granting peculiar financial services, such as bank secrecy. This issue is a good example of the labelling theory, to the extent that it shows how a practice that was firstly not considered criminal enough to amount to a predicate offence for money laundering, has become part of the scope of the anti-money laundering regime on the basis of a political decision of labelling it as such. Respondents of the current research show to have different perceptions of the degree of the seriousness of tax laws violations and thus about the appropriateness and necessity of tackling them under the umbrella of the anti-money laundering policy. Again, the matter, which seemed to have been resolved through the negotiations on an international and European level, is still being debated at national level. The last two contrasting interests are the necessity of regulating the flows of money and the free movements of capitals in a neoliberal economy. The question is intrinsic in the nature of money laundering, which is a phenomenon that happens at the interface between legality and illegality. Regulations that facilitate the licit exchange of goods, capitals and services do also facilitate the flow of ill-gotten gains; there are thus conflicting interests between the public interest of persecuting crime and the claims for less regulation in a free market economy. From the interviews surfaced that not only opinions on the effectiveness of the law differ, but the very concept of effectiveness is perceived differently among the interview partners. Perceptions about how effective the anti- money laundering policy is appear to be similar among respondents belonging to the same experts' group. In particular, given the fact that the policy triggers many preliminary investigations, investigators work on a daily basis with the provision. This led to their opinion on the implementation of the legislation being rather positive. Positive opinions have common ground: they assert that the policy is not a simple one to implement, however, they believe that the legal practice has found its way through. On the contrary, defence attorneys specialised in economic crimes do not receive a significant amount of clients suspected for money laundering. For this reason they tend to have a rather negative opinion on the policy's effectiveness, also driven by the perception that the policy is not able to achieve the indirect goals. The diverse concepts of effectiveness provided by disciplines close to the sociology of law and the different definitions of effectiveness given by sociologists of law turn out to be useful here. Particularly the notions of 'efficiency' and of 'efficiency regardless of the goals' are proved very useful to interpret the respondents' opinions. Efficiency, is according to the administrative legal approach, the optimal relation between the goals achieved and the instruments used. A subcategory of this concept is the efficiency calculated through a cost-benefit analysis, of which some examples have been presented in the fourth chapter, which defines efficiency as the functioning of a legal order without assessing the goals achieved. This type of analysis focuses on the correctness of the operating system since the purpose of the system is its own existence. It refers to a whole legal order rather than to a specific single provision. Given that the anti-money laundering policy constitutes a legal order, due to the diverse regulations involved and the competent authorities created in order to achieve the goals of the policy, this notion can be applied. In the field of administrative legal theories, the first chapter has focussed on the approach that considers the (in)effectiveness of a law depending on its (failing) enforcement. A high degree of compliance of the anti-money laundering legislation might correspond to a high level of effectiveness of the policy with respect to its direct function, but at the same time to a rather low level of effectiveness with regards to its indirect purposes. The way to evaluate the degree of effectiveness is therefore also different. While compliance with legal provisions is calculated through a quantitative assessment of the processes in force and of the functioning of the system, the achievement of the indirect functions is measured on the impact of the policy. Interview partners have different perceptions about the indirect functions of the legislation too. This reflects, once again, the fact that the policy was a result of a compromise between different expectations and that the legislator was not able to limit the scope of its application to a particular goal. The different expectations and intents, which already emerged in the doctrinal debate about the legally protected interests, appears again in the different perceptions of the interviewees. The respondents were asked about the legislation's effectiveness with regards to one of the indirect functions, namely the capacity to deter organised crime. The legislator enacted the money laundering offence in the context of the fight against drug trafficking and other forms of organised crime, thus Article 261 Gcc's expressed rationale is the prevention and repression of organised crime. Finally, a relevant outcome regards the respondents' opinions on article 261 Gcc's latent symbolic function. Some of them agree with this. Others strongly oppose the hypothesis. They argue instead that the policy has instrumental effects on their daily practice, which cannot be defined as purely symbolic. According to most respondents, the law cannot be defined as symbolic, because it has led to instrumental effects. In the first place information gathered thanks to the GwG is used to start preliminary investigations under Article 261 Gcc. Secondly, the structure enacted to comply with the anti-money laundering policy is attainable and is visible and cannot be denied. Thirdly, the law is considered necessary because it labels a deviant behaviour. In particular, despite the fact that investigations do not lead to a conviction for money laundering they allow investigators to collect information in support of criminal cases for the predicate offences or to start a preliminary investigation for a predicate offence. In this sense, the function of the 'law in action', despite being questionable, is objectively instrumental. However, the fact that the law serves the purpose of tackling predicate offences through the support of investigations does not exclude the hypothesis that the law was enacted to pursue latent functions too. According to the sociologist Aubert, it is not necessary that the latent goal is the only one that plays a role, but it is necessary that the other purposes would not explain the analysed phenomenon completely. Indeed, in the opinions of those who exclude the symbolic function, yet the results achieved through compliance do not legitimate the burden imposed by the legislation. In other words, it seems that they recognise that the purpose of compliance cannot completely explain the policy makers' motivation, which re-opens the doors for the hypothesis of the existence of latent functions. In fact, such a demanding policy cannot be accepted for the sole purpose of re-enforcing the action of the criminal justice system in tackling predicate offences. On the other hand, compliance with the policy in terms of building of a structure and of expertise does not automatically mean fulfilling the policy's purpose. Particularly the creation of new professionalism, has been interpreted by scholars as a sign given to the public that the policy has produced certain effects. In conclusion, on the background of the research's outcome, the paper tries to reply to the question: (How) can the effectiveness of the money laundering offence be improved? While technical hindrances can (and perhaps) will be removed through legal reforms, 28 the inherent political economic and financial conflicting interests that impede a higher level of effectiveness are more difficult to solve. In contemporary industrialised economies there is a complicated and sometimes shifting boundary between legitimate and illegitimate transactions. This is particularly exacerbated in the context of financial capitalism, which 'subordinates the capitalist productive process to the circulation of money and monetary assets and hence to the accumulation of money profits'. Since the very beginning, determining the boundary between an area defined as 'criminal' and the space of 'legality' has been controversial. In fact, money has a neutral nature, pecunia non olet, making profit, irrespective of the monies' origin, is a very strong interest for both private and public entities, which collides with the one of eliminating illicit financial flows. In other words criminal policy goals diverge from purely economic interests. While one can assume the justice and correctness of the current financial system, and thus describes money laundering as harmful because it interferes with the existing economic order, one can also assume that the capitalist system leads per se to injustice and inequality, and that money laundering is actually embedded in this profit-oriented system and represents just the darker side of the capitalist economy. A compromised viewpoint is the one that describes money laundering as an accepted collateral effect of the capitalist system, that is to say 'a certain amount of illicit financial flows may be considered an acceptable price to pay for a market where free mobility of capital is guaranteed'. In other words, money laundering is intrinsic in or at least exacerbated by the capitalist system.

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

As doenças de origem alimentar continuam a ser um problema comum em todo o mundo. Ainda que possam ser provocadas por diversos agentes, são as bactérias, os vírus ou os parasitas a principal causa das infeções alimentares. O consumo ou processamento de alimentos contaminados têm sido descritos como as principais vias de transmissão para os humanos. Campylobacter jejuni e Campylobacter coli têm sido descritos como a principal causa de gastroenterite bacteriana em seres humanos em todo o mundo e em 2013, na União Europeia, a campilobacteriose, infeção causada por Campylobacter, foi a zoonose mais relatada. Nos seres humanos, as espécies de Campylobacter têm sido associadas a uma variedade de condições gastrointestinais, tais como gastroenterite, doenças inflamatórias do intestino, cancro colon-rectal, síndrome do intestino irritável, entre outras e também podem provocar manifestações extra-gastrointestinais, como bacteremia, infeções pulmonares e abcessos. As complicações pós-infeção por este microrganismo incluem a artrite reativa e podem conduzir a doenças auto-imunes, tais como a síndrome de Guillain-Barré. A maioria das infeções por Campylobacter não necessita de intervenção terapêutica sendo apenas necessária reidratação. No entanto, em pacientes imunodeprimidos, pacientes cujos sintomas são severos ou persistentes e aqueles com infeções extra-intestinais é utilizado tratamento antimicrobiano, sendo os antibióticos mais utilizados a eritromicina e a ciprofloxacina. No entanto, em todo o Mundo tem-se verificado que as estirpes de Campylobacter são cada vez mais resistentes a antibióticos, incluindo os usados em humanos. Para além disso também têm sido descritas estirpes de Campylobacter resistentes a desinfetantes, o que se deve, principalmente, à sua capacidade de formar biofilmes. Estes biofilmes são um problema emergente na indústria alimentar, aumentando a possibilidade de contaminações ao longo da cadeia alimentar. Assim, e como os estudos relativos a Campylobacter são escassos, é da maior relevância estudar a epidemiologia de espécies de Campylobacter isoladas em Portugal, a sua resistência a antibióticos e procurar alternativas, aos antimicrobianos convencionais, para o seu controlo. Devido à escassez de estudos relativos à epidemiologia de Campylobacter em Portugal procedeu-se neste trabalho ao estudo da distribuição epidemiológica de isolados de Campylobacter de seres humanos, entre 2009 e 2012, em Portugal. Para isso, foram analisadas 837 estirpes obtidas através do Instituto Nacional de Saúde Dr. Ricardo Jorge. Destas 837 estirpes, 84,5% foram identificados como C. jejuni, 14,8% como C. coli, 0,2% como C. upsaliensis, 0,1% como C. concisus e 0,2% das amostras foram identificadas como Arcobacter butzleri. Em relação à sua distribuição por faixas etárias, observou-se que 61,5% das estirpes pertenciam ao grupo com idades entre 1 e 15 anos. Após este estudo preliminar, a partir deste grupo de isolados humanos, escolheram-se aleatoriamente 125 estirpes de Campylobacter (C. jejuni e C. coli) isoladas de seres humanos. A este grupo de estirpes, adicionaram-se 39 isolados de retalho alimentar e 32 de animais. As 196 amostras foram então caracterizadas através da tipagem por sequenciamento multilocus e da tipagem do gene flaA. Através destes métodos de tipagem, observou-se que as estirpes de C. coli eram geneticamente mais conservadas do que C. jejuni e que dentro de cada espécie, existiam isolados geneticamente relacionados provenientes de fontes diferentes. Em seguida, o fenótipo de resistência ao ácido nalidíxico, amoxicilina, ciprofloxacina, eritromicina, gentamicina e tetraciclina foi avaliado pelo método de diluição em agar. Observaram-se elevadas taxas de resistência para todos os antibióticos com exceção à gentamicina, incluindo para os antibióticos utilizados no tratamento de campilobacteriose grave em humanos. Além disso, observou-se um fenótipo de resistência a múltiplos antibióticos (resistência a 3 ou mais classes de antibióticos) em 86% dos isolados. Perante os elevados níveis de resistência observados, estudaram-se os mecanismos moleculares subjacentes a essas resistências. Verificou-se que todos os isolados resistentes à ciprofloxacina possuíam a mutação Thr-Ile-86 na região que determina resistências às quinolonas no gene gyrA. Para a resistência à eritromicina apenas foi detetada a mutação A2075G no gene 23S rRNA. Em relação à resistência à gentamicina, observou-se que as três estirpes resistentes à gentamicina possuíam o marcador de resistência aos aminoglicosídeos aphA-3, sendo que uma das estirpes tinha uma mutação neste marcador. Foi ainda evidenciado neste estudo, que as bombas de efluxo cmeABC também podem desempenhar um papel na resistência a múltiplas drogas e no fenótipo da resistência a gentamicina. Assim, neste estudo foi possível obter uma visão geral da epidemiologia de Campylobacter em Portugal e descrever pela primeira vez a elevada taxa de multirresistência a antibióticos, assim como realçar o surgimento de estirpes de Campylobacter resistentes aos antibióticos de uso humano. Com base nos resultados deste estudo foram selecionadas estirpes com diferentes perfis genéticos e de resistência a antibióticos para serem utilizadas no decurso deste trabalho. Como o género Campylobacter é a principal causa de gastroenterite bacteriana e a via alimentar é a principal via de contaminação, a elevada percentagem de estirpes resistentes a antibióticos aumenta o potencial zoonótico da infeção com estirpes multirresistentes. Logo, torna-se necessário controlar o crescimento de Campylobacter nas vias mais comuns de contaminação, que são os alimentos. Assim, o objetivo seguinte deste trabalho foi avaliar o potencial do resveratrol para controlar as estirpes de Campylobacter previamente caracterizadas. Apesar do resveratrol possuir várias propriedades biológicas, incluindo antimicrobianas, a sua baixa solubilidade em água e alta instabilidade comprometem a sua aplicação. Assim, para ultrapassar estes problemas, estudou-se o encapsulamento do resveratrol com metil-β-ciclodextrina. Verificou-se que a complexação do resveratrol com esta ciclodextrina provocou um aumento de 400 vezes na sua solubilidade. Em seguida o complexo de inclusão foi caracterizado através de Espectroscopia de Infravermelho por Transformada de Fourier (FTIR), Calorimetria Exploratória Diferencial (DSC), Difração de Raios-X (XRD) e Microscopia Eletrónica de Varrimentos (SEM), confirmando-se efetivamente a sua formação. Seguidamente foram avaliadas algumas propriedades biológicas do resveratrol e do seu complexo de inclusão com metil-β-ciclodextrina, tendo-se verificado que ambos os compostos tinham atividade antioxidante muito forte, baixa toxicidade e ainda capacidade de reduzir a viabilidade das células Caco-2 (linha celular constituída por células epiteliais de adenocarcinoma colorectal heterogéneo). Além disso, também foi demonstrada a sua atividade antibacteriana contra estirpes de Campylobacter previamente selecionadas: duas estirpes de referência (C. jejuni ATCC 33560 e C. coli ATCC 33559), duas estirpes isoladas de fezes de pacientes com gastroenterite aguda (C. coli 53 e C. coli 873) e duas estirpes isoladas de carne de aves fresca (C. jejuni 225421 e C. coli 219872). Estes resultados sugerem que o resveratrol e o seu complexo de inclusão podem ser usados para controlar Campylobacter e que o resveratrol encapsulado em metil-β-ciclodextrina mantem as suas propriedades antioxidantes e antibacterianas. Uma vez que os resultados com o resveratrol e o complexo de inclusão foram bastante promissores, estudou-se ainda outro complexo de inclusão (resveratrol-hidroxipropil-γ-ciclodextrina), previamente formado e caraterizado pelo grupo de investigação, que revelou ainda ter um potencial antimicrobiano mais elevado contra Campylobacter e A. butzleri, um patogéneo de origem alimentar relacionado a Campylobacter. Dado isto, inicialmente avaliou-se a atividade antibacteriana em células planctónicas e mostrou-se que tanto o resveratrol como o complexo de inclusão têm um efeito bactericida contra as estirpes multirresistentes C. coli 873 e C. jejuni 225421. Com o objetivo de esclarecer o potencial mecanismo de ação do complexo de inclusão do resveratrol em hidroxipropil-γ-ciclodextrina sobre as estirpes de Campylobacter, começou por se avaliar a despolarização das membranas celulares e a atividade metabólica por citometria de fluxo. Através desta técnica, observou-se que complexo de inclusão pode atuar induzindo a despolarização da membrana e afetando a atividade metabólica das células. Dado que os biofilmes bacterianos são um problema emergente na indústria alimentar, também foi avaliado o potencial destes dois compostos para inibir a formação de biofilmes e eliminar biofilmes estabelecidos. Tanto o resveratrol como o complexo de inclusão foram capazes de inibir a formação de biofilmes e diminuir biofilmes previamente estabelecidos, mesmo em concentrações sub-inibitórias. O sistema quorum sensing (QS) tem sido associado à resistência antimicrobiana e formação de biofilmes, portanto, o potencial anti-QS destes dois compostos também foi estudado através da utilização de uma estirpe biossensor (Chromobacterium violaceum ATCC 12472). Verificou-se que ambos, o resveratrol e o complexo de inclusão, foram capazes de inibir o sistema QS, o que pode explicar o efeito anti-biofilme destes compostos. Assim, nestes estudos foram demonstradas as propriedades antimicrobianas e anti-biofilme do resveratrol e complexo de inclusão em estirpes de Campylobacter. Este aspeto associado ao facto de o resveratrol ser um composto de origem natural, e de também apresentar forte atividade antioxidante, encorajam futuros estudos com vista à sua aplicação como potencial conservante alimentar. Finalmente, uma vez que tem havido um interesse crescente na utilização de compostos naturais para aplicação em produtos alimentares, também foi avaliado o potencial do óleo essencial de coentros (Coriandrum sativum L.) e do seu principal composto, o linalool, para controlar Campylobacter. Ambos os compostos exibiram um efeito bactericida contra as quatro estirpes testadas (C. jejuni ATCC 33560, C. coli ATCC 33559, C. jejuni 225421 e C. coli 873) com valores de concentração mínima inibitória entre 0,5 e 1 μL/mL e observou-se que os compostos voláteis do óleo essencial de coentros também inibiram o crescimento de Campylobacter. Observou-se ainda que ambos os compostos inibiram a formação de biofilmes e promoveram a dispersão de biofilmes de Campylobacter. Como descrito anteriormente, também foi estudado o efeito destes compostos sobre o sistema QS. Foi demonstrada a atividade anti-QS do óleo essencial de coentros e do linalool através da inibição da produção de violaceína pela estirpe biossensor C. violaceum. Assim, mais uma vez, esta atividade anti-QS pode estar associada com a atividade anti-biofilme dos compostos, uma vez que o QS tem um papel importante na regulação da formação e desenvolvimento de biofilmes. Para além do potencial anti-bacteriano e anti-biofilme do óleo essencial e do linalool, também se avaliou a sua atividade antioxidante, uma vez que o processo de oxidação está relacionado com a perda da qualidade dos alimentos. Assim, observou-se que ambos os compostos têm uma elevada capacidade para inibir a peroxidação de lípidos. Em suma, os resultados demonstraram que estes compostos naturais podem ser utilizado para controlar Campylobacter e também como agentes antioxidantes para melhorar a qualidade dos alimentos. Em conclusão, neste trabalho, foram apresentados, dados recentes referentes à epidemiologia de Campylobacter em Portugal, bem como a sua diversidade genética e respetivos perfis de resistência a antibióticos. Diante disto, são necessários novos agentes antimicrobianos para controlar este patogéneo emergente de origem alimentar. Neste trabalho mostrou-se que o resveratrol e o óleo essencial de coentros, ambos compostos naturais, têm a capacidade de reduzir células planctónicas e biofilmes de Campylobacter, possuindo também várias atividades biológicas, incluindo propriedades antioxidantes. Este trabalho permitiu alargar o conhecimento sobre a epidemiologia e taxas resistência de estirpes de Campylobacter isoladas em Portugal e desenvolver novas estratégias de controlo deste microrganismo baseadas na utilização de compostos de origem natural. ; Foodborne diseases remain common around the world and can be caused by a variety of agents, being bacteria, viruses or parasites the main causes of such infections. Moreover, the major cause of foodborne diseases is consumption or handling of contaminated food. Campylobacter jejuni and Campylobacter coli are the major cause of bacterial gastroenteritis in humans worldwide and are increasingly resistant to antimicrobial agents mainly due to its ability to form biofilms. Furthermore, campylobacteriosis was the most commonly reported zoonosis in the European Union in 2013. So, the main objective of this work was to study the epidemiology of Campylobacter species in Portugal and to explore the potential of natural compounds as new antibacterials to control this foodborne pathogen and to increase the shelf life of food products. We started this work with an epidemiological study of Campylobacter in Portugal. Firstly we studied the epidemiological distribution of Campylobacter isolates from humans, between 2009 and 2012, in Portugal. For this, 837 strains from the National Institute of Health Dr Ricardo Jorge were analyzed, of which 84.5% were identified as C. jejuni, 14.8% as C. coli, 0.2% as C. upsaliensis, 0.1% as C. concisus and 0.2% of the samples were identified as Arcobacter butzleri. Concerning the distribution per age groups, we observed that 61.5% of the strains belonged to the group aged between 1 and 15 years. Afterward, from the group of 837 strains, we randomly choose 125 Campylobacter isolates from humans. In addition to these isolates, we added strains isolated from different sources: 39 from retail food and 32 from animals. All the 196 strains were then characterized by multilocus sequence typing (MLST) and flaA typing. We found that the C. coli isolates were genetically more conserved than C. jejuni, and within each species, genetically related isolates were recovered from different sources. Then, the resistance phenotype to six antibiotics was evaluated by the agar dilution method. We observed high resistance rates to several antibiotics, including the ones used in the treatment of severe campylobacteriosis. We also identified a multidrug resistance phenotype in 86% of the isolates. Once this high resistance to antibiotics was confirmed, we decided to study the underlying molecular mechanisms. In all the ciprofloxacin resistant isolates we found the Thr-86-Ile mutation in the quinolone-resistance-determining regions (QRDR) in the DNA gyrase gene (gyrA). For the erythromycin resistance only the mutation A2075G was detected. Regarding gentamicin resistance, we found the three gentamicin-resistant isolates harboured the aphA-3 aminoglycoside resistance marker, with one strain having a point mutation. In addition, we showed that cmeABC efflux pumps may also play a role in the multidrug resistance phenotype and in the gentamicin resistance. In sum, the results obtained in this first part of the study gave an overview of the Campylobacter epidemiology in Portugal and worrying antibiotic multi-resistance rate. This part also highlighted the emergence of Campylobacter strains resistant to antibiotics commonly used in humans. Then, we select a group of strains with different genetic and antibiotic profiles to be used in the subsequent steps of our work. Since the main source of Campylobacter infection is through contaminated food, it is necessary to find new strategies to control the growth of Campylobacter in the most common way of contamination, which are foods. So, in the next step we assessed the potential of resveratrol to control the strains of Campylobacter that were characterized previously. However, despite resveratrol having several biological properties, its low aqueous solubility and high instability compromise its application. So, to overcome these limitations, we studied the encapsulation of resveratrol with a methyl-β-cyclodextrin. We found that resveratrol complexation caused a 400 fold improvement in its solubility. The inclusion complex was characterized by several techniques. After the formation of the inclusion complex, we compared the biological properties of resveratrol and its inclusion complex. We showed that both compounds had very strong antioxidant activity and low toxicity, together with the ability to reduce the viability of Caco-2 cells (heterogeneous human epithelial colorectal adenocarcinoma cell line). In addition, we also demonstrated their antibacterial activity against the previously selected Campylobacter strains. These results suggest that resveratrol and its inclusion complex can be used to control Campylobacter, since the biological properties are maintained. Due to the very good results obtained with resveratrol and this inclusion complex, we decided to study another inclusion complex (resveratrol-hydroxypropyl-γ-cyclodextrin) and its potential to control Campylobacter and A. butzleri, a closely related foodborne pathogen. Firstly we evaluated the antibacterial activity against planktonic cells, demonstrating that both resveratrol and inclusion complex have a bactericidal effect against the two microorganisms. The inclusion complex may act by inducing membrane depolarization and by affecting the metabolic activity of the cells. Since bacterial biofilms are an emerging problem in the food industry, we also evaluated the potential of these two compounds against biofilms. We showed that resveratrol and the inclusion complex inhibit biofilm formation and diminish established biofilms, even at sub-inhibitory concentrations. Since the quorum sensing (QS) system has been associated with the antimicrobial resistance and biofilm formation, we also evaluated the potential anti-QS effect of these two compounds by using a biosensor strain. We found that both resveratrol and inclusion complex were able to inhibit the QS system, which could explain their anti-biofilm effect. The results showed that resveratrol could be used as antibacterial and anti-biofilm agent in the food industry, allowing an improve shelf life and an increase in food safety. Finally, since there has been a growing interest in the use of natural compounds for application in food products, we also evaluated the potential of coriander (Coriandrum sativum L.) essential oil and its major compound linalool to control Campylobacter. Both compounds showed a bactericidal effect against all the tested strains and we observed that the volatile compounds of the coriander essential oil also inhibited the growth of Campylobacter. Then, since biofilms are a growing problem in the food industry, we also evaluated the anti-biofilm activity of these compounds. Both coriander oil and linalool inhibited biofilm formation and promoted biofilm dispersion of Campylobacter biofilms. As previously described, we also studied the effect of these compounds on the QS system and we observed an anti-QS activity by inhibiting the violacein production. So, once more, this anti-QS activity could be associated with the anti-biofilm activity, since QS has been described to regulate the biofilm formation and development. Moreover, in addition to the antibacterial and anti-biofilm potential, we evaluated the antioxidant activity of coriander oil and linalool, since the oxidation process is also associated with the loss of food quality. We observed that both compounds showed an exceptional ability to inhibit lipid peroxidation. Those results demonstrate that these natural compounds could be used to control Campylobacter and as antioxidant to enhance food quality. In sum, in this thesis, we described the recent epidemiology of Campylobacter in Portugal, as well as its genetic diversity and worrying antibiotic resistance rates. In addition, we also demonstrated that resveratrol and coriander essential oil, which are both natural compounds, have the ability to reduce planktonic cells and biofilms of Campylobacter, including the multiresistant strains characterized in the first part of the work. Clearly, the results obtained in this work encourage the future use of these natural compounds to control Campylobacter.

Criterio Libre magazine has played an important role in promoting scientific dissemination as a fundamental mechanism in the transformation processes of our Latin American nations towards better formed societies, with a healthy balance between the necessary growth of the production of tangible and intangible goods and a more fair distribution of wealth, for the benefit of all its populations, which seek to eradicate poverty, which is the greatest scourge that humanity has not yet been able to overcome. Therefore, we rely on criteria of the development of science that contribute to these ideals, choosing then the best articles, subjected to rigorous evaluation processes by recognized national and international researchers, who have also contributed to raise the scientific quality of them through his thoughtful observations and also to develop scientific thinking and the use of the best style for their communication, enriching the social scientific thought in our nations. We can summarize these principles as follows: the development of science and technology as an expression of given sociocultural and valorative systems, the development of science at the service of productive transformation for the benefit of society, the awareness of the role of science and technology in the definition of power relations at the national and international levels and its insertion in development policies, the use of science and technological innovation as instruments of autonomy, openness to novel approaches in the consolidation of social science, the freedom of critical thinking at all levels of scientific knowledge management, among others. In this sense, we have tried to strengthen the analysis and critical development of economic, administrative, financial and accounting sciences, opening a space for the discussion and development of the epistemology of these social sciences, which increasingly becomes the central axis of our magazine. The present edition of Criterio Libre includes two articles that enrich this epistemological discussion: in the first one the researcher José J. Ortiz B. poses a dilemma that accompanies the development of accounting science, "The crisis of accounting representation: problems of science social or power politics?", which seeks to clarify the factors that originate the problem of accounting representation from a reflection on the theoretical foundations that support this important topic and the empirical references that show this problem, factors that have been seen as an epistemic obstacle in the consolidation of this young science and to which the author intends to contribute in his epistemological clarification and in the proposal of alternative solutions, which he proposes for discussion to the scientific community with an interdisciplinary approach and from the paradigm of complexity. In the second article, Professor Jean Paul Sarrazin poses an interesting dissertation on "Religion: do we know what we are talking about? Examination on the feasibility of an analytical category for the social sciences". The objective of this review was to find an analytical category that is precise, clear and sufficiently broad to study empirically the vast range of sociocultural phenomena that can be or have been considered as "religious". It concludes that in spite of the absence of a unified analytical category, some of the most prominent elements in the different definitions can constitute, by themselves, useful analytical categories for empirical research. It can be deduced that this section has been faithful to the principles that we exposed at the beginning of this editorial and that we hope will continue to become an open forum for the scientific development of our disciplines. A second section, devoted to accounting and finance, defines topics that have become of substantial interest due to the strong theoretical development that these disciplines have reached, arriving to a phase in which the disputes of the paradigms that support different approaches have been decanted, and it is in this field where contributions arise that consolidate important theoretical schemes or that, on the other hand, discard hypotheses that allow debugging systems that, in the manner of the layers of an onion, are grouped by levels, which contributes to the consolidation of the social sciences. In this section we find two important articles oriented under this philosophy: the first one analyzes the effects on the accounting information of public companies in the Colombian electricity sector of the implementation of Resolution 743 of 2013 regarding the adoption of International Financial Reporting Standards (IFRS) for some public companies. This topic is one of the applications of the important advances in the development of accounting theory for the financial economy, which in spite of this does not manage to establish solid roots for the conditions of the developing countries, as this article proves that the transformations assumed are the result of a change in the organizational economic model, where, rather than attending to the international regulation model, it responds to a process of concentration of strategic assets by actors that have the ability to capture regulation, demonstrating that the interdisciplinary approach is a fertile ground to explain in a better way the reality of these countries in the globalizing environment that characterizes the current economy of these countries. The second article, about the "Impact of self-financing on the innovation of micro, small and medium-sized Colombian companies," allows us to delve into an aspect that has not been explicitly studied and that is located at the frontiers of knowledge between economics, finance and the administration, especially directed at an important sector of the economy of the developing countries, that of the MSME companies, which despite their great contributions to the economic well-being of the population, occupying 80% of it in these countries, no intellectual effort has been devoted by our researchers, wasting a space of potential development of autonomy that will clear the way for the true socioeconomic development of our region. The descriptive results show that Colombian MSMEs use their own resources as a priority for their investments, and inferential results obtained through linear regressions indicate that internal financing has a positive and significant influence on their overall innovation, as well as on their products/services, productive processes and management. This is a variable of fundamental importance to be involved in the development policies for the Latin American industry and that very little is taken into consideration until now, in what has been called the Orange economy, which countries like Colombia want to promote. The reality is that internal or own resources are still the main source of funding for the investment projects of these companies, and while this is consistent with the postulates of the theory of financial hierarchy, everything seems to indicate that the reasons for this are mainly the barriers they encounter to access the external financial market. The next section, dedicated to economic discipline, shows us an important article focused on the analysis of the relationship between "Good governance and effectiveness of development aid", a topic of high relevance for our economies. The article aims to deepen the origin and changes experienced by the notion of good governance; analyzes the constituents and determinants of it, as well as its relationship with close concepts such as institutional quality, and above all, the ideas and evidence created on the relationship between good governance and the effectiveness of development aid. Finally, it concludes that there is no general consensus that aid has been effective in promoting economic growth, and there are both supporters and opponents of this idea. Reflectively, it paves the way for empirically verifying the true effects of economic aid and the conditions under which better results would be possible for the benefit of large masses of the population. This edition closes with two sections: the first one, traditional on topics of administration as a discipline that is structurally integrated with the economic, accounting and financial, and where two articles are developed: the first of these is entitled "Co-creation and new challenges of generating value that organizations face". This matter is very topical and marks a trend in modern administrative theory, which is revolving around the new approaches to the generation of value. It is concluded that, in order to generate a sustained value in organizations, the focus of the managers' actions must be the creation of joint value with their clients and not the exclusive goal of increasing the sales of their products or services usually designed internally and closed. The second article, under the title "Model to analyze the incidence of social capital in human development in Bogotá, DC", focuses on identifying whether there is a type of relationship between social capital and human development in the endogenous context of the city of Bogota. For this purpose, it is proposed to conduct a descriptive investigation, based on multiple regression analysis, which facilitates the proposal of a model that determines the level of incidence of social capital in human development, based on the calculation of the Human Development Index and the Index Decomposed social capital in cognitive capital index, ICSC, structural social capital index, ICSE, social representation index of social capital, IRSCS, components of the integral calculation of the social capital index. Based on these calculations, it is verified that the scope and use of social capital are unknown in the city, which generates a society with a high level of atomization and disinterest about the problems of citizenship. Being able to verify these assertions has the utmost importance to adopt policies of social and human development in the D.C., taking into account the different analytical components that were used in the study. In the last section, dedicated to knowledge management, the issue of bullying is analyzed pedagogically by sexual orientation among male students in the environment of secondary education, which seeks to contribute to the prevention of bullying behaviors, due to the effects that this has in the welfare of a population that tends to segregate in an undemocratic manner and that is already part of the educational models that should be oriented towards the formation of values. As pedagogues, we believe that education can and should create environments of respect and appreciation of difference, where everyone can access it, regardless of sexual orientation, gender or other social or cultural constructions. The set of the eight articles that we put at the disposal of the academic community, organized in the sections oriented according to the principles that support the scientific philosophy and the editorial policy of the magazine, is configured in a new effort that we are sure will contribute to the strengthening of the scientific and technological development of our disciplines in an environment that is ours, but that dialogues with the universality of knowledge at a global level, and that progressively will become the great pillars of our human and social development ; La revista Criterio Libre ha venido desempeñando un rol importante en la promoción de la divulgación científica como mecanismo fundamental en los procesos de transformación de nuestras naciones hispanoamericanas hacia sociedades mejor conformadas, con un sano equilibrio entre el necesario crecimiento de la producción de bienes tangibles e intangibles y una más justa distribución de la riqueza, en beneficio de todas sus poblaciones que buscan la erradicación de la pobreza, el mayor flagelo que la humanidad aún no ha podido superar. En ese orden de ideas, nos hemos fundamentado en criterios del desarrollo de la ciencia que contribuyan a esos ideales, seleccionando los mejores artículos, sometidos a procesos rigurosos de evaluación por reconocidos investigadores nacionales e internacionales, quienes también han contribuido a elevar la calidad científica de los mismos con sus atinadas observaciones y también a desarrollar el pensamiento científico y la utilización del mejor estilo para su comunicación, enriqueciendo el pensamiento científico social en nuestras naciones. Dichos principios los podemos sintetizar de la siguiente manera: El desarrollo de la ciencia y la tecnología como expresión de sistemas valorativos y socioculturales dados, el desarrollo de la ciencia al servicio de la transformación productiva en beneficio de la sociedad, la concientización del papel que tienen la ciencia y la tecnología en la definición de las relaciones de poder en los niveles nacional e internacional y su inserción en las políticas de desarrollo, la utilización de la ciencia y de la innovación tecnológica como instrumentos de autonomía, la apertura a enfoques novedosos en la consolidación de la ciencia social, la libertad del pensamiento crítico en todos los niveles de la gestión del conocimiento científico, entre otros. En tal sentido hemos querido fortalecer el análisis y desarrollo crítico de las ciencias económicas, administrativas, financieras y contables, abriendo un espacio para la discusión y desarrollo de la epistemología de estas ciencias sociales, que cada vez más se convierte en columna vertebral de nuestra revista. En el presente número se incluyen dos artículos que enriquecen dicha discusión epistemológica: en el primero de ellos el investigador José J. Ortiz B. nos plantea un dilema que acompaña el desarrollo de la ciencia contable, "La crisis de la representación contable: ¿problemas de la ciencia social o de la política del poder?", en donde busca dar claridad a los factores que originan la problemática de la representación contable a partir de una reflexión sobre los fundamentos teóricos que sustentan este importante tópico y los referentes empíricos que muestran dicha problemática, factores que necesariamente se han expresado como un obstáculo epistémico en la consolidación de esta joven ciencia y al que el autor pretende aportar tanto en su esclarecimiento epistemológico, como en la propuesta de alternativas de solución, que pone para discusión a la comunidad científica con un enfoque interdisciplinario y desde el paradigma de la complejidad. En el segundo artículo el profesor Jean Paul Sarrazin nos plantea una interesante 18 Universidad Libre disertación alrededor del concepto "Religión: ¿sabemos de lo que estamos hablando? Examen sobre la viabilidad de una categoría analítica para las ciencias sociales". El objetivo de esta revisión fue encontrar una categoría analítica precisa, clara y suficientemente amplia para estudiar empíricamente la vasta gama de fenómenos socioculturales que pueden ser o han sido considerados como "religiosos". Se concluye que a pesar de la ausencia de una categoría analítica unificada algunos de los elementos más destacados en las diferentes definiciones pueden constituir, en sí mismos, categorías analíticas útiles para la investigación empírica. Se puede deducir que esta sección ha sido fiel a los principios que expusimos al comienzo de este editorial y que esperamos se siga convirtiendo en tribuna abierta para el desarrollo científico de nuestras disciplinas. Una segunda sección, dedicada a la contabilidad y las finanzas, define temáticas que se han tornado de interés sustancial dado el fuerte desarrollo teórico que han venido alcanzado esas disciplinas, llegando a una fase en que las disputas de los paradigmas que sustentan diversos enfoques se han venido decantando y es en ese terreno donde florecen aportes que consolidan esquemas teóricos importantes o que, por otro lado, descartan hipótesis que permiten depurar sistemas que, a la manera de las capas de la cebolla, se van agrupando por niveles, lo cual contribuye a la consolidación de las ciencias sociales. En esta sección encontramos dos importantes artículos orientados bajo esa filosofía: el primero de ellos analiza los efectos que sobre la información contable de las empresas públicas del sector eléctrico colombiano tuvo la implementación de la Resolución 743 de 2013, la cual se refiere a la adopción de Normas Internacionales de Información Financiera (NIIF) para algunas empresas públicas, siendo este tópico uno de los aplicativos de los avances importantes del desarrollo de la teoría contable para la economía financierista, que a pesar de ello no logra asentar sólidas raíces para las condiciones de los países en desarrollo, como lo comprueba este artículo que encuentra que las transformaciones asumidas son el resultado de un cambio de modelo económico organizacional, en donde más que atender el modelo de regulación internacional, responde a un proceso de concentración de activos estratégicos por parte de actores que tienen la capacidad de capturar la regulación, demostrando que es el enfoque interdisciplinario un campo fértil para explicar de una mejor manera la realidad de estos países en el entorno globalizador que caracteriza la economía actual de dichos países. El segundo artículo acerca del "Impacto del autofinanciamiento sobre la innovación de las micro, pequeñas y medianas empresas colombianas", permite profundizar en un aspecto que no ha sido explícitamente estudiado y que se ubica en las fronteras del conocimiento entre la economía, las finanzas y la administración, dirigido especialmente a un sector importante de la economía de los países en desarrollo, el de las empresas Mipymes, que a pesar de sus grandes aportes al bienestar económico de la población al ocupar 80% de la misma en estos países, no se le ha dedicado un esfuerzo intelectual por parte de nuestros investigadores, desaprovechando un espacio de potencial desarrollo de la autonomía que permitirá desbrozar el camino del verdadero desarrollo socioeconómico de nuestra región. Los resultados descriptivos muestran que las Mipymes colombianas utilizan prioritariamente recursos propios para sus inversiones, y los resultados inferenciales obtenidos mediante regresiones lineales señalan que el financiamiento interno influye positiva y significativamente en su innovación global, así como en la de sus productos/servicios, procesos productivos y gestión. Esto es una variable de importancia fundamental para ser involucrada en las políticas de desarrollo para la industria latinoamericana y que muy poco se toma en consideración hasta ahora, en lo que se ha venido denominando la economía naranja, que países como Colombia quieren fomentar. La realidad es que los recursos internos o propios siguen siendo la principal fuente de financiación para los proyectos de inversión de estas empresas y si bien ello es coherente con los postulados de la teoría de la jerarquía financiera, todo parece indicar que las razones de esto son principalmente las barreras que encuentran para acceder al mercado financiero externo. Nuestra siguiente sección, dedicada a la disciplina económica, nos muestra un importante artículo enfocado al análisis de la relación entre "Buen gobierno y eficacia de la ayuda al desarrollo", tema de altísima pertinencia para nuestras economías. El artículo se propone profundizar en el origen y los cambios experimentados por la noción de buen gobierno; analiza los constituyentes y determinantes del mismo, así como su relación con conceptos cercanos como el de calidad institucional, y sobre todo, las ideas y la evidencia creada sobre las relaciones entre el buen gobierno y la efectividad de la ayuda al desarrollo. Finalmente llega a la conclusión de que no existe un consenso general en cuanto a que la ayuda haya sido eficaz para promover el crecimiento económico, y existen tanto defensores como detractores de esta idea. De manera reflexiva deja abierto el camino para verificar empíricamente los verdaderos efectos de la ayuda económica y las condiciones bajo las cuales se harían posibles unos mejores resultados en beneficio de grandes masas de la población. Cerramos este número con dos secciones: la primera, tradicional sobre temas de administración como disciplina que se integra estructuralmente con la económica, la contable y financiera, y donde se desarrollan dos artículos: el primero de estos se titula "La co-creación y los nuevos retos de generación de valor que enfrentan las organizaciones", siendo esta temática de gran actualidad y que marca una tendencia en la moderna teoría administrativa, que está girando sobre los nuevos enfoques de la generación de valor. Se concluye que, para generar un valor sostenido en las organizaciones, el foco de las acciones de los gestores debe ser la creación de valor conjunta con sus clientes y no la exclusiva meta de aumentar las ventas de sus productos o servicios habitualmente diseñados de manera interna y cerrada. El segundo artículo bajo el título "Modelo para analizar la incidencia del capital social en el desarrollo humano en Bogotá, D.C.", se centra en identificar si existe un tipo de relación entre el capital social y el desarrollo humano en el contexto endógeno de la ciudad de Bogotá. Para tal fin, se propone hacer una investigación descriptiva basada en análisis de regresión múltiple que facilita la proposición de un modelo que determina el nivel de incidencia del capital social en el desarrollo humano, partiendo del cálculo del Índice de desarrollo humano y del Índice de capital social descompuesto en índice 20 Universidad Libre de capital cognitivo, ICSC, índice de capital social estructural, ICSE, Índice de representación social del capital social, IRSCS, componentes del cálculo integral del índice de capital social. Con base en esos cálculos se llega a comprobar que en la ciudad se desconocen el alcance y uso del capital social, lo que genera construir una sociedad con alto nivel de atomización y desinterés por los problemas de la ciudadanía. Poder comprobar estos asertos es de suma importancia para adoptar políticas de desarrollo social y humano en el D.C., atendiendo los diferentes componentes analíticos que se utilizaron en el estudio. En la última sección, dedicada a la gestión del conocimiento, se analiza pedagógicamente el tema del bullying por orientación sexual entre estudiantes masculinos en el ambiente de la educación media, que busca contribuir a la prevención de comportamientos de bullying, por los efectos que ello tiene en el bienestar de una población que tiende a segregarse de manera antidemocrática y que ya hace parte de los modelos educativos que deben orientarse a la formación de valores. Como pedagogos, creemos que la educación puede y debe crear ambientes de respeto y valoración de la diferencia, en donde todos puedan acceder a ella, sin importar la orientación sexual, el género u otras construcciones sociales o culturales. El conjunto de los ocho artículos que ponemos a disposición de la comunidad académica, organizados en las secciones orientadas según los principios que fundamentan la filosofía científica y la política editorial de la revista, se configura en un nuevo esfuerzo que estamos seguros contribuirá al fortalecimiento del desarrollo científico y tecnológico de nuestras disciplinas en un entorno que nos es propio, pero que dialoga con la universalidad del conocimiento a nivel global, y que progresivamente se constituirán en los grandes pilares de nuestro desarrollo humano y social. ; La revue Criterio Libre a occupé un important rôle en promouvoir la divulgation scientifique comme mécanisme fondamental dans les procès de transformation de nos nations latino-americaines vers sociétés meilleure conformées, avec un sain équilibre entre la nécessaire croissance de la production de biens tangibles et intangibles et une plus juste distribution de la richesse, au profit de toutes ses populations, que cherchent éradiquer la pauvreté, qu'il est le majeur fléau que l'humanité encore n'a pas pu surpasser. Par l'antérieur, nous basons sur des critères du développement de la science qu'ils contribuent à ces idéals, en choisissant alors les meilleurs articles, soumis à des rigoureux procès d'évaluation par des reconnus chercheurs nationaux et internationaux, qui ont aussi contribué à élever la qualité scientifique des mêmes par leur sages observations et aussi à développer la pensée scientifique et l'utilisation du meilleur style pour sa communication, en enrichissant la pensé scientifique sociale dans nos nations. Nous pouvons résumer dits principes: le développement de la science et la technologie comme expression de systèmes d'évaluation et socio-culturelles donnés, le développement de la science au service de la transformation productive au profit de la société, la prise de conscience du rôle de la science et la technologie dans la définition des relations de pouvoir en les niveaux nationaux et internationaux et son insertion dans les politiques de développement, l›utilisation de la science et de l›innovation technologique comme des instruments d›autonomie, l›ouverture à nouvelles approches dans la consolidation de la science sociale, la liberté de la pensée critique en tous les niveaux de la gestion de la connaissance scientifique, entre autrui. Dans ce sens, nous avons essayé fortifier l'analyse et développement critique des sciences économiques, administratives, financiers et comptables, en ouvrant un espace pour la discussion et développement de l'epistemologie de ces sciences sociales, que de plus en plus se convertit dans l'axe central de notre revue. La présente édition comprend deux articles qu'ils enrichissent dite discussion epistémológique: en le premier d'ils le chercheur José J. Ortiz B. pose un dilemme qu'accompagne le développement de la science comptable, "La crise de la représentation comptable: ¿problèmes de la science sociale ou de la politique du pouvoir?", dans lequel cherche éclaircir les facteurs qu'ils causent la problématique de la représentation comptable à partir d'une réflexion sur les fondements théoriques qu'ils soutiennent cet important question et les référents empiriques qui montrent cette problématique, facteurs qui ont été considérés comme un obstacle épistémique à la consolidation de cette jeune science et aux quels l›auteur entend contribuir dans sa clarification épistémologique et dans la proposition de solutions alternatives qu›il donne à lacommunauté scientifique avec une approche interdisciplinaire et du paradigme de la complexité. Dans le deuxième article, le professeur Jean Paul Sarrazin fait une thèse intéressante sur "Religion: savons-nous de quoi nous parlons? Examen de la faisabilité d›une catégorie analytique pour les sciences sociales". L'objectif de cette revue était de trouver une catégorie analytique précise, claire et suffisamment large pour étudier empiriquement la vaste gamme de phénomènes socio-culturelles qui peuvent être ou ont été considérés comme "religieux". Il conclut qu'en dépit de l›absence d›unecatégorie analytique unifiée, certains éléments les plus saillants des différentes définitions peuvent euxmêmes constituer des catégories analytiques utiles à la recherche empirique. On peut déduire que cette section a été fidèle aux principes que nous avons énoncé au début de cet éditorial et que nous espérons qu'ils continuera à devenir une plateforme ouverte pour le développement scientifique de nos disciplines. Une deuxième section, consacrée à la comptabilité et à la finance, définit les sujets qui sont devenus d›un intérêt substantiel en raison du fort développement théorique que ces disciplines ont atteint, atteignant une phase dans la quelle les différends des paradigmes qui soutiennent diverses approches ont été réglés et c'est dans ce domaine que les contributions surgissent qui consolident des schémas théoriques importants ou qui, d'autrepart, écartent les hypothèses qui permettent des systèmes purifiants qui, à la façon des couches d›oignons, sont regroupés par niveaux, contribuant ainsi à consolider les sciences sociales. Dans cette section, nous trouvons deux articles importants orientés selon cette philosophie: le premier analyse les effets sur l›information comptable des entreprises publiques du secteur de l'électricité colombien de la mise en oeuvre de la résolution 743 de 2013 concernant l'adoption des normes internationales d›information financière (IFRS) pour certaines entreprises publiques. Ce sujet est l›une des applications des avancées importantes dans le développement de la théorie comptable pour l›économie financieriste qui malgré cela ne parvient pas à établir des racines solides pour les conditions des pays en développement, comme enté moigne cet article qui constate que les transformations supposées sont le résultat d›un changement du modèle économique organisationnel, où, plutôt que de s›intéresser au modèle de réglementation internationale, répond à un processus de concentration des actifs stratégiques par des acteurs qui ont la capacité de saisir la réglementation, démontrant que l'approche interdisciplinaire est un terrain fertile pour mieux expliquer la réalité de ces pays dans l'environnement mondialisant qui caractérise l›économie actuelle de ces pays. Le deuxième article, intitulé "Impact de l›autofinancement sur l'innovation dans les micro, petites et moyennes entreprises colombiennes», donne un aperçu d'un aspect qui n›a pas été explicitement étudié et qui se situe aux frontières de la connaissance entre économie, finance et administration, en particulier dans un secteur important de l›économie des pays en développement, celle des MPME, qui malgré leur grande contribution au bien-être économique de la population, occupant 80% de la population de ces pays, n'a pas fait l›effort intellectuel de nos chercheurs, gaspillant un espace de développement potentiel d'autonomie qui ouvrira la voie à un véritable développement socioéconomique de notre région. Les résultats descriptifs montrent que les PMI colombiennes utilisent principalement leurs propres ressources pour leurs investissements, et les résultats inférentiels obtenus par régression linéaire indiquent que le financement interne a une influence positive et significative sur leur innovation globale, ainsi que sur celle de leurs produits/services, processus de production et gestion. Il s›agit d'une variable d›une importance fondamentale à impliquer dans les politiques de développement de l'industrie latino-américaine et que trèspeu de choses sont prises en considération jusqu›à présent, dans cequ›on a appelé l'économie orange, que des pays comme la Colombie veulent promouvoir. En réalité, les ressources internes ou propres restent la principale source de financement des projets d'investissement de ces entreprises et, bien que cela soit conforme aux postulats de la théorie de la hiérarchie financière, tout semble indiquer que les raisons en sont principalement les obstacles qu›elles rencontrent pour accéder au marché financier extérieur. Notre prochaine section, consacrée à ladiscipline économique, nous présente un article important centré sur l'analyse de la relation entre "La bonne gouvernance et l'efficacité de l'aide"; un sujet de la plus haute pertinence pour nos économies. Il analyse les composantes et les déterminants de la bonne gouvernance, ainsi que sa relation avec des concepts étroitement liés tels que la qualité institutionnelle et, surtout, les idées et les preuves créées sur la relation entre bonne gouvernance et efficacité de l'aide au développement. En fin, il conclut qu'il n'y a pas de consensus général sur l'efficacité de l'aide dans la promotion de la croissance économique, et qu'il y a à la fois des défenseurs et des détracteurs de cette idée. D'une manière réfléchie, elle laisse ouverte la voie à la vérification empirique des effets réels de l'aide économique et des conditions dans les quelles de meilleurs résultats seraient possibles pour le bénéfice de larges masses de la population. Nous clôturons ce numéro avec deux sections : la première, traditionnelle sur les thèmes de l›administration en tant que discipline structurellement intégrée à l'économie, la comptabilité et lafinance, et où deux articles sont développés: le premier d'entre eux estintitulé "Co-création et lesnouveaux défis de création de valeur aux quels les organisations font face. Ce sujet est d›actualité et marque une tendance de la théorie administrative moderne, qui s›articule autour de nouvelles approches de la création de valeur. Il est conclu que, pour générer une valeur durable dans lesorganisations, les actions des gestionnaires doivent être axées sur la création de valeur conjointe avec leurs clients et non sur l›objectif exclusif d'augmenter les ventes de leurs produits ou services habituellement conçus en interne et de façon fermée. Le deuxième article, intitulé "Modèle d'analyse de l'incidence du capital social sur le développement humain à Bogotá, D.C.", vise à identifier s›il existe un type de relation entre capital social et développement humain dans le contexte endogène de la ville de Bogotá. Cette fin, il est proposé demener une recherche descriptive, fondée sur une analyse de régression multiple, qui facilite la proposition d'un modèle qui détermine le niveau d'incidence du capital social dans le développement humain, à partir du calcul de l'indice de développement humain et de l'indice de capital social répartis en composantes du calcul intégral de l'indice de capital social, soit l'indice de capital cognitif, l'ICSE, l'indice de capital social structurel, l'ICSC et l'IRSCS, et de l'indice de représentation du capital social. Sur la base de ces calculs, on constate que l'ampleur et l'utilisation du capital social dans la ville sont inconnues, ce qui engendre la construction d'une société avec un haut niveau d'atomisation et un désintérêt pour les problèmes de citoyenneté. Pouvoir vérifier ces affirmations a une importance capitale pour l'adoption de politiques de développement social et humain à Bogotá, D.C., en tenant compte des différentes composantes analytiques qui ont été utilisées dans l'étude. Dans la dernière partie, consacrée à la gestion des connaissances, le sujet des brimades dues à l'orientation sexuelle chez les élèves de sexe masculin estanalysé pédagogiquement dans l'environnement de l'enseignement secondaire, qui cherche à contribuer à la prévention des comportements debrimades, en raison des effets que cela a sur le bien-être d'une population qui tend à se séparer de manière antidémocratique et qui fait déjà partie des modèles éducatifs qui doivent être orientés vers la formation des valeurs. En tant que pédagogues, nous croyons que l'éducation peut et doit créer des environnements de respect et de valorisation de la différence, où chacun peut y accéder, indépendamment de son orientation sexuelle, de son sexe ou d'autres constructions sociales ou culturelles. L'ensemble des huit articles que nous mettons à la disposition de la communauté académique, organisés en sections orientées selon les principes qui sous-tendent la philosophie scientifique et la politique éditoriale de la revue, s'inscrit dans un nouvel effort qui, nous en sommes sûrs, contribuera à renforcer le développement scientifique et technologique de nos disciplines dans un environnement qui nous est propre mais qui dialogue avec l'universalité du savoir à un niveau global et qui deviendra progressivement les grands piliers de notre développement humain et social. ; A revista Critério Livre tem desempenhado um importante papel em promover a divulgação científica como um mecanismo fundamental nos processos de transformação de nossas nações latino-americanas para sociedades melhor formadas, com um equilíbrio saudável entre o necessário crescimento da produção de bens tangíveis e intangíveis e uma mais justa distribuição da riqueza, em benefício de todas as suas populações, que buscam erradicar a pobreza, que é o maior flagelo que a humanidade ainda não conseguiu superar. Pelo exposto, nos baseamos em critérios do desenvolvimento da ciência que contribuam para esses ideais, escolhendo então os melhores artigos, submetidos a rigorosos processos de avaliação por renomados pesquisadores nacionais e internacionais, que também contribuíram para elevar a qualidade científica dos mesmos através de seus atinadas observações,e também a desenvolver o pensamento científico e a utilização do melhorestilo para sua comunicação, enriquecendo o pensamento científico social em nossos países. Podemos resumir esses princípios assim: o desenvolvimento da ciência e da tecnologia como expressão de sistemas valorativos e socioculturais dados, o desenvolvimento da ciência a serviço da transformação produtiva em benefício da sociedade, a conscientização sobre o papel da ciência e da tecnologia na definição das relações de poder nos níveis nacional e internacional e sua inserção nas políticas de desenvolvimento, a utilização da ciência e da inovação tecnológica como instrumentos de autonomia, a abertura a abordagens inovadoras na consolidação da ciencia social, a liberdade do pensamento crítico em todos os níveis da gestão do conhecimento científico, entre outros. Neste sentido, tentamos fortalecer a análise e o desenvolvimento crítico das ciências econômicas, administrativas, financeiras e contábeis, abrindo um espaço para a discussão e desenvolvimento da epistemologia de estas ciências sociais, que cada vez mais torna-se o eixo central de nossa revista. A presente edição inclui dois itens que fazem parte desta discussão epistemológica: no primeiro deles, o pesquisador José J. Ortiz B. planta um dilema que acompanha o desenvolvimento da ciência contábil, "A crise da representação contábil: problemas da ciência social ou política do poder?", em que busca esclarecer os fatores que originam a problemática da representação contábil a partir de uma reflexão sobre os fundamentos teóricos que sustentam este importante tema e os referentes empíricos que mostram esta problemática, fatores que foram vistos como um obstáculo epistémico na consolidação dessa jovem ciência e o que o autor pretende contribuir para seu esclarecimento epistemológico e a proposta de alternativas de solução, que propõe para discussão com a comunidade científica com uma abordagem interdisciplinar e a partir do paradigma da complexidade. No segundo artigo, o profesor Jean Paul Sarrazin levanta uma interessante dissertação sobre "Religião: nós sabemos do que estamos falando? Análise da viabilidade de uma categoria analítica para as ciências sociais". O objetivo desta revisão foi encontrar uma categoria analítica, precisa, clara e suficientemente ampla para estudar empiricamente a vasta gama de fenômenos sócio-culturais que podem ser ou foram considerados como "religiosos". Conclui que, a pesar da ausência de uma categoria analítica unificada, alguns dos elementos mais destacados nas diferentes definições podem constituir, em si mesmos, categorias analíticas úteis para a investigação empírica. Pode-se deducir que esta seção tem sido fiel aos princípios que expusemos no início deste editorial, e que esperamos que continue transformando em uma tribuna aberta para o desenvolvimento científico de nossas disciplinas. Uma segunda seção, dedicada à contabilidade e as finanças, define temáticas que se tornaram de interesse substancial devido ao forte desenvolvimento teórico que atingiram essas disciplinas, chegando a uma fase em que as disputas dos paradigmas que sustentam várias abordagens foram decantado e é nesse terreno onde surgem contribuições que consolidam os importantes esquemas teóricos ou que, por outro lado, descartam hipótese que permitem depurar sistemas que, à maneira das camadas duma cebola, serão agrupadas por níveis, o que contribui para a consolidação das ciências sociais. Nesta seção encontramos dois importantes artigos orientados sob desta filosofia: o primeiro analisa os efeitos que sobre a informação contabilística das empresas públicas do setor elétrico colombiano teve a implementação da Resolução 743 de 2013, relativa à adopção de Normas Internacionais de Informação Financeira (NIIF) para algumas empresas públicas. Este tópico é um dos aplicativos de importantes avanços do desenvolvimento da teoria contábil para a economia financierista, que apesar disso não consegue establecer sólidas raízes para as condições dos países em desenvolvimento, como o comprova este artigo que encontra que as transformações assumidas são o resultado de uma mudança de modelo econômico, organizacional, onde, mais que atender o modelo de regulação internacional, responde a um processo de concentração de ativos estratégicos por parte de atores que têm a capacidade de capturar a regulação, demonstrando que a abordagem interdisciplinar é um campo fértil para explicar de uma maneira melhor a realidade destes países no ambiente globalizador que caracteriza a economía atual de tais países. O segundo artigo, sobre "o Impacto do autofinanciamento sobre a inovação das micro, pequenas e médias empresas colombianas", permite aprofundar um aspecto que não tem sido explicitamente estudado e que se situa na fronteira entre a economia, as finanças e a administração, dirigido especialmente a um setor importante da economia dos países em desenvolvimento, as empresas Mipymes, que apesar de suas grandes contribuições para o bem-estar económico da população, ao ocupar 80% da mesma em cada um destes países, não lhe foi dedicado um esforço intelectual por parte dos nossos investigadores, desaprovechando um espaço potencial de desenvolvimento da autonomia que permite desbrozar o caminho do verdadeiro desenvolvimento sócio-econômico de nossa região. Os resultados descritivos mostram que as Mipymes colombianas utilizam prioritariamente os recursos próprios para os investimentos, e os resultados inferenciales obtidos através de regressões lineares indicam que o financiamento interno influencia positiva e significativamente na inovação global, assim como a de seus produtos/serviços, processos produtivos e de gestão. Esta é uma variável de importância fundamental para ser envolvida nas políticas de desenvolvimento para a indústria latino-americana e que muito pouco se leva em consideração até agora, no que se tem denominado a economía laranja, que países como a Colômbia querem promover. A realidade é que os recursos internos ou próprios continuam sendo a principal fonte de financiamento para os projectos de investimento destas empresas, e se bem que isso é coerente com os postulados da teoria da hierarquia financeira, tudo parece indicar que as razões são principalmente as barreiras que encontram para acessar o mercado financeiro externo. A nossa seguinte secção, dedicada à disciplina económica, mostra-nos um importante artigo focado à análise da relação entre "Bom governo e eficácia da ajuda ao desenvolvimento", tema de altísima pertinência para as nossas economias. O artigo propõe-se aprofundar na origem e as mudanças experimentadas pela noção de bom governo; analisa os constituintes e determinantes do mesmo, bem como a sua relação com conceitos próximos como a qualidade institucional, e sobretudo, as ideias e a evidência criada sobre as relações entre o bom governo e a efetividade da ajuda ao desenvolvimento. Finalmente chega à conclusão de que não existe um consenso geral quanto a que a ajuda seja eficaz para promover o crescimento económico, e existem tanto defensores como detratores desta ideia. De maneira reflexiva deixa aberto o caminho para verificar empiricamente os verdadeiros efeitos da ajuda económica e as condições baixo as quais seriam possíveis uns melhores resultados em benefício de grandes massas da população. Fechamos esta edição com duas secções: a primeira, tradicional sobre temas de administração como disciplina que se integra estruturalmente com a económica, a contável e financeira, e onde se desenvolvem dois artigos: o primeiro destes se titula "A co-criação e os novos reptos de geração de valor que enfrentam as organizações". Esta temática é de grande atualidade e marca uma tendência na moderna teoria administrativa, que está a girar sobre as novas focagens da geração de valor. Conclui-se que, para gerar um valor sustentado nas organizações, o foco das ações dos gestores deve ser a criação de valor conjunta com os seus clientes e não a exclusiva meta de aumentar as vendas dos seus produtos ou serviços habitualmente desenhados de maneira interna e fechada. O segundo artigo, baixo o título "Modelo para analisar a incidência do capital social no desenvolvimento humano em Bogotá, D.C.", centra-se em identificar se existe um tipo de relação entre o capital social e o desenvolvimento humano no contexto endógeno da cidade de Bogotá. Para tal fim, propõe-se fazer uma investigação descritiva, baseada em análise de regressão múltipla, que facilita a proposição de um modelo que determina o nível de incidência do capital social no desenvolvimento humano, partindo do cálculo do Índice de desenvolvimento humano e do Índice de capital social decomposto em índice de capital cognitivo, ICSC, índice de capital social estrutural, ICSE, Índice de representação social do capital social, IRSCS, componentes do cálculo integral do índice de capital social. Com base nesses cálculos chega-se a comprovar que na cidade se desconhecem o alcance e o uso do capital social, o que gera construir uma sociedade com alto nível de atomização e desinteresse pelos problemas da cidadania. Poder comprovar estes asertos é de soma importância para adotar políticas de desenvolvimento social e humano no D.C., atendendo os diferentes componentes analíticos que se utilizaram no estudo. Na última secção, dedicada à gestão do conhecimento, analisa-se pedagógicamente o tema do bullying por orientação sexual entre estudantes masculinos no ambiente da educação média, que procura contribuir à prevenção de comportamentos de bullying, pelos efeitos que isso tem no bem-estar de uma população que tende a segregarse de maneira antidemocrática e que já faz parte dos modelos educativos que devem orientar à formação de valores. Como pedagogos, achamos que a educação pode e deve criar ambientes de respeito e valoração da diferença, em onde todos possam aceder a ela, sem importar a orientação sexual, o género ou outras construções sociais ou culturais. O conjunto dos oito artigos que pomos ao dispor da comunidade académica, organizados nas secções orientadas segundo os princípios que fundamentam a filosofia científica e a política editorial da revista, se configura em um novo esforço que estamos seguros contribuirá ao fortalecimiento do desenvolvimento científico e tecnológico das nossas disciplinas em um meio que nos é próprio, mas que dialoga com a universalidade do conhecimento a nível global, e que progressivamente constituir-se-ão nos grandes pilares do nosso desenvolvimento humano e social.

Criterio Libre magazine has played an important role in promoting scientific dissemination as a fundamental mechanism in the transformation processes of our Latin American nations towards better formed societies, with a healthy balance between the necessary growth of the production of tangible and intangible goods and a more fair distribution of wealth, for the benefit of all its populations, which seek to eradicate poverty, which is the greatest scourge that humanity has not yet been able to overcome. Therefore, we rely on criteria of the development of science that contribute to these ideals, choosing then the best articles, subjected to rigorous evaluation processes by recognized national and international researchers, who have also contributed to raise the scientific quality of them through his thoughtful observations and also to develop scientific thinking and the use of the best style for their communication, enriching the social scientific thought in our nations. We can summarize these principles as follows: the development of science and technology as an expression of given sociocultural and valorative systems, the development of science at the service of productive transformation for the benefit of society, the awareness of the role of science and technology in the definition of power relations at the national and international levels and its insertion in development policies, the use of science and technological innovation as instruments of autonomy, openness to novel approaches in the consolidation of social science, the freedom of critical thinking at all levels of scientific knowledge management, among others. In this sense, we have tried to strengthen the analysis and critical development of economic, administrative, financial and accounting sciences, opening a space for the discussion and development of the epistemology of these social sciences, which increasingly becomes the central axis of our magazine. The present edition of Criterio Libre includes two articles that enrich this epistemological discussion: in the first one the researcher José J. Ortiz B. poses a dilemma that accompanies the development of accounting science, "The crisis of accounting representation: problems of science social or power politics?", which seeks to clarify the factors that originate the problem of accounting representation from a reflection on the theoretical foundations that support this important topic and the empirical references that show this problem, factors that have been seen as an epistemic obstacle in the consolidation of this young science and to which the author intends to contribute in his epistemological clarification and in the proposal of alternative solutions, which he proposes for discussion to the scientific community with an interdisciplinary approach and from the paradigm of complexity. In the second article, Professor Jean Paul Sarrazin poses an interesting dissertation on "Religion: do we know what we are talking about? Examination on the feasibility of an analytical category for the social sciences". The objective of this review was to find an analytical category that is precise, clear and sufficiently broad to study empirically the vast range of sociocultural phenomena that can be or have been considered as "religious". It concludes that in spite of the absence of a unified analytical category, some of the most prominent elements in the different definitions can constitute, by themselves, useful analytical categories for empirical research. It can be deduced that this section has been faithful to the principles that we exposed at the beginning of this editorial and that we hope will continue to become an open forum for the scientific development of our disciplines. A second section, devoted to accounting and finance, defines topics that have become of substantial interest due to the strong theoretical development that these disciplines have reached, arriving to a phase in which the disputes of the paradigms that support different approaches have been decanted, and it is in this field where contributions arise that consolidate important theoretical schemes or that, on the other hand, discard hypotheses that allow debugging systems that, in the manner of the layers of an onion, are grouped by levels, which contributes to the consolidation of the social sciences. In this section we find two important articles oriented under this philosophy: the first one analyzes the effects on the accounting information of public companies in the Colombian electricity sector of the implementation of Resolution 743 of 2013 regarding the adoption of International Financial Reporting Standards (IFRS) for some public companies. This topic is one of the applications of the important advances in the development of accounting theory for the financial economy, which in spite of this does not manage to establish solid roots for the conditions of the developing countries, as this article proves that the transformations assumed are the result of a change in the organizational economic model, where, rather than attending to the international regulation model, it responds to a process of concentration of strategic assets by actors that have the ability to capture regulation, demonstrating that the interdisciplinary approach is a fertile ground to explain in a better way the reality of these countries in the globalizing environment that characterizes the current economy of these countries. The second article, about the "Impact of self-financing on the innovation of micro, small and medium-sized Colombian companies," allows us to delve into an aspect that has not been explicitly studied and that is located at the frontiers of knowledge between economics, finance and the administration, especially directed at an important sector of the economy of the developing countries, that of the MSME companies, which despite their great contributions to the economic well-being of the population, occupying 80% of it in these countries, no intellectual effort has been devoted by our researchers, wasting a space of potential development of autonomy that will clear the way for the true socioeconomic development of our region. The descriptive results show that Colombian MSMEs use their own resources as a priority for their investments, and inferential results obtained through linear regressions indicate that internal financing has a positive and significant influence on their overall innovation, as well as on their products/services, productive processes and management. This is a variable of fundamental importance to be involved in the development policies for the Latin American industry and that very little is taken into consideration until now, in what has been called the Orange economy, which countries like Colombia want to promote. The reality is that internal or own resources are still the main source of funding for the investment projects of these companies, and while this is consistent with the postulates of the theory of financial hierarchy, everything seems to indicate that the reasons for this are mainly the barriers they encounter to access the external financial market. The next section, dedicated to economic discipline, shows us an important article focused on the analysis of the relationship between "Good governance and effectiveness of development aid", a topic of high relevance for our economies. The article aims to deepen the origin and changes experienced by the notion of good governance; analyzes the constituents and determinants of it, as well as its relationship with close concepts such as institutional quality, and above all, the ideas and evidence created on the relationship between good governance and the effectiveness of development aid. Finally, it concludes that there is no general consensus that aid has been effective in promoting economic growth, and there are both supporters and opponents of this idea. Reflectively, it paves the way for empirically verifying the true effects of economic aid and the conditions under which better results would be possible for the benefit of large masses of the population. This edition closes with two sections: the first one, traditional on topics of administration as a discipline that is structurally integrated with the economic, accounting and financial, and where two articles are developed: the first of these is entitled "Co-creation and new challenges of generating value that organizations face". This matter is very topical and marks a trend in modern administrative theory, which is revolving around the new approaches to the generation of value. It is concluded that, in order to generate a sustained value in organizations, the focus of the managers' actions must be the creation of joint value with their clients and not the exclusive goal of increasing the sales of their products or services usually designed internally and closed. The second article, under the title "Model to analyze the incidence of social capital in human development in Bogotá, DC", focuses on identifying whether there is a type of relationship between social capital and human development in the endogenous context of the city of Bogota. For this purpose, it is proposed to conduct a descriptive investigation, based on multiple regression analysis, which facilitates the proposal of a model that determines the level of incidence of social capital in human development, based on the calculation of the Human Development Index and the Index Decomposed social capital in cognitive capital index, ICSC, structural social capital index, ICSE, social representation index of social capital, IRSCS, components of the integral calculation of the social capital index. Based on these calculations, it is verified that the scope and use of social capital are unknown in the city, which generates a society with a high level of atomization and disinterest about the problems of citizenship. Being able to verify these assertions has the utmost importance to adopt policies of social and human development in the D.C., taking into account the different analytical components that were used in the study. In the last section, dedicated to knowledge management, the issue of bullying is analyzed pedagogically by sexual orientation among male students in the environment of secondary education, which seeks to contribute to the prevention of bullying behaviors, due to the effects that this has in the welfare of a population that tends to segregate in an undemocratic manner and that is already part of the educational models that should be oriented towards the formation of values. As pedagogues, we believe that education can and should create environments of respect and appreciation of difference, where everyone can access it, regardless of sexual orientation, gender or other social or cultural constructions. The set of the eight articles that we put at the disposal of the academic community, organized in the sections oriented according to the principles that support the scientific philosophy and the editorial policy of the magazine, is configured in a new effort that we are sure will contribute to the strengthening of the scientific and technological development of our disciplines in an environment that is ours, but that dialogues with the universality of knowledge at a global level, and that progressively will become the great pillars of our human and social development ; La revista Criterio Libre ha venido desempeñando un rol importante en la promoción de la divulgación científica como mecanismo fundamental en los procesos de transformación de nuestras naciones hispanoamericanas hacia sociedades mejor conformadas, con un sano equilibrio entre el necesario crecimiento de la producción de bienes tangibles e intangibles y una más justa distribución de la riqueza, en beneficio de todas sus poblaciones que buscan la erradicación de la pobreza, el mayor flagelo que la humanidad aún no ha podido superar. En ese orden de ideas, nos hemos fundamentado en criterios del desarrollo de la ciencia que contribuyan a esos ideales, seleccionando los mejores artículos, sometidos a procesos rigurosos de evaluación por reconocidos investigadores nacionales e internacionales, quienes también han contribuido a elevar la calidad científica de los mismos con sus atinadas observaciones y también a desarrollar el pensamiento científico y la utilización del mejor estilo para su comunicación, enriqueciendo el pensamiento científico social en nuestras naciones. Dichos principios los podemos sintetizar de la siguiente manera: El desarrollo de la ciencia y la tecnología como expresión de sistemas valorativos y socioculturales dados, el desarrollo de la ciencia al servicio de la transformación productiva en beneficio de la sociedad, la concientización del papel que tienen la ciencia y la tecnología en la definición de las relaciones de poder en los niveles nacional e internacional y su inserción en las políticas de desarrollo, la utilización de la ciencia y de la innovación tecnológica como instrumentos de autonomía, la apertura a enfoques novedosos en la consolidación de la ciencia social, la libertad del pensamiento crítico en todos los niveles de la gestión del conocimiento científico, entre otros. En tal sentido hemos querido fortalecer el análisis y desarrollo crítico de las ciencias económicas, administrativas, financieras y contables, abriendo un espacio para la discusión y desarrollo de la epistemología de estas ciencias sociales, que cada vez más se convierte en columna vertebral de nuestra revista. En el presente número se incluyen dos artículos que enriquecen dicha discusión epistemológica: en el primero de ellos el investigador José J. Ortiz B. nos plantea un dilema que acompaña el desarrollo de la ciencia contable, "La crisis de la representación contable: ¿problemas de la ciencia social o de la política del poder?", en donde busca dar claridad a los factores que originan la problemática de la representación contable a partir de una reflexión sobre los fundamentos teóricos que sustentan este importante tópico y los referentes empíricos que muestran dicha problemática, factores que necesariamente se han expresado como un obstáculo epistémico en la consolidación de esta joven ciencia y al que el autor pretende aportar tanto en su esclarecimiento epistemológico, como en la propuesta de alternativas de solución, que pone para discusión a la comunidad científica con un enfoque interdisciplinario y desde el paradigma de la complejidad. En el segundo artículo el profesor Jean Paul Sarrazin nos plantea una interesante 18 Universidad Libre disertación alrededor del concepto "Religión: ¿sabemos de lo que estamos hablando? Examen sobre la viabilidad de una categoría analítica para las ciencias sociales". El objetivo de esta revisión fue encontrar una categoría analítica precisa, clara y suficientemente amplia para estudiar empíricamente la vasta gama de fenómenos socioculturales que pueden ser o han sido considerados como "religiosos". Se concluye que a pesar de la ausencia de una categoría analítica unificada algunos de los elementos más destacados en las diferentes definiciones pueden constituir, en sí mismos, categorías analíticas útiles para la investigación empírica. Se puede deducir que esta sección ha sido fiel a los principios que expusimos al comienzo de este editorial y que esperamos se siga convirtiendo en tribuna abierta para el desarrollo científico de nuestras disciplinas. Una segunda sección, dedicada a la contabilidad y las finanzas, define temáticas que se han tornado de interés sustancial dado el fuerte desarrollo teórico que han venido alcanzado esas disciplinas, llegando a una fase en que las disputas de los paradigmas que sustentan diversos enfoques se han venido decantando y es en ese terreno donde florecen aportes que consolidan esquemas teóricos importantes o que, por otro lado, descartan hipótesis que permiten depurar sistemas que, a la manera de las capas de la cebolla, se van agrupando por niveles, lo cual contribuye a la consolidación de las ciencias sociales. En esta sección encontramos dos importantes artículos orientados bajo esa filosofía: el primero de ellos analiza los efectos que sobre la información contable de las empresas públicas del sector eléctrico colombiano tuvo la implementación de la Resolución 743 de 2013, la cual se refiere a la adopción de Normas Internacionales de Información Financiera (NIIF) para algunas empresas públicas, siendo este tópico uno de los aplicativos de los avances importantes del desarrollo de la teoría contable para la economía financierista, que a pesar de ello no logra asentar sólidas raíces para las condiciones de los países en desarrollo, como lo comprueba este artículo que encuentra que las transformaciones asumidas son el resultado de un cambio de modelo económico organizacional, en donde más que atender el modelo de regulación internacional, responde a un proceso de concentración de activos estratégicos por parte de actores que tienen la capacidad de capturar la regulación, demostrando que es el enfoque interdisciplinario un campo fértil para explicar de una mejor manera la realidad de estos países en el entorno globalizador que caracteriza la economía actual de dichos países. El segundo artículo acerca del "Impacto del autofinanciamiento sobre la innovación de las micro, pequeñas y medianas empresas colombianas", permite profundizar en un aspecto que no ha sido explícitamente estudiado y que se ubica en las fronteras del conocimiento entre la economía, las finanzas y la administración, dirigido especialmente a un sector importante de la economía de los países en desarrollo, el de las empresas Mipymes, que a pesar de sus grandes aportes al bienestar económico de la población al ocupar 80% de la misma en estos países, no se le ha dedicado un esfuerzo intelectual por parte de nuestros investigadores, desaprovechando un espacio de potencial desarrollo de la autonomía que permitirá desbrozar el camino del verdadero desarrollo socioeconómico de nuestra región. Los resultados descriptivos muestran que las Mipymes colombianas utilizan prioritariamente recursos propios para sus inversiones, y los resultados inferenciales obtenidos mediante regresiones lineales señalan que el financiamiento interno influye positiva y significativamente en su innovación global, así como en la de sus productos/servicios, procesos productivos y gestión. Esto es una variable de importancia fundamental para ser involucrada en las políticas de desarrollo para la industria latinoamericana y que muy poco se toma en consideración hasta ahora, en lo que se ha venido denominando la economía naranja, que países como Colombia quieren fomentar. La realidad es que los recursos internos o propios siguen siendo la principal fuente de financiación para los proyectos de inversión de estas empresas y si bien ello es coherente con los postulados de la teoría de la jerarquía financiera, todo parece indicar que las razones de esto son principalmente las barreras que encuentran para acceder al mercado financiero externo. Nuestra siguiente sección, dedicada a la disciplina económica, nos muestra un importante artículo enfocado al análisis de la relación entre "Buen gobierno y eficacia de la ayuda al desarrollo", tema de altísima pertinencia para nuestras economías. El artículo se propone profundizar en el origen y los cambios experimentados por la noción de buen gobierno; analiza los constituyentes y determinantes del mismo, así como su relación con conceptos cercanos como el de calidad institucional, y sobre todo, las ideas y la evidencia creada sobre las relaciones entre el buen gobierno y la efectividad de la ayuda al desarrollo. Finalmente llega a la conclusión de que no existe un consenso general en cuanto a que la ayuda haya sido eficaz para promover el crecimiento económico, y existen tanto defensores como detractores de esta idea. De manera reflexiva deja abierto el camino para verificar empíricamente los verdaderos efectos de la ayuda económica y las condiciones bajo las cuales se harían posibles unos mejores resultados en beneficio de grandes masas de la población. Cerramos este número con dos secciones: la primera, tradicional sobre temas de administración como disciplina que se integra estructuralmente con la económica, la contable y financiera, y donde se desarrollan dos artículos: el primero de estos se titula "La co-creación y los nuevos retos de generación de valor que enfrentan las organizaciones", siendo esta temática de gran actualidad y que marca una tendencia en la moderna teoría administrativa, que está girando sobre los nuevos enfoques de la generación de valor. Se concluye que, para generar un valor sostenido en las organizaciones, el foco de las acciones de los gestores debe ser la creación de valor conjunta con sus clientes y no la exclusiva meta de aumentar las ventas de sus productos o servicios habitualmente diseñados de manera interna y cerrada. El segundo artículo bajo el título "Modelo para analizar la incidencia del capital social en el desarrollo humano en Bogotá, D.C.", se centra en identificar si existe un tipo de relación entre el capital social y el desarrollo humano en el contexto endógeno de la ciudad de Bogotá. Para tal fin, se propone hacer una investigación descriptiva basada en análisis de regresión múltiple que facilita la proposición de un modelo que determina el nivel de incidencia del capital social en el desarrollo humano, partiendo del cálculo del Índice de desarrollo humano y del Índice de capital social descompuesto en índice 20 Universidad Libre de capital cognitivo, ICSC, índice de capital social estructural, ICSE, Índice de representación social del capital social, IRSCS, componentes del cálculo integral del índice de capital social. Con base en esos cálculos se llega a comprobar que en la ciudad se desconocen el alcance y uso del capital social, lo que genera construir una sociedad con alto nivel de atomización y desinterés por los problemas de la ciudadanía. Poder comprobar estos asertos es de suma importancia para adoptar políticas de desarrollo social y humano en el D.C., atendiendo los diferentes componentes analíticos que se utilizaron en el estudio. En la última sección, dedicada a la gestión del conocimiento, se analiza pedagógicamente el tema del bullying por orientación sexual entre estudiantes masculinos en el ambiente de la educación media, que busca contribuir a la prevención de comportamientos de bullying, por los efectos que ello tiene en el bienestar de una población que tiende a segregarse de manera antidemocrática y que ya hace parte de los modelos educativos que deben orientarse a la formación de valores. Como pedagogos, creemos que la educación puede y debe crear ambientes de respeto y valoración de la diferencia, en donde todos puedan acceder a ella, sin importar la orientación sexual, el género u otras construcciones sociales o culturales. El conjunto de los ocho artículos que ponemos a disposición de la comunidad académica, organizados en las secciones orientadas según los principios que fundamentan la filosofía científica y la política editorial de la revista, se configura en un nuevo esfuerzo que estamos seguros contribuirá al fortalecimiento del desarrollo científico y tecnológico de nuestras disciplinas en un entorno que nos es propio, pero que dialoga con la universalidad del conocimiento a nivel global, y que progresivamente se constituirán en los grandes pilares de nuestro desarrollo humano y social. ; La revue Criterio Libre a occupé un important rôle en promouvoir la divulgation scientifique comme mécanisme fondamental dans les procès de transformation de nos nations latino-americaines vers sociétés meilleure conformées, avec un sain équilibre entre la nécessaire croissance de la production de biens tangibles et intangibles et une plus juste distribution de la richesse, au profit de toutes ses populations, que cherchent éradiquer la pauvreté, qu'il est le majeur fléau que l'humanité encore n'a pas pu surpasser. Par l'antérieur, nous basons sur des critères du développement de la science qu'ils contribuent à ces idéals, en choisissant alors les meilleurs articles, soumis à des rigoureux procès d'évaluation par des reconnus chercheurs nationaux et internationaux, qui ont aussi contribué à élever la qualité scientifique des mêmes par leur sages observations et aussi à développer la pensée scientifique et l'utilisation du meilleur style pour sa communication, en enrichissant la pensé scientifique sociale dans nos nations. Nous pouvons résumer dits principes: le développement de la science et la technologie comme expression de systèmes d'évaluation et socio-culturelles donnés, le développement de la science au service de la transformation productive au profit de la société, la prise de conscience du rôle de la science et la technologie dans la définition des relations de pouvoir en les niveaux nationaux et internationaux et son insertion dans les politiques de développement, l›utilisation de la science et de l›innovation technologique comme des instruments d›autonomie, l›ouverture à nouvelles approches dans la consolidation de la science sociale, la liberté de la pensée critique en tous les niveaux de la gestion de la connaissance scientifique, entre autrui. Dans ce sens, nous avons essayé fortifier l'analyse et développement critique des sciences économiques, administratives, financiers et comptables, en ouvrant un espace pour la discussion et développement de l'epistemologie de ces sciences sociales, que de plus en plus se convertit dans l'axe central de notre revue. La présente édition comprend deux articles qu'ils enrichissent dite discussion epistémológique: en le premier d'ils le chercheur José J. Ortiz B. pose un dilemme qu'accompagne le développement de la science comptable, "La crise de la représentation comptable: ¿problèmes de la science sociale ou de la politique du pouvoir?", dans lequel cherche éclaircir les facteurs qu'ils causent la problématique de la représentation comptable à partir d'une réflexion sur les fondements théoriques qu'ils soutiennent cet important question et les référents empiriques qui montrent cette problématique, facteurs qui ont été considérés comme un obstacle épistémique à la consolidation de cette jeune science et aux quels l›auteur entend contribuir dans sa clarification épistémologique et dans la proposition de solutions alternatives qu›il donne à lacommunauté scientifique avec une approche interdisciplinaire et du paradigme de la complexité. Dans le deuxième article, le professeur Jean Paul Sarrazin fait une thèse intéressante sur "Religion: savons-nous de quoi nous parlons? Examen de la faisabilité d›une catégorie analytique pour les sciences sociales". L'objectif de cette revue était de trouver une catégorie analytique précise, claire et suffisamment large pour étudier empiriquement la vaste gamme de phénomènes socio-culturelles qui peuvent être ou ont été considérés comme "religieux". Il conclut qu'en dépit de l›absence d›unecatégorie analytique unifiée, certains éléments les plus saillants des différentes définitions peuvent euxmêmes constituer des catégories analytiques utiles à la recherche empirique. On peut déduire que cette section a été fidèle aux principes que nous avons énoncé au début de cet éditorial et que nous espérons qu'ils continuera à devenir une plateforme ouverte pour le développement scientifique de nos disciplines. Une deuxième section, consacrée à la comptabilité et à la finance, définit les sujets qui sont devenus d›un intérêt substantiel en raison du fort développement théorique que ces disciplines ont atteint, atteignant une phase dans la quelle les différends des paradigmes qui soutiennent diverses approches ont été réglés et c'est dans ce domaine que les contributions surgissent qui consolident des schémas théoriques importants ou qui, d'autrepart, écartent les hypothèses qui permettent des systèmes purifiants qui, à la façon des couches d›oignons, sont regroupés par niveaux, contribuant ainsi à consolider les sciences sociales. Dans cette section, nous trouvons deux articles importants orientés selon cette philosophie: le premier analyse les effets sur l›information comptable des entreprises publiques du secteur de l'électricité colombien de la mise en oeuvre de la résolution 743 de 2013 concernant l'adoption des normes internationales d›information financière (IFRS) pour certaines entreprises publiques. Ce sujet est l›une des applications des avancées importantes dans le développement de la théorie comptable pour l›économie financieriste qui malgré cela ne parvient pas à établir des racines solides pour les conditions des pays en développement, comme enté moigne cet article qui constate que les transformations supposées sont le résultat d›un changement du modèle économique organisationnel, où, plutôt que de s›intéresser au modèle de réglementation internationale, répond à un processus de concentration des actifs stratégiques par des acteurs qui ont la capacité de saisir la réglementation, démontrant que l'approche interdisciplinaire est un terrain fertile pour mieux expliquer la réalité de ces pays dans l'environnement mondialisant qui caractérise l›économie actuelle de ces pays. Le deuxième article, intitulé "Impact de l›autofinancement sur l'innovation dans les micro, petites et moyennes entreprises colombiennes», donne un aperçu d'un aspect qui n›a pas été explicitement étudié et qui se situe aux frontières de la connaissance entre économie, finance et administration, en particulier dans un secteur important de l›économie des pays en développement, celle des MPME, qui malgré leur grande contribution au bien-être économique de la population, occupant 80% de la population de ces pays, n'a pas fait l›effort intellectuel de nos chercheurs, gaspillant un espace de développement potentiel d'autonomie qui ouvrira la voie à un véritable développement socioéconomique de notre région. Les résultats descriptifs montrent que les PMI colombiennes utilisent principalement leurs propres ressources pour leurs investissements, et les résultats inférentiels obtenus par régression linéaire indiquent que le financement interne a une influence positive et significative sur leur innovation globale, ainsi que sur celle de leurs produits/services, processus de production et gestion. Il s›agit d'une variable d›une importance fondamentale à impliquer dans les politiques de développement de l'industrie latino-américaine et que trèspeu de choses sont prises en considération jusqu›à présent, dans cequ›on a appelé l'économie orange, que des pays comme la Colombie veulent promouvoir. En réalité, les ressources internes ou propres restent la principale source de financement des projets d'investissement de ces entreprises et, bien que cela soit conforme aux postulats de la théorie de la hiérarchie financière, tout semble indiquer que les raisons en sont principalement les obstacles qu›elles rencontrent pour accéder au marché financier extérieur. Notre prochaine section, consacrée à ladiscipline économique, nous présente un article important centré sur l'analyse de la relation entre "La bonne gouvernance et l'efficacité de l'aide"; un sujet de la plus haute pertinence pour nos économies. Il analyse les composantes et les déterminants de la bonne gouvernance, ainsi que sa relation avec des concepts étroitement liés tels que la qualité institutionnelle et, surtout, les idées et les preuves créées sur la relation entre bonne gouvernance et efficacité de l'aide au développement. En fin, il conclut qu'il n'y a pas de consensus général sur l'efficacité de l'aide dans la promotion de la croissance économique, et qu'il y a à la fois des défenseurs et des détracteurs de cette idée. D'une manière réfléchie, elle laisse ouverte la voie à la vérification empirique des effets réels de l'aide économique et des conditions dans les quelles de meilleurs résultats seraient possibles pour le bénéfice de larges masses de la population. Nous clôturons ce numéro avec deux sections : la première, traditionnelle sur les thèmes de l›administration en tant que discipline structurellement intégrée à l'économie, la comptabilité et lafinance, et où deux articles sont développés: le premier d'entre eux estintitulé "Co-création et lesnouveaux défis de création de valeur aux quels les organisations font face. Ce sujet est d›actualité et marque une tendance de la théorie administrative moderne, qui s›articule autour de nouvelles approches de la création de valeur. Il est conclu que, pour générer une valeur durable dans lesorganisations, les actions des gestionnaires doivent être axées sur la création de valeur conjointe avec leurs clients et non sur l›objectif exclusif d'augmenter les ventes de leurs produits ou services habituellement conçus en interne et de façon fermée. Le deuxième article, intitulé "Modèle d'analyse de l'incidence du capital social sur le développement humain à Bogotá, D.C.", vise à identifier s›il existe un type de relation entre capital social et développement humain dans le contexte endogène de la ville de Bogotá. Cette fin, il est proposé demener une recherche descriptive, fondée sur une analyse de régression multiple, qui facilite la proposition d'un modèle qui détermine le niveau d'incidence du capital social dans le développement humain, à partir du calcul de l'indice de développement humain et de l'indice de capital social répartis en composantes du calcul intégral de l'indice de capital social, soit l'indice de capital cognitif, l'ICSE, l'indice de capital social structurel, l'ICSC et l'IRSCS, et de l'indice de représentation du capital social. Sur la base de ces calculs, on constate que l'ampleur et l'utilisation du capital social dans la ville sont inconnues, ce qui engendre la construction d'une société avec un haut niveau d'atomisation et un désintérêt pour les problèmes de citoyenneté. Pouvoir vérifier ces affirmations a une importance capitale pour l'adoption de politiques de développement social et humain à Bogotá, D.C., en tenant compte des différentes composantes analytiques qui ont été utilisées dans l'étude. Dans la dernière partie, consacrée à la gestion des connaissances, le sujet des brimades dues à l'orientation sexuelle chez les élèves de sexe masculin estanalysé pédagogiquement dans l'environnement de l'enseignement secondaire, qui cherche à contribuer à la prévention des comportements debrimades, en raison des effets que cela a sur le bien-être d'une population qui tend à se séparer de manière antidémocratique et qui fait déjà partie des modèles éducatifs qui doivent être orientés vers la formation des valeurs. En tant que pédagogues, nous croyons que l'éducation peut et doit créer des environnements de respect et de valorisation de la différence, où chacun peut y accéder, indépendamment de son orientation sexuelle, de son sexe ou d'autres constructions sociales ou culturelles. L'ensemble des huit articles que nous mettons à la disposition de la communauté académique, organisés en sections orientées selon les principes qui sous-tendent la philosophie scientifique et la politique éditoriale de la revue, s'inscrit dans un nouvel effort qui, nous en sommes sûrs, contribuera à renforcer le développement scientifique et technologique de nos disciplines dans un environnement qui nous est propre mais qui dialogue avec l'universalité du savoir à un niveau global et qui deviendra progressivement les grands piliers de notre développement humain et social. ; A revista Critério Livre tem desempenhado um importante papel em promover a divulgação científica como um mecanismo fundamental nos processos de transformação de nossas nações latino-americanas para sociedades melhor formadas, com um equilíbrio saudável entre o necessário crescimento da produção de bens tangíveis e intangíveis e uma mais justa distribuição da riqueza, em benefício de todas as suas populações, que buscam erradicar a pobreza, que é o maior flagelo que a humanidade ainda não conseguiu superar. Pelo exposto, nos baseamos em critérios do desenvolvimento da ciência que contribuam para esses ideais, escolhendo então os melhores artigos, submetidos a rigorosos processos de avaliação por renomados pesquisadores nacionais e internacionais, que também contribuíram para elevar a qualidade científica dos mesmos através de seus atinadas observações,e também a desenvolver o pensamento científico e a utilização do melhorestilo para sua comunicação, enriquecendo o pensamento científico social em nossos países. Podemos resumir esses princípios assim: o desenvolvimento da ciência e da tecnologia como expressão de sistemas valorativos e socioculturais dados, o desenvolvimento da ciência a serviço da transformação produtiva em benefício da sociedade, a conscientização sobre o papel da ciência e da tecnologia na definição das relações de poder nos níveis nacional e internacional e sua inserção nas políticas de desenvolvimento, a utilização da ciência e da inovação tecnológica como instrumentos de autonomia, a abertura a abordagens inovadoras na consolidação da ciencia social, a liberdade do pensamento crítico em todos os níveis da gestão do conhecimento científico, entre outros. Neste sentido, tentamos fortalecer a análise e o desenvolvimento crítico das ciências econômicas, administrativas, financeiras e contábeis, abrindo um espaço para a discussão e desenvolvimento da epistemologia de estas ciências sociais, que cada vez mais torna-se o eixo central de nossa revista. A presente edição inclui dois itens que fazem parte desta discussão epistemológica: no primeiro deles, o pesquisador José J. Ortiz B. planta um dilema que acompanha o desenvolvimento da ciência contábil, "A crise da representação contábil: problemas da ciência social ou política do poder?", em que busca esclarecer os fatores que originam a problemática da representação contábil a partir de uma reflexão sobre os fundamentos teóricos que sustentam este importante tema e os referentes empíricos que mostram esta problemática, fatores que foram vistos como um obstáculo epistémico na consolidação dessa jovem ciência e o que o autor pretende contribuir para seu esclarecimento epistemológico e a proposta de alternativas de solução, que propõe para discussão com a comunidade científica com uma abordagem interdisciplinar e a partir do paradigma da complexidade. No segundo artigo, o profesor Jean Paul Sarrazin levanta uma interessante dissertação sobre "Religião: nós sabemos do que estamos falando? Análise da viabilidade de uma categoria analítica para as ciências sociais". O objetivo desta revisão foi encontrar uma categoria analítica, precisa, clara e suficientemente ampla para estudar empiricamente a vasta gama de fenômenos sócio-culturais que podem ser ou foram considerados como "religiosos". Conclui que, a pesar da ausência de uma categoria analítica unificada, alguns dos elementos mais destacados nas diferentes definições podem constituir, em si mesmos, categorias analíticas úteis para a investigação empírica. Pode-se deducir que esta seção tem sido fiel aos princípios que expusemos no início deste editorial, e que esperamos que continue transformando em uma tribuna aberta para o desenvolvimento científico de nossas disciplinas. Uma segunda seção, dedicada à contabilidade e as finanças, define temáticas que se tornaram de interesse substancial devido ao forte desenvolvimento teórico que atingiram essas disciplinas, chegando a uma fase em que as disputas dos paradigmas que sustentam várias abordagens foram decantado e é nesse terreno onde surgem contribuições que consolidam os importantes esquemas teóricos ou que, por outro lado, descartam hipótese que permitem depurar sistemas que, à maneira das camadas duma cebola, serão agrupadas por níveis, o que contribui para a consolidação das ciências sociais. Nesta seção encontramos dois importantes artigos orientados sob desta filosofia: o primeiro analisa os efeitos que sobre a informação contabilística das empresas públicas do setor elétrico colombiano teve a implementação da Resolução 743 de 2013, relativa à adopção de Normas Internacionais de Informação Financeira (NIIF) para algumas empresas públicas. Este tópico é um dos aplicativos de importantes avanços do desenvolvimento da teoria contábil para a economia financierista, que apesar disso não consegue establecer sólidas raízes para as condições dos países em desenvolvimento, como o comprova este artigo que encontra que as transformações assumidas são o resultado de uma mudança de modelo econômico, organizacional, onde, mais que atender o modelo de regulação internacional, responde a um processo de concentração de ativos estratégicos por parte de atores que têm a capacidade de capturar a regulação, demonstrando que a abordagem interdisciplinar é um campo fértil para explicar de uma maneira melhor a realidade destes países no ambiente globalizador que caracteriza a economía atual de tais países. O segundo artigo, sobre "o Impacto do autofinanciamento sobre a inovação das micro, pequenas e médias empresas colombianas", permite aprofundar um aspecto que não tem sido explicitamente estudado e que se situa na fronteira entre a economia, as finanças e a administração, dirigido especialmente a um setor importante da economia dos países em desenvolvimento, as empresas Mipymes, que apesar de suas grandes contribuições para o bem-estar económico da população, ao ocupar 80% da mesma em cada um destes países, não lhe foi dedicado um esforço intelectual por parte dos nossos investigadores, desaprovechando um espaço potencial de desenvolvimento da autonomia que permite desbrozar o caminho do verdadeiro desenvolvimento sócio-econômico de nossa região. Os resultados descritivos mostram que as Mipymes colombianas utilizam prioritariamente os recursos próprios para os investimentos, e os resultados inferenciales obtidos através de regressões lineares indicam que o financiamento interno influencia positiva e significativamente na inovação global, assim como a de seus produtos/serviços, processos produtivos e de gestão. Esta é uma variável de importância fundamental para ser envolvida nas políticas de desenvolvimento para a indústria latino-americana e que muito pouco se leva em consideração até agora, no que se tem denominado a economía laranja, que países como a Colômbia querem promover. A realidade é que os recursos internos ou próprios continuam sendo a principal fonte de financiamento para os projectos de investimento destas empresas, e se bem que isso é coerente com os postulados da teoria da hierarquia financeira, tudo parece indicar que as razões são principalmente as barreiras que encontram para acessar o mercado financeiro externo. A nossa seguinte secção, dedicada à disciplina económica, mostra-nos um importante artigo focado à análise da relação entre "Bom governo e eficácia da ajuda ao desenvolvimento", tema de altísima pertinência para as nossas economias. O artigo propõe-se aprofundar na origem e as mudanças experimentadas pela noção de bom governo; analisa os constituintes e determinantes do mesmo, bem como a sua relação com conceitos próximos como a qualidade institucional, e sobretudo, as ideias e a evidência criada sobre as relações entre o bom governo e a efetividade da ajuda ao desenvolvimento. Finalmente chega à conclusão de que não existe um consenso geral quanto a que a ajuda seja eficaz para promover o crescimento económico, e existem tanto defensores como detratores desta ideia. De maneira reflexiva deixa aberto o caminho para verificar empiricamente os verdadeiros efeitos da ajuda económica e as condições baixo as quais seriam possíveis uns melhores resultados em benefício de grandes massas da população. Fechamos esta edição com duas secções: a primeira, tradicional sobre temas de administração como disciplina que se integra estruturalmente com a económica, a contável e financeira, e onde se desenvolvem dois artigos: o primeiro destes se titula "A co-criação e os novos reptos de geração de valor que enfrentam as organizações". Esta temática é de grande atualidade e marca uma tendência na moderna teoria administrativa, que está a girar sobre as novas focagens da geração de valor. Conclui-se que, para gerar um valor sustentado nas organizações, o foco das ações dos gestores deve ser a criação de valor conjunta com os seus clientes e não a exclusiva meta de aumentar as vendas dos seus produtos ou serviços habitualmente desenhados de maneira interna e fechada. O segundo artigo, baixo o título "Modelo para analisar a incidência do capital social no desenvolvimento humano em Bogotá, D.C.", centra-se em identificar se existe um tipo de relação entre o capital social e o desenvolvimento humano no contexto endógeno da cidade de Bogotá. Para tal fim, propõe-se fazer uma investigação descritiva, baseada em análise de regressão múltipla, que facilita a proposição de um modelo que determina o nível de incidência do capital social no desenvolvimento humano, partindo do cálculo do Índice de desenvolvimento humano e do Índice de capital social decomposto em índice de capital cognitivo, ICSC, índice de capital social estrutural, ICSE, Índice de representação social do capital social, IRSCS, componentes do cálculo integral do índice de capital social. Com base nesses cálculos chega-se a comprovar que na cidade se desconhecem o alcance e o uso do capital social, o que gera construir uma sociedade com alto nível de atomização e desinteresse pelos problemas da cidadania. Poder comprovar estes asertos é de soma importância para adotar políticas de desenvolvimento social e humano no D.C., atendendo os diferentes componentes analíticos que se utilizaram no estudo. Na última secção, dedicada à gestão do conhecimento, analisa-se pedagógicamente o tema do bullying por orientação sexual entre estudantes masculinos no ambiente da educação média, que procura contribuir à prevenção de comportamentos de bullying, pelos efeitos que isso tem no bem-estar de uma população que tende a segregarse de maneira antidemocrática e que já faz parte dos modelos educativos que devem orientar à formação de valores. Como pedagogos, achamos que a educação pode e deve criar ambientes de respeito e valoração da diferença, em onde todos possam aceder a ela, sem importar a orientação sexual, o género ou outras construções sociais ou culturais. O conjunto dos oito artigos que pomos ao dispor da comunidade académica, organizados nas secções orientadas segundo os princípios que fundamentam a filosofia científica e a política editorial da revista, se configura em um novo esforço que estamos seguros contribuirá ao fortalecimiento do desenvolvimento científico e tecnológico das nossas disciplinas em um meio que nos é próprio, mas que dialoga com a universalidade do conhecimento a nível global, e que progressivamente constituir-se-ão nos grandes pilares do nosso desenvolvimento humano e social.

L'oggetto di questa tesi è la peculiare comparsa del termine imperator in un numero esiguo, ma comunque significativo di documenti provenienti dal regno di Asturia e León e dalla Britannia del X secolo. Se già di per sé questa sorta di "incongruenza storica" cattura l'attenzione, il fatto che i due fenomeni imperiali siano praticamente contemporanei e si sviluppino in due contesti molto distanti nello spazio, senza un apparente collegamento, evidenzia l'opportunità di uno studio comparativo. Ad una più attenta analisi, non si può fare a meno di notare come, in entrambi gli ambiti, il secolo immediatamente precedente sia stato caratterizzato da un momento particolarmente favorevole per la cultura – el renacimiento asturiano e the alfredian renaissance – reso possibile dall'azione attiva di due monarchi, Alfonso III di Asturia e León (866-910) e Alfred di Wessex (871-899). Nelle corti di questi sovrani vennero redatte delle cronache (le Crónicas Asturianas e la Anglo-Saxon Chronicle) nelle quali si proponeva una chiave di lettura della storia tesa a ricercare una nuova identità per i rispettivi popoli e si sottolineava il ruolo centrale delle rispettive dinastie regnanti. L'obiettivo della tesi è pertanto duplice: da una parte si desidera comprendere in quale modo e in quale senso sia stato utilizzato il termine imperator nella documentazione presa in esame, dall'altra si prova a capire quale peso ebbero le nuove identità etniche, religiose e territoriali, elaborate nelle già citate cronache, all'interno di questi fenomeni imperiali. Per una miglior resa dell'argomentazione si è deciso di dividere la tesi in due blocchi, il primo dedicato alle cronache del IX secolo e il secondo ai documenti in cui compare il titolo imperiale, risalenti al secolo successivo. A sua volta ciascun blocco si divide quindi in due capitoli, all'interno dei quali le tematiche vengono declinate nel caso ispanico e in quello anglosassone. La tesi si apre con la presentazione dei criteri impiegati nella selezione del corpus di "documenti imperiali" (Cap. 1) – nome con cui si definiscono i diplomi al cui interno compare il titolo di imperator – che ammontano ad un totale 38, di cui 20 asturiano-leonesi (privati e pubblici) e 18 anglosassoni (esclusivamente pubblici). A seguire viene fornito il contesto storico (Cap. 2) e lo status quaestionis (Cap. 3). Nel primo capitolo del primo blocco (Cap. 4) vengono trattate le tre cronache prodotte nella corte asturiano-leonese alla fine del IX secolo: conosciute anche come Crónicas Asturianas, sono intitolate rispettivamente Crónica Albeldense, Crónica Profetica e Crónica de Alfonso III. Per rendere il quadro qui esposto il più completo possibile si inizia trattando il patrimonio librario a disposizione degli autori delle cronache. A seguire si delineano i profili delle tre opere, soffermandosi in particolar modo sulla loro paternità e datazione. Si forniscono quindi indicazioni sulla tradizione manoscritta di queste cronache per poi tracciare un percorso tra le fonti. In questa parte si chiariscono concetti come quello di identità (etnica, religiosa e geografica), e si assiste alla comparsa di temi storiografici come quelli della Reconquista e del neogoticismo. Questi elementi costituiscono il punto di partenza per un ragionamento teso a far emergere il background ideologico comune a tutte e tre cronache. Nel corrispettivo capitolo inglese (Cap. 5) si delinea un profilo della produzione letteraria, in particolare storiografica, che ha caratterizzato le ultime due decadi del IX secolo anglosassone. Si inizia inquadrando gli uomini che formarono parte della cosiddetta alfredian reinassance per poi analizzare il ruolo avuto, all'interno di questo momento di rinascita culturale, dalle traduzioni in Old English delle grandi opere storiografiche. Infine, si propone una rilettura dell'unica opera storiografica scritta ex novo – l'Anglo-Saxon Chronicle – dalla quale emerge come fil rouge il concetto di overlordship. Questo è il nome che gli studiosi moderni hanno dato all'autorità che alcuni re anglosassoni poterono esercitare al di sopra degli altri regni dell'isola: si trattava di una supremazia principalmente militare che portava un re, per periodi spesso brevi, ad imporre la propria sovranità – e talvolta dei tributi – a popolazioni diverse dalla propria. Questa idea di sovranità sovrapposta era già presente in Beda e viene recuperata dai cronisti anglosassoni che la ricollegano, in maniera evidente, alla dinastia dei re del Wessex, coniando per quei re che la detennero la parola bretwalda. A conclusione del primo blocco è presente un capitolo di confronto (Cap. 6) che permette di tirare le somme della prima metà della tesi. Si ribadiscono alcuni punti in comune tra i due casi di studio qui definiti "macrocongruenze": sia la Britannia che la Spania erano parte dell'impero romano, ma non di quello carolingio e subirono un'invasione durante l'Alto Medioevo (danesi/norvegesi la prima e islamici la seconda); in entrambi i casi la produzione di cultura scritta durante il IX secolo orbitava attorno alla figura del monarca; le cronache del periodo celebrano la dinastia regnante come elemento cardine della storia "nazionale" e così facendo ne legittimano l'autorità; fra le pagine di queste cronache vengono proposte nuove identità per entrambe le popolazioni. Tuttavia, al di là di queste evidenti somiglianze, si è notato come, all'interno della cronachistica, si sia arrivati a due modi particolari di rappresentare sé stessi, il proprio regno, il proprio popolo e il proprio contesto geografico. Sono queste differenze a suscitare un particolare interesse dal momento che, come è stato chiaro sin dalla sua fase embrionale, in nessun modo lo scopo di questa ricerca è l'omologazione: non si sta cercando di uniformare la storia inglese del IX e X secolo con quella spagnola dello stesso periodo, per quanto esse abbiano sicuramente dei punti in comune. Nel capitolo di confronto si riflette quindi sulle particolari soluzioni autorappresentative soluzioni a cui sono giunti i cronisti asturiani e anglosassoni riguardo a tre punti chiave: il recupero del passato, la concezione territoriale dell'ambiente geografico e la questione identitaria. Non si può infatti trascurare il differente peso che ebbero nei relativi ambiti il ricordo del regno visigoto e quello dell'Eptarchia anglosassone e dunque, rispettivamente, le opere di Isidoro di Siviglia e Beda il Venerabile. Sarebbe inoltre sbagliato non sottolineare le differenze tra le due nuove proposte identitarie: quella inglese su base spiccatamente etnica (Angelcynn) e quella ispanica su base principalmente religiosa (regnum Xristianorum). Non poteva infine mancare un paragrafo dedicato ai differenti rapporti tra i due ambiti studiati e il mondo carolingio contemporaneo. Nel secondo blocco vengono sviscerati i fenomeni imperiali. Il capitolo dedicato all'ambito ispanico (Cap. 7) si apre con una riflessione sulle varie figure di scriptores del regno di León e sul peso avuto dai formulari visigoti nella documentazione altomedievale. Al principio del corrispettivo capitolo inglese (Cap. 8) vengono invece presentati due casi di utilizzo del termine imperiale precedenti il X secolo: quello di sant'Oswald di Northumbria (634-642) nella Vita Sancti Columbae di Adomnano di Iona e quello di Coenwulf di Mercia (796-821) nel documento S153. Seguono due paragrafi dedicati alla documentazione di Edward the Elder (899-924) e Æthelstan (924-939) che mettono in luce un sostanziale sviluppo della titolatura regia, indice di un progressivo ampliamento dell'autorità di questi monarchi. Il centro di entrambi i capitoli del secondo blocco consiste nella dettagliata analisi dei documenti imperiali e nelle riflessioni che da questa scaturiscono. Nel caso spagnolo è possibile affermare con una certa sicurezza che l'uso del titolo imperator ebbe inizio con il figlio, Ordoño II, che lo attribuì al padre per rafforzare la propria posizione di re di León. Tra la morte di Ordoño II (924) e l'ascesa al trono di Ramiro II (931) il titolo cominciò ad essere adoperato anche nella documentazione privata, senza per questo scomparire da quella regia. Non è purtroppo possibile cercare di ricondurre il fenomeno imperiale ispanico alla figura di uno scriptor in particolare – a differenza del caso inglese –; va però fatto presente che alcuni testi risalenti alla seconda metà del secolo differiscono dai documenti di Ordoño II nell'impiego del termine, poiché questo viene usato in riferimento al re vivente, anziché al padre defunto. Il titolo, almeno all'inizio del X secolo, non sembra riflettere un'autorità superiore (per l'appunto imperiale), ma richiama la sua più antica accezione, quella di "generale vittorioso" e costituisce una prerogativa dei sovrani leonesi. Per quanto riguarda il fenomeno imperiale inglese, invece, è possibile individuare un punto di inizio nei famosi alliterative charters, probabilmente redatti da Koenwald di Worcester (928/9- 957), sulla cui paternità si discute lungamente nella tesi. Sembra chiaro che imperator altro non sia che la traduzione latina di quello che gli storici hanno definito overlord. Tramite l'impiego di tale titolo i sovrani anglosassoni hanno voluto rappresentare la loro crescente egemonia sugli altri regni dell'isola, rivendicando così un'autorità più territoriale che etnica. Occorre però far presente che l'uso della terminologia imperiale forma parte di quel più ampio processo di evoluzione della titolatura regia già iniziato con Edward the Elder. Queste riflessioni vengono poi messe in relazione con quelle del primo blocco e sviluppate nelle conclusioni (Cap. 9). Esse vertono su quattro punti fondamentali: l'uso del documento e della lingua latina nei due ambiti; la Britannia e la Spania come universi a sé; il significato di imperator nei due contesti documentari; la concezione territoriale come presupposto teorico e geografico di questo utilizzo. La lettura delle fonti ci permette di affermare che entrambi i contesti rappresentavano per i rispettivi sovrani degli universi idealmente a sé stanti. I sovrani leonesi e anglosassoni ereditarono dai loro predecessori non solo una "missione" politica – di riconquista per i primi e di controllo per i secondi –, ma anche una specifica concezione – diversa per ciascun caso – dell'ambiente geografico in cui si trovavano a operare. La Britannia del re-imperatore anglosassone è la Britannia di Beda, frammentata e divisa, eppure tutto sommato unita. La Spania dei re leonesi è la Spania di Isidoro, unita, omogenea, ma drammaticamente perduta. Tuttavia, per il caso spagnolo e nel periodo qui preso in esame, al titolo non venne mai accostato un riferimento spaziale che rimandasse ad un dominio su tutta la penisola. In quello inglese, invece, tale accostamento ci fu, ma il riferimento geografico alla Britannia non fu un'esclusiva del titolo imperiale. Possiamo quindi dire che, nel caso inglese, il titolo nacque per il bisogno di tradurre in latino un'autorità indiretta ed egemonica (come quella di un rex regum), e perse poi questo significato – e quindi l'uso –, quando la situazione politica del regno si modificò; nel caso spagnolo invece, avvenne un'elaborazione quasi simmetricamente opposta. Il titolo, inizialmente usato nel suo significato più antico di "generale vittorioso" o "signore potente", venne poi reinterpretato quando nell'XI e XII secolo cambiarono gli equilibri politici della penisola. In questo periodo troviamo infatti sovrani come Alfonso VI e Alfonso VII impiegare titolature quali imperator totius Hispaniae. In entrambi i casi, l'imperator venne inteso come sinonimo di rex regum, ma in due momenti diversi: ovvero quando ve ne fu effettivamente bisogno. La tesi è provvista di mappe e della bibliografia, divisa tra fonti e studi. Inoltre si è considerato utile aggiungere in appendice i testi dei documenti imperiali. ; The subject of this thesis is the peculiar presence of the term imperator in a small, but still significant, number of 10th century documents from the reign of Asturia and León and from Britain. The fact that these two "imperial phenomena" coexisted and developed in two very distant contexts, without an apparent connection, makes a comparative study necessary. Also, in both areas the previous century was characterized by a particularly favorable moment for culture - el renacimiento asturiano and the alfredian renaissance - made possible by the action of two monarchs, Alfonso III of Asturia and León (866-910) and Alfred of Wessex (871-899). In these sovereigns' courts, chronicles were drawn up (the Crónicas Asturianas and the Anglo-Saxon Chronicle), proposing an interpretation of history which tend to seek a new identity for the respective peoples, highlighting the central role of the respective ruling dynasties. The aim of the thesis is therefore twofold: on the one hand, to understand in what way and in what sense the term imperator was used in the documentation examined; on the other hand, to estimate what weight the new ethnic, religious and territorial identities had within these imperial phenomena. For a better performance of the argument, it was decided to divide the thesis into two parts, the first dedicated to the chronicles of the 9th century and the second to the documents of the following century in which the imperial title appears. In turn, each part is divided into two chapters focused on Hispanic and Anglo-Saxon cases. The thesis opens with the presentation of the criteria used in the selection of the corpus (Ch. 1), which amounts to a total of 38 imperial documents, of which 20 Asturian-Leonese (private and public) and 18 Anglo-Saxon (exclusively public). The historical context (Ch. 2) and the status quaestionis (Ch. 3) are provided below. The first chapter of the first part (Ch. 4) deals with the three chronicles produced in the Asturian-Leonese court at the end of the 9th century. Also known as Crónicas Asturianas. they are respectively entitled Crónica Albeldense, Crónica Profetica and Crónica de Alfonso III. This chapter starts treating the Asturian library, available to the authors of the chronicles, and follows with the description of each chronicle, focusing on their paternity and dating. It then provides information about the manuscript tradition of each chronicle and it finally ends with an overall reading of the sources. Here, concepts such as identity (ethnic, religious and geographic) are clarified, and we observe the origin of historiographic themes such as those of the Reconquista and neo-Gothicism. These elements constitute the starting point for a reflection aimed at bringing out the ideological background common to all three chronicles. In the corresponding English chapter (Ch. 5) is outlined a profile of the literary production, in particular historiographic, which characterized the last two decades of the 9th century in England. We start by framing the men who formed part in the so-called alfredian reinassance and then analyze the role played in this moment of cultural rebirth by the translations in Old English of the great historiographic works. Finally, we propose a rereading of the only historiographic work written ex novo, the Anglo-Saxon Chronicle, where the concept of overlordship emerges as a common thread. Overlordship is the name that modern scholars have given to the authority that some Anglo-Saxon kings were able to exercise over other kings in the island. It is a predominantly military supremacy which leads a king, for often short periods, to impose his sovereignty - and sometimes tributes - on populations other than his own. This idea of overlapped sovereignty was already present in Beda and is recovered by the Anglo-Saxon chroniclers who relate it, explicity, to the dynasty of the kings of Wessex, coining for those kings who held it the term bretwalda. At the end of the first part there is a comparison chapter (Ch. 6) that draws the conclusions of the first half of the thesis. Some points in common (here called "macrocongruenze") between the two case studies are reiterated: both Britain and Spania formed part of the Roman Empire, but not of the Carolingian Empire and both suffered an invasion during the Early Middle Ages (Danes / Norwegians and Muslims); in both cases the production of written culture, during the 9th century, orbited around the figure of the monarch; the chronicles celebrate the reigning dynasty as the centre of "national" history to legitimize its authority; among the pages of these chronicles new identities are proposed for both populations. However, beyond these obvious similarities, it has been noted that the chronicles adopted two different ways of self-representing themselves, their kingdom, their people and their geographical context. The comparison chapter therefore reflects on three key points: the recovery of the past, the territorial conception of the geographical environment and the identity issue. In fact, we cannot neglect the different importance that the memory of the Visigoth kingdom and of the Anglo-Saxon Heptarchy (and therefore, respectively, the works of Isidore of Seville and the Venerable Bede) had. It would also be wrong not to underline the differences between the two new identity proposals: the English one had a distinctly ethnic base (Angelcynn), while the Hispanic base was mainly religious base (regnum Xristianorum). The last paragraph if finally dedicated to the different relationships between the two areas studied and the contemporary Carolingian world could not be missing. In the second block imperial phenomena are examined. The chapter dedicated to the Hispanic context (Ch. 7) opens with a reflection on the various figures of scriptores of the kingdom of León and on the weight of Visigoth formulae in the early medieval documentation. At the beginning of the corresponding English chapter (Ch. 8) are presented two cases of a use of the imperial term preceding the 10th century: that of Saint Oswald of Northumbria (634-642) in the Adomnan of Hy's Vita Sancti Columbae of and that of Coenwulf of Mercia in the charter S153. These cases are followed by two paragraphs dedicated to Edward the Elder's and Æthelstan's documentation, which highlight a substantial development of the royal title, pointing out an expansion of the authority of these monarchs. The center of both the chapters of the second block consists in the detailed analysis of the imperial documents and in the reflections that arise from it. In the Spanish case, it is possible to affirm with some certainty that the use of the imperator title began with his son, Ordoño II, who attributed it to his father to strengthen his position as king of León. Between the death of Ordoño II (924) and the ascent to the throne of Ramiro II (931), the title also began to be employed into private documentation, without disappearing in the public one. Unfortunately, it is not possible, as it is in the English case, to trace the Hispanic imperial phenomenon back to a particular scriptor. However, it should be noted that some texts dating from the second half of the century differ from the charters of Ordoño II in the use of the term, adopting it in reference to the living king, rather than the deceased father. The title, at least at the beginning of the tenth century, does not seem to reflect a superior (or imperial) authority, but recalls its most ancient meaning, of "victorious general" and constitutes a prerogative of the Leonese sovereigns. As for the English imperial phenomenon, however, it is possible to identify a starting point in the famous alliterative charters, probably drawn up by Koenwald of Worcester (928/9- 957), whose authorship is largely discussed in the thesis. It seems clear that imperator is nothing but the Latin translation of what historians have called overlord. Through the use of this title, the Anglo-Saxon rulers wanted to represent their growing hegemony over the other kingdoms of the island, thus claiming a more territorial than ethnic authority. However, it should be noted that the use of imperial terminology forms part of the broader process of evolution of the royal title that started with Edward the Elder. These reflections are then related to those of the first part and developed in the conclusions (Ch. 9). They focus on four fundamental points: the use of the documentation and the Latin language in the two areas; Britain and Spania as self-contained universes; the meaning of imperator in the two documentary contexts; the territorial conception as a theoretical and geographical assumption of this use. Reading the sources allows us to affirm that both contexts represented universes ideally self-contained for their respective sovereigns. The Leonese and Anglo-Saxon rulers inherited from their predecessors not only a political "mission" - reconquering for the former and control for the latter -, but also a specific conception - different for each case - of the geographical environment in which they found themselves operate. The Britannia of the Anglo-Saxon king-emperor is Bede's Britannia, fragmented and divided, but spiritually united. The Spania of the Leonese kings is Isidoro's Spania, united, homogeneous, but dramatically lost. However, for the Spanish case in the period examined here, the imperial title was never related to a geographical reference; in the English one, the geographical reference to Britannia existed, but was not exclusive to the imperial title. We can therefore say that, in the English case, the title was born out of the need to translate into Latin an indirect and hegemonic authority (like that of a rex regum), and then lost this meaning - and therefore the use - when the political situation of the kingdom changed. In the Spanish case, conversely, an almost symmetrically opposite processing took place. The title, initially used in its oldest meaning as "victorious general" or "powerful lord", was reinterpreted in the 11th and 12th centuries, when the political balance of the peninsula changed. In this period, we find in fact rulers like Alfonso VI and Alfonso VII employing titles such as imperator totius Hispaniae. In both cases, the emperor was intended as a synonym for rex regum, but in two different moments - always when it was more needed. The thesis is equipped with maps and bibliography, divided between sources and studies. Furthermore, it was considered useful to add a final appendix with the texts of the imperial documents. ; El tema de esta tesis es la aparición peculiar del término imperator en un número pequeño, pero significativo, de documentos del siglo X procedentes de los reinos de Asturias y León y de Inglaterra. Si en sí mismo este tipo de "coincidencia histórica" capta la atención, el hecho de que los dos fenómenos imperiales sean prácticamente contemporáneos y se desarrollen en dos contextos muy distantes en el espacio, sin una conexión aparente, pone de manifiesto la necesidad de un estudio comparativo. Tras una ulterior búsqueda, no pasa desapercibido cómo, en ambas áreas, el siglo inmediatamente anterior se caracterizó por ser un momento particularmente favorable para la cultura – el renacimiento asturiano y the alfredian reinassence –, hecho posible por la acción de dos monarcas, Alfonso III de Asturias y León (866-910) y Alfred de Wessex (871-899). En los entornos de estos soberanos, se elaboraron crónicas (las Crónicas Asturianas y la Anglo-Saxon Chronicle) que proponían una lectura de la historia destinada a buscar una nueva identidad para los respectivos pueblos, subrayando el papel central de las respectivas dinastías gobernantes. El objetivo de la tesis es, por lo tanto, doble: por un lado, se quiere entender de qué manera y en qué sentido se utilizó el término imperator en la documentación examinada y, por otro lado, tratamos de comprender qué peso tenían las nuevas identidades étnicas, religiosas y territoriales, dentro de estos fenómenos imperiales. Para una mejor presentación de los argumentos, se decidió dividir la tesis en dos bloques: el primero dedicado a las crónicas del siglo IX y el segundo a los documentos del siglo siguiente en los que aparece el título imperial. A su vez, cada bloque se divide en dos capítulos donde se desarrollan las temáticas en los casos hispanos y anglosajones. La tesis comienza con la presentación de los criterios utilizados para la selección del corpus de "documentos imperiales" (Capítulo 1) – los diplomas donde aparece el título de imperator –, que asciende a un total de treinta y ocho, veinte de los cuales son asturianos-leoneses (privados y públicos) y dieciocho anglosajones (exclusivamente públicos). El contexto histórico (Capítulo 2) y el status quaestionis (Capítulo 3) se proporcionan a continuación. En el primer capítulo del primer bloque (Capítulo 4) se presentan las tres crónicas producidas en la corte asturiano-leonesa a finales del siglo IX. También conocidas como Crónicas Asturianas, estas son la Crónica Albeldense, la Crónica Profética y la Crónica de Alfonso III. Para conseguir una visión lo más completa posible, comenzamos viendo los libros que los autores de las crónicas tenían a su disposición. A continuación, se analizan las tres obras, con una particular atención a su autoría y datación. Finalmente, proporcionamos indicaciones sobre la tradición manuscrita de estas crónicas y trazamos un camino entre las fuentes. En esta parte se van perfilando cuestiones cruciales, como la identidad (étnica, religiosa y geográfica), y temas historiográficos, como la Reconquista y el neogoticismo. Estos elementos constituyen el punto de partida para un razonamiento destinado a resaltar el trasfondo ideológico común a las tres crónicas. En el capítulo sucesivo (Capítulo 5) se traza un perfil de la producción literaria, en particular historiográfica, que caracterizó las últimas dos décadas del siglo IX anglosajón. Se comienza enmarcando a los hombres que formaron parte del llamado alfredian reinassance y analizando sucesivamente el papel desempeñado por las traducciones en Old English de las grandes obras historiográficas en este momento de renacimiento cultural. Finalmente, proponemos una nueva lectura de la única obra historiográfica escrita desde cero, la Anglo-Saxon Chronicle, a partir de la cual el concepto de overlordship emerge como un hilo conductor. Este es el nombre que los eruditos modernos le han dado a la autoridad que algunos reyes anglosajones pudieron ejercer sobre los otros reyes de la isla. Es una supremacía predominantemente militar que lleva a un rey – a menudo por períodos cortos – a imponer su soberanía, y a veces tributos, a poblaciones distintas de la suya. Esta idea de soberanía superpuesta ya estaba presente en Beda y es recuperada por los cronistas anglosajones que la relacionan, evidentemente, con la dinastía de los reyes de Wessex, acuñando para aquellos reyes la palabra bretwalda. Al final del primer bloque hay un capítulo de comparación (Capítulo 6) que permite resumir las conclusiones de la primera mitad de la tesis. Se reiteran algunos puntos en común entre los dos estudios del caso: tanto Britannia como Spania formaron parte del Imperio Romano, pero no del Imperio Carolingio y sufrieron una invasión durante la Alta Edad Media (Daneses / Noruegos e islámicos); en ambos casos, la producción de cultura escrita durante el siglo IX orbitaba alrededor de la figura del monarca. Las crónicas resultantes de este período celebran la dinastía reinante como la piedra angular de la historia "nacional" y al hacerlo legitiman su autoridad; entre las páginas de estas crónicas se proponen nuevas identidades para ambas poblaciones. Sin embargo, más allá de estas similitudes obvias, se ha observado que dentro de las crónicas ha habido dos formas particulares de representación de sí mismos, de su reino, de su gente y de su contexto geográfico. Son estas diferencias las que despiertan un interés particular, ya que, como ha quedado claro desde el principio, no hay absolutamente ningún intento de homologar la historia inglesa de los siglos IX y X con la historia española del mismo período, aunque sin duda tienen puntos en común. Por lo tanto, el capítulo de comparación reflexiona sobre las particulares formas de auto-representación proporcionadas por los cronistas asturianos y anglosajones y se centra en tres puntos clave: la recuperación del pasado, la concepción territorial del entorno geográfico y la cuestión relativa a la identidad. De hecho, no podemos descuidar el peso diferente que tuvo el recuerdo del reino visigodo y el de la Heptarquía anglosajona y, por lo tanto, respectivamente, las obras de Isidoro de Sevilla y de Beda la Venerable. También sería un error no subrayar las diferencias entre las dos nuevas propuestas de identidad: la inglesa, con una base claramente étnica (Angelcynn) y la hispana, con una base principalmente religiosa (regnum Xristianorum). Finalmente, no podía faltar un párrafo dedicado a las diferentes relaciones entre las dos áreas estudiadas y el mundo carolingio contemporáneo. En el segundo bloque se examinan los fenómenos imperiales. El capítulo dedicado al contexto hispano (Capítulo 7) comienza con una reflexión sobre las diversas figuras de los scriptores del reino de León y sobre el peso de las fórmulas visigodas en la documentación altomedieval. Al comienzo del capítulo correspondiente en inglés (Capítulo 8) se presentan dos casos de uso del término imperial anterior al siglo X: el de San Oswald de Northumbria (634-642) en la Vita Sancti Columbae de Adomnano de Iona y el de Coenwulf de Mercia (796-821) en el documento S153. Siguen dos párrafos dedicados a la documentación de Edward the Elder (899-924) y Æthelstan (924-939), donde se destaca un desarrollo sustancial del título real que indica una expansión de la autoridad insular de estos monarcas. El centro de ambos capítulos del segundo bloque consiste en el análisis detallado de los documentos imperiales y en las reflexiones que surgen de esto. En el caso español se puede concluir que, aunque hay rastros de un empleo del título imperial en la documentación de Alfonso III, es posible afirmar con cierta certeza que el uso del título imperator comenzó con su hijo, Ordoño II (914-924), quien lo atribuyó a su padre para fortalecer su posición como rey de León. Entre la muerte de Ordoño II (924) y el ascenso al trono de Ramiro II (931), el título también pasó a la documentación privada, sin desaparecer de la pública. Desafortunadamente, no es posible, como en el caso inglés, tratar de rastrear el fenómeno imperial hispano hasta la figura de un escritor en particular. Sin embargo, debe tenerse en cuenta que algunos textos que datan de la segunda mitad del siglo difieren de los documentos de Ordoño II en el uso del término, ya que se emplea en referencia al rey vivo y no al padre fallecido. El título, al menos a principios del siglo X, no parece reflejar una autoridad superior (precisamente imperial), pero recuerda su significado más antiguo, el de "general victorioso" y constituye una prerrogativa de los soberanos leoneses. En cuanto al fenómeno imperial inglés, por otro lado, es posible identificar un punto de partida en los famosos alliterative charters, probablemente producidos por Koenwald de Worcester (928/9- 957), cuya autoría se discute extensamente en la tesis. Parece que imperator no es más que la traducción latina de lo que los historiadores han llamado overlord. Mediante el uso de este título, los gobernantes anglosajones querían representar su creciente hegemonía sobre los otros reinos de la isla, reclamando así una autoridad más territorial que étnica. Sin embargo, debe tenerse en cuenta que el uso de la terminología imperial forma parte de ese proceso más amplio de evolución del título real que ya comenzó con Edward the Elder. En las conclusiones (Capítulo 9) se relacionan estas reflexiones con las del primer bloque desarrollándolas. Se centran en cuatro puntos fundamentales: el papel del documento y del idioma latino en las dos áreas; Britannia y Spania como universos en sí mismos; el significado de imperator en los dos contextos documentales y, por último, la concepción territorial como una premisa teórica y geográfica de este empleo de la terminología imperial. Tras leer las fuentes podemos afirmar que ambos contextos representaban, a los ojos de sus respectivos soberanos, universos dentro del universo. Los gobernantes leoneses y anglosajones heredaron de sus predecesores no solo una "misión" política – de reconquista para los primeros y de control para los segundos – sino también una concepción específica, diferente para cada caso, del entorno geográfico en el que se encontraban. La Britannia del rey-emperador anglosajón es la Britannia de Beda, fragmentada, dividida y, sin embargo, unida. La Spania de los reyes leoneses es la Spania de Isidoro, unida, homogénea, pero dramáticamente perdida. Sin embargo, para el caso español, en el período examinado aquí, nunca se encuentra el título imperial en relación a una referencia territorial que evoque un dominio sobre toda la península. En el inglés, sin embargo, existía este uso, pero la referencia geográfica a Britannia no era exclusiva del título imperial. Por lo tanto, podemos decir que, en el caso inglés, el título nació de la necesidad de traducir al latín una autoridad indirecta y hegemónica (como la de un rex regum), y luego perdió este significado – y su uso – cuando la situación política del reino cambió. En el caso español, sin embargo, tuvo lugar un procesamiento casi simétricamente opuesto. El título, utilizado inicialmente en su significado más antiguo como "general victorioso" o "señor poderoso", fue reinterpretado más tarde cuando el equilibrio político de la península cambió en los siglos XI y XII. En este período encontramos, de hecho, gobernantes como Alfonso VI y Alfonso VII que emplean títulos como imperator totius Hispaniae. En ambos casos, imperator fue concebido como sinónimo de rex regum, pero en dos momentos diferentes; cuando realmente se necesitaba. La tesis está provista de mapas y bibliografía, dividida entre fuentes y estudios. Además, se consideró útil agregar los textos de los documentos imperiales al apéndice.