R Evista Mexicana De Estudios Sobre La Cuenca Del Pacífico

ISSN 1870-6800 Revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época • Volumen 8 Número 16 Julio / Diciembre 2014 Colima, México Tercera

16 Revista mexicana de estudios sobre la Cuenca del Pacífico

Tercera época • Volumen 8 • Número 16 • Julio/Diciembre 2014 • Colima, México

Universidad de Colima Comité editorial nacional

Mtro. José Eduardo Hernández Nava Dra. Mayrén Polanco Gaytán / Universidad de Colima, Facultad de Rector Economía Mtro. Alfredo Romero Castilla / Universidad Nacional Autónoma de México, Facultad de Ciencias Políticas y Sociales Mtro. Christian Torres Ortiz Zermeño Dr. Juan González García / Universidad de Colima, Centro Secretario General Universitario de Estudios e Investigaciones sobre la Cuenca del Pacífico, México Dr. José Ernesto Rangel Delgado / Universidad de Colima, Dr. Alfredo Aranda Fernández Centro Universitario de Estudios e Investigaciones sobre la Cuenca Coordinador General de Investigación Científica del Pacífico, México Dr. Pablo Wong González / Centro de Investigación Dr. José Ernesto Rangel Delgado en Alimentación y Desarrollo, Sonora Dr. Clemente Ruiz Durán / Universidad Nacional Autónoma de Director del CUEICP-CEAPEC México, Facultad de Economía Dr. León Bendesky Bronstein / Economic Research Institute, Licda. Ma. Guadalupe Carrillo Cárdenas Washington, Estados Unidos de Norteamérica Coordinadora General de Comunicación Social Dr. Víctor López Villafañe / Instituto Tecnológico y de Estudios Superiores de Monterrey, Campus Monterrey, Relaciones Internacionales Dr. Carlos Uscanga Prieto / Universidad Nacional Autónoma Mtra. Gloria Guillermina Araiza Torres de México, Facultad de Ciencias Políticas y Sociales Directora General de Publicaciones Profr. Omar Martínez Legorreta / Colegio Mexiquense, México Dr. Ernesto Henry Turner Barragán / Universidad Autónoma Metropolitana-Azcapotzalco, Departamento de Economía Dra. Marisela Connelly / El Colegio de México, Centro de Estudios Dr. Ángel Licona Michel de Asia y África Director de la revista Cuerpo de árbitros Lic. Ihovan Pineda Lara Dra. Genevieve Marchini W. / Universidad de Guadalajara, Coordinador Editorial de la revista Departamento de Estudios Internacionales. Especializada en Economía Financiera en la región del Asia Pacífico Comité editorial internacional Mtro. Alfonso Mercado García / El Colegio de México y El Colegio de la Frontera Norte. Especializado en Economía Industrial e Industria Maquiladora Dr. Hadi Soesastro Dr. Fernando Alfonso Rivas Mira / Universidad de Colima. Center for Strategic and International Studies, Indonesia Especializado en Propiedad Intelectual; Turismo Internacional y Desarrollo Regional en el Marco de la Cuenca del Pacífico Dr. Pablo Bustelo Gómez Dr. Alfredo Román Zavala / El Colegio de México. Especializado Universidad Complutense de Madrid, España en Estudios sobre el Japón y Australia Mtro. Saúl Martínez González / Universidad de Colima. Especializado en Economía Agrícola Dr. Kim Won ho Dra. Susana Aurelia Preciado Jiménez / Universidad de Universidad Hankuk, Corea del Sur Colima Dr. Roberto Escalante Semerena / Universidad Nacional Autónoma de México, Facultad de Economía. Especializado en Economía Agrícola Dr. Mitsuhiro Kagami Dra. Melba Eugenia Falck Reyes / Universidad Instituto de Economías en Desarrollo, Japón de Guadalajara, Departamento de Estudios del Pacífico. Especializada en Economía Japonesa Dra. Kirstein Appendini / El Colegio de México. Índices a los que pertenece: Sistema regional de información Especializada en Economía Agrícola en línea para revistas científicas de América Latina, El Caribe, Dra. Emma Mendoza Martínez / Universidad de Colima. España y Portugal (LATINDEX) Especializada en Estudios de Asia y África / Universidad de Colima. Citas Latinoamericanas en Ciencias Sociales y Humanidades Dra. María Elena Romero Ortiz Especializada en Relaciones Internacionales (CLASE) Dr. Jürgen Haberleithner / Universidad de Colima. EBSCO/México Especializado en Políticas de Investigación, Desarrollo y Empleo

PORTES, revista mexicana de estudios sobre la Cuenca del Pacífico, Tercera época, Volumen 8, Número 16, Julio/Diciembre 2014, es una publicación semestral de difusión e investigación científica del Centro Universitario de Estudios e Investigaciones sobre la Cuenca del Pacífico y del Centro de Estudios de APEC (CUEICP-CEAPEC) de la Universidad de Colima. Av. Gonzalo de Sandoval 444 Col. Oriental, C.P. 28046, Colima, Col., México. Teléfono (+ 52) (312) 31 6 11 31, ext. 47801. www.portesasiapacifico.com.mx, [email protected]. Editora responsable: Gloria González. Edición: José Luis Ramírez Moreno y Carmen Millán. Reservas de Derechos al Uso Exclusivo No. 04-2010-030116423900-102, ISSN 1870-6800. Impresa por la Dirección General de Publicaciones de la Universidad de Colima, Av. Universidad 333, Col. Las Víboras, C.P. 28040. Colima, Col., México. Teléfono (+52) 312 31 6 10 00, ext. 35004. Este número se terminó de imprimir en diciembre de 2014 con un tiraje de 500 ejemplares. Su precio de suscripción anual es de $100 (cien pesos 00/100 MN) o de $60 (sesenta pesos 00/100 MN) $10 dls. (USA) el ejemplar, más gastos de envío (en su caso). Las ideas expresadas en los artículos e investigaciones son responsabilidad de los autores y no reflejan el punto de vista del CUEICP-CEAPEC o de la Universidad de Colima. El CUEICP y el CEAPEC autorizan la reproducción parcial o total de los materiales presentados aquí, siempre y cuando se dé crédito al autor y a la revista sin fines de lucro.

25 años de estudios sobre la Cuenca del Pacífico en la Universida de Colima Índice

Presentación ...... 5-7 Ángel Licona Michel

Artículos The Importance of Human Capacity Building in Asia-Pacific Economic Cooperation ...... 9-28 Tereso Tullao, Jr. y Simbulan

Diferencias culturales entre México y Japón: desde las perspectivas de los japoneses en Guadalajara ...... 29-60 Takako Nakasone

Carbon Cowboys in Peru and the Prospects of Local Redd Governance ...... 61-83 Wil de Jong Dennis del Castillo Torres Ángel Salazar

Study of China’s Non-profit Sectors Participating in Emergency Management ...... 85-96 Wang Shi-jun

The Research on the Military Administrative Law in Han Dynasty of China ...... 97-114 Zhang Han

The Comparative Research on the Penalty Allocation between Mexico and China ...... 115-133 Zhang Juan-juan Reseñas Por qué fracasan los países: Los orígenes del poder, la prosperidad y la pobreza ...... 135-137 Francisco Javier Haro Navejas

La diplomacia pública de China en América Latina. Lecciones para Chile ...... 139-141 María Fernanda Guerrero Sánchez

India: Democracia y violencia religiosa ...... 143-194 Melissa Mercedes Álvarez Silva Index

Presentation ...... 5-7 Ángel Licona Michel

Articles The Importance of Human Capacity Building in Asia-Pacific Economic Cooperation ...... 9-28 Tereso Tullao, Jr. y Simbulan

Cultural differences between Mexico and Japan: from the perspective of Japanese people ...... 29-60 in Guadalajara Takako Nakasone

Carbon Cowboys in Peru and the Prospects of Local Redd Governance ...... 61-83 Wil de Jong Dennis del Castillo Torres Ángel Salazar

Study of China’s Non-profit Sectors Participating in Emergency Management ...... 85-96 Wang Shi-jun

The Research on the Military Administrative Law in Han Dynasty of China ...... 97-114 Zhang Han

The Comparative Research on the Penalty Allocation between Mexico and China ...... 115-133 Zhang Juan-juan Reviews Why countries fail: The origins of power, prosperity and poverty ...... 135-137 Francisco Javier Haro Navejas

China’s public diplomacy in Latin America. Lessons for Chile ...... 139-141 María Fernanda Guerrero Sánchez

India: Democracy and religious violence ...... 143-144 Melissa Mercedes Álvarez Silva Presentación

n los países de Asia-Pacífico los aspectos culturales, eco- Enómicos, comerciales y políticos son de mayor importancia porque a través de ellos se muestra su dinamismo con el mundo. La revista Portes, en su edición 16 presenta seis artículos y tres reseñas de libros de investigaciones relacionadas con la importancia del fomento de la capacitación del recurso humano en el Mecanismo de Cooperación Económica de Asia-Pacífico; diferencias culturales entre México y Japón, vaqueros del carbono en Perú, y perspectivas de gobernanza; sectores sin fines de lucro en China, el sistema militar de administración de leyes durante la dinastía Han en China, y un análisis comparativo de la asigna- ción de penas para los delitos ambientales entre México y China. En el primer artículo escrito por Tereso Tullao, se presenta un análisis de la relevancia que tiene la capacitación para forta- lecer las habilidades humanas en el Mecanismo de Cooperación Económica para Asia-Pacífico, porque ello se asocia con el nivel de competitividad de las economías, y de igual manera genera condiciones para que exista una mayor movilidad de la mano de obra capacitada, donde existe una mayor apertura de los mer- cados que coadyuvan en la reducción de la brecha tecnológica. Para el desarrollo del segundo artículo, Takako Nakaso- ne examina las diferencias culturales existentes entre México y Japón; igualmente, presenta reflexiones de la aculturación de residentes japoneses permanentes y temporales en la zona metropolitana de la ciudad de Guadalajara, Jalisco, resaltando que los nipones mantienen una fuerte identidad japonesa, pero están dispuestos a integrarse con algunos elementos culturales mexicanos que ellos consideran positivos, y no afectan sus raíces de procedencia. En lo que respecta al tercer artículo, Wil de Jong, Dennis del Castillo Torres y Ángel Salazar, presentan un análisis acerca de la vulnerabilidad de la gobernanza sobre los recursos naturales en el país de Perú, que hace esfuerzos para reducir las emisiones de dióxido de carbono. Estos autores documentan el caso de un australiano que en 2010 en la ciudad de Inquitos, capital de la Amazonia peruana, firmó acuerdos con organizaciones indígenas para comercializar créditos de carbono con su nombre; dicho personaje cometió fraude en la región, y de este modo mostró la fragilidad política e institucional que existe en países como Perú, que pretenden desarrollar proyectos relacionados en la reducción de emisión de carbono forestal. En el artículo cuarto realizado por Wang Shi-jun, se re- flexiona acerca de la relevancia que tienen los organismos sin fines de lucro en la sociedad, donde se destaca que los gobiernos son superados cuando de una emergencia se trata; se analiza cómo el país de China por medio de un enfoque en la política de administración de riesgos, puede alcanzar beneficios involucrando al sector sin fines de lucro, ya que éste logra combinar una participación social extensa; además, por la credibilidad que tiene en la sociedad, puede convocar a grandes movilizaciones por encima de lo que pudiera hacer el sector público o privado, coadyuvando con ello al país, cuando de una emergencia se trate. Por su parte, en el artículo quinto, Zhang Han analiza la administración de leyes durante el sistema militar de la dinastía Han en China. A través de la historia, muestra la importancia del sistema legal y herencia de dicho orden de leyes militares, para la continuidad en el poder de las siguientes dinastías. En el sexto artículo, Zhang Juan-juan hace una compa- ración de la asignación de penas en lo que respecta a los delitos ambientales en los países de México y China. Analiza cómo ambos países al encontrarse en un proceso de desarrollo de industrialización en sus economías, padecen mayores niveles de contaminación; en consecuencia, los delitos ambientales se convierten en una amenaza social invisible que crece; igualmente, contempla que es necesario perfeccionar las leyes para que su transformación económica no se convierta en una amenaza para la salud. Se suman a los seis artículos, las reseñas escritas por Francisco Javier Haro Navejas: “Por qué fracasan los países: los orígenes del poder, la prosperidad y la pobreza”, María Fernan- da Guerrero Sánchez: “La diplomacia pública de China en Amé- rica Latina. Lecciones para Chile”, Melissa Mercedes Álvarez Sil- va: “India: Democracia y violencia religiosa”. Deseamos que las investigaciones que conforman este nú- mero de Portes, contribuyan en el conocimiento y motiven el estudio de los países que conforman la Cuenca del Pacífico. De esta manera, seguimos invitando a los especialistas e interesados para que publiquen sus trabajos en esta revista.

Ángel Licona Michel Director de la revista

The Importance of Human Capacity Building in Asia-Pacific Economic Cooperation

La importancia del fomento de la capacidad humana en Cooperación Económica Asia Pacífico

Tereso Tullao, Jr. y Simbulan1

Abstract Although the importance of human capacity building has been cited in the growth of economies, it has not taken a central role in carrying out regional cooperation in Asia Pacific. In addition, human capacity building is associated with the competitiveness of the economies in the Asia Pacific region. Because of these associations, there are regional benefits arising from enhanced human capacity building beyond the usual private returns and social benefits. In addition, narrowing technological gap through human capacity building can promote greater regional trade. Lastly, regional efforts on human capacity building should not be perceived as a prelude to labor mobility but instead as a prerequisite for greater mobility of capital. Thus, aside from the role of human capacity building in economic growth and competitiveness, it is also crucial in regional connectivity and related with trade liberalization which are major thrusts of Apec.

Keywords: human capacity building, human capital, technical and vocational education, competitiveness.

1 Ph. D. de La Salle University-Angelo King Institute for Economic and Business Studies. Manila, Filipinas. E-mail: [email protected]

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Resumen Aunque la importancia del fortalecimiento de la capacidad de las personas ha sido citada en el crecimiento de las economías, no ha tenido un papel central en la realización de la cooperación en la región de Asia Pacífico. Además, el desarrollo de las capacidades humanas se asocia con la competitividad de las economías de los países de la región de Asia y el Pacífico. Debido a estas asociaciones, hay beneficios regionales derivados de un mayor desarrollo de las capacidades humanas, más allá de los usuales beneficios privados y beneficios sociales. Por otra parte, reducir la brecha tecnológica mediante el fomento de la capacidad humana puede promover un mayor comercio regional. Por último, los esfuerzos regionales de fomento de la capacidad humana no deben considerarse como un preludio a la movilidad de la mano de obra, sino como un requisito previo para una mayor movilidad del capital. Por lo tanto, aunado a la función de fomento de la capacidad humana en el crecimiento económico y la competitividad, también es esencial la conectividad en la región, relacio- nada con la liberalización del comercio: ejes principales de Apec.

Palabras clave: capacidad humana, capital humano, enseñan- za técnica y profesional, competitividad.

Introduction ince its inception a few decades ago, the Asia Pacific Economic SCooperation (Apec) has pursued liberalization and facilitation measures in trade and investment to enhance intraregional commercial relations. These initiatives together with the formation of extensive networks of global and regional value chains have brought in economic prosperity to many economies in the region for years. It is predicted that the continued growth and transformation of Asia-Pacific will rely on enhancing this regional connectivity through freer flows of goods, services, and capital. However, crucial in this regional connectivity is the important role played by human capacity building. Human capacity building refers to a wide range of programs, initiatives, activities and expenditures at the individual, household, community, firm, and national levels intended to increase the capacity of individuals to become productive members of an economy. It covers all levels of schooling from

10 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 9-28 Issn 1870-6800 The Importance of Human Capacity Building in Asia-Pacific Economic Cooperation basic education, technical and higher education for citizenship formation and employment preparation. It also includes all forms of training, general and specific, conducted formally within a school setting or informally through on-the-job modes to enhance the productivity of workers for various occupations. It also involves continuing education and training schemes for personal and professional development. Although important, human capacity building has not taken a central role in defining and implementing regional cooperation schemes in Asia Pacific. This short note will speculate on the reasons why some Apec economies have been quite reluctant to attach the same value on human capacity equivalent to the importance that they give on measures towards trade liberalization and investment facilitation. The paper will also argue why human capacity building is consistent with the original pillars of Apec. Moreover, the imperatives of the times will push human capacity building to the front for human resource development will propel the region to greater heights in the future.

Role of Human Capacity Building in Economic Development Since education and training are major components in human capacity building I will discuss their role in the process of economic development. There are theoretical as well as empirical basis on the importance of human resources in expanding the wealth of nations. Investment in human capital contributes to economic growth through enhanced productivity of workers. Education and other forms of human capacity building transmit knowledge, skills and competencies that increase workers’ productivity and earnings. (Xiao, 2001; Mincer, 1974; Becker 1964; as cited in Tullao and Cabuay, 2013). Cooray (2009) provides a comprehensive review of literature on the effects of education on economic growth. He re-emphasizes the findings of many studies (Mankiw, Romer and Weil, 1992; Barro, 1991; Hanushek, 1995) with his international empirical evidence, that education quantity (enrolment rates) and quality (availability and quality of physical capital, teacher training) are positively associated with higher growth rates. Ozturk (2001), on the other hand, discusses that in the course of a country’s growth, education directly determines the

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country’s capacity to effectively utilize borrowed technology. Primary and secondary education teaches the basic skills needed in the workplace such as numeracy, literacy, communication skills, and social skills including working with teams. Technical skills and other work related competencies can be learned in secondary and vocational education. Tertiary education prepares students for employment in industries using more sophisticated technology which are imported, adapted and improved. Meanwhile, higher education provides support for the development of sciences that generates of knowledge capital, and the development of technology and innovation.

Congruence between technological developments and human capacity building Although human capacity building is very important in economic growth, there are two major issues that face the Asia Pacific region on this process of expanding human capital. First, there is unevenness in the stock of human capital as well as in investments in human capacity building among the economies. This regional divide on human capacity translates in widening development gaps within the Asia Pacific region. Second, inadequate investments in human capacity building may have consequences on individual economies. For more developed economies, it can be a challenge in harnessing technological advance through r&d and innovation. For middle income economies, insufficient investments in human capital can also put them at a precarious situation particularly in overcoming the middle income trap. For the low income economies, inappropriate investments in human capital can lead to inefficiencies through talent mismatch, brain drain and worse unemployment. In an environment of limited resources, investment in human capital should be allocated efficiently. One of ways of responding to this concern is the need to have congruence between the development stage of an economy and its technological requirements. In this light, the economies should align their human capacity building with human resources requirements consistent with their economic development. Countries usually start with growth bias on agriculture which uses traditional and undemanding technologies in agricultural and cottage industries. These production processes

12 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 9-28 Issn 1870-6800 The Importance of Human Capacity Building in Asia-Pacific Economic Cooperation are uncomplicated and uses unskilled up to semi-skilled workers to perform manual labor (Tullao and Cabuay, 2013). In this stage, little education is needed, and perhaps basic education is sufficient. As the economy develops, the share of the industrial sector in generating income and employment begins to increase due to an expanding population and structural changes in the economy (Tullao&Cabuay, 2013). This change is accompanied by changes in technology as well as the types of workers needed. At this stage of development, the economy may have to borrow technology from more developed ones as it exploits opportunities in the manufacturing sector based on its resource endowment. From the human resource perspective, borrowed technology may require middle-skilled and technical workers. This implies that graduates of secondary education and technical/vocational training should have the appropriate competencies and dexterities to operate improved production techniques. As the economy further develops it may utilize a mix of borrowed technologies and locally-developed technologies (Tullao&Cabuay, 2013). At this point, countries start to develop their industries that produce intermediate inputs to support their manufacturing sector’s quest to be globally competitive. This requires the employment of higher-educated professionals such as engineers, technicians, and technologists to exhaust the country’s comparative advantage in manufacturing given its resource endowments. This marks the journey of a country towards middle-income status (Tullao, 2012). Moving beyond the stage of heavy manufacturing, the economy evolves further by developing differentiated manufactures. In addition, the services sector at this point of development becomes prominent as well. This may involve introducing innovation to existing technologies both borrowed and locally developed. This stage produces innovative products that utilize high value-adding services and will require the production of scientists, highly-educated engineers and highly- skilled professionals (Tullao&Cabuay, 2013). As an economy enters the stage of innovative technology, it will require strong linkages between higher education and R&D. This has been the highlight of Romer’s (1986) endogenous growth theory. The theory relieves the traditional growth theories of the assumption of decreasing returns to capital as it

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broadens the definition of capital to include human capital and knowledge capital (Tullao and Cabuay, 2013). He introduces the concept of increasing returns to capital with decreasing returns to knowledge, because he posits that in the long run, growth is driven by the accumulation of knowledge. In his model, human capital is composed of health, education, and training, whereas knowledge capital is the interactions of these investments in human capital with physical capital. As a country moves to the stage of innovative technology, it will require a supply of knowledge capital to generate innovations. Hence, as mentioned previously, highly-educated and highly-skilled professionals, scientists, and engineers (researchers in general) are needed to generate the R&D (and knowledge capital) to enable the country to innovate.

Human Capacity Building and Competitiveness Earlier I have defined human capacity building refers to a wide range of programs, initiatives, activities and expenditures at the individual, household, community, firm, and national levels intended to increase the capacity of individuals to become productive members of an economy. In the context of the competitiveness of economies, human capacity building has been recognized as a major component in the computation of the competitiveness index being monitored by the World Economic Forum (Wef) through its annual Global Competitiveness Report. Human capacity building can be referred to the pillar on higher education and training in the computation of the Wef Global Competitiveness Index (Gci). This pillar includes secondary enrolment measured in terms of the participation rate, tertiary education enrolment also in participation rate, quality of educational system, presence of specialized research and training services, and the extent of staff training. For Apec economies, Singapore ranked 2nd among the 148 economies in world in this pillar for competitiveness, as shown in Table 1. It was followed by Usa which was ranked 7th globally. New Zealand was the third highest ranking Apec economy at the 9th place internationally. At the other extreme, the bottom three Apec economies are Mexico (85th), Peru (86th) and Vietnam (95th). These results reinforce the initial observation made earlier that there is a huge gap in the human resource development among Apec economies.

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This human resource development gap is likewise reflected in the competitiveness asymmetry among the economies in the region. Singapore scored the highest among Apec economies and ranked 2nd in the world in terms of overall competitiveness index while the Us was ranked 5th and Hong Kong, Sar was placed 7th globally. On the other hand, the lowest competitiveness index among Apec economies was registered by Vietnam which ranked 70th globally while Russia was 64th and Peru was 61st among the 148 economies included in the global rankings.

Portes, revista mexicana de estudios sobre la Cuenca del Pacífico 15 Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 9-28 Issn 1870-6800 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico 4 6 30 21 12 26 25 96 34 46 51 48 11 72 15 90 27 88 31 50 Extent of Staff Training 7 9 23 87 48 18 12 42 31 62 20 50 28 89 51 76 14 16 37 125 Services Availability of Research and Training 3 23 22 25 32 36 95 10 50 74 64 54 19 11 40 85 30 78 119 134 Quality System of Educational 11 (7.9) 3 (94.8) 9 (82.6) 7 (84.4) 34 (60.4) 94 (19.6) 87 (24.9) 89 (24.4) 38 (59.3) 37 (59.7) 21 (70.7) 1 (103.1) 83 (26.8) 62 (42.3) 79 (28.8) 59 (43.0) 81 (28.2) 14 (75.9) 20 (72.0) 55 (46.4) Enrolment Tertiary Education (Participation Rate)

Economies on Global Competitiveness Index Economies on Global Competitiveness p ec A 7 9 2 15 22 55 64 95 16 21 38 19 70 46 85 86 67 47 11 66 Higher Education and Training

) ci 7 5 9 2 21 26 38 70 14 34 25 29 24 55 18 61 59 64 12 37 Global and Various Indices on Higher Education Training 2013 Index (G Competitiveness Table 1. Rankings of ar s a Australia Brunei Darusallam Indonesia Vietnam Canada Japan Chile Korea, Republic China Malaysia Hongkong, S Mexico New Zealand Peru Philippines Russian Federation Singapore Taiwan, China Thailand U

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Source: Global Competitiveness Report 2013-2014 (www.weforum.org) Aside from higher education and training, Gci as measured by the World Economic Forum includes other important factors called pillars including among others, goods market efficiency, technological readiness, innovation and satisfaction factors and labor market efficiency. Goods market efficiency includes items like intensity of local competition, extent of market dominance, effectiveness of anti- monopoly policy, effects of taxation as incentive to invest, tax rate, number of procedures to start a business, number days to start a business, agricultural policy cost, prevalence of trade barriers, trade tariffs, prevalence of private ownership, business impact of rules on foreign direct investments, burden of customs procedures, import as percentage of Gdp, degree of customer orientation and buyer sophistication. As shown in Table 2, the top Apec economies in this major pillar of competitiveness were Singapore (1st) and Hong Kong (2nd). Meanwhile the bottom Apec economy was the Russian Federation which was ranked 126th globally. The pillar on technological readiness covers items including availability of latest technologies, firm-level technology absorption, foreign direct investments and technology transfer, percentage of individuals using Internet, fixed broadband Internet subscriptions, international Internet bandwidth, and mobile broadband subscriptions. In this pillar, Hong Kong was 6th and Singapore was 7th worldwide while the bottom Apec economies were Peru (86th) and Vietnam (102nd) as shown in Table 2. Meanwhile, the innovation and sophistication factors consist of two major pillars: business sophistication and innovation. For business sophistication, the items included are quantity and quality of local suppliers, state of cluster development, nature of competitive industry, value chain breadth, control of international distribution, production process sophistication, extent of marketing and willingness to delegate authority. On the innovation pillar, the factors considered are the following: capacity for innovation, quality of scientific research institutions, company spending on R&D, university-industry collaboration in R&D, government procurement of advanced technological products, availability of scientists and engineers, Pct patents and applications. For innovation and sophistication factors, the top Apec economies were Japan (3rd), Usa (6th) and Taiwan (9th) as shown in Table 2. At the other extreme, Peru was ranked 97th

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while the Russian Federation was ranked 99th globally. The pillar on labor market efficiency includes items such as cooperation in labor-employer relations, flexibility of wage determination, hiring and firing practices, redundancy costs, effect of taxation on incentives to work, pay and productivity, reliance on professional management, country capacity to retain talent, country capacity to attract talent and women in the labor force. The top Apec economies in this pillar were Singapore (1st), Hong Kong (3rd), and Usa (4th) while the bottom Apec economies were the Philippines (100th), Indonesia (103rd) and Mexico which ranked 113th worldwide as shown in Table 2.

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3 6 9 27 20 23 55 97 58 26 54 25 45 34 19 33 85 99 13 52 Factors Innovation and Sophistication

6 7 24 19 22 51 74 86 77 12 71 21 42 85 75 15 59 30 78 102 Readiness Technological 9 2 1 7 52 16 33 10 83 82 31 36 50 42 17 61 74 20 34 126 Efficiency Goods Market

Economies on Global Competitiveness Index Economies on Global Competitiveness p ec 7 9 2 A 47 86 21 19 46 85 67 15 38 64 55 16 70 22 95 11 66 Higher Education and Training and Selected Pillars of Competitiveness 2013 ) ci 5 9 7 2 18 64 61 25 24 55 59 21 34 38 26 14 29 70 12 37 Global Index (G Competitiveness Table 2. Rankings of s a New Zealand Russian Federation Peru Japan Korea, Republic Malaysia Mexico Philippines Australia Chile Indonesia Brunei Darusallam Canada China Hongkong, SAR Vietnam Singapore Taiwan, China Thailand U Source: Global Competitiveness Report 2013-2014 (www.weforum.org)

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Although there are other equally important pillars in the determination of the competitiveness index of an economy, the above pillars were chosen because they are intimately linked with human capacity building. Aside from the link of these major pillars with human capacity building, the results of the rankings are consistent across the various pillars. From these two tables we can infer that the Asia Pacific region is composed of a mix of highly competitive economies, on the one hand, and economies that are challenged in terms of competitiveness, on the other hand. This asymmetry can lead to complementation and cooperation in narrowing the competitiveness gap in the region. Can Apec serves as avenue in closing this human resource development gap?

Human Capacity Building in Apec Priorities Given the importance of human capacity building in shaping a very important factor of production, serving as an infrastructure for sustained economic growth and in the shaping the competitiveness of the economies, there seems to be reluctance on the part of some Apec economies to endorse human capacity building with the same enthusiasm that they attach to trade liberalization measures and investment facilitation initiatives. I will argue that this cold treatment may be due to three major reasons. First, the regional benefits of human resource development may be too thin relative to the cost of providing it. Education and training are considered private goods that individuals and households are willing to invest because they are able to reap the private returns to investments in training. In the same manner, national governments are likewise investing in basic education and subsidizing technical education as well as graduate education because of the social returns of these investments in terms of citizenship training, employment generation to financially challenged citizens and in building research and development infrastructure of the national economy. However, the benefits to regional prosperity brought about by regional investments in human capacity building may be too small relative to the huge investments necessary to undertake such significant initiatives. Moreover, in the absence of supranational or regional bodies to collect the resources to fund these regional

20 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 9-28 Issn 1870-6800 The Importance of Human Capacity Building in Asia-Pacific Economic Cooperation initiatives, there may arise a free riding problem associated with regional provision of education and training. Given the wide gaps in human resource development among the Apec economies, a regional provision of training may put an unnecessary burden on the more developed economies since they have the resources as investments in human capital will require huge resources. Since private returns to human capacity building accrue mostly to the individuals while the social returns to the national government, human capacity building should be considered as behind the border issue and should be the concern of individual national economies. Because of these problems, this behind the border issue can be adequately addressed by the government an Apec economy. Second, closing the human resource development gap in the region may threaten front runner economies in the technological race. To a great extent the competitive edge of economies are based on their technological advantage which is mainly determined by the level of their human resource development. Narrowing the technological gaps through narrowing the human resource gaps may undermine the edge of the more developed economies as their human capital may now be comparable with quality of human talents across the region brought about by regional initiatives in human capacity building. Moreover, the reluctance may be heightened if developed economies would finance these regional initiatives in human capacity building. This is so because the returns on their investments may be too low as they diminish their competitive edge through the convergence of human resource development among the economies in the region. Third, human capacity building and narrowing the human resource development gap may open the region to greater labor mobility. Although there is nothing wrong with mobility of human resources as it is accepted and provided in the Gats, Afas and other regional initiatives on trade in services, there are many economies that are very sensitive to this idea. The Us is faced with an immigration problem, and freer entry of foreign workers may have an impact on the provision of social services, economic competition, and pressures on the labor market. In Japan, entry of foreign workers may erode cultural integrity. In South Korea, Taiwan, China and other economies in the region have strict immigration policies for various political, social, cultural and economic reasons.

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Related to strict immigration policies, there are nationalistic labor laws that provide preference for domestic workers at the expense of foreign workers. In addition, the practice of profession is highly regulated for reason of national interest and information asymmetry. This restrictiveness in labor mobility may not sync with pronouncements of Apec towards regional connectivity. Currently, discussions towards regional connectivity are more focused on greater trade and enhanced investment among the economies in the region rather than the movement of people.

Consistency of Human Capacity Building with the Pillars of Apec To reinforce the importance of human capacity building to the competitiveness of the economies, the rankings of Apec economies on selected pillars of competitiveness and the components of higher education and training shown in Tables 1 and 2 were subjected rank correlation analysis. The estimated rank correlation coefficients are shown in Table 3. The results reveal that the rankings of Apec economies on Gci are positively correlated with the rankings of Apec economies on all the selected pillars and components of higher education and training which is the indicator for human capacity building being used in this paper. The correlation coefficient of Apec rankings on higher education and training with the economy’s rankings on the Global Competitiveness Index was estimated at 0.8551 which is the third highest coefficient among the pillars and components included in the analysis. Although correlation analysis does not mean causation, this strong positive co-variation between the indices of competitiveness and higher education and training may imply the importance of human capacity building on the competitiveness of the economy. On the pillar on the goods market efficiency G ( me), this pillar is positively correlated with all the components of higher education and training with the highest rank correlation coefficient registered for tertiary enrolment (Te) and estimated at 0.8317. It is understandable that enrolment in tertiary education may co- vary with the various dimensions of the goods market efficiency as identified in the previous section since these dimension may require skilled workers that have high levels of education.

22 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 9-28 Issn 1870-6800 The Importance of Human Capacity Building in Asia-Pacific Economic Cooperation E S T A R T S Q E S T E 1.0000 L M E 0.1252 0.3544 1.0000 I S F 0.0590 0.4292 0.0418 0.4590 1.0000 T R 0.0000 0.8124 0.0111 0.5548 0.0001 0.7523 1.0000 G M E 0.0739 0.4084 0.0006 0.7012 0.0000 0.8034 0.0008 0.6899 1.0000 H E T 0.0000 0.8317 0.0052 0.6000 0.0001 0.7628 0.0000 0.0008 0.9582 1.0000 0.6887 GCI 0.0180 0.5229 0.0003 0.7213 0.0000 0.9167 0.0000 0.8334 0.0000 1.0000 0.8551 0.0000 0.8725 Table 3. Pairwise Rank Correlation Coefficients of Selected Dimensions Competitiveness T E L M E I S F T R GCI H E T G M E Continúa en la página 24

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ci et me es Probability values are listed below the estimated correlation coefficients. E S T A R T S Q E S st r ts r e me sf G H E Viene de la página 23 * Coefficients were computed by author based on the rankings of Global Competitiveness Report. I Q T A L G T

24 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 9-28 Issn 1870-6800 The Importance of Human Capacity Building in Asia-Pacific Economic Cooperation

For technological readiness (Tr), this important pillar is also positively correlated with all the components of higher education and training with the availability of research and training services (Arts) registering the highest rank correlation coefficient at 0.8369. The result is very likely since availability of research and training services will require latest technologies, technology transfer and the use of modern equipment in information and communications technology which are components of technological readiness. For innovation and sophistication factor (Isf), the rankings of the various components of what we identified as human capacity building are positively correlated with the ranking of Apec economies on the availability of research and training services (Arts) with a correlation coefficient estimated at 0.8651 while the rankings on the extent of staff training (Est) was estimated at 0.8538. This high rank correlation is expected since the availability of research and training services and extent of staff training would require quality scientific research institutions, research and development spending, government procurement of advanced technological products and the availability of scientists and engineers among others which are components of the pillar on innovation. For labor market efficiency (Lme), only two components of human capacity building, quality of educational system (Qes) and extent of staff training (Est), are significantly correlated with this competitiveness pillar. The rankings on quality of educational system registered a modest rank correlation coefficient with labor market efficiency estimated at 0.5769. The positive rank correlation coefficients of Lme with Qes and Est can be explained by need to have quality education and availability of staff training for wages to reflect productivity, a steady supply of professional managers and capacity to attract talents. Although the high and significant coefficients in the correlation matrix are not conclusive in terms of causation, these strong co-variations between the various components of higher capacity building with other major pillars of competitiveness can be instructive. Human capacity building plays an important role in shaping the competitiveness of the economies in the Asia- Pacific region. The results in our correlation analysis is our basis for refuting the earlier arguments on the apprehension of Apec economies to attach lesser value of human capacity building relative to trade liberalization and investment facilitation.

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Conclusions As a concluding remark, let me respond to the earlier arguments on the lukewarm attitude on the part of some Apec economies on the importance of human capacity building in regional cooperation and integration. Although it is accepted that investment in education may have huge private returns and social benefits, there are also regional benefits arising from enhanced human capacity building. As shown in the results of our correlation analysis, the rankings of Apec economies on human capacity building as indicated by higher education and training strongly co-vary with the rankings of Apec economies on major pillars of competitiveness. Competitiveness can make an economy attractive for foreign direct investment. One of the reasons why Singapore and Hong Kong are attracting Fdi over the years is because of their highly competitive environment. Although, regional provision of human capacity building may be discounted in the absence of a supranational government, Apec economies can cooperate through economic and technical assistance to build up the human resource base and other forms of cooperative human capacity building. The fruits of this cooperative measures can be reaped in terms of a highly competitive Asia-Pacific region. The second reason argues that closing the human resource development gap in the region may threaten front runner economies in the technological race. Although the rankings of Apec economies on human capacity building are highly correlated with the rankings of same economies in technological readiness, there is nothing wrong with closing the technological gap. First, total trade among similar economies in terms of income and technological level may be higher than the total trade with economies with uneven economic and technological development. Trade among economies with uneven stage of development is based on complementation and price advantage. However, trade among similar and more advanced economies is rooted on differentiated goods developed through technological advancement. This trade is greater because it is not based on complementation but competition. The competition is not based on price alone but more so on taste. Demand factors play an important role in trade rather than supply considerations. Thus, closing the technological gap may benefitA pec in terms of expanded trade among member economies.

26 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 9-28 Issn 1870-6800 The Importance of Human Capacity Building in Asia-Pacific Economic Cooperation

The third reason argues that regional human capacity building and narrowing the human resource development gap may lead to greater labor mobility in the region. Although there is nothing wrong with labor mobility, but regional cooperation in human capacity building should not be perceived as a prelude to labor mobility but instead as a prerequisite for greater mobility of capital. As Fdi moves from one economy to another, these firms will look for workers with similar skills, competencies and aptitude compared with the workers they have in their home economies. With the closing the human resource gap it will be easier for these firms to move across the region because they are assured that they will have the necessary workers and skilled professionals in the host economies. Thus, from the point view of the major thrust of Apec, human capacity building is quite consistent and can promote further connectivity in capital. Thus, aside from the role of human capacity building in economic growth and competitiveness, human capacity building is also crucial in regional connectivity and related with trade liberalization and investment climate.

Bibliography

Apec, (2010). Comparability and Benchmarking of Competencies and Qualification Frameworks in apec Region (Pilot Area: Construction/Welding)/ HRD-02/09. Barro, R., (1991). Economic growth in a cross section of countries. Quarterly Journal of Economics, 106, pp., 407-443.Cited in Cooray (2009). Becker, G., (1964). Human Capital. New York: Columbia University Press. Cooray, A.V., (2009). The role of education in economic growth. Proceedings of the 2009 Australian Conference of Economists (p. 1-27). Adelaide, Australia: South Australian Branch of the Economic Society of Australia. Taken from http://ro.uow.edu. au/cgi/viewcontent.cgi?article=1732&context=commpapers Hanushek, E., (1995). Interpreting recent research on schooling in developing countries.World Bank Research Observer, 10, pp., 227-246. Cited in Cooray, (2009). Mankiw, N.G., Romer, D., and Weil, D., (1992). A contribution to the empirics of economic growth. Quarterly Journal of Economics, 107, pp., 407-437.Cited in Cooray (2009). Mincer, J., (1974). Schooling, Experience and Earnings. New York: Columbia University Press.

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Ozturk, I., (2001). The role of education in economic development: A theoretical perspective. Journal of Rural Development and Administration, Volume xxxiii, No. 1, Winter 2001, pp., 39-47. Taken from http://mpra.ub.uni-muenchen.de/9023/1/mpra_ paper_9023.pdf. Tullao, T., Cabuay, C., and Hofileña, D. (20014). Establishing the Linkages of Human Resource Development with Inclusive Growth. Draft Paper for Apec Project 2015. Philippine Institute for Development Studies. Tullao, T., and Cabuay, C., (2013). Education and human capital development to Strengthen R&D capacity in Asean. Draft paper for Explicating Jakarta Framework of Moving Asean Economic Community (Aec) Beyond 2015. Angelo King Institute for Economic and Business Studies, De La Salle University Manila. Tullao, T., Rivera, J., and See, K., (2012). Labor Market Signaling in Apec Economies: An Approach in Addressing Manpower Mismatch. Asia-Pacific Economic Cooperation. World Economic Forum. Global Competitiveness Report. Available at http://www.weforum.org. Xiao, J., (2001). Determinants of salary growth in Shenzhen, China: An analysis of formal education, on-the-job training, and adult education with a three-level model.

Fecha de recepción: 22 de julio de 2014 Fecha de aprobación: 12 de septiembre de 2014

28 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 9-28 Issn 1870-6800 Cultural differences between Mexico and Japan: from the perspective of Japanese people in Guadalajara

Diferencias culturales entre México y Japón: desde las perspectivas de los japoneses en Guadalajara1

Takako Nakasone2

Resumen Este artículo presenta las diferencias culturales que existen entre México y Japón: primero, se realiza una revisión a las tres principales teorías de valores culturales del mundo (Hofstede, Hofstede y Minkov, Inglehart y Welzel y Schwartz), enfocando el caso a México y Japón. Después, se recurre a la técnica de Berry para examinar el modo de aculturación de los residentes japoneses permanentes y temporales en la zona metropolitana de Guadalajara, con el fin de conocer las diferencias de valor que ellos perciben y para averiguar a qué escala de aculturación pertenecen. Como resultado, ellos mantienen una fuerte identidad japonesa y están dispuestos a integrarse con elementos

1 Este artículo es una versión actualizada y corregida del apartado “Los cuatro modos de aculturación” del capítulo “Análisis de las entrevistas”, de la tesis docto- ral de la autora, “Los inmigrados e inmigrantes japoneses en Guadalajara (1970- 2011): su comunidad y sus adaptaciones”, aprobado en agosto de 2013. 2 Profesora-huésped de nacionalidad japonesa del Departamento de Estudios del Pacífico, Centro Universitario de Ciencias Sociales y Humanidades, Universidad de Guadalajara, México. E-mail: [email protected]

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culturales mexicanos que consideran positivos; no obstante, no están de acuerdo en asimilarlo totalmente; así pues, se puede categorizar que tienden al modo de “separación”.

Palabras clave: diferencias culturales, comparación México con Japón, aculturación, japoneses en Guadalajara.

Abstract This article discusses the cultural differences between Mexi- co and Japan. First, a review is carried out at the three main theories of the world´s cultural values (Hofstede, Hofstede and Minkov, Inglehart and Welzel, and Schwartz) focusing on the case to Mexico and Japan. After that, Berry´s technique is used to investigate the mode of acculturation of the Japanese both permanent and temporary residents in the Metropolitan Zone of Guadalajara in order to know the value of the differences that they perceive and also to find out at what level of acculturation they belong to. As a result, they maintain a strong Japanese identity and they are willing to integrate with Mexican cultural elements, which they consider positive; however, they disagree with a complete assimilation. Thus, it tends to be categorized as a “separation.”

Keywords: cultural differences, comparison between Mexico and Japan, acculturation, Japanese people in Guadalajara.

Introducción pesar de existir más de 11,300 kilómetros de distancia en- A tre México y Japón, no resulta difícil trasladarse gracias al avance en los medios de transporte; la tecnología, la facilidad para obtener información, la política diplomática y la fuerza eco- nómica que tiene cada individuo, puede ejercer en el fenómeno globalizador. En especial, en el caso japonés, no es evidente que la gente cambie su lugar de residencia al extranjero por una cuestión económica, sino que tiene que ver con la rigurosa y pe- sada vida laboral y social; además del deseo individual de expe- rimentar la vida en el extranjero (Nakasone, 2013). Evidentemente existen múltiples diferencias entre México y Japón, pero no se sabe mucho acerca de los aspectos culturales a que se hace referencia, y cuánta diferencia existe entre

30 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 29-60 Issn 1870-6800 Cultural differences between Mexico and Japan: from the perspective of... ellos. Uno de los objetivos de este artículo es mostrar las incom- patibilidades a partir de los tres grandes modelos de las diferencias culturales de los autores: Hofstede, Hofstede y Minkov, Inglehart y Welzel y Schwartz. Después de que se evidencie la existencia de las principales diferencias entre la cultura mexicana y la japonesa, surge entonces la siguiente pregunta: ¿cómo los japoneses que poseen una cultura tan diferente a la mexicana siguen viviendo en Mé- xico, particularmente en Guadalajara? En este aspecto, Padilla de la Torre y Márquez (2009) describen los valores japoneses en función al resultado de entrevistas realizadas en Aguasca- lientes, México, como es el respeto por el tiempo, devoción al trabajo, compromiso con la comunidad, austeridad, estoicismo, perfección, discreción, silencio y evitar la dicotomía en el pensamiento. Como apoyo para acercarse a la respuesta, se recurre a las estrategias de aculturación de Berry (1997), con el fin de ubicar- los en grados de aculturación en la vida mexicana. En este caso, no se utilizaron escalas que suelen emplearse en el campo de la psicología, sino que se empleó la técnica de la entrevista para conocer las amplias posturas sobre las diferencias culturales, evitando así limitar las respuestas con preguntas cerradas. Conjuntamente, se considera que los inmigrantes japoneses proporcionan una excelente oportunidad para estudiar: qué reacciones hacia México o la cultura mexicana son condiciona- das por experiencias en situaciones incómodas, así como observar cómo un grupo de inmigrantes ve a la sociedad receptora con el fin de revelar una perspectiva de la vida mexicana o la cultura mexicana, como argumenta Skrentny (2010: 68):

What are the sources of the new ethnic culture? How are they similar to or different from mainstream white or black cultural style? More important, studies of cultural assimilation lead to questions what American culture is in the first place. A full understanding of ethnic cultures would need to be comparative –ethnic minority cultures must be understood in relation to majority cultures…

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Diferencias culturales entre México y Japón Siete dimensiones culturales de Hofstede, Hofstede y Minkov Geert Hofstede, Gert Jan Hofstede y Michael Minkov3 visualizan las diferencias culturales con las siguientes seis dimensiones: distancia al poder, individualismo, masculinidad, prevención de incertidumbre, orientación a largo plazo e indulgencia, ver siguiente gráfica.

Gráfica 1. Comparación de la cultura mexicana y japonesa desde las seis dimensiones culturales de Hofstede, Hofstede y Minkov (2010).

Fuente: Elaboración propia con base en los datos de Hofstede, Hofstede y Minkov (2010).

El índice de “distancia al poder” muestra el grado en que los miembros menos poderosos de las organizaciones e instituciones esperan y aceptan que el poder está distribuido de forma desigual (Hofstede, Hofstede y Minkov, 2010: capítulo 3, sección 3, párrafo 5); esto representa la desigualdad que se define desde abajo, no desde arriba. México es una sociedad jerárquica con una puntuación de 81, más que Japón. En una puntuación intermedia de 54, Japón es una sociedad ambigua respecto a la jerarquía; puede ser por la influencia del confucianismo que

3 Originalmente Geert Hofstede reunió numerosos datos que cubren más de 70 paí- ses a partir de la información sobre los valores en el lugar de trabajo, y de cómo se ven influidos por la cultura a través de las puntuaciones conseguidas por empleados multinacionales de la empresa Ibm.

32 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 29-60 Issn 1870-6800 Cultural differences between Mexico and Japan: from the perspective of... sostiene que la estabilidad de la sociedad se basa en las relaciones de desigualdad entre las personas. No obstante, estas relaciones contienen obligaciones recíprocas y complementarias; es decir, un inferior debe respetar y obedecer al superior; mientras que el superior debe proteger y considerar al inferior. Por lo tanto, los japoneses aceptan y aprecian la desigualdad, pero sienten que el uso del poder debe ser moderado por un sentido de obligación. El siguiente índice: el “individualismo”, se refiere a las sociedades en las que los lazos entre los individuos están sueltos: se espera que cada individuo cuide de él o ella misma y de su familia inmediata; el colectivismo como su opuesto, se refiere a las sociedades en las que las personas desde su nacimiento se integran en su fortaleza, cohesión en grupos que durante toda la vida los protegerá a cambio de la lealtad incondicional (Hofstede, Hofstede y Minkov, 2010: capítulo 4, sección 3, pá- rrafo 2). El “individualismo” se asocia con una estructura de la familia nuclear y el colectivismo con una estructura de familia ampliada,4 este último cultiva la distinción entre el propio grupo y otros grupos. El hecho de que las puntuaciones de Japón son medias, se puede entender, ya que en la familia tradicional japonesa sólo el hijo mayor sigue viviendo con los padres, creando así una estructura lineal, así que se pertenece a una nuclear o una ampliada. De hecho, antes de la Segunda Guerra Mundial, efectivamente los hogares japoneses en donde vivían hasta tres generaciones (familia ampliada) se aproximaban al 40% de la población, pero actualmente, sólo el 10% pertenece a esta cate- goría (ver siguiente tabla).

4 Las familias ampliadas están formadas por un hogar nuclear, más otros parien- tes: suegros, tíos, primos, hermanos, etcétera.

Portes, revista mexicana de estudios sobre la Cuenca del Pacífico 33 Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 29-60 Issn 1870-6800 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico (%) 6.0 3.4 4.7 10.8 13.5 15.8 17.5 20.2 23.1 25.6 27.9 31.0 Unipersonales • 5 0.5 0.5 0.4 0.4 0.2 0.2 0.2 0.2 0.3 0.4 0.6 0.9 (%) Corresidentes (%) 38.2 36.5 34.7 25.4 22.3 20.7 19.8 17.8 15.9 13.9 12.4 10.4 Ampliados 6 7 … 9.7 8.6 6.4 5.8 6.6 7.3 7.9 8.6 8.9 Monoparentales … 11 6.8 8.3 12.4 13.1 14.3 16.1 17.9 19.4 20.1 20.1 Parejas sin hijos Nucleares (%) … 43.1 43.4 46.1 45.7 44.2 41.6 38.7 35.4 32.8 30.5 28.4 Parejas con hijos Tabla 1. Evolución de la composición familiar en Japón (1920-2010) Total 55.3 59.6 60.2 63.5 63.9 63.3 62.5 61.8 60.6 60.1 59.2 57.4 Dicho sea de paso, con esta información también es posible validar que la sociedad japonesa ha optado por la baja natalidad, se - gún lo demuestra el incremento de las parejas sin hijos y unipersonales. Año 1920 1955 1960 1970 1975 1980 1985 1990 1995 2000 2005 2010

5 Fuente: National Institute of Population and Social Security Research (2012). •Los hogares corresidentes están formados por dos o más personas sin relaciones de parentesco.

34 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 29-60 Issn 1870-6800 Cultural differences between Mexico and Japan: from the perspective of...

Por otro lado, México con una puntuación de 30 en el índi- ce de individualismo, es considerado como una sociedad colec- tivista. Comparando los datos anteriores de 2010 con la contra- parte mexicana, es posible apreciar las diferencias de las cons- tituciones familiares. En la siguiente gráfica se observa que el número de familias nucleares supera al de Japón, y el número mexicano de familias ampliadas es del doble que el japonés, lo cual explica el índice mayor en colectivismo.

Gráfica 2. Tipos de hogares en México y Japón, 2010

Fuente: Elaboración propia con base en datos de National Institute of Population and Social Security Research (2012) y el Instituto Nacional de Estadística y Geografía (Inegi), (2010). Nota, no existe el dato de hogares compuestos6 de Japón.

Una puntuación alta en la dimensión “masculinidad”, in- dica que la sociedad se verá impulsada por la competencia, el logro y el éxito, con un triunfo que se define por el ganador o mejor en el campo en un sistema de valores que comienza en la escuela y continúa a través de la conducta organizacional; una puntuación baja en la dimensión significa que es una sociedad femenina en la que los valores dominantes están cuidando a los demás y la calidad de vida es el signo de éxito, y sobresalir de la multitud no es admirable (Hofstede, Hofstede y Minkov, 2010: capítulo 5, sección 4, párrafo 5). Con un valor de 95, Japón es una de las sociedades más masculinas del mundo, como se refleja en las ventajas competitivas del sector manufacturero, especialmente por el gran volumen: hacer cosas eficientes, buenas y rápidas. Mientras que en México, como una sociedad católica,

6 Constituido por un hogar nuclear o ampliado, más personas sin parentesco con el jefe del hogar.

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además de ser masculina por la puntuación de 69, lo que se subraya es que es menos secularizada; es decir, la sociedad res- ponde más a las creencias de un Dios, que el amor al prójimo, lo que caracteriza a una sociedad femenina. La prevención de incertidumbre se puede definir como el grado en que los miembros de una cultura se sienten amenaza- dos por situaciones ambiguas o desconocidas (Hofstede, Hofs- tede y Minkov, 2010: capítulo 6, sección 3, párrafo 6). Con una puntuación de 92, Japón es uno de los países que más evitan incertidumbre en el mundo, mientras que México, con 82 puntos en esta dimensión, muestra una alta preferencia por evitar la incertidumbre. Las características de este tipo de sociedades son: “lo diferente es peligro”, “muchas personas se sienten infe- lices”, “menos rotación en el trabajo, mayor certidumbre laboral”, “los ciudadanos no se interesan en la política”, “hay prejui- cios étnicos”, entre otros. La quinta dimensión, la orientación a largo plazo, representa el fomento de las virtudes orientadas hacia las recompen- sas futuras; en particular, la perseverancia y el ahorro; su polo opuesto, la orientación a corto plazo, es sinónimo de la promo- ción de las virtudes relacionadas con el pasado y el presente; particularmente, el respeto a la tradición, la preservación de la honra y el cumplimiento de las obligaciones sociales (Hofstede, Hofstede y Minkov, 2010: capítulo 7, sección 2, párrafo 7). Como esta dimensión es la diferencia definitiva entre México y Japón, la siguiente tabla resume las diferencias entre la orientación a corto y largo plazo.

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Tabla 2. Las principales diferencias entre las sociedades de orientación a corto y largo plazo

Orientación al corto plazo Orientación al largo plazo

Se siente orgulloso de su país Aprende de los demás países La tradición es importante Los niños deben aprender a perseverar Hay orgullo familiar La familia es pragmática Los estudiantes atribuyen Los estudiantes atribuyen el éxito el éxito y el fracaso a la suerte al esfuerzo y el fracaso o a la falta del mismo

Se preocupa por poseer la verdad Se preocupa por comportarse con virtud El tiempo libre es importante El tiempo libre no es importante Hay una presión social Se ahorra y se economizan recursos hacia el gasto Los esfuerzos deben producir Se persevera y se esfuerza aunque resultados de inmediato los resultados no son inmediatos Se preocupa por la reputación Hay un sentido de vergüenza Se respeta la tradición Se respeta la circunstancia La humildad es sólo para La humildad es para las mujeres hombres y mujeres Fuente: Extracción de algunos elementos de Hofstede, Hofstede y Minkov (2010: capítulo 7).

La última dimensión, la indulgencia, muestra una tenden- cia a permitir relativamente una libre satisfacción de los deseos humanos básicos y naturales relacionados con el disfrute de la vida y la diversión; por otro lado, su polo opuesto, la modera- ción, refleja la convicción de que dicha complacencia tiene que ser frenada y regulada por estrictas normas sociales (Hofste- de, Hofstede y Minkov, 2010: capítulo 8, sección 4, párrafo 7). México es el segundo país más indulgente del mundo con una puntuación de 97, sólo superado por Venezuela, mientras que Japón es una sociedad moderada con menos puntuación: 50. Esta dimensión representa una gran diferencia cultural entre México y Japón. A continuación, se enlistan algunos puntos de las diferencias, ver siguiente tabla.

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Tabla 3. Principales diferencias entre sociedades indulgentes y moderadas

Indulgencia Moderación

Los porcentajes de las personas Los porcentajes de las personas que se sienten felices son altos que se sienten felices son bajos Sociedad floja Sociedad tensa Optimistas Pesimistas Hay menos disciplina moral Hay disciplina moral Hay más personas extrovertidas Hay más personas neuróticas Amplia aceptación de la música Poca aceptación de la música y películas extranjeras y películas extranjeras

Amplio contacto con extranjeros Poco contacto con extranjeros a través de correo electrónico a través de correo electrónico e internet e internet

Se consume mucho refresco Se consume poco refresco y cerveza y cerveza Se definen ligeramente Se definen estrictamente los roles de género los roles de género Importa mucho el ocio Importa poco el ocio Fuente: Extracción de algunos elementos de Hofstede, Hofstede y Minkov (2010: capítulo 8).

Al resumir estas dimensiones, México y Japón son sociedades en las que hay distancia al poder, son colectivistas, ponen mucho peso a las competencias y prefieren estar listos ante la incertidumbre. Sin embargo, México es un país orientado a corto plazo e indulgente; es decir, hay libertad para realizar cualquier cosa que se quiera; mientras Japón se orienta a largo plazo y es una sociedad moderada o contenida.

Dos dimensiones culturales de Inglehart y Welzel Inglehart y Welzel (2010a) también mapean los países por valores culturales empleando dos ejes: valores tradicionales y secular- racionales, y valores de supervivencia y expresión propia (figura 1). Por ejemplo, las sociedades tradicionales en esta dimensión enfatizan la importancia de la religión, los lazos familiares, el respeto a la autoridad, el rechazo al aborto y el fuerte patriotismo (Inglehart y Welzel, 2010b), guardando cierta correlación con la dimensión de distancia al poder de Hofstede, Hofstede y Minkov

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(2010: capítulo 3, sección 12, párrafo 2). La segunda dimensión lleva a una polarización entre la supervivencia y los valores de expresión propia, que también tiene una correlación con la di- mensión de individualismo y feminidad de Hofstede, Hofstede y Minkov (2010: capítulo 5, sección 6, párrafo 3). Las sociedades de supervivencia ponen énfasis en la seguridad económica y física, mientras que las de expresión propia dan un creciente énfasis en el bienestar subjetivo, la expresión propia y la calidad de vida. Estas sociedades valoran la libertad como ideal y sostienen la participación de la sociedad civil en la vida política, muestran confianza en los demás miembros de la sociedad y en las instituciones, dan alta prioridad a la protección del medio ambiente, la tolerancia de la diversidad y la creciente demanda de participación en la toma de decisiones en la vida económica y política. Estos valores también reflejan la polarización de masa sobre la tolerancia de grupos externos, incluidos los extranjeros, los homosexuales y lesbianas, y la igualdad de género (Inglehart y Welzel, 2010b). Resulta que México es más una sociedad de expresión propia que Japón; en otras palabras, México respeta la diversidad y la existencia de los extranjeros. Por otra parte, hay una gran diferencia en los valores tradicionales y secular-racionales; es decir, en México se destaca la importancia de los lazos entre padres e hijos, los valores familiares tradicionales, el respeto a la autoridad, junto con estándares absolutos, el rechazo al divorcio, el aborto, la eutanasia y el suicidio, por la influencia de la religión; también se tienen altos niveles de orgullo nacional. Japón tiene preferencias opuestas en todos estos temas, en particular, es el país más secular y racional del mundo.

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Figura 1. Mapa cultural de México y Japón de Inglehart-Welzel en 2006

Fuente: Adoptado de Inglehart y Welzel (2010)

Siete orientaciones de valores culturales de Schwartz La teoría de Schwartz presenta las siguientes orientaciones de valores culturales: 1) la autonomía intelectual que alienta a los individuos para perseguir sus propias ideas y orientaciones in- telectuales de forma independiente, 2) la autonomía afectiva que induce a los individuos con el fin de perseguir experiencias posi- tivas y afectivas para sí mismos, 3) el colectivismo, en el cual las personas se ven como entidades integradas en la colectividad y participan en su forma de vida compartida, esforzándose hacia metas comunes, 4) el igualitarismo, en el que las personas se reconocen unas a otras con moral equivalente, compartiendo intereses básicos como seres humanos, 5) la jerarquía, que se basa en sistemas jerárquicos de los roles, atribuidos a asegurar un comportamiento responsable y productivo, 6) la armonía, que enfatiza el encajar en el mundo tal como es, tratándolo de entender y apreciar más que cambiarlo, dirigirlo o explotarlo, y 7) el dominio, que alienta la autoafirmación activa al dominar, dirigir y cambiar el entorno natural y social para alcanzar las metas de grupo o personales. En suma, la teoría especifica tres dimensiones bipolares de estos siete valores que representan resoluciones alternativas a cada uno de los tres problemas que

40 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 29-60 Issn 1870-6800 Cultural differences between Mexico and Japan: from the perspective of... enfrentan todas las sociedades: el colectivismo contra las auto- nomías, la jerarquía frente al igualitarismo, y el dominio frente a la armonía. La figura 2 muestra que la posición de México es relativamente neutral en las tres dimensiones: posiblemente un poco cargada al igualitarismo; sin embargo, en el caso de Japón, Schwartz realizó observaciones peculiares respecto a que la po- sición de Japón en el mapa es errónea, debido a que la cultura japonesa hace especial hincapié en la jerarquía y la armonía, pero no en el colectivismo, que suele encontrarse junto a ellos y se mantiene firme en la autonomía intelectual, pero no en el igualitarismo adyacente:

Japan presents a striking exception. Seven samples from around Japan reveal an unusual combination of cultural elements. The culture strongly emphasizes hierarchy and harmony but not embeddedness, which is adjacent to them, and it strongly emphasizes intellectual autonomy but not the adjacent egalitarianism. Thus, the location of Japan in the co-plot is necessarily misleading. This unusual combination would not surprise many scholars of Japanese culture (e.g., Benedict, 1974; Matsumoto, 2002). It points to a culture in tension and transition. (Schwartz, 2006: 155)

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Figura 2. Gráfico de dispersión entre México y Japón en las siete orientaciones culturales de Schwartz (2006)

Colectivismo Armonía

Igualitarismo México

Japón

Autonomía Jerarquía intelectual Autonomía afectiva Dominio

Fuente: Adoptado a partir de Schwartz (2006: 156) Nota: Las líneas con flecha se agregaron para destacar las tres dimensiones bipolares.

Modos de aculturación de Berry La aculturación es definida como “un proceso dinámico y mul- tidimensional de adaptación que se produce cuando distintas culturas entran en contacto sostenido. Se trata de diferentes grados e instancias de aprendizaje cultural y mantenimiento que dependen de factores individuales, de grupo y ambientales” (Organista, Martín y Chun, 2010: 105). Si bien, una serie de perspectivas teóricas existe, una de las más conocidas es el aná- lisis de Berry (1997) sobre los cuatro modos diferentes de acul- turación que se identifican con base en las respuestas afirmati- vas o negativas a dos preguntas: 1) ¿es importante mantener mi identidad cultural y características? y 2) ¿concedo valor y deseo mantener relaciones con la gente de la cultura de acogida? Las personas que dicen “sí” a ambas preguntas se encuentran en el modo de “integración”, cuando hay un interés en mantener ambos valores culturales por interacciones diaria con el otro grupo; y los que dicen que “no” a ambas preguntas, están en la “mar- ginalización” que niegan las dos culturas por discriminación o

42 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 29-60 Issn 1870-6800 Cultural differences between Mexico and Japan: from the perspective of... exclusión. Los que dicen sí a la primera y no a la segunda, es- tán en “separación” que se aferra a su cultura original mientras se desea evitar interacción con lo demás; por otro lado, los que dicen no a la primera y sí a la segunda se encuentran en “asi- milación”, que no se tiene el deseo de mantener su identidad cultural, pero persigue una interacción diaria con otra cultura (Berry, 2005: 705).

Metodología Se realizó la entrevista a 35 residentes japoneses en Guadalaja- ra en 20117 con la escala de aculturación de Berry (1997); entre ellos encontramos a 11 hombres japoneses y 24 mujeres japonesas; 12 personas solteras y 23 casadas o divorciadas (nueve de ellas con japoneses y 14 con mexicanos). Existen diez inmigrados y 25 inmigrantes japoneses en este grupo. Tres personas llegaron a México en el periodo de tiempo de “los golpes” (1970- 1974), tres más arribaron durante el crecimiento estable de Ja- pón (1975-1984), dos personas durante la burbuja financiera (1985-1992), 19 japoneses en el periodo glacial del empleo (entre 1993 y 2005), cuatro durante la reactivación de la economía japonesa (entre 2006 y 2007), dos en la crisis global (entre 2008 y 2010), y otras dos en la crisis por el sismo (2011). Con el fin de no revelar la identidad de los informantes, se acotó su estado civil a soltero o casado con mexicano o japonés (aparentemente se puede deducir el sexo del informante); se clasificaron los rangos de edad en múltiplos de diez años y se diferenciaron los periodos de llegada a México.8 Respecto a la segunda pregunta de la escala de aculturación de Berry (1997), se puede considerar que es una pregunta hecha de tal manera que sugiere la respuesta de- seada, así que primero se indagó sobre la diferencia de valor entre la cultura mexicana y la japonesa, que ellos reconocieron, y después se preguntó si pueden conceder esa diferencia de valor.

7 Se realizaron las entrevistas en japonés y los enunciados que aparecen abajo fueron traducidos al español por la autora. 8 Respeté el deseo de anonimato de los entrevistados por protección de su identidad. No establecí nombres ficticios debido a que sería posible configurar al individuo a través de los enunciados de cada tema que presento en adelante.

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Resultados A la primera pregunta la mayoría contestó que sí, es importante mantener la conciencia japonesa en una cultura diferente; aún más, algunos lo viven impetuosamente al encontrarse en México, pues no quieren perder valores japoneses como la puntualidad, la responsabilidad, el comer sano, entre otros (regu- larmente son bien evaluados en dichos aspectos). Suelen verse como intermediarios para transmitir los elementos culturales japoneses a los mexicanos: “Como yo trabajo en una empresa japonesa, ellos me con- trataron por ser japonesa; eso significa que tengo que mostrar las habilidades que me diferencian de un mexicano. En el sentido laboral, para mí es muy importante mantener mi identidad y características culturales japonesas” (soltera, 20-29 años, 2011). “Sí, sin embargo, lo conservo dentro de mí; pues no obli- garé a otras personas. No quiero ajustarme al estándar mexicano y no quiero que me obliguen, pues yo también diré que soy japonés y lo hago a mi manera. No quiero perder mi identidad japonesa porque tenemos buenas costumbres; sin obligar a los mexicanos, quiero que aprendan de las virtudes japonesas. Creo que no tendría sentido haber venido hasta acá si me ajusto al estándar mexicano” (soltero, 20-29 años, 2008-2010). En particular, algunos padres tienen la intensión de here- dar estos modales japoneses a sus descendientes: “Sí, pero es para mis hijas. Quiero tener esperanza de que ellas puedan adquirir múltiples habilidades; si ellas van a ser o quieren ser completamente mexicanas, no sería importante mantener mi identidad japonesa” (casada con un japonés, 50- 59 años, 1985-1992). Hay quienes consideran que no es buena idea insistir demasiado en su identidad cultural; ellos están dispuestos a adop- tar las costumbres y cultura de México para asimilar y facilitar su vida cotidiana; no tienen la necesidad de persistir en la con- servación de la cultura debido a que fuera de su país no aplican o no son útiles dichas modalidades, por lo tanto, se comportan de la mejor manera para ambas culturas, según las circunstancias: “Sí, pero si insisto en vivir como una japonesa, tal vez no me sería tan fácil vivir aquí. No podré integrarme a la sociedad y la gente mexicana se alejará de mí. Sin embargo, dentro de la casa, quiero mantener mi cultura y educar a mi hijo como un

44 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 29-60 Issn 1870-6800 Cultural differences between Mexico and Japan: from the perspective of... japonés. En particular, me importa la educación alimenticia” (casada con un mexicano, 30-39 años, 1993-2005). “Sí, es importante. La puntualidad y el cumplir con los compromisos son valores japoneses que quiero mantener; en cambio, aquí la gente no toma en cuenta estos valores. Enton- ces, en mi relación con la gente mexicana no insisto sobre estos valores, porque saldría perdiendo en mi mentalidad. Por ejemplo, aquí nadie llega puntual a una cita, pero yo respeto los ho- rarios en mis compromisos con los japoneses de Guadalajara, porque ellos cuidan mucho este aspecto y quedaría mal relacio- nada después. Entonces, ajusto mis valores dependiendo con quién me estoy involucrando. No tiene sentido irritarme por la impuntualidad y el incumplimiento de la gente. A estas alturas, entiendo los valores que son importantes para los mexicanos y los japoneses, siempre actúo sin faltar al respeto a ellos y me ajustó a cada modalidad” (casada con un mexicano, 30-39 años, 1993-2005). Debido a que muy pocos entrevistados contestaron: “no es necesario mantener la identidad japonesa”, los japoneses en Guadalajara se encuentran en el modo de “integración” o “sepa- ración”. En cuanto a la segunda pregunta, lo que ellos alegaron sobre la diferencia de valor entre México y Japón, las respuestas se presentan en la siguiente tabla, poniendo énfasis en las opiniones más mencionadas en la interacción, que los entrevistados manifestaron tener con su círculo mexicano.

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Tabla 4. Diferencias culturales entre México y Japón, según los entrevistados japoneses Japón México Proyecta una visión de largo plazo Vive el momento Se preocupa demasiado Utiliza el tiempo a libertad por el futuro Es puntual Es poco puntual Ahorra mucho Puede gastar al momento el dinero que recibe Están ajenos de los extranjeros Tratan bien a los extranjeros El encuentro familiar El vínculo familiar no es cotidiano es muy fuerte Se trabaja eficientemente No se está acostumbrado a trabajar en equipo en equipo, en armonía Les importa primero el bien común Les importa la familia más de la sociedad o la obligación social: que el trabajo o la escuela, etcétera trabajo, la escuela, familia, etcétera

Se trabaja con iniciativa Se trabaja por recibir un sueldo y racionalmente La calidad de los servicios La calidad de los servicios es deficiente es excelente Tienen un afán de superación No tienen un afán de superación, se resignan sin antes haber luchado Siempre está preocupado Es posible hacer cualquier cosa por lo que piensan los demás sin dudar sobre cómo los juzgarán Se respeta el sentimiento El “yo” es lo más importante de los demás Se considera “no debemos molestar Se piensa: “lo que me conviene a mí a nadie” también le conviene a otras personas” La humildad es una virtud El orgullo es una virtud Respeto a las reglas, No hay intención de obedecer normas y justicia las reglas, normas y justicia Se experimenta un firme sentido de No es firme el sentido responsabilidad de la responsabilidad Son patriotas, pero no se tiene Son patriotas y lo demuestran la necesidad de expresarlo El tránsito avanza en orden Hay deficiencias al conducir La base social es la disciplina La base social es la religión

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Viene de la página 46

Japón México

Si no se obedece el sentido común Cada uno puede vivir su vida japonés, la gente o la sociedad a su propio ritmo los excluirá

Existe una ideología confuciana Existe una ideología católica superficial profunda El nivel de la educación pública Hay una diferencia del nivel de es alto y estandarizado educación según el poder económico de los padres

Se necesita mucho tiempo Se puede ser un maestro con y mucha práctica para llegar relativamente poco tiempo de práctica a ser un maestro

Se mete en la cabeza una gran La educación tiene muchas áreas cantidad de conocimientos de oportunidad para realizar exámenes

Se prefiere comer sanamente Hay una preferencia por consumir consumiendo verduras carnes y refrescos

No se acostumbra a comunicarse Es cotidiano bromear con sarcasmos; se siente lastimado y decir sarcasmos por tomarlo en serio

No les cuesta disculparse y decir No piden disculpas fácilmente perdón en cualquier momento Consideran sus errores No les gusta reconocer sus errores sinceramente para no repetirlos y suelen echar la culpa a otras cosas

Quedan claras sus decisiones En ciertos casos no saben decir sí cuando afectan a otras personas o no, dejando posibilidades abiertas Hay expresiones ambiguas En ciertos casos son muy claros cuando se comunican Forman una barrera Son francos y platicadores al hablar con desconocidos hasta con personas desconocidas Es un país que nunca Aún guarda la cultura ha sido conquistado del conquistado Fuente: Elaboración propia.

Sintetizando las expresiones de los japoneses respecto a ambas sociedades y la diferencia de valor, es posible aseverar que los mexicanos suelen ser alegres y optimistas, mientras que los japoneses suelen ser serios y pesimistas:

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“Un buen aspecto de los mexicanos es que son optimistas; aunque tienen un asunto grave, piensan que saldrán con bien de algún modo u otro. Tal vez si fuera el caso de los japoneses, ellos lo tomarían muy en serio y se vendrían abajo; se preocupa- rían y verían el lado negativo” (casada con un mexicano, 30-39 años, 1993-2005). Como los mexicanos son joviales y francos, pueden hablar con desconocidos sin reparo, mientras que los japoneses forma- rían una barrera: “En México puedo actuar como ellos sin problema, aún más, una vez mis amigos de Japón señalaron que yo saludaba hasta a los dependientes de negocios y los vendedores; parece que ya he adoptado esta costumbre mexicana. Lo que ahora entiendo sobre lo que dicen los mexicanos que fueron a Japón es acerca del silencio que se vive en el tren (transporte público); a mí también me parece muy extraño que no haya conversacio- nes, yo siempre hablo con las personas que están a mi lado en el tren, en el camión, el avión, etcétera; no obstante, si hubie- ra vivido más tiempo en Japón, probablemente yo sería igual que ellos. No tengo pena al hablar con desconocidos tal como lo hacen los mexicanos, en este sentido me he ido apropiando de un elemento mexicano” (casado con una japonesa, 40-49 años, 1975-1984). La característica de apertura de los mexicanos suele generar un trato hospitalario hacia los extranjeros: “Lo bueno de los mexicanos es que son alegres, en cambio, nosotros somos preocupados. Lo admiro, además son buenas personas en el fondo; nunca me han dicho alguna ofensa, en particular, tratan muy bien a los extranjeros” (anónima). No obstante, hubo japoneses que manifestaron haber re- cibido insultos: “En el sentido negativo, me hablan desconocidos; más bien, se burlan de mí y me molestan. Yo los ignoro, algunos murmuran por no mostrar reacción y me molestan cada vez más. Ya estoy un tanto acostumbrada a ello, pero al principio era desagradable para mí. Ahora me doy cuenta que esto lo pueden hacer con cualquier persona, así que me resigno a la burla. Me molesté mucho el otro día; yo estaba caminando por la calle con una bebida grande de agua fresca, se acercaron dos niñas y me pidieron que les diera algo, lo rechacé y quisieron mi bebida, pero no se las di, al final me insultaron muy feo. Quisiera

48 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 29-60 Issn 1870-6800 Cultural differences between Mexico and Japan: from the perspective of... regresarles las mismas palabras, pero me aguanto porque no sé si se vengarían por ello. En este sentido, tengo miedo porque son muy diferentes a los japoneses, pueden guardar una pistolas y tener una navaja. Actúo de igual manera con los señores que se burlan de mí cuando me dicen “china” (soltera, 20 -29 años, 2008-2010). Por otro lado, como los japoneses son formales y circuns- pectos, no les gusta ser blanco de sarcasmos y bromas que puedan alterarlos: “A mí no me gusta la cultura del sarcasmo en Guadalaja- ra, no sé si esto se hace en otros estados también. Por ejemplo, en una ocasión le dije a una vecina que ya había regresado de Japón, entonces ella me bromea diciendo: “¿no me trajiste algún regalo?” Me molesté mucho, los japoneses no dirían ese tipo de retintín ni siquiera en sentido de broma. Yo llevo más de 35 años aquí en Guadalajara, pero no puedo adaptarme a la cultura del sarcasmo. La persona que dice el sarcasmo piensa que es una broma y una cosa trivial, pero para mí no, me duele mi corazón, mi rostro se crispa y no sé cómo responder ante esta situación. Una vez le pregunté sobre el tema a mi hijo, quien ya conoce muy bien la cultura mexicana, y me dijo que sólo tengo que reírme con ellos, pero no puedo hacerlo aunque quisiera, y dependerá de la persona, yo reclamo lo que siento al recibir ese tipo de bromas” (casada con un mexicano, 60-69 años, 1970-1974). En este sentido, algunos piensan que los mexicanos no toman en cuenta el sentimiento de otras personas: “El otro día, algunos albañiles que estaban trabajando afuera de mi casa tiraron su basura en el bote de mi casa; como me molesté mucho, guardé el bote en la casa, pero luego empe- zaron a acumular su basura en la cochera; yo le hablé a mi esposo para que les dijera que no lo hicieran, pero mi esposo dijo: “este tipo de personas no escuchan, además, si les digo algo, ellos van a hacer peores cosas. Aguántalo”. Yo lo obedecí, pero me decepcioné mucho. Me dio rabia no poder hacer nada ante este suceso, sugestionándome que son así” (casada con un mexicano, 30-39 años, 1993-2005). No prestar minuciosas atenciones a otras personas, al mismo tiempo, también significa que se puede hacer lo que uno quiera sin preocuparse sobre como lo ven: “Al estar en Japón, siempre me convierto en un ser demasiado consciente de mí misma; por ejemplo, teniendo tanta

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edad, no puedo hacer ciertas cosas, no puedo vestir ropa llama- tiva, ya no puedo estudiar formalmente, etcétera. Mis amigos también dicen al ver a esas personas que realizan algo sin preocuparse por su edad: “es penoso”. Yo no quiero pensar así, pero casi todos los japoneses piensan de esa manera: se tiene que actuar de acuerdo a su edad; a veces caigo en este pensamiento japonés en el que siempre se está preocupado por lo que piensen los demás. A mí me gusta mucho la perspectiva mexicana en este sentido, pues se puede uno vestir mostrando su lonja, se puede aprender cualquier cosa sin preocuparse por la edad, etcétera, lo que les importa es lo que quieren hacer sin dudar sobre cómo los juzgarán” (casada con un mexicano, 30-39 años, 1993-2005). Un factor por el cual los japoneses son serios es por su sentido de la responsabilidad, que por el contrario no es un factor distintivo para el caso mexicano: “Sin responsabilidad, algunos mexicanos renuncian de re- pente al trabajo sin devolver el dinero que se les prestó. En mi caso, hasta funcionarios de migración perdieron mi visa y ya llevo año y medio sin ella; cuando regresé a Japón, tuve problemas por ello en mi salida y entrada al país. Mi abogado ha sido un inútil en este sentido, ¡cómo es posible dejar este problema sin solucionar durante año y medio! No puedo aceptar esta diferencia de valores. Ahora en mi negocio, evitamos trabajar con este tipo de personas y contratamos sólo a mexicanos responsa- bles y de buena conducta” (casada con un japonés, 60-69 años, 1993-2005). La responsabilidad y la puntualidad son virtudes muy importantes para los japoneses: “Cuando llegué a México para casarme, mi suegra me apo- yaba a moverme, me ayudó en la preparación de la boda, los trá- mites, el cuidado de mi hijo, etcétera, pero ella no era puntual ni cumplía del todo su palabra, además de que no ofrecía una disculpa por ello, más bien había excusas. Me molestaba ese comportamiento y pensaba que era una mala persona; como ya no podía aguantar más, un día le escribí una carta quejándome de su irresponsabilidad (ser puntual, responsable y cumplir la promesa son valores comunes de Japón) y descortesía (pedir disculpa sin excusas o inculpando a otras personas u objetos es la norma cultural japonesa); finalmente me pidió disculpas. Viviendo más tiempo aquí comprobé que en realidad no era una

50 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 29-60 Issn 1870-6800 Cultural differences between Mexico and Japan: from the perspective of... mala persona, sino que se trataba de la cultura mexicana; éste es un comportamiento normal aquí. Una vez adquirido ese en- tendimiento, ya no me irrito tanto como en el pasado; trato de pensar que la cultura mexicana hace a la gente como tal” (casada con un mexicano, 30-39 años, 1993-2005). Como ella menciona, pedir perdón es también una disciplina cotidiana de Japón, por lo que el enunciado: “los mexicanos no piden disculpas”, fue uno de los más mencionados en cuanto a diferencias de valores: “Aquí no se pide disculpas, tal vez, por no querer domi- narse por otros y no quieren reconocer culpas porque no saben cómo les tratarían cruelmente. Por ejemplo, si a un japonés se le cayó un vaso y se rompe, dice: “perdón”, reconociendo su error, pero los mexicanos sólo dicen: “se me cayó”, porque piensan que fue un accidente que no tiene nada que ver con ellos; me suena a que ellos le están echando la culpa al vaso. Ahora ya puedo concederles, pues antes me enojaba cuando no recibía la palabra “perdón” (casado con una japonesa, 40-49 años, 1975-1984). Por considerar que “no presentar disculpas” es común en México (o puede ser que en Japón se pide perdón muy fácilmen- te), algunos llevan este tema al extremo: “Por ejemplo, cuando choco a otro carro, mi esposo me dice que nunca debo pedir disculpas, aunque tenga la culpa; una disculpa es una derrota y no debo decir nada hasta que llegue el seguro. Hablando en términos extremos, debería huir al atro- pellar a una persona. Llegamos a esta conclusión porque hemos escuchado de muchas personas que les chocaron y decían que aquí la gente nunca presenta disculpas, aunque saben que tienen la culpa; aún más, le echan la culpa a otras personas. Así que tengo que envalentonarme siempre, pero no me gusta esa cultura” (casada con un japonés, 50-59 años, 1985-1992). Otra persona considera que una causa para no presentar perdón es contar con demasiado orgullo para sí: “Creo que los mexicanos tienen demasiado orgullo de sí mismos; ellos no quieren que se les regañe enfrente de todos. En Japón, es cotidiano ver que el jefe regañe a sus empleados. Si los regaño (a los mexicanos), ellos se enojan por ello, además no se atreven a pedir disculpas por la causa de la reprensión. A mí me molesta que no presenten disculpas por sus errores” (soltera, 30-39 años, 2006-2007).

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En este aspecto, Enomoto (2012) describe que presentar disculpas reconociendo su responsabilidad es una virtud en Ja- pón; por ello, no acusan más a la persona que acepta su culpa; más bien, reprenden a la que no admite su falta. Ante esta virtud, se abunda también en las “disculpas como una autopre- sentación”, las cuales se realizan superficialmente cuando realmente no se reconoce el error en su interior, pero el individuo lo hace para mantener una buena relación interpersonal, para no recibir más críticas y para que no le aborrezcan (Saito y Ogino, 2004). Por ello, Enomoto (2012) considera que Japón es una sociedad dependiente del contexto. Volviendo el análisis de la entrevista, particularmente en el trabajo, algunos no toleran esta irresponsabilidad: “En mi trabajo, yo siempre digo que no necesitamos de una persona irresponsable que le diga a nuestros clientes: “to- davía no me confirman” o bien, “no sabría decirle”, porque precisamente su trabajo es estar informados y buscar las confirma- ciones pertinentes; de lo contrario sería mejor que los clientes se comuniquen directamente con la planta. Sólo contratamos a personas disciplinadas en este sentido” (anónima). Estas personas también mencionan que pueden dejar pa- sar esta irresponsabilidad si sucede fuera del trabajo, pero no cuando resultan afectados. El trabajo para los japoneses suele ser lo más importante en la vida: “Los chuzaiin9 me han dicho que los mexicanos solicitan permiso para faltar al trabajo por cuidar a un familiar enfermo (mamá o papá), pero ya sabes que los japoneses no lo admiten y los mexicanos renuncian el trabajo por ello fácilmente; los japoneses se quedan estupefactos. Para los japoneses, la obligación social es primero, como el trabajo, la escuela, etcétera, pero los mexicanos tienen preferencia por la familia” (casada con un ja- ponés, 50-59 años, 1985-1992). En el caso mexicano, la familia sobrepasa al trabajo: “En general, a los mexicanos les importa la familia, los padres y hasta los abuelos; se reúnen cada fin de semana, comen juntos, ven la televisión a pesar de que no se celebre un gran evento. En Japón, la forma familiar es nuclear, aun así, el vín- culo entre ellos es poco espeso; pues se marca una línea entre

9 Empleados japoneses que las empresas en Japón envían al extranjero; son con- tratados por empresas japonesas en Japón y reciben sueldos con un tabulador ja- ponés, generalmente ellos regresan a Japón después de dos o cinco años.

52 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 29-60 Issn 1870-6800 Cultural differences between Mexico and Japan: from the perspective of... los padres y los hijos. Me siento bien al observar estos puntos mexicanos y les envidio” (casado con una japonesa, 50-59 años, 1970-1974). Como la postura hacia el trabajo es diferente, el tema tam- bién influye en la superación personal: “Los japoneses tienen ambiciones por la promoción laboral y trabajan mucho, pero aquí creo que no están interesados en ello. Lo he preguntado a algunos mexicanos y contestaron que si uno es inteligente y trabajador, subirá; pero los demás renuncian sin intentarlo por considerar que no habría posibilidades. No tienen un afán de superación; entonces pienso que los chuzaiin pueden tener algún conflicto con este tipo de personas” (anónima). A algunos japoneses no les gusta la mentalidad de pobres, depender de otras personas sin mayor vergüenza: “Los mexicanos que están alrededor de mí piensan que sólo los que tienen dinero pagan, así que ellos salen sin portar si su cartera tiene o no dinero, ¡no puede ser!” (casada con un mexicano, 30-39 años, 1993-2005). Al mismo tiempo consideran que el fondo de esta depen- dencia está regido por un pensamiento católico: “Cuando no doy limosna a los mendigos de las calles, mis compañeros me dicen “¡qué Dios te castigue!”; pienso que no es malo no ofrecer dinero; en particular, los jóvenes pueden trabajar; no quiero que se acostumbren a vivir de la ayuda de alguien. Cuando expresé mi idea en mi trabajo, me dijeron que yo estaba equivocada, porque Dios creó a los seres humanos por igual. Sin embargo, existen ricos y pobres que son creados por la sociedad, no por Dios. Siempre utilizan a Dios, aun cuando ellos tienen la culpa, dicen excusas sobre que Dios los hizo actuar. A mí me parece que ellos siempre sacan a Dios en cualquier momento y lo utilizan para excusarse de sus inconvenientes” (soltera, 20-29 años, 2006-2007). Precisamente la religión es un factor decisivo en la diferencia de valor: “Antes vivíamos cerca de una iglesia y cada domingo se estacionaban muchos carros en las entradas de las cocheras de los vecinos, sin pensar en las implicaciones; dudo mucho que las enseñanzas de una religión se utilicen en la vida cotidiana para actuar en el campo de lo moralmente correcto. Entonces, mi esposo se sorprendió cuando llegó a Japón preguntándome

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el porqué los japoneses son tan educados moralmente, sin contar con alguna religión específica. A partir de ahí, él ha indagado en la religión católica y su doctrina superficial; parece que sólo les importa la relación entre Dios y el individuo, sin considerar el bienestar público; ejemplo de esto son el grafitis que abunda en la ciudad o la falta de cultura para separar la basura y evitar una afectación ambiental y la molestia que se genera a otras personas” (casada con un mexicano, 30-39 años, 1993-2005). Debido a que el trabajo es lo más importante para los japoneses y la religión católica penetra la vida cotidiana para los mexicanos, surge un conflicto de pensamientos: “Aquí la religión católica es muy difundida, dependen mucho de un Dios y ese pensamiento en ocasiones me molesta. Un suceso que experimenté es que algunas personas toman objetos de sus trabajos; en mi opinión, es un acto de robo al tomar algo que no les pertenece, pero ellos argumentan que Dios se los regaló. Por otro lado, cuando les pregunto sobre sus opiniones, ellos responden ambiguamente diciendo: “si Dios quiere”, aunque a mí no me importe la opinión del Dios. Tal vez desde niños así se educaron a través de la misa y la Biblia. En nuestro caso, nuestros padres y antepasados han heredado las disciplinas y enseñanzas de la vida y la sociedad. Creo que ése es el origen de la diferencia de valores. Pienso que esa ideología tiene tanto aspectos positivos como negativos. Puedo respetar lo que ellos piensan, pero no quiero que me afecten. Me enojo por algunos comentarios de los compañeros porque en el momento del trabajo sacan a Dios en la conversación. ¡No puede ser para mí!” (soltera, 20-29 años, 2006-2007). Citando una opinión sobre el robo cotidiano que hay en México, a continuación se presenta un escenario común que viven los niños de forma inconsciente y que para los japoneses se trata simplemente de hurto: “Un ejemplo son los lápices de color de mis hijas; otros ni- ños que no llevan lápices, les piden prestado a ellas, pero no se los devuelven y al finalizar el semestre se quedan sólo con un lá- piz en la caja. Pienso que no es justo porque mis hijas cumplen la norma, pero otros no la cumplen y les roban las cosas a otras personas. Es una lástima poner el nombre hasta a cada lápiz y borrador; es decir, a todas sus pertenencias. Aun así se pierden y otras personas las hacen poseer. Es triste que hasta los niños piensen que si una vez soltaste un objeto de tus manos, enton-

54 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 29-60 Issn 1870-6800 Cultural differences between Mexico and Japan: from the perspective of... ces nunca regresará. Por lo tanto, mis hijas no quieren prestarle sus cosas a nadie, pero este acto se ve malicioso. También es deplorable que la sociedad los hace así. Sus compañeros no son pobres, más bien son de clase alta y realmente no piden prestado con el fin de robar sino que lo necesitan en ese momento. Me parece que no tienen la responsabilidad de devolver las cosas y nada más quieren satisfacer sus apetitos momentáneos” (casada con un japonés, 50-59 años, 1985-1992). Se dan cuenta de la diferencia en el sistema educativo entre México y Japón: “Aquí, una familia rica y sobresaliente crea a sus descendientes a su imagen; en Japón, también es posible aplicar este teorema, pero como el sistema educativo es riguroso, aunque uno no sea de una familia sobresaliente, puede mantener un nivel educativo alto; esto no sucede por un esfuerzo individual, sino que se garantiza el mantener un cierto grado de educación a toda la población. En México, es notable la diferencia de edu- cación en este sentido; así pues, digo que es una sociedad temi- ble para mí. No puedo aceptarlo, pero tampoco puedo hacer algo respecto al tema; sólo deseo que se incremente el nivel educativo en este país. Por lo menos procuraré dar la mejor educación a mis hijos y a mis nietos” (casado con una mexicana, 60-69 años, 1993-2005). Por otra parte, existen prácticas totalmente opuestas sobre el cuidado de niños enfermos; los padres japoneses se quedan perplejos ante los tratamientos locales con los que ellos no están de acuerdo: “Como un ejemplo de la diferencia de valores, yo alego con mi esposo sobre la manera de hacerle bajar la fiebre a mi hija cuando está enferma. Ya sabemos que en Japón no podemos bañarla cuando tiene fiebre por la posibilidad de que enferme más; pero aquí ponen a los niños en agua tibia incluso en los hospitales tradicionales. Yo he discutido muchas veces con mi esposo; él quiere hacerlo a la manera de aquí, pero en Japón eso no se debe hacer. Aunque yo opino, mi esposo no me escucha y realiza el baño con agua tibia con resolución; yo no quiero que lo haga, pero no meto las manos y lo permito siempre que se encargue él de todo el proceso, pero sólo le doy una oportunidad; es decir, sólo por 15 minutos. Sin embargo, los hospitales lo hacen hasta que la fiebre baja; puede ser toda la noche, incluso a pesar de que mi hija llora y no quiere. No obstante, yo

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no puedo decir nada ante el tratamiento médico del hospital. En Japón enfriamos por partes el cuerpo: primero la axila y se utiliza un antifebril, pero aquí inmediatamente aplican el baño tibio. Yo quisiera hacerlo a mi manera, pero no puedo, más bien no me dejan hacerlo” (casada con un mexicano, 30-39 años, 1993-2005). Existe otra madre japonesa que expresó el mismo problema; sin embargo, en su caso aceptó hacerlo a la manera mexicana por el solo hecho de vivir aquí: “En Japón se dice que no debemos bañar enseguida a los niños que han sido inyectados, pero en México la situación es distinta, me han dicho que bañara a mi niño al llegar a casa para que no le subiera la fiebre; me quedé sorprendida por la total diferencia. No estaba convencida del método mexicano y consulté a mi esposo, quien me aconsejó que siguiera la recomendación mexicana debido a que vivía aquí. Aún no estoy totalmente convencida y mi esposo nunca me ha obligado, pero el hecho es que lo hago a la manera mexicana. En México también se dice que no debemos lavarnos las manos después de planchar o trabajar con algo caliente, debido a que se generan reumas por la diferencia radical de temperatura; yo no lo creo, pero lo obedezco; más bien siento que debo hacerlo por estar en México” (casada con un mexicano, 60-69 años, 1970-1974).

Conclusiones Resumiendo las expresiones, los japoneses muestran una acti- tud de asimilación hacia los aspectos que consideraron positivos de México, como el fuerte vínculo familiar, cuidar a las da- mas, expresarse francamente, vivir el momento, ser optimistas y no preocuparse por lo que piensen los demás. En cuanto al tratamiento que le dan a los aspectos negativos, es posible categorizar sus respuestas en cuatro enunciados: 1) Acepto todo lo que se hace aquí: “En principio tenemos que ajustarnos a la gente local porque esta sociedad no es la nuestra, aún más, nos dan el permiso para habitar aquí. Tengo por principio el ajustarme a las costumbres y normas mexicanas sin excepción. Yo siempre les agradezco que me dejen vivir aquí. Lo que entiendo es que han construido esa idiosincrasia a lo largo de su historia, igual que la cultura japonesa y no podemos romperla fácilmente. El punto

56 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 29-60 Issn 1870-6800 Cultural differences between Mexico and Japan: from the perspective of... está en no juzgar esas malas costumbres desde el punto de vista japonés, sino entender la razón; por ejemplo, decir excusas es una manera para mostrar que no tienen una mala intención; no cuidar los tiempos es una manera cómoda para ellos. Es el resultado de una inteligencia que se ha cultivado durante muchos años. A veces, recibo críticas de los mexicanos sobre los japoneses, pues dicen que tenemos una mentalidad pequeña, me molesta escuchar esas opiniones negativas hacia nosotros, pero en algún sentido será cierto. Me da gusto conocer otras maneras de pensar y saber cómo nos ve la gente de aquí” (casado con una mexicana, 30-39 años, 1993-2005). 2) Lo acepto, a menos que me afecten a mí, a mi familia o a mi trabajo: Algunos japoneses contestaron que sí pueden respetar lo que hacen los mexicanos, siempre y cuando no los molesten, ex- cepto en el campo laboral; manifiestan que no podrían asimilar los aspectos negativos. “Los japoneses son racionales y saben trabajar eficientemente, pero la gente de aquí no es eficiente y gasta el tiempo en vano; por ejemplo, podemos trabajar separados o en equi- pos, pero aquí trabajan juntitos. En una convivencia como lo es una carne asada, la mayoría no hace nada y no tienen un plan concreto, por lo tanto pasa mucho tiempo para iniciar el asado. Aunque no me gustan esas cosas, respeto lo que se hace aquí por pura formalidad a menos que me afecte. Es como el dicho: donde fueres, haz lo que vieres. Sin embargo, no lo permitiré en el trabajo” (soltero, 30-39 años, 1993-2005). 3) No lo acepto, pero no puedo hacer nada ante esta inconformidad: Varios de ellos no pueden entender o respetar algunos puntos que consideran negativos de la cultura mexicana, pero saben que no pueden hacer mucho o no los dejan los mexicanos cuando manifiestan alguna inconformidad o expresión negativa. “La verdad yo no puedo respetar esos puntos negativos, sé que es difícil que los cambiemos y me exaspero por mi impoten- cia. Aquí me pasan muchas cosas irritantes. Jamás lo aceptaré, pero no puedo hacer nada” (casada con un mexicano, 30-39 años, 1993-2005). 4) No lo acepto para nada: “He renunciado al reclamo ante los malos servicios, ya que me pareció que era ridículo discutir con incompetentes. Des-

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cubrí en el segundo año de mi estancia que aunque me enoje mucho, ellos simplemente me tratan como si fuera una loca; no son conscientes de corregir su conducta y yo tengo que cambiar la mía. Entonces, tengo la disyuntiva de conceder los valores locales y llevarme bien con la gente local o regresar a Japón. En mi caso, no podría conceder sus valores, así que quiero regresar a Japón. Mientras continúe mi estancia, trataré de no expresar mi enojo ante la gente y procuraré ajustarme a ellos” (anónima). Es posible considerar que en los dos primeros enunciados se identifica un comportamiento de integración y en los últimos dos de repulsión; resulta que una tercera parte de los entrevistados están aclimatándose completamente, mientras que las dos terceras partes restantes no están totalmente convencidas. Respecto al tercer enunciado, también se manifestaron otras opiniones como las siguientes: “no existe otra manera”, “más que respetar la cultura mexicana, debemos abandonar nuestra propia cultura que no aplica en este lugar”, “renunciamos”, “no me dejan hacerlo al estilo japonés”, etcétera. No obstante, algunos mencionan que aprendieron a “tener paciencia” como resultado de este proceso. Aquellos que externan lo que piensan y que no pueden aceptar los elementos negativos de la cultura mexicana, aclararon que nunca se impondrían o pelearían por tal motivo, ellos simplemente procuran enseñar a otros su disciplina y procuran convivir con las personas que tienen su mismo sentido; en cualquier caso el último de sus remedios es regresar definitivamente a Japón. En fin, los japoneses entrevistados tienen la fuerte inten- sión de mantener su cultura e identidad japonesa; por lo demás, manifiestan sentirse orgullosos por ser japoneses y contar con su cultura. Probablemente ellos se categoricen en la “separa- ción”, según el análisis de Berry. Al mismo tiempo, descubro que no sienten la necesidad de integrarse o asimilarse totalmente a la sociedad receptora; sin embargo, están dispuestos a aceptar los diferentes elementos culturales con los que pudieran estar de acuerdo. De esta manera, considero que la integración cultural se dará más por los mexicanos que por los mismos japoneses, ya que es más probable que los mexicanos respeten la diferencia cultural, sin intentar manipular o imponer un valor particular mexicano.

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Bibliografía Berry, J. W. (2005). Acculturation: Living successfully in two cultures. En: International Journal of Intercultural Relations, 29, pp., 697-712. Berry, J. W. (1997). Immigration, Acculturation, and Adaptation. En: Applied Psychology, 46 (1), pp., 5-34. Enomoto, H. (2012). “Sumimasen” no kuni (El país de “perdón”). To- kio, Japón: Nihon Keizai Shinbun Shuppansha. Hofstede, G.; Hofstede, J. G., y Minkov, M. (2010). Cultures and organizations: Software and the mind (versión Kindle). A través de Amazon.com.mx: McGraw-Hill. Inegi. (2010). Población total. Censo de Población y Vivienda, 2010. Consultado el 23 de octubre de 2012. Disponible en http:// www.inegi.org.mx/sistemas/olap/proyectos/bd/consulta. asp?p=17118&c=27769&s=est#. (Cruce de variables de “lugar de nacimiento” con “entidad y municipio”). Inglehart, R. y Welzel, C. (2010a). Changing Mass Priorities: The Link between Modernization and Democracy. En: Perspectives on Politics, 8 (2), pp., 551-567. Inglehart, R. y Welzel, C. (2010b). The WVS cultural map of the world. Consultado el 5 de junio de 2014. Disponible en http://pagines.uab.cat/seangolden/sites/pagines.uab.cat.seangolden/files/World%20Values%20Surveys%20maps%2020110606.pdf. Nakasone, T. (2013). Los inmigrados e inmigrantes japoneses en Guadalajara (1970-2011): su comunidad y sus adaptaciones. Tesis de doctorado, Centro Universitario de Ciencias Sociales y Humanidades, Universidad de Guadalajara, Zapopan, México. National Institute of Population and Social Security Research (2012). Kazoku ruikei betsu setai su oyobi wariai: 1920- 2010 [El número y la proporción de hogares según tipos (1920-2010)]. Jinko tokei shiryo shu (Compilación de datos estadístico sobre la población). Consultado el 7 de mayo de 2013. Disponible en http://www.ipss.go.jp/syoushika/tohkei/Popular/P_De- tail2012.asp?fname=T07-11. Organista, P. B., Martín, G. y Chun, K. M. (2010). Acculturation. En: The psychology of Ethnic Groups in the United States (pp., 99-133). Ca, Estados Unidos: Sage Publications. Doi: http:// dx.doi.org/10.4135/9781452274645. Padilla de la Torre, M. R. y Márquez, D. F. (2009). El “corazón ja- ponés”. En: S. Bénard y O. Sánchez (coords.) Vivir juntos en una ciudad en transición: Aguascalientes frente a la diversidad social (pp., 132-162). Aguascalientes, México: Universidad Au- tónoma de Aguascalientes.

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Saito, I. y Ogino, N. (2004). JIko teiji toshiteno shazai kotoba no jis- shoteki apurochi (Enfoque empírico sobre las palabras de disculpas como una autopresentación). En: The journal of the Fa- culty of Psychology, Rissho University, 2, pp., 17-33. Schwartz, S. H. (2006). A theory of cultural value orientations: Ex- plication and applications (versión electronica). En: Compara- tive Sociology, 5 (2), pp., 137-182. Consultado el 2 de mayo de 2014. Disponible en: http://kodu.ut.ee/~cect/teoreetiline%20 seminar%2023.04.2013/Schwartz%202006.pdf. Skrentny, J. D. (2008). Culture and Race/Ethnicity: Bolder, Deeper, and Broader (versión electronica). En: The Annals of the Ame- rican Academy of Political and Social Science, 619, pp., 59-77. Consultado el 25 de abril de 2014. Disponible en http://ccis. ucsd.edu/wp-content/uploads/2010/02/SkrentnyAnnalsRa- ceEthnicity.pdf.

Fecha de recepción: 21 de julio de 2014 Fecha de aprobación: 22 de septiembre de 2014

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Vaqueros del carbono en el Perú y perspectivas de la gobernanza local de Redd

Wil de Jong1 Dennis del Castillo Torres2 Ángel Salazar3

Abstract The paper demonstrates the vulnerability of natural resource governance in locations where future forest carbon emission reduction will be pursued using payment mechanisms like Redd (Reducing Emission from Deforestation and Forest Degradation). The specific case is of an Australian national, David Nilsson who arrived in 2010 in the city of Iquitos, capital of the Peruvian Amazon. Nilsson tried to sign joint venture agreements with multiple indigenous organizations to trade carbon credits on their behalf. The paper analyses in much detail Nilsson’s strategy to convince various local actors to sign up for his scheme. It

1 Center for Integrated Area Studies, Kyoto University. Kioto, Japón. E-mail: de- [email protected] 2 Instituto de Investigaciones de la Amazonia Peruana. Perú. E-mail: ddelcastillo@ iiap.org.pe 3 Instituto de Investigaciones de la Amazonia Peruana. Perú. E-mail: asalazar@iiap. org.pe

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demonstrates how people with responsibilities to represent indigenous interests, including leaders of their organizations, members of local Ngos and staff of the regional government, eagerly supported these initiatives, but for ambiguous reasons. Even after Nilsson’s treacherous dealings were widely exposed in the national and international news-media, this support did not stop. The case of this Peruvian carbon cowboy was specifically mentioned in “Coica’s and Aidesep’s Iquitos Declaration”, which is one of the early manifestations of an indigenous discourse that questions Unfccc (United Nations Framework Convention on Climate Change) and Redd (Reducing Emission from Deforestation and Forest Degradation). The paper demonstrates the political, institutional and governance fragility of locations where future Redd projects or similar initiatives to reduce forest carbon emissions are planned.

Keywords: carbon credits trade; Indigenous lands and carbon rights; Local Redd governance; Peruvian Amazon.

Resumen El documento aborda la vulnerabilidad y la gobernanza sobre recursos naturales en los lugares donde se llevarán a cabo futuros esfuerzos por reducir emisiones de carbono de bosques, mediante mecanismos de pago como Reducing Emission from Deforestation and Forest Degradation (Redd). El caso concreto es de un ciudadano australiano, David Nilsson, quien llegó en 2010 a la ciudad de Iquitos, capital de la Amazonía peruana. Nilsson trató de firmar acuerdos con múltiples organizaciones indígenas para comercializar créditos de carbono a su nombre. El artículo analiza la estrategia de Nilsson de convencer a di- versos actores locales para ser parte de su estafa. El artículo además demuestra cómo representantes de intereses indígenas, incluyendo líderes y organizaciones indígenas, miembros de Ongs locales y personal del gobierno regional, con entusiasmo apoyaron a Nilsson en sus iniciativas. Después de que las ges- tiones fraudulentas de Nilsson fueron expuestas en los medios de comunicaciones nacionales e internacionales, dicho apoyo no se detuvo. El caso del vaquero de carbono peruano se menciona específicamente en la “Declaración de Iquitos de oicC a y de Aidesep”, que es una opinión amplia, pero escéptica acerca de la United Nations Framework Convention on Climate Change

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(Unfccc) y Reducing Emission from Deforestation and Forest De- gradation (Redd). El caso demuestra la fragilidad política, institucional y de gobernabilidad de los lugares donde se implemen- tarán futuros proyectos Redd e iniciativas similares para reducir la emisión de carbono forestal.

Palabras clave: comercio de créditos de carbono, tierras indíge- nas y derechos de carbono, gobernanza local de Redd, Amazonia peruana.

Introduction

n May 3, 2011 a note appeared on the Redd-Monitor Owebsite (Lang, 2011) that reported how National Indigenous Organization in Peru (Aidesep) denounced the activities of a person named David Nilsson. Aidesep is the Peruvian indigenous organization whose members are the country’s indigenous federations. David Nilsson, an Australian national, had been trying to sign a fraudulent joint venture agreement with the Matses indigenous people who live in the Peruvian Amazon near the border with Brazil. The agreement would have given Nilsson’s company, Sustainable Carbon Resources Limited (Scrl), the exclusive right to trade carbon credits over the Matses’ half million hectare large territory. The story was quickly picked up by many other online sites and even reported in newspapers and in tv programs.

The Nilsson and Scrl case is not the first one of unscrupulous entrepreneurs who try to rip off forest dweller groups (Fca, 2013). Over the last two decades or so, in many places in the world forest communities have gained legal ownership over customary held forest territories. In response, timber entrepreneurs from Peru (Chirif and Garcia-Hierro, 2007) and Bolivia (Cano, 2012), but also in countries like Papua New Guinea (Brown, 2013) have pursued deals with indigenous groups that allowed them to log valuable timber stocks at prices far below market values. The case of Nilsson and the Matses of Peru was news because it concerned a case of swindling indigenous people over the right to trade carbon credits. Agriculture, forestry and other land use contribute a quarter to greenhouse gasses emission and forests contribute between 12-20% of global emission (van der Werf et al., 2009).

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It is widely held that there is significant opportunity to reduce future emission by taking appropriate measures that maintain or increase forest carbon stocks. One mechanism being developed under United Nations Framework Convention on Climate Change (Unfccc) is Reducing Emission from Deforestation and Forest Degradation (Redd),4 which compensates foregone benefits from activities that imply slashing or degrading forests. The Redd mechanisms is currently being implemented by the Un Redd Program and a handful of other international agencies. The global programs coordinate with national governments who develop a Redd Readiness plans that will lead to the national Redd strategies. Civil society and private sector actors engage in parallel Redd initiatives independently. To obtain global recognition as valid and successful Redd initiatives, these civil society and private sector initiatives seek oftentimes certification from a number of independent certifiers, including the Climate, Community and Biodiversity Alliance and Voluntary Carbon Standards (Merger et al., 2011). Redd theorists and practitioners argue that tackling issues that need addressing before Redd can become successful include the untangling of rights over land and carbon (Karsenty et al., 2014; Sunderlin et al., 2014); the distribution of compensation and costs (Bluffstone et al., 2013; Evans et al., 2014;); and last but not least, the daunting challenges of arrangements that need to adequately balance global and local conditions and interests (Brown, 2013). Peru is an active member of the global Redd community. In 2008 multiple national actors signed the Tarapoto declaration to implement a Redd action plan (Redd Peru, 2008). The country prepared a Redd Readiness proposal in 2011, which was approved and disbursement of funds for its implementation started late 2013 (Fcps, 2013). At the Unfccc Cop 18 (Conference of Parties) Peru’s then Minister of the Environment Antonio Brack declared that his country would reduce deforestation to zero by the year 2021. The country has an active Grupo Redd Peru, which integrates over 40 organizations and is coordinated by Derecho, Ambiente y Recursos Naturales. Until July 2012, Peru hosted 41 Redd pilot projects, all prepared or implemented by civil society or private actors (Piu and Menton, 2013) about

4 Redd is more commonly referred to as Redd+, as it includes efforts to promote sustainable forest management, conservation of forests and enhancement of carbon sinks. We consider these aspects to be part of Redd.

64 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 61-83 Issn 1870-6800 Carbon Cowboys in Peru and Prospects of Local Reed Gobernance half of which were certified (De la Plaza Estebanet al., 2014). In December 2014, Peru will host Unfccc Cop 20. Cases of dubious trading of carbon credits are not unusual in the global climate change mitigation project (Fca, 2013). Entrepreneurs like David Nilsson, who operate in remote tropical forest locations are now being identified in the global, Redd discourse as ‘carbon cowboys’. The term carbon cowboy refers to entrepreneurs who try to make deals with indigenous or other forest dwellers, to capture benefits from carbon rights of carbon rich resources that the forest dwellers hold or are entitled to. Once the carbon cowboys have signed those deals, they will offer the carbon credits to possible investors (Fca, 2013). Since the first published accounts of the Peru ‘carbon grabbing’ case appeared in the published media, David Nilsson has become the global personification of carbon cowboys. In this paper we will provide a detailed account of the dealings of David Nilsson, but also of various other actors involved in the Peruvian carbon grabbing story. The public and international condemnation of Nilsson and people like him is very jus- tified. However, the case demonstrates more than anything else the political and institutional fragility of locations and actors who live and control public life in the major towns of the Peru- vian Amazon. The success of Redd or other similar programmes will depend on initiatives to be carried out in such locations, independent of whether these are initiatives carried out by civil society and private actors, or under a national Redd strategy. The case has relevance for global efforts to address climate change resulting from atmospheric carbon, but also for the wider debate on global environmental law, and how this affects the rights and legal position of people at the farthest fringes of societies. The emergence of global environmental legal instruments, like the Ramsar Convention on wetlands, the Convention on Biological Diversity, and also Unfccc have linked remote forest dwellers with global environmental law. This has resulted in academic debates on, for instance, communities and their role in the Cbd (e.g. Mauro and Hardison, 2000; Maggio, 1997). The international community has considered it opportune to protect the rights of a subset of indigenous communities by means of Convention 169, on Indigenous and Tribal People and the un Declaration of the Rights of Indigenous People, a resolution adopted by the un General Assembly. In the Unfccc,

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the rights of indigenous peoples when it concerns the Redd+ mechanism are considered in its safeguard principle. The safeguards principle aims to minimize negative impacts of Redd projects on the socioeconomic wellbeing of forest dependent communities and guarantee their adequate consultation and participation. It demands free, prior and informed consent and to uphold human rights of the people affected (Bluffstone et. al., 2013; Brown, 2013; Visseren-Hamakers et. al., 2013). The safeguards principle was incorporated in the decisions adopted by the Conference of Parties of December 2010, which limits it legal weight. The two mechanisms that provide some guarantee that safeguards are adequately considered in Redd+ initiatives are the obligations imposed by funding agencies or by voluntary certification agencies. The two mechanisms leave a space in which actors operate that are not bound by the two mechanism, or by the safeguards principle. Under the Unfccc as a global legal mechanism the states are called to regulate how actors can operate within the national space. The example that we present here does demonstrate what kind loopholes there are for private initiatives that go entirely against the spirit of global environmental law, and that are legally dubious, morally despicable, but not clearly illegal. It also demonstrates that even under the Unfccc umbrella and national Redd programmes, legality compliance cannot be taken for granted, but that this is something that needs to be crafted carefully. The information on which this paper is based is from multiple sources. Quite a few webpages and newspaper articles reported on the case and where the paper relies on such information, those sources are duly mentioned. We also had access to a copy of the documentation related to a court case in which David Nilsson accuses Dan James Pantone, founder of the Ngo with the name Matses and Daniel Manquid Jimenez Huanan, the President of the Matses native community (Denuncia, 2011). This formal accusation, which is dated June 7, 2011, contains many documents that reveal in much detail Nilsson’s actions but also those of his collaborators in Peru between October 2010 and mid- 2011. An additional resource is material that we obtained from collaborators of the Instituto del Bien Comun (Ibc), a Peru based Ngo which is working in one of the regions where Nilsson undertook a second attempt to negotiate a carbon deal with indigenous people. The information from Ibc is mostly photographs, copies

66 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 61-83 Issn 1870-6800 Carbon Cowboys in Peru and Prospects of Local Reed Gobernance of original documents, power-point presentations and recorded radio interviews. The paper is divided into six sections. Following this introduction, section 2 describes in much detail, how Nilsson sought contact, and how he succeeded in establishing himself in the Peruvian Amazon and assure that his operations could proceed. Section 3 follows with an analysis of Nilsson’s actions and how his company became exposed, first locally and eventually worldwide. Section 4, in turn, reveals the second, and this time successful attempt by Nilsson to sign an agreement with a different indigenous group from a different part of the Peruvian Amazon. Section 5 discusses the evidence of the sections 2, 3 and 4, and dwells on the implications that the Peru case has for the prospects of implementing Redd projects in remote regions like the Peruvian Amazon or elsewhere. Section 6 derives some governance lessons for the local implementation Redd projects.

Carbon Cowboys in the Amazonian Wild-West First contact and collaboration David Nilsson wrote an email message on August 27, 2010 to the email address [email protected]. Nilsson found this email address on the website http://www.matses.org/, the website of a ‘non-profit association’, the “Movement in the Amazon for Tribal Subsistence and Economic Sustainability-Matses”. This association aims to: “Offer assistance to the Matsés indigenous communities so that this native Amazonian tribe can conserve their native culture and indigenous lands in a sustainable and autonomous manner” (Denuncia, 2011). In his original message, Nilsson stated that he and his associates were guided by the Unfccc and seeked to establish a “joint venture agreement with the Indigenous Communities in developing carbon credits” (sic). The message further stated that “We provide the funding and the experts to develop the carbon credits and marketing” and that “The income that is generated by the carbon credits is far, far more than any income from logging and it is sustainable for 20-25 year” (Denuncia, 2011). The message was read and answered by Dan James Pantone, who is the founder of the Matses association and at the time, its vice-president. Pantone reportedly holds both a Peruvian and Usa nationality and is in subsequent documentation either identified

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as a Peruvian (Denuncia, 2011), but also as a Usa citizen (Bartlett, 2012). Pantone responded positively to Nilsson’s proposal, pointing out that the Matses indigenous people controlled about 873 thousand hectare of tropical forest (Denuncia, 2011). Supposedly, this included their actual recognized territory of about half that size, and an area that the Matses claimed as their lands. Pantone suggested that Nilsson directly contacted the Matses customary authority (chief) Angel Uaqui Dunu Maya via cellphone. In the same message Pantone referred to “Lots of politics that prevent any aid from ever reaching the Matses people” and that “The Ngos (Centro para el Desarrollo del Indígena Amazónico, Cedia and Wff- Peru) and the national indigenous organization in Peru (Aidesep) are receiving millions of dollars in grants for the Matses people, but the funds always seem to be used for their own salaries and for workshops” (Denuncia, 2011). The exchange between Nilsson and Pantone continues for a while. In a message from September 27, 2010 Pantone actually offered his assistance to Nilsson, including accompanying Nilsson to meet with the Matses chiefs. Pantone, however requests a daily fee for his services of Usd $200. On October 5, 2010, Pantone indeed received a first payment ofsd U $1,900 into an account in his name in the Usa, and the total amount received is Au $10,425.36 or about Usd $9,200, paid in four installments, during October (two payments), November and December 2010 (Denuncia, 2011). Nilsson eventually arrived in Peru on October 9, 2010 and was received at the airport in Lima by Dan Pantone. According to the court documents (Denuncia, 2011), while still in Lima, Nilsson desired to have meetings with Cedia, Wwf and Aidesep, but Pantone advised against these meetings. Nilsson however insisted on the meeting with Aidesep, which takes place in October 2010. In addition to having meetings with indigenous and conservation organizations, Nilsson also sought contact with the Regional Government of the Department of Loreto, the largest Department of Peru and in which the Matses territory is located. Once arrived in Iquitos, the capital of the Loreto Department, Pantone on behalf of Nilsson gave a presentation to the President of the Regional Government of Loreto, Yvan Vazquez Valera and his advisers, who apparently in a first instance showed much interest in Nilsson’s proposal. On November 2, 2010, Nilsson actually made a business proposal to Loreto’s Regional Government, but

68 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 61-83 Issn 1870-6800 Carbon Cowboys in Peru and Prospects of Local Reed Gobernance supposedly also signed a confidentiality agreement on December 1, 2010 to not disclose any of the negotiations between Nilsson and the Regional Government of Loreto (Salazar, 2011). Pantone organized still in October a meeting between Nilsson and Daniel Manquid Jimenez Huanan, who according to Pantone was the President of the Matses native community. Jimenez was, as informed by Pantone, also a trader in the hallucinogenic ayahyasca and frog venom (Denuncia, 2011). Eventually, on March 18 and 19, 2011 Nilsson and his entourage, together with Daniel Jimenez held two workshops with 14 Matses tribal chiefs in Iquitos. In addition to Daniel Jimenez, this reunion was also facilitated by Angel Dunu, the Matses chief. At this meeting, Nilsson informed those present about global warming, carbon trade, his company Scrl, and the joint venture proposal that he intended to sign between the Matses and his company.

Joint venture between Sustainable Resource Limited and the Matses people At the meeting between Nilsson and the Matses tribal chiefs, Nilsson proposed to sign a joint venture agreement, which would regulate the international trading of carbon stocks contained in the forests that were under the control of the Matses people. Scrl is a company legally registered in Hong Kong. The company has a full-fledged company registration certificate, and a Memorandum of Association, required under Hong Kong’s Companies Ordinance. The company itself, however, was officially registered only on November 15, 2010, which is almost four months after Nilsson sought his first contact with Dan Pantone and one month after he arrived in Iquitos, Peru. This means that there was yet no company that could engage in a joint venture with a partner to trade carbon at the time of the first contact. Scrl had at registration had a value of Hk $10,000 (about Us$1300), and the same amount of shares which thus each had a value of Hk $1. The court accusation contains a copy of a well elaborated draft of the Joint Venture that Nilsson wanted to sign with the Matses people (Denuncia, 2011). The draft, explicitly referred to as for discussion purposes only, is a 27 page document mostly containing clauses that guide the collaboration between the signing parties. The intended signatories were Scrl and

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“The Matses Indigenous People of the Amazon”. The document refered to the Unfccc, and greenhouse gas reduction. It defined objectives largely related to positive environmental outcomes of the cooperation between the two signing parties, but not any trading of carbon (Denuncia, 2011). The section Joint Venture Formation and Interests, on page 17 of the Joint Venture draft is where the intention of Nilsson and his company were being elaborated. There, the document defined that the benefits captured were to be shared 50%-50%, but after project expenses had been paid. These project expenses included fees for Scrl personnel. The agreement also gave Scrl the faculty to hire consultants and finance the expenses from the joint venture incomes. It also gave Scrl exclusive right to manage the project, and even to act on behalf of the Matses people, where it concerned the interests of the joint venture. Finally, the joint venture also stipulated that Scrl will handle all the funds that will be received for sold carbon credits. The joint venture further stipulated that signing parties would maintain the agreement confidential and that were to be governed “by the laws of England and Wales” (Denuncia, 2011).

The making of a public villain Already during the month of March, 2011 Nilsson’s horizon began to look bleak. First, the relation between Nilsson and Pantone turned sour. Soon after that and we hypothesize that it is related, a member of the Matses Ngo accused Nilsson of fraud with the ombudswoman’s office in Iquitos (Marina Herrera, 2011). Then, by the end of April, David Nilsson and his doings were condemned in the so called Aidesep and Coica’s Iquitos Declaration. Evidence of a souring relationship between Nilsson and Pantone emerge from the court accusations of Nilsson against Pantone. In that accusation it is mentioned that Pantone was unwilling to set up a meeting with the Matses community members. Instead, during November 2010, Pantone proposed to establish the Amazon Rainforest Institute Foundation. The statutes of this foundation, which were written in Spanish and which Nilsson was unable to understand, established that it will have two members, Pantone as president and Nilsson as vice- president. While at the beginning the statutes referred to the foundation as non-profit, under clause 4.4 they mentioned that

70 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 61-83 Issn 1870-6800 Carbon Cowboys in Peru and Prospects of Local Reed Gobernance the foundation can derive rents from special projects. In addition, article 11.1 defined that the administrative board had as its function to elect a vice-president, while no reference was made to the election of a president. The statutes did not define who would be the members of the administrative board. Article 16, furthermore stipulated that Nilsson were to donate US$ 20,000 for the foundation to initiate activities. Nilsson refused to pay this amount and the foundation was never formally established. A subsequent quarrel occurred a few days later, when Nilsson discovered Pantone in his room in the Golden Star Hotel in Iquitos, copying information from Nilsson’s computer onto a Usb. As per the personal report from Nilsson, Pantone actually tried to hit him, and to accuse him of being a drug dealer, if he did not pay the Us $3,000 that Nilsson still owed Pantone. On that same day Pantone received a payment of Au $4,100.5 sent by Nilsson’s wife from Australia and into Pantone’s bank account in the Usa (Denuncia, 2011).

The Declaration of Iquitos Nilsson and Pantone’s falling out undermined Nilsson’s plans. When Nilsson visited again the Regional Government of Loreto to further discuss the carbon deals, Yvan Vasquez declined further contact. Apparently, he had been telephoned by Pantone. More important, however, is the letter that Daniel Jimenez, the president of the Matses Ngo, sent to the ombudswoman, Lisbeth Castro Rodrigues in Iquitos. The letter’s subject was “Fraud by a foreigner of the Matses Indigenous People for their natural resources”.5 The letter mentioned Nilsson’s name, and provided a copy of his passport, and a copy of the draft joint venture that was being negotiated with the Matses. It refered to the meeting with the 14 chiefs a week earlier, that Nilsson promised 50% of the profits of the carbon trade, and that the Matses would obtain “millions of dollars of profits” from those deals. The letter provided some details about Nilsson’s previous fraud cases, some of which have been investigated by the government of Queensland, Australia. It also pointed out various parts of the draft joint venture, which according to the letter had as the main intention to mislead the Matses co-signing party.

5 Original title in Spanish: Estafa del Pueblo Indígena Matsés por un Extranjero para sus Recursos Naturales.

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The accusation made reference to the services that Pantone provided to Nilsson although not using Pantone’s name. We hypothesize that it was Pantone himself who drafted the letter. The letter indicated that “an associate” of the Matses Ngo, who collaborated with Nilsson, was bribed by Nilsson with gifts, like a computer, and offered 10% of the profits. The formal accusation against Pantone (Denuncia, 2011) stated that Pantone himself made that demand. The letter also referred to Angel Duna, the Matses tribal chief as Nilsson’s employee. The letter to the ombudswoman was soon followed by the first article in the regional newspaper: La Región. On April 4, this newspaper copied the accusations made in the letter, stating that an Australian national induced the Matses people to cede their territory so that its carbon credits could be sold internationally (Marina Herrera, 2011). The article repeated some excerpts of the letter. The first newspaper article was followed by two others over the next weeks, bringing the matter to the attention of the Iquitos public. There was some communication between the Matses (either the Ngo or indigenous leaders) and Aidesep, and as a result Aidesep sent two persons to the Matses to instruct them about the true intention of Nilsson and his company (Salazar, 2011). Soon afterwards, and unrelated, a National Workshop was held in Iquitos on “Climate crisis, Redd+ and Indigenous Redd”, organized by Aidesep and Coica (Coordinator of Indigenous Organizations of the Amazon River Basin), the coordinating body of the nine national Amazonian indigenous organizations. This workshop resulted in the Iquitos Declaration “There is no Redd+ without territory” (Friends of the Amazon 2011). This declaration is critical of the global Redd+ discourse and programs, and provides an outline of an Indigenous Redd vision. The very same Iquitos Declaration, however, signed by all participants at the workshop, dedicates an entire paragraph to denouncing explicitly Scrl and David Nilsson and their fraudulent practices. As we can reconstruct, it is especially this Iquitos Declaration that generated the worldwide notoriety of Nilsson and his company. A prominent reporting on the case from the hands of Chris Lang was posted on 3 May 2011 on the Reddmonitor. org website (Lang, 2011). Many similar posts followed, and David Nilsson became the type case for carbon cowboys, and the epitome of the unscrupulous racketeer who approaches indigenous

72 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 61-83 Issn 1870-6800 Carbon Cowboys in Peru and Prospects of Local Reed Gobernance groups, promising enormous future gains that can be obtained when they trade their carbon with international investors. A common practice is to invite the signing of an agreement that gives sole rights to negotiate carbon credits over the territory legally owned by the indigenous groups, but at the cost of giving up virtually all rights over the territory and the forest they contain, while emasculating them of any relevant decision rights over the carbon negotiating or any related transaction (Fca, 2013).

Disunity between brothers

A revealing next chapter in the Matses and Scrl saga was the public declaration dated July 11, 2011 made by Carlos Fasabi Panduro, sub-chief of the Matses native community. In this declaration, Carlos Fasabi deplored the paragraph in the Iquitos Declaration, which referred to the Matses and Scrl. Fasabi argued that the meeting between Nilsson and the tribal chiefs in Iquitos was merely to inform, but that those present had made it clear that any proposal for a formal collaboration would have to be approved by a General Assembly of the Matses community. Fasabi argued that the Iquitos Declaration was prepared without presence of any Matses representative, but made it impossible for the Matses to undertake future coordination with national and international organizations that could benefit their own prospective. This Matses declaration actually requested that Aidesep retracted the statement made in the Iquitos Declaration.

A change of company and of strategy Nilsson left Iquitos on December 19, 2010, and returned again on February 9, 2011. The first round of trying to set up a carbon trading joint venture agreement between Scrl/ Nilsson and the Matses Indigenous community finalized around mid-2011 but did not lead to the signing of the joint venture. The experiences so far, however, did not discourage Nilsson from pursuing his shady deals. Rather he refined his methods, sought new allies, and began a second attempt, similar to the one that he tried with the Matses. This time he went downriver from Iquitos, to communities located around the confluences of the rivers Napo and Apayacu and Ampiyacu, mostly of Yagua, Huitoto and Bora ethnicity. Nilsson also had founded a new company: Amazon Holding Limited. Ahl was registered in Hong Kong on August 31,

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2011, but this time as a private company. Apparently, Nilsson was aware that the name Scrl had been tainted and that it was appropriate to establish a new legal corporate identity. Nilsson undertook several visits to the newly targeted communities as can be observed by online videos of one of those earlier meetings6 and another one of Nilsson returning to Iquitos from one of those visits.7 Two meetings, however, were decisive for the successful signing of an agreement between Ahl and the Federation of Agrarian and Natural Resources Indigenous and Campesino Communities of the Amazon District Francisco de Orellana, Napo River (Occnarda) and the Yaguas Federation of the Apayacu River (Fepyra). The first meeting took place on October 17, 2011 and the second on October 31, 2011. The meetings have been recorded through photographs and were reported on in newspaper articles (La Region, 2011a). They are also shown in the Australia’s Channel 9, 60 Minutes report on Nilsson (Bartlett, 2012). The October 17 meeting was held in the village Cinco Unidos, located at the confluence between the Apayacu and Amazon rivers. The October 31 meeting took place inside the office buildings of the Regional Government of Loreto (La Region, 2011a). The two meetings were attended not only by people directly involved with Ahl or members of the communities, but also by people who were involved in forestry matters and who resided in Iquitos or just happened to be there at the time. Pictures of the meeting appeared in the newspaper article and in the Australian 60 Minutes documentary. The purpose of the presence of people not directly involved with Ahl, but involved in forestry or development issues was to suggest international support for the agreements. The 60 Minutes documentary showed a speaker at the second meeting who referred to Ahl as a company of the United Nations (Bartlett, 2012), and the La Region article (2011a) mentioned that the project stipulated in the agreement was supervised by both the World Bank and the United Nations. Nilsson involved two important allies in the efforts to lure Occnarda and Fepyra into signing a carbon deal. One was Walter Cambero Alva, the lawyer who represented Nilsson when he pressed formal charges against Dan Pantone (Denuncia, 2011). The very same Walter Cambero was the Dean of the College

6 http://www.youtube.com/watch?v=H7G6i_zn1lM&feature=related 7 http://www.youtube.com/watch?v=KNhhZjzqnwo

74 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 61-83 Issn 1870-6800 Carbon Cowboys in Peru and Prospects of Local Reed Gobernance of Lawyers at that time, the legal professional organization of lawyers of Loreto. This Walter Cambero represented Nilsson in his court case (Denuncia, 2011), but he was also present at the two meetings in October 2011. His name is mentioned and his photograph appears in the newspaper article that reports on the October 31 meeting, in the facilities of the Loreto Regional Government (La Region, 2011a). The 60 Minutes documentary on Nilsson shows an interview of a Cinco Unidos community member who states that the same Walter Cambero advised the indigenous communities when they were considering the proposals made by Nilsson (Bartlett, 2012). Ruiz Molleda (2012: 32), who analyzed the legality of the signed agreements, also mentioned that Cambero actually provided legal advice to the communities. A second alley that Nilsson could count on was Edwin Floret, who at the time was Director of the Sub-secretariat of Indigenous Nationalities of Loreto’s Regional Government. He was the person within the Regional Government in charge of safeguarding the interests of Loreto’s indigenous people (La Region, 2011a). The very same Edwin Floret denied in an interview any involvement between the Loreto Regional Government and himself in the agreement between Ahl and Occnarda and Fepyra (La Region, 2011b). From the available information, the agreement that was actually signed between Ahl and Occnarda and Fepyra consist of two documents. Ruiz Molleda (2012) refers to a one page and a half summary in Spanish of the full agreement, which apparently was written in English. The first document was shown in the 60 Minutes report on the Nilsson case (Bartlett, 2012) and we also obtained a photographed copy of this agreement. The Spanish summary is titled: Agreement for Sustainable Forest Management of Amazonian Communities (El Convenio de Manejo Sostenible Forestal de Comunidades Amazónicas). It stated that Ahl intends to promote sustainable forest management in the communities that signed the agreement. Ahl held the primary right to buy the timber that communities wanted to sell. The fourth paragraph of the summary, however, specifically stated that the ultimate goal of the agreement was to “generate carbon services to be traded in international markets”.8 The agreement, furthermore, specifically mentioned a period of 100 years, and allowed the

8 Original in English, our translation.

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option to develop oil palm plantations on the territories of the signing indigenous communities. Ruiz Molleda (2012) observed that the other document, the full joint venture agreement, was withheld from the community members, but the 60 Minutes report showed how members present at one of the meetings actually signed a signatory page similar to the signatory page of the Matses joint venture agreement (Bartlett, 2012). This suggests that actually a signed joined venture agreement exists, but that it has not been made public. The La Region newspaper, which only six months earlier reported on numerous occasions on the fraud of Nilsson and his company Scrl, presented a story on the second meeting with the title “Almost six million dollars for native communities” (La Region, 2011a). The agreement was presented as a great achievement as the project would invest in, among others, sustainable agriculture and forestry development.

After the agreements The signing of agreements and immediate publication were followed by similar events as in April 2011, when Nilsson tried to sign a joint venture with the Matses. On several occasions, stories appeared in local newspapers in which indigenous leaders denounced the agreement and requested that it be cancelled (i.e. La Region, 2011c; 2011d; 2011e). The 60 Minutes team went all the way to Iquitos and traveled to Cinco Unidos and their 14 minute report appeared on Australia tv on July 6, 2012. The 60 Minutes investigative team was guided by Pantone, who presented himself and is presented in the documentary as a victim who was fooled by Nilsson (Bartlett, 2012). In addition to showing images and interviews from Peru, the 60 Minutes team also had one of their staff members approach Nilsson in his home in Australia as a carbon investor, and Nilsson actually offered carbon credits for sale (Bartlett, 2012). This proved that Nilsson was serious about following through his scheme and tried to negotiate deals with investors, based on the agreements that he had signed in Peru. But similar to the case of Scrl trying to sign a joint venture with the Matses, there have been various dissenting responses to the exposure of Nilsson’s and Ahl’s attempted fraud. La Region news articles appeared on August 13, 2012 (La Region, 2012a)

76 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 61-83 Issn 1870-6800 Carbon Cowboys in Peru and Prospects of Local Reed Gobernance and on September 10, 2012 (La Region, 2012b) that reports on Fepyra or members of specific communities who complained of the 60 Minutes team and Pantone and who demanded that the agreements signed with Ahl be duly respected and executed. Nilsson and Pantone meanwhile have entered in a bitter feud that continues until today. There is a website: http://danpantone. info/ of 45 pages with many stories dedicated solely to smearing Pantone’s image and others with stories reporting on indigenous groups who support the Ahl agreement. There is no mentioning of personal or institutional ownership of the website, and we hypothesize that it originates from Nilsson himself or one of his collaborators involved with the Occnarda and Fepyra negotiations.

Sharing the blame The analysis of the case of carbon cowboy Nilsson and his landing in Iquitos, in our view, has much relevance for judging the prospects of Redd or other avoided deforestation efforts being implemented in remote regions like the Peruvian Department of Loreto. The evidence that others have presented elsewhere, and that we summarize here, adequately demonstrates that Nilsson is a crook, skilled in devising schemes that have from a distance all the appearance to be genuine, and that allow him to offer opportunities to invest in carbon credits to interested parties that do not immediately see through his screen of misinformation and deceit. The analysis here, however, also makes clear that operators like Nilsson seek out locations to operate where they can find at least temporarily equally opportunistic allies, where the rule of law is ambiguous or functions poorly, where the institutional infrastructure is poorly developed, and where many are poorly informed. While the international Redd community made much fuss about Nilsson and his companies, it is obvious that Scrl nor Ahl would not obtain any Ccba, Vcs nor any other certification that would proof his company to be a genuine and honest carbon broker or trader. Only inexperienced investors would conceivably put their money into his schemes. It is also quite unlikely that the agreements signed with Ahl would be considered valid if it would come to the point that the indigenous parties would default on the terms and Nilsson would want to denounce them in a Peruvian court.

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The conditions and the multiple actors, however, who interacted with Nilsson will still be there if and when those genuine and legitimate Redd projects arrive in Iquitos. In addition to Nilsson, Dan Pantone’s involvement in the Scrl dealings is very dubious. His statements in the initial email exchange with Nilsson and several of his actions described in the court case against him (Denuncia, 2011) do strongly indicate that Pantone had a personal agenda. This is also the case with the Loreto Regional Government that first tried to negotiate a deal with Nilsson without opening the issue up for a wider debate or inviting indigenous groups like Aidesep or the multiple indigenous federations to meetings where the Scrl proposal could openly be discussed. The role that the Regional Government and a person like Edwin Floret, the person in charge of indigenous interests within the regional government, played in Nilsson’s second effort to sign carbon deals with indigenous groups is even more of a concern. Floret’s facilitation of an important meeting in the installations of the Regional Government of Loreto gave much credibility to that meeting. This happened only one year after the Regional Government of Loreto had broken of negotiations with Nilsson, and six months after Aidesep and Coica had made their Iquitos Declaration, publicly denouncing Nilsson and Scrl. The positions of Aidesep, the Matses indigenous community and the Fepyra are also somewhat puzzling. The Iquitos Declaration made a strong statement on the matter, but this was soon followed by a public dissenting statement of the Matses, as explained above. The very same has happened in the case of the Occnarda and Fepyra agreement. That agreement was publicly denounced soon after it was signed by indigenous leaders and this in turn led to the wider outcry in public media. But soon afterwards again dissenting statements were made by the members of the affected indigenous groups in defense of the Ahl and Occnarda and Fepyra agreement. It is likely that this relates to factionalism and power struggles of competing sections within indigenous communities or their representative organizations, a reality that is still quite common in remote regions like the Peruvian Amazon (e.g. Barclay Rey de Castro, 2012). Unfortunately, even the nationwide representative organization Aidesep is not without fault as their unilateral declaration on the Scrl-Matses matter apparently did not involve the Matses victims of Scrl themselves.

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Lessons for Redd and global environmental governance The experience of the Peruvian carbon cowboy case does provide important insights into the challenges ahead when trying to implement Redd or other similar initiatives in locations like the Peruvian Amazon. The Nilsson case drew much attention which would likely not have been the case if a more reputable carbon entrepreneur would have gone to Iquitos to negotiate carbon deals. It can conceivably be assumed that such a reputable carbon negotiator would have approached the various actors in Iquitos under different terms and that in itself would have made a tremendous difference. However, it remains a remarkable outcome how eagerly various actors who are supposed to care for particular groups or care for wider social interests, were tempted by the prospects of richness that would drop down from global carbon funds, as Nilsson promised, and were eager to engage in deals that would otherwise not survive public scrutiny. While Peru has prepared a Redd Readiness proposal (Fcps, 2013), there are still no clear and coherent national Redd policies or regulations. The issue of who actually holds rights over carbon contained in forest vegetation or other kind of carbon deposits is not yet adequately clarified. While Peru will join a Unfccc supported Redd program that has as its primary interlocutor national governments who will establish agreements with Unfccc, Peru intends to allow private carbon investors to operate in the country, but until date no adequate regulations have been enacted for that purpose. And even if such regulations will be prepared, in regions like Loreto, where corruption and non-compliance with the rule of law is common rather than rare (Romero, 2014), various actors will comply with such regulations as they see fit. The sad reality is that especially in early days of carbon negotiations, there is likely to be little if any sanctioning of non-compliance. It is clear from the analysis of this paper, that it will take quite some efforts until the multiple actors in Loreto will have adopted good governance practices that are required for successful implementation of Redd and other similar projects. It will be the role of the national government, the global climate change mitigation community and of all the responsible actors in Iquitos, Peru and elsewhere to gradually construct good governance of Redd projects, while it will always be necessary to carefully watch against future carbon cowboys, who most likely

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will arrive again in places like Iquitos, but also against possible carbon jockeys from the region itself.

Acknowledgements

The paper is the result of a Jsps funded project: How can local communities contribute to the successful implementation of international environmental regimes. We thank Christine Padoch for her constructive feedback on an earlier draft of the paper.

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Salazar, Louis (2011). El caso de “carbon cowboy,” David John Nilsson, y los indígenas Matsés. Powerpoint presentation. Sunderlin, W.d., A.m. Larson, A.e. Duchelle, I. A. Pradnja Resosudarmo, Thu Ba Huynh (2014). How are Redd+ proponents addressing tenure problems? Evidence from Brazil, Cameroon, Tanzania, Indonesia, and Vietnam. World Development 55, pp., 37-52. Van der Werf, G. R. , D. C. Morton, R. S. DeFries, J. G. J. Olivier, P. S. Kasibhatla, R. B. Jackson, G. J. Collatz, J. T. Randerson

(2009). CO2 emissions from forest loss. Nature Geoscience 2, pp., 737-738. Visseren-Hamakers, I.J. , M. Wang, W. de Jong, and B. Cashore (2013). How can Redd+ foster local rights and livelihoods? Lessons and insights from Peru. Ben Cashore ed. Forest governance scholarship for the real world: Building strategic insights through policy learning. Iufro Taskforce on Forest Governance, Issues & Options Briefs on Forest Policy. Accessed September 23, 2014. Available at http://www.iufro.org/download/file/10104/387/ Issues_Options_Redd_Peru_11_12_13_pdf/.

Fecha de recepción: 28 de septiembre de 2014 Fecha de aprobación: 31 de octubre de 2014

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Study of China’s Non-profit Sectors Participating in Emergency Management

Estudio del sector sin fines de lucro de China para participar activamente en la administración de emergencias

Wang Shi-jun1

Abstract How to confront public crisis actively and implement emergency management effectively?, this is a very question for governments in charge of supplying public service and public goods. However, government strength has been proved to be not able to match their own ambitions in emergency management any more. In contrast, the nonprofit sector has an advantage of rapid combined action, extensive social participation, and strong social mobilization over the public and the private sector. Therefore, it is necessary to bring into full play its role in this respect. This paper devotes to give some suggestion for China’s nonprofit sector so as to actively participate in emergency management through analyzing the theoretical basis and present predicament of China’s nonprofit sector participating in emergency management.

1 Profesor-investigador del Mianyang Administración Instituto, Mianyang, Repúbli- ca Popular de China. E-mail: [email protected]

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Keywords: governance crisis, Chinese governments, administrative reform, emergency management, the non-profit sector, participation.

Resumen ¿Cómo afrontar la crisis pública activamente y poner en prácti- ca la administración de emergencias con eficacia?, ésta es una gran pregunta para los gobiernos encargados de suministrar los bienes y servicios públicos. Sin embargo, la fuerza de los gobiernos ha demostrado no ser capaz de igualar sus propias ambiciones en la gestión de las emergencias. En contraste, el sector sin fines de lucro tiene las ventajas de una rápida acción com- binada, una participación social extensa y una fuerte capacidad de movilización social sobre los sectores público y privado. Por lo tanto, es necesario poner su papel a pleno juego con respecto a esto. Por ello, este artículo se dedica a sugerir al sector sin fines de lucro de China, sobre cómo participar activamente en la administración de emergencias a través del análisis de las bases teóricas y de la situación de predicamento del sector no lucrati- vo en China, que participa en la administración de emergencia.

Palabras clave: crisis de gobierno, los gobiernos de China, la re- forma administrativa, la administración de emergencias, el sector sin fines de lucro, participación.

Introduction long with the rapid progress of science and technology, Ahuman society has no choice but to enter an adventure society. State, as a even broader driving force of modernization, shoulders the task and responsibility to control and eliminate (if possible) risks (Steve Crook, 2004). But the truth is, only government could not deal with various risks and crises in modern society flexibly, effectively and efficiently. “Whose support is the most important for you in the stage of post-disaster, individuals or institutions?” When asked such a question, the majority of respondents (60.4%) chose the “government” (Zhao Yandong, 2011). Thus it can be seen, the advent of risk society has brought unprecedented challenges to the traditional model of emergency management and made it transform from “the single-center risk control mode” to “the

86 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 85-96 Issn 1870-6800 Study of China’s Non-profit Sectors Participating in Emergency Management multi-center risk governance model”. Besides the public sector, the private sector and the non-profit sector also take part in the multi-centered risk governance model. The non-profit sector, including non-profit organizations p (N os), which encompass volunteer organizations, non-government organizations (Ngos), and community based organizations (Cbos), has an advantage of rapid combined action, extensive social participation, strong social mobilization over the public and the private sector. Hence, the public sector must pay more attention to the role of the non-profit sector in emergency management and keep better relationship with the non-profit sector.

Theories about non-profit sectors participating in emergency management Human society is mainly constituted by five factors: natural persons, legal entity, materials, cultural and informal organizations. Legal entity constricted by a series of legal norms can assume the rights and obligations of civil law. According to popular sociological theories, it can be separate into three closely interlinked but divergent sectors. The first sector is the political sector, including government agencies, party organizations, courts, and people’s congress and so on. The second sector is the corporate sector, including financial institutions, intermediary agencies, the single-owner operated businesses, partnerships and corporations, and so on. The third sector is the non- profit sector, including charitable organizations, trade unions associations, societies and so on. The purpose of the non-profit sector is not at profit but at socially useful activity. It has the following characteristics: formal organization, non governmental, non profit-distributing, self-governing, and voluntary (Li Yaping and Yu Hai, 1998). The non-profit sector could take part in emergency management has some theoretical basis.

Market failure Adam Smith, a classical economist, believes that the “invisible hand” will automatically adjust and allocate resources to promote the economic prosperity and to achieve welfare maximization of society so long as citizens were given the freedom to pursue interests. In short, markets by themselves

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are efficient. However, the Great Depression (1929-1933) has indicated that the laissez-faire economic system was weak and incompetent in the field of public goods. Besides John Maynard Keynes, N Gregory Mankiw, Paul R Krugman and Joseph Eugene Stiglitz all believe that the market is not perfect and almighty and it need for government intervention. That is so- called “market failure”, means maintaining a desirable activity or stop undesirable activities, its price——the market system deviates from the ideal state, resulting in inefficient resource allocation (Hu Daiguang and Zhou Anjun, 1996). Therefore, purely market-based measures can not achieve the optimal of social resource allocation and the effectiveness of public services supplying, as a result, “market failure” in public goods (Burton Weisbrod, 1974). Regulations can thus play an important role in addressing market failures (Joseph E. Stiglitz, 2008). And this is precisely the premise of participation of government and the non-profit sector in emergency management.

Government failure Government, one of the most authoritative public institutions in the society, has too many obvious advantages to correct market failure. However, government failure —at least on the scale that we have seen it in recent years— is not inevitable (Joseph E. Stiglitz, 2008). Serious inflation started from the United States and then spread to other developed countries in the late 1960s. The oil crisis in the early 1970s brought a thumping economic loss to the capitalist world. Stagflation broke the Keynesian national myth and the theory of government failure created quite a stir. Government failure means that the state or government is not always as effective as it should be. So, government agencies may have frequently contributed to policy failures by their short-shortsightedness, inflexibility and conflicts (Clifford Winston, 2006). It shows that the government will fail to achieve the optimization of resource allocation. Concretely in public crisis management, government failure crops up now and then due to the unpredictable nature of risk. In this case, the non- profit sector will play an important role since it has advantage of expertise, flexibility, normalization over governments.

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Civil society Since the 1990s, the concept of civil society is increasingly accepted all over the world. What is civil society? Many of scholars have pointed out that civil society is the sum of all non- governmental organizations outside the state and the market. Theory of civil society in the Western experienced an evolution process from the political, economic to cultural fields (Yang Renzhong, 2010). The civil society sector is thus a major social and economic force in countries throughout the world at the present time (Lester M. Salamon, S. Wojciech Sokolowski and Regina List, 2003). It frees the people from the super control and domination of the government and the market and advocates the establishment of autonomous, independent, self-disciplined social organization to form the modern social structure consisted of countries, markets and social positive interaction (He Zengke, 2000). The theory of civil society has laid a theoretical foundation for third sector involvement in public crisis.

Governance and good governance Governance can be exercised in different ways, and different parts of the same chain can be governed in different ways (John Humphrey and Hubert Schmitz, 2005). The theory of governance, in a nutshell, stressed the diversified structure of social management, claims that the government and civil society should interact so as to good governance. The essential characteristics of good governance lies in the cooperative management of the government and citizens in public life, which may be a new relationship or the best state of the political state and civil society(Yu Keping, 2000). Public emergency management is a complex system of social works, and they need not only financial, material and mandatory mechanisms, but also diversification of the participants in emergency management to handle with public crisis flexibly and effectively.

Dilemmas of China’s non-profit sectors participating in emergency management In recent years, China faced with many complex social problems in a complex, dynamic and diverse environment, its governments’ governance must rely on people, businesses and non-profit,

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its non-profit sectors participate and play an important role in a series of emergent events. However, there are still too many problems for China’s non-profit sectors to participate and play their role in emergency management. There are four main reasons: the government-standard consciousness rooted in China’s historical and cultural traditions, the centralized state system implemented for thousands of years in China, restrictions of the existing law and policy and the status of the nonprofit sector in social governance (Xu Qing, 2009).These four reasons led to the following results:

Governments have never gave adequate attentions to non-profit sectors At the time of participating in emergency management, non- profit sectors need to interact with the government, meanwhile, the government also needs a strong support from non-profit sectors. But in the past, China’s governments at all levels are often negligent in contact with non-profit sectors because of the government-standard consciousness rooted in China’s historical and cultural traditions and the centralized state system implemented for thousands of years in China. They neither gave adequate attentions to the role of non-profit sectors in emergency management nor provided the external conditions to promote the healthy development of non-profit sectors. According to recent data, China’s non-profit sector lack international co-operation in emergency management and also fails to effectively utilize the rich resources of non-profit sectors abroad, such as funding, personnel, technology, education and training. Therefore, the efficiency of non-profit sectors’ involvement becomes weaker and weaker, communication and cooperation between governments and non-profit sectors becomes poorer and poorer, which eventually makes China’s governments in a passive position in emergency management.

Non-profit sectors have never been fully appreciated or exploited Non-profit sectors are not familiar for most people in China and their activities also have some problems in the transparency. The public does not only distrust, but also takes a skeptical

90 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 85-96 Issn 1870-6800 Study of China’s Non-profit Sectors Participating in Emergency Management attitude at non-profit sectors. Thus, volunteers keeps the lowest level of participation for some years, which makes many activities organized and supported by non-profit sectors can not be effectively carried out in emergency management. Insufficient ability of non-profit sectors in emergency management behaves as follows: Firstly, non-profit sectors take action slower than governments do in emergency. For example, the Doctors’ Association did not warn and urge the government to take precautions against the risk following in the early stage of Sars in 2002. Secondly, it is insufficient of the organization and coordination ability of non-profit sectors. Due to lack of professional knowledge and management experience, the personnel of non-profit sectors could not supply enough information and communicate with volunteers effectively so that non-profit sectors themselves and volunteers could not make clear the work task and use resources effectively in emergency management.

Non-profit sectors have been prevented from effectively exercising their functions On the other hand, restrictions of the existing law and policy and the status of nonprofit sectors in social governance prevents non- profit sectors from effectively exercising their functions. China’s legal system for the non-profit sector to participate in emergency management is not perfect. The powers and responsibilities of the non-profit sector in emergency management in the current laws, regulations, and provisions in China have not been clearly stipulated. The People’s Republic of China Law on Emergency Response implemented in 2007 is a unified legislation on government crisis management. The Act only stipulates citizens, legal persons and other organizations have an obligation to participate in emergency management without the definite regulations of participation of the non-profit sector in emergency management. This not only goes against the public to fully understand the non-profit sector, but also makes the non-profit sector take actions in emergency management lack of legal basis (Liao Yunfeng, Yang Goudong, 2008).

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Ways to promote China’s non-profit sectors participating in emergency management Public crisis governance belongs to one typical kind of public goods. Manage public affairs is not limited to establish institutions, implement legislation, organize political life, but also not limited to be managed by government agencies (Sun Hui, 2006). Hence, it is a complex system of social and public works, in which the non-profit sector must play a key role. The best way to promote participation of China’s non-profit sector in emergency management is to promote the coordination and cooperation between the public, the private sector, and the non- profit sector.

Take measures to strengthen the relationship between governments and non-profit sectors The Government should take measures to strengthen the relationship with the non-profit sector in emergency management. Lester M. Salamon (2003), a well-known American scholar, ever said the rise of the non-profit sector represents the greatest social innovation of the 20th century. The non-profit sector has become a social life indispensable missing an important force after its rise and development in China. Therefore, the Government of China should take measures to support and promote the non- profit sector to healthily develop. At the same time, it should strengthen the cooperation with the non-profit sector to jointly respond to public emergencies, establish the coordinating mechanism between the government and the non-profit sector to guarantee their effective cooperation between in emergency management, make full use of modern information technology to set up the crisis communication platform between them.

Create a legal environment for non-profit sectors to participate in emergency management The non-profit sector’s involvement in emergency management has to rely on the perfection of a nation’s legal system. Hence, China’s government should improve the legal system to create a legal environment for the non-profit sector to participate in emergency management. To be specific, it should expeditiously enact and perfect the legal system on the non-profit sector

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Strengthen the ability of non-profit sectors encourage volunteers’ participation To improve the rapid response capability of the non-profit sector to participate in emergency management, the non-profit sector in China firstly needs to should formulate a long-term program for emergency management, including the establishment of relief organizations, command systems, work processes, and performance evaluation. Secondly, it needs to learn from the experience of foreign non-profit sectors, introduce foreign experts from the non-profit sector, and take sweeping measures to train the personnel of the non-profit sector. Lastly, it also needs to improve its ability of organization and coordination to make its own management, decision-making, coordination and supervision take effect.

Improve non-profit sectors own social credibility in emergency management The volunteer organization is an important force in social affairs and special social resources. China’s social organizations from the non-profit sector should improve their own social credibility to improve the degree of volunteer participation and establish the accountability mechanisms of emergency management to bear their social responsibilities, improve their social credibility and absorb more citizens join them as volunteers. At the same time, the propaganda dynamics should be increased to arouse public awareness of volunteer service and gain more social support. And moreover, social organizations from the non-profit sector also should carry out the necessary business training and practical exercise in case of unexpected risks.

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Strengthen the international cooperation of non-profit sectors With a deepened international communication, the crisis occurred in one country may rapidly spread to the others. Therefore, the non-profit sector needs to strengthen international cooperation to deal with various crises nowadays. Firstly, those organizations operated very well and gained rich experience from the non-profit sector should actively participate in international humanitarian relief. Secondly, those professional organizations from the non-profit sector should extensively and inventively co-operate with the United Nations and its subsidiary bodies. At last, Chinese government and social organizations from the non-profit sector should establish contact with those reputable professional organizations from the developing countries with frequent disasters to exchange emergency management experience with them and lend a helping hand in a time.

Conclusions The biggest challenge in crisis management research is how to integrate crisis management into the daily political and practice to make it become a routine task of public governance (Arjen Boin, 2004). Therefore, it must be a top priority on the agenda to strengthen public crisis management capacity to achieve the “normalization” of public crisis governance mechanism. Despite it is still at this stage of development in China, the non-profit sector has an advantage of rapid combined action, extensive social participation, strong social mobilization and strong ability of resource mobilization over the public and the private sector. Hence, the non-profit sector becomes one of important collaborators of Chinese government in emergency management.

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Bibliography Arjen Boin. Lessons from Crisis Research (J). International Studies Review (2004), pp., 165-194. Burton Weisbrod. Toward a Theory of the Voluntary Nonprofit Sector in Three-Sector Economy (J). Altruism and Economic Theory. New York: Russel Sage (1974). Clifford Winston. Government Failure versus Market Failure: Microeconomics Policy Research and Government Performance(M). Aei-brookings Joint Center for Regulatory Studies, Washington, Dc (2006), pp., 79. John Humphrey, Hubert Schmitz. Governance in global value chains (J). Review of International Political Economy, Volume 12, 2005 (1): pp., 78-104. Joseph E. Stiglitz. Government Failure vs Market Failure: Principles of Regulation (J). Academic Commons. Columbia. Edu (2008), p., 3. He Zengke. Civil Society and the Third Sector (M). Beijing: Social Sciences Acedemy Press, (2000), pp., 257-268. Hu Daiguang, Zhou Anjun. Contemporary foreign scholars Market Economy (M). The Commercial Press (1996), p., 16. Lester M. Salamon, S. Wojciech Sokolowski Regina List. Global Civil Society: An Overview (R). The Johns Hopkins Comparative Nonprofit Sector Project. Center for Civil Society Studies, Institute for Policy Studies, The Johns Hopkins University (2003), pp., 1-64. Li Yaping, Yu Hai. The Rise of the Third Sector (M). Shanghai: Fudan University Press (1998), p., 108. Liao Yunfeng, Yang Goudong. Effectively Participation of Ngo in the Reconstruction after Disaster (J) . Decision and Information (2008), p., 9. Steve Crook. Risk ordering (J). Translated by Mu Yi, Marxism and Reality 2004 (4): pp., 87-93. Sun Hui. Participation of the Third Sector in Public Goods: A New Paradigm of Public Goods Supply (J). Public Finance Research 2006 (5): pp., 99-102. Zhao Yandong. The Role of Social Network in Disaster Governance: An Example of Wenchuan-Earthquake (J). China Soft Science Magazine 2011 (8): pp., 56-64. Yang Renzhong. Gramsci’s Concept of Civil Society Cultural Transformation and Its Theoretical Significance (J).Theoretical Investigation 2010 (1): pp., 36-39.

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Yu Keping. Governance and Good Governnance (M). Beijing: Social Sciences Acedemy Press, (2000), p., 15. Xu Qing, Key. Environmental Factors Impacted the non-profit sector development (J). Forum of World Economics & Politics, 2009 (1): pp., 91-95.

Fecha de recepción: 18 de agosto de 2014 Fecha de aprobación: 4 de noviembre de 2014

96 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 85-96 Issn 1870-6800 The Research on the Military Administrative Law in Han Dynasty of China

La investigación sobre el derecho administrativo militar en la dinastía Han de China

Zhang Han1

Abstract Military law management system is an important contribution to the Han Dynasty in China. Baselines of the military law of finds unearthed come, especially in the bamboo slats of Zhangjiajshan. This article highlights the importance of management system during the Han Dynasty law and analyzes the characteristics of military law, which allow us to understand the system of laws later dynasty.

Keywords: military administrative law, Han dynasty, China.

1 Doctora y estudiante de la Universidad China de Ciencia Política y Derecho en Historia Legal. También es profesora en la Escuela de Derecho en la Universi- dad del Suroeste de Ciencia y Tecnología, Mian Yang, Si Chuan, China, 621010. E-mail: [email protected].

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Resumen El sistema militar de administración de leyes es una importante contribución de la dinastía Han en China. Las bases de referencia de la ley militar provienen de hallazgos desenterrados, especialmente en las tablillas de bambú de Zhangjiajshan. Este artículo resalta la importancia del sistema de administración de leyes durante la dinastía Han y analiza las características de la ley militar, que permiten comprender el sistema de leyes de la dinastía posterior.

Palabras clave: administración de leyes militares, dinastía Han, China.

Introduction i Han Dynasty’s “military law” has a history more than Xtwo thousand one hundred years, which is the earliest military law of China yet discovered (Wu Chong-kuang, 1981). Han Dynasty had lots of legislations in the military field, some regulated in the criminal law, others in a particular way, which mainly formed into a complete system of military law (Xu Shi- hong, 1998). In ancient China, military law was the guarantee to make a series of military operations running smoothly and the key to the victory, as well it was very important in law system. Laws of Han Dynasty had been lost for a long time, which could only be found in the literature in a small amount. Fortunately, unearthed literatures, such as Zhangjiashan Han Mu Chu Chien,2 have provided a valuable supplement for the study of Han military law. This article attempts to systematize the military administrative law of Han Dynasty according to the unearthed bamboo-silk literature. In a sense, the earliest produced law is military law and the origination of penalty had a close relationship with military. The military law of Han Dynasty is the most ancient one which found in the historic literature of China currently and the investigation of the military law of Han Dynasty is the only way to disclose the veil of Chinese ancient military law. Furthermore, the military law of Han Dynasty military was a connecting link between the military law of the preceding and the following dynasties, which means that it was not only a summary of the former military law

2 Unearthed in the Western Han tomb of Hubei Zhangjiashan during 1983-1984.

98 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 97-114 Issn 1870-6800 The Research of the Military Administrative Law in Han Dynasty of China of preceding dynasties, but also a basis of the military law of succeeding dynasties. Study of the military law of Han Dynasty could help sort out the whole context of the ancient Chinese military. “Military administrative law” is the general term to describe the legal system concerning the management of the army and the war activities in peacetime, which highlighted the characteristics of the military law. According to the literatures, the troops of Han Dynasty implemented a multi-leadership, multi-stage and multi-level administrative system to be jointly responsible to the emperor (Meng Xiang-cai, 1996). The hierarchy was clear and each performed its own functions. Different military administrative laws coordinated and cooperated to each other and formed into a systematic law system. Military administrative law of Han Dynasty is the core content of the military law of Han Dynasty. The previous research was somewhat lack of the specialization of the military administrative law and there is still some space to explore deeper to the bamboo slips. This paper will concentrate on the special question of military administrative law. On one side, the paper is to combine closely the historic literatures and the unearthed literatures; on the other side, to make a delicate and profound investigation on them. The military administrative law discussed herein refers to the laws and regulations concerning the daily management in the peace time (non-wartime), including the management of military drill, military token, palace, city gate, frontier juncture and strategic pass, several crimes related to the military management and the management of official’s salary, taking leave and soldiers’ funeral. The target of the paper is through the analysis to find the characteristics and the overall picture of the military law of Han, so that to make us understand the military law of Han Dynasty even the law of Han Dynasty more fully and comprehensively, and to make a foundation to further research on the military law of Han Dynasty.

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The main content of military administrative law of Han Dynasty The administrative law of drill For the preparation of a battle, the political quality and battle ability of the army must be enhanced. In ancient China, the priority thing of governing an army is teaching and training. When Chao Cuo3 argued military matters with the emperor, he stressed the importance of the selection and training of the soldier: “if solders don’t be drilled, one hundred soldiers couldn’t defend ten.” (Ban Gu, 1999) The drill is very important, and if the trained soldier violated the military law, he or the relative persons would get seriously punishment. This system was originated from Ch’in Dynasty: “If the soldiers who have been learning drive for full four years are still unable to drive, the coach should be punished with a Shield.”4 (Shui-hu-di Ch’in mu chuchien editing team, 1978) In Han dynasty, in each August or September, prefecture soldiers would hold a large-scale military drill, Through the inspection, the soldiers would to be divided into different classes, according to which to decide the prize and punishment. In Ju yan Wooden Slips in Han Dynasty, there are many records about the drill of soldiers, among which, there were pieces concerning rewards, punishments and “Autumn Shoot”.5 (Xie Gui-hua, Li Jun-ming, Zhu Guo-zhao, 1987). In conclusion, different member in the army needed master different skills. Generals were the leader of the troops in wartime and the manager of military training in peacetime. Cavalry focused on the practice of riding and shooting, Cai Guan6 gave priority to practice archery, and Lou Chuan7practiced sailing and shoot. Border troops would master beacon-fire technology skillfully. All of the members of the army should practice crossbow technology. In addition, hunting was also a mean of training. In Western Han Dynasty the army also practiced Cu Ju,8 wrestling, and hand-to-hand combat as basic training projects in the army (Huang Shui-hua, 1998).

3 The brain of the emperor Wen and the imperial censor of emperor Wu. 4 Shield was a kind of currency of Ch’in Dynasty. 5 “Autumn shoot” was the name of the military inspection in Han Dynasty. 6 One kind of soldiers. 7 Soldiers mainly responsible for driving the ship. 8 Football sports in ancient China.

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The administrative law of “Fu”9, “Jie”10 and “Xi”11 Being the special military token, “Fu”,“Jie”, and “Xi” were not only the documents with especially symbolic meanings, but also needed detailed requirements of form, which was the symbol of emperor power and represented that the emperor had the absolutely controlling power to the army. These tokens were managed by particular organization and person. Anyone who dared to forge would be sentenced to death. From the superficial aspect, one of the reasons why the penalty was so heavy was maybe the behavior would result in failure of the war, while the essence was that the imperial power could not be violated. In Han Dynasty, it had ever used Ya Chang and Xi Shu12 to dispatch the troopp, but the most basic document to mobilize the troops is bronze tiger-shaped Fu. “Tiger-shaped Fu”, was a special two-pieces object granted to people —usually given to the officers by the emperor— in ancient China as a representation of authority or identification to mobilize the troop. Two pieces were held by different persons and it needed to match the two pieces to mobilize the troop. In Du Shi Biography of Book of the Later Han, it writes: “It’s a traditional law that it needs the Tiger- shaped Fu to dispatch the troop. In earlier times, the troop had been mobilized by Ya Chang”. (Fan Ye, 1999) According to Bai- Guan Chi,13 the government had built a special organization to manage Fu and Jie. (Ban Gu, 1999) Anyone who mobilized the army without tiger-shaped Fu or forgery tiger-shaped Fu would be convicted of a rebellion crime and be sentenced to death. “Jie”, a kind of tally, was originally controlled by the emperor and used to command the army. When Jie was given to the emperor’s agents, it became the tag of the emperor’s agents, which might be the origin of the Jie (ōba Osamu, 1982). The envoy possessed Jie and he could make the order of prize and punishment, and also he could act arbitrarily. Even to the general’s troop, the envoy with Jie also had the right to interfere affairs of the troop. “Xi” refers to military documents or the documents to convey

9 Mainly refers to tiger-shaped tally, issued to generals as imperial authorization for troop movement in ancient China. 10 A special type of credentials. 11 Some documents issued to generals as imperial authorization for troop movement in ancient China. 12 “Ya Chang” and “Xi Shu” were both a kind of commander’s tally. 13 Documents about official’s records.

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military affairs. It is recorded in Han bamboo slips Xi would be transmitted information about keeping on alert (ōba Osamu, 2001). These documents were so important that anyone forged them would get strict punishment. For example, there were two crimes concerning forgery of Jie, “Jiao zhao hai”,14 and “Jiao zhao bu hai”,15 both of which would be taken as rebellion (ōba Osamu, 1982).

The administrative law of palace, city gate, frontier juncture and strategic pass The palace was the place where the emperor conducted his business and lived there, which was guarded by the military. It was necessary a particular document to come in and go out of the gate of the palace. Anyone who entered the gate without legal document would be sentenced to death and the guards, who neglected his duty and didn’t guard the palace, would be punished severely. The city gate, frontier juncture and strategic pass were guarantee of the national security, so there always stationed troops to safeguard. Guarding the city gate was to defend and prevent from spies to disclose the military intention of country. If violated the laws or decrees of safeguarding city, the person would be sentenced to death by guillotine. The frontier juncture and strategic pass were safeguard frontier, whose functions were guarding the city and tracking the criminals down. The law had taken the guarding of the loyal place and guarding the border to prevent from the invasion of the enemy as the same importance, which had shown that it had the same value between the safety of the emperor and the nation. This was also a powerful evidence of Chinese ancient social structure: home – country integration. Gong Wei Ling16 regulated: “Everyone should get off in and out of the gate of the palace. Who violates the law would be fined 200 grams of gold.” (Shen Jia-ben, 1985) The government of Ch’in Dynasty had also garrisoned huge security forces in Xian yang.17 There is a crime named “Lan Ru” in the law of Han

14 To forge the order of the emperor and cause damages. 15 To forge the order of the emperor but cause no damages. 16 A kind of law form in Han Dynasty about palace guarding, which was issued by the emperor. 17 Capital of Ch’in Dynasty.

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Dynasty to forbid entering the palace gate without authorization (Li Jing, 1985). Who committed the crime of “Lan Ru” would be punished with “Ch’in Shih”.18 Under the circumstances of combat readiness or being surrendered, there was a guarding county law to restrain the soldiers and civilians on guarding. No process shall be made arbitrarily in the city, no pass through the gate of the city freely (Chen Wei-wu, 2003) and no loud noise and be crowded freely. (Wu Jiu-long, 1985) Finally, “To set a ‘Ping’ every twenty steps, which is no more than 15 steps far from the gate. Anyone who guards ‘Ping’ must hold ‘Mei’19in mouth (in order to prevent them from talking because it’s easy to reveal the guarding spot), or both of them will be put to death”.20 (Ceng Zhong-mian, 2004). Han Dynasty had set up checkpoints in strategic pass and ferry named “Guan Jin” with the nature of military police. “Guan Jin” was mainly used to safeguard and the law of passage of it was very serious. It was strictly forbidden the trade of military materials. When went out or came in “Guan”, things like foods, weapons, gold, bronze, horses, transportations needed perform special procedure. Besides, people who passed through the “Guan Jin” should declare the accompanying articles and entourages. Anyone intended to hide without reporting would be sentenced to be guillotined. There is a bamboo slip Zhiji (No. 795) of Transliterations of Han Slips from Dun huang has reflected the contents that the people should declare when they passed through the custom. (Yang Yi-fan, 2003) For the reason of the negligence of the guarding soldier to cause the goods and persons illegally pass through “Guan Jin”, the guarding officers and soldiers would take the responsibility. In addition, “Guan Jin” also had the responsibility of tracking down thieves and capturing fugitive slaves.

18 Public execution. 19 A kind of small and short stick to. 20 Shoufa and Shoulingof Han Bamboo Slips from Yinque Mountain.

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Several crimes related to the military management Some special charges were set for the purpose of regulating the army during the military administration. The military law concentrated on the obedience and loyalty of the military officers and soldiers to the country, rebellion and fled meant the betrayal to the senior, emperor and the country, and the military law had made the most severe punishment to these behaviors. Meanwhile, the law had focused on the maintenance of economic order in the army in order to physically provide the protection to the army. Rebellion was directly betrayal of imperial power and would suffer the defeat in the war even the national subjugation, so it should be prevented and the penalty was heavy to “Zu”.21 “Chen Chong22 suggests the emperor to make the regulation about the punishment of the escapee and the most urgent part of the law would focus on trivial matters. We should trace the origin, revise and make up for the old law to prevent future crime. Plotting insurgency would be sentenced to clan punishment.” (Chen Shu-de, 2003) Soldiers’ fleeing would shake the morale of the troop and destroy the stability of the whole army, thus generally, the fleeing person would be sentenced to death and his wife also would be punished: “If the soldiers escape, they should be captured and be found guilty” (Zhangjiashan Han mu chuchien editing team, 2001). Furthermore, there was a special law that if the soldier escaped, his wife would be enslaved as a warning to the soldier (Shen Jia-ben, 1985). The soldiers taking service who fled would be beheaded. As for destroying the economic order, even the crime circumstance was minor such as one stole fifty “Hu”23of cereal, would be sentenced to death in border counties. Xiao Lü24 of Ch’in Chien had stipulated a series of system about the inspection of the military goods such as weapon, armor, and leather, which was very comprehensive. (Shui-hu-di Ch’in mu chuchien editing team, 1978) Xiao Lü in Laws of the Second Year had the similar regulation, but there was no explicit mention of military products. However, from other literatures, we can include. Firstly, prohibiting privately stealing weapon, grain and

21 A kind of penalty, which means one gets the punishment, his relatives would also be involved and be punished. 22 Professional judicial officials in Han Dynasty. 23 One of the calculation units in ancient China. 24 One part of law about checking in Ch’in and Han Dynasty.

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Law about official’s salary, taking leave and soldiers’ funeral Salary and vocation were rewards of the labors of officials and soldiers, which also were confirmation and encouragement to the devotion of them, as well as the inspiration to throw themselves to the war. The funeral arrangement was to placate the killed person in the war and motivate soldiers in service. For paying off the officer’s salary, from Ch’in to the early Western Han Dynasty, the government had adopted with grain as the salary system. Since the emperor of Wu to the end of Western Han Dynasty, the government gave the officer a certain amount of money as salary per month according to the official rank. Soldiers’ clothes and food were supplied by the authorities. Moreover, during this period, the collection of the military spending was financed mainly from land tax and other levies. In Han Dynasty, the military cost for maintaining border forces mainly came from the redistribution of national finance income. When attacked the Huns,25 the government of Han had also implemented the fiscal policy in wartime, that is, the country run the trade of salt and to enrich the border military expenditure. The officials had a special system of taking leave called “Gao”.26 But with the consideration of the officers’ military power, the government had carried on strict limits for their taking leave system. In Han Lü, the officials whose salary were two thousand “Dan”27 had two kinds of method of taking leave: “Yu Gao” and “Ci Gao”. “Yu Gao” was rewarded to the officials who had get outstanding achievements. Additionally, if an official had been taking leave for illness for three months, according to the law, he should have returned to the duty. But the emperor could give

25 An ancient nationality in China. 26 “Gao” was a kind of system of taking leave in Han Dynasty. 27 One of the Han weighing unit, 1 Dan=59.2 Kg.

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him a preferential “Ci Gao”, which meant he could continue to take leave with his seal, silk ribbon, subordinates and families to go home to cure (Shen Jia-ben, 1985). There was a big difference of the funeral arrangement between officials and soldiers, which had shown the clarified hierarchy in the army. There was the arrangement of the senior officer: when the great minister of war Huo Guang passed away (named “Hong” in Han Dynasty), the emperor sent a large force as the funeral procession to escort him to Mao Mausoleum.28 However, even if an ordinary soldier died in the war, the country would give him basic care. Xiao Wang-chi Biography has ever quoted Chin-pu ling I29: Frequent the insufficient warfare in Border County made the soldiers encounter hunger and cold. Soldiers died and their son was separated from father. Therefore, the government commanded all of people to share their funeral expenses. If one’s elder relatives died, the soldier would be exempted from the military service and went home to be filial. Chen Chong Biography records: “If grandparents and parents had been died for less than three months, the soldier would be free from corvee and be allowed to attend the burial ceremony for their elders” (Chen Shu-de, 2003).

Laws on the management of barrack and military prison Barrack of the army was an important place and there was a rigorous system to guarantee its security, discipline and well running. Being the station of the army, it concerned things of weapon, soldier, food even military allocation and no one could privately enter into. It was strictly prohibited to break in barracks area, As Zhao Chong-Guo Biography recorded that although Ang and Chong Guo were a parent-child relationship, when Ang broke into the “Si Ma-chong”30 guarded by Chong- guo and stationed troops unauthorized, Ang was still convicted (Chen Shu-de, 2003). The barriers also couldn’t be passed through arbitrarily. To highlight the seriousness and discipline of the barracks, it was prohibited to raise clamor and walk in the night in the camp.

28 Huo Guang Biography in the Book of Han. 29 Regulation concerning finance. 30 The military campis, as important as the interior door of the palace.

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On consideration of discipline and security, there were also two bans associated with soldiers dressing. One was that it was prohibited that anyone masked with large cloth and held a weapon. Soldiers’ dressing was the expression of the mental outlook of the army and one of the guarantees of morale, especially to the officials, because “officials are represents of the government and the model of the folk, so their carriage and clothes must properly match” (Shen Jia-ben, 1985). It was also regulated that the war would be broken out at anytime, officials and soldiers could not absent without leave. Committing suicide was considered as an absent without leave, even failed, the soldier would get severe punishment. There was a special provision in New Ju yan Wooden Slips in Han Dynasty: “Soldier who suicides with weaponry, rope, and other implement would be imprisoned. After imprisonment, the soldier again commits suicide or murders, if he himself or others are injured and the others die in twenty days, the soldier would be punished in KunWei Cheng Tan Chung”31 (Chen Wei-wu, 2003). The local was the source of military logistics, so it’s important to properly handle the civil-military relations in order to stabilize the border and make the soldiers and civilians are united. Therefore the troops to guard the borders not only abide by the military law, but also must comply with local laws at the same time. It is a pity that the related data on military prison is limitedd and the detailed contents of the prison in the army could not been discovered. Notwithstanding, in the army, there must be a place to receive the criminals. Ru Chun’s annotation in Du Yan-nian Biography noted: “The law prescribes that to set up ‘Ying-jun Si-kong’ and ‘Jun-chong Si-kong’ in a military camp”. “Ying-jun Si-kong” was the officer of prison management in a garrison troop and “Jun-chong Si-kong” was in charge of the prison affairs in an expedition. As for the prison installation, the expedition troop and the garrison troop were different. A garrison troop set up a prison in the place where they stationed, which was not difficult. Neverthness, the expedition troop had no fixed place and where to set up the prison? However, it was

31 “KunWei Cheng Tan Chung” was a kind of penalty in Han Dynasty. If the criminal was a man, he would be shaved whiskers and beards to serve a hard labor called “Cheng Tan”. If the criminal was a woman, she would be punished to husk for the government called “Chong”.

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impossible there was no criminal in a troop and it was necessary to have a place to detain the criminals, then the place was also called a prison (Shen Jia-ben, 1985).

Significance, characteristics and influences of military administrative law of Han Dynasty Significance of military administrative law of Han Dynasty Although Han Dynasty had established a unified feudal country, the internal and external problems still existed. Arrogant vassals and nuisance Huns had been always plaguing the central government, accompanied with the ruler’s ambitions to expansion the territory, the military was regarded as the national priority. Under the background of frequent wars of Han Dynasty, legislating and editing of the military law had been increasingly frequent and sophisticated. Military law was to ensure the smooth conduct of military operations and the key to continuously get victory, as well as the important prerequisite of consolidation of the Empire foundation and strive for hegemony. Therefore, it was a natural responsibility of military law to constraint army, maintain discipline, implement reward and punishment, encourage the morale, improve efficiency of military management and enhance the army power.

Characteristics of military law of Han Dynasty The object of military law was special, including generals, officials, soldiers, and all relevant persons and behaviors involved in military. Also, the management of military was concerned the criminal law and administrative law, thus the military law had presented unique characteristics. Through the above discussion of the content of the military administrative law in Han Dynasty, we can summarize that Han dynasty could be called a dynasty of “Governing Army by Law” and according to the military law, the prize and punishment were concrete and convincing. Specifically, there are five characteristics of the military law of Han Dynasty: 1. “Monarchical power is supreme” and “Nation- Orientation”. The whole military law had expressed the ideal to maintain centralization and autocratic monarchy, embodied in the

108 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 97-114 Issn 1870-6800 The Research of the Military Administrative Law in Han Dynasty of China national interest as the supreme interests. All aspects of the law were developed around the imperial power: to emphasize the absolute control of the imperial power to the army; to ensure the absolutely control over the power of dominating army and appointing officials; the military and political affairs were totally arbitrarily decided by the emperor and the subordinate official couldn’t interfere; each prefecture should be subjected to the unified dominate and the dispatch of the Central Committee; When needed, the people’s interest should be sacrificed for the national interest. 2. The general’s right was particular and the hierarchy was obvious. Officers and soldiers had big differences on rank order, social status, salary and funeral arrangement, which totally expressed the cares to the officials. Once a general was appointed, he possessed a relatively independent power even exceeded the authorization permitted by the nominator. Liu Tao · Appointing a General recorded: “Affairs in the army are not controlled by the emperor, but by the general.” (Cao Sheng-gao, An Na, 2007) In fact, the great power of general was authorized by the emperor, so to protect the power of general was equal to protect the power of emperor. 3. The content is detailed and thorough. As for the legislation forms, there were laws, decrees, orders co-existed, whose contents included from the military establishment, organization, recruitment, power system to military training, management, operations, reward and punishment, logistical support, and then to the punishment in violation of military law, which were well-detailed and thorough. It may be said that every aspect of the entire military activities has been given a comprehensive and thoughtful regulation and management. 4. Pay attention to efficiency of time. When facing the enemy, time is one of the important factors to win. It not only required a precise time of the march, but also the response to the behaviors of violating the military law. The regulations of the military law had protruded the seriousness and temporary of the conflict between the legislators and the lawbreakers. Usually, the offender would be punished severely and on-site. In addition, the relief and reduction of the punishment had also proved that compared with the general law,

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military law paid more attention on efficiency of the time from a side way (Chen Wei-wu, 2003). 5. Severe punishments and harsh laws. Military law of Han Dynasty is a sequel and supplement to the criminal law of Han Dynasty. From aspect of sentencing range, compared with the criminal law, the punishment of military law was more severe. Most of the crime was directly sentenced to death without a compromise penal and a large number of penalties of guillotine and Zu had been applied, which had shown the rigors of military law. Moreover, war related to the safety of national survival, so it should handsomely reward those who performed deeds and severely punish those who performed violations, among which, the most vital emphasis was the penalty to the officials because big power meant heavy responsibility. It had shown in the following aspects: among various military crimes regulated in the code, the subjects of the most crimes only should be officials who took a specific responsibility; in the case of committing the same crime, the responsibility of the official would be heavier than that of an ordinary soldier; if the subordinate committed a crime, his supervising official would also be involved to take the criminal responsibility; the punishment to crimes of neglecting one’s duty and misconduct was particularly heavy. 6. Special jurisdiction. Han Dynasty had implemented special jurisdiction to the criminals who breached the military law and the punishment was carried out by law enforcement agencies within the military. In ancient China, there was idea of “Military and penalty civilized integration”, which meant that military is both an organization of war and a law enforcement agency, and the general led troops, also was in charge of penalty. The persons who concretely enforced the military criminal law were called “Jun Zheng” or “Jun Li”. Bibliography of Hu Jian in the Book of Han cited the military law: “Jun Zheng does not belong to the jurisdiction of general. If the general committed a crime, Jun Zheng could only report the general’s crime. While as for official whose salary is under two thousand Dan, Jun Zheng could enforce the law by himself.” There was full-time person to enforce the law and sometimes substituted person to perform. (Chen Wei-wu, 2003) Generals were appointed to the rights of punishment and reward, which had been written in military law. Normally, the troops were commanded by different rank of officials. They were usually responsible for both military

110 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 97-114 Issn 1870-6800 The Research of the Military Administrative Law in Han Dynasty of China and administrative matters, as well as had the jurisdiction over the cases occurred in the army. Cases concerning the army stationing of the Capital were separately subjected to the specific jurisdiction of the Chief, and cases happened in the local army would be handled by Tai Shou, who was the superior army official locally. But there would be some attached restrictions when actually implemented. If the criminal was officials with high rank, the prevailing approach was to “submit him to the emperor to give a judgment”. Although the emperor had the right to directly guillotine the general, the emperor would not use this right easily except it was urgent. The usual way was to send the criminal for trial by “Ting Wei”.32 Moreover, cases about Tai Shou generally were trialed by Ting Wei also. If the case was involving military and civilian, the military law of Han regulated the jurisdiction belonged to the local judicial organizations (Xu Shi-hong, 1998).

Influences of military administrative law of Han Dynasty The earliest military regulations appeared at the time of Xia, Shang, Zhou Dynasties, when the primitive tribes was gradually broken down and the ethnic nation had been come into being and daily developed. The military law of Han Dynasty had inherited the military law of the former three dynasties and the basic contents of the three dynasties could be correspondently founded in military law of Han Dynasty. Also, laws of Han Dynasty inherited and further developed laws of Ch’in Dynasty, which was proved by the repeatedly citation of the law of Ch’in to explicate the content of the military law of Han Dynasty in the paper. The military law of Han Dynasty also paved the way for the military law of the posterity. In terms of Tang Lü, 33 it is originated and developed from Han Lü,34 and the military law was not an exception. Professor ōba Osamu has said: in Tang Lü, Shan Xing Lü35 was related to the military law, whose basic provisions were compiled by Xiao He in Xing Lü36 and Jiu Lü37 of the law of Han (ōba Osamu, 1982). The military law of Tang Dynasty was the

32 Official of the central committee to trial the case. 33 Tang Lü Shu Yi, which was the basic law of Tang Dynasty. 34 The general name of laws of Han Dynasty. 35 Statutes on dispatching troop and relevant offences. 36 Statutes on corvee, city defense and garrison. 37 Statutes on Stables.

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summary and improvement on the basis of the military law of Han Dynasty. The military administrative law system was a good proof. For example, the administrative law system concerning palace and city gate in the military law of Han, such as entering the palace without tally, “Lan Ru” palace and “Lan Ru” unroyal place, which had been concretely regulated in Wei jin Lü I;38 the administrative law of frontier juncture and strategic pass of Han had been stipulated in Wei jin Lü II of Tang; Han’s regulation about curfew in the night of had been found in Tang Za Lü I…39 Of course there were also differences. For instance, the law of Tang had regulated: Who had stolen the banned weapons and amounted to five crossbows would be hanged. While the law of Han regulated: “Who had stolen armories weapons would be punished by Ch’in Shih”, “Who had stolen money amounted to one hundred in frontier prefecture would be punished by Ch’in Shih”, which shows that the military law in Tang differed greatly with Han’s. Probably there were still other punishments of Tang which were lighter than Han’s, not just this one (Shen Jia-ben, 1985). Thus, we can say that military law of the Tang had made a summary and improvement basing on military law of Han.

Conclusions Military administrative law in Han Dynasty is in small amount and dispersed in the ancient literatures. Fortunately, there is a supplementary proof of the unearthed bamboo slips to roughly sketch its outline. The army of Ch’in and Han implemented an administrative system of multi-leadership, multi-stage and multi-level to take the responsibility jointly to the emperor, whose characteristics were clear hierarchy and each performed its own function. The military Administrative law of the Han Dynasty included contents of the management of military drill, military token, palace, city gate, frontier juncture and strategic pass, several crimes related to the military management and the management of official’s salary, taking leave and soldiers’ funeral. The military administrative law of the Han Dynasty was strictly constraint, and the prize and punishment were concrete and convincing. The military administrative law of the Han

38 Statutes on protecting emperor personal safety, state sovereignty and border security. 39 Statutes on the remaining miscellaneous items.

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Dynasty inherited from that of the three Dynasties and Ch’in. Nevertheless, on the basis of inheritance, law of Han Dynasty had made some innovations. Additionally, on the whole of the military law of Han Dynasty, it has foreshadowed for future military law. Taking Tang Lü as example, it was evolved from the law of Han Dynasty and the military law was no exception. The research on the military administrative law of Han Dynasty could not only help a comprehensive understanding of the Han Dynasty military law and recognize the important status of the military law of Han Dynasty in the whole Chinese ancient military law from the longitudinal direction of the history, but also could help to analyze the characteristics of the society of Han Dynasty from transverse direction. Although the focus of military law was to adjust the behavior of the members of the military and military activities, we can view the characteristics of the law of Han Dynasty through military law, and also, the characteristics of the society of Han Dynasty. The imperial power had strictly controlled the army and had a propounded impact on the law. The ultimate target of military defense was to protect the society of “home-country integration”, which was built with taking the imperial power as the center. In the ancient China, it was difficult to clarify whether the original intention of the military law was to safeguard the imperial power or to ensure the smooth of the military activities, or the intentions of the two were coincided intrinsically, that is, for the eternal stability of the imperial power. Certainly, there were also some shining points of the military law of Han Dynasty. For example, although the punishment of the violation of the military law was very heavy, still some humanitarian cares could be founded to the soldiers: from the allocation of military materials, support of clothing and food to the soldiers’ funeral, the law had taken care of respectively, as well as the cares for soldier’s family, which had also echoed the legislative thought of “moral enlightenment is primary while penalty is supplementary” and the protection to Paternity.

Bibliography Ban Gu (1999). The History of the Former Han Dynasty. Beijing, China: Zhonghua Book Company. Cao Sheng-gao, An Na (2007). Liu Tao. Beijing, China: Zhong hua Book Company.

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Ceng Zhong-mian (2004). The Brief Annotation of City Guard in Mo Tzu. Beijing, China: Zhong hua Book Company. Chen Shu-de (2003). Nine Dynasties Law Research. Beijing, China: Zhong hua Book Company. Chen Wei-wu (2003). Military Law Collection in Bamboo Slips and Silk. Legal History Research of Past. First Volume of Part II. Beijing, China: China Social Science Press. Fan Ye(1999). The History of the Later Han Dynasty. Beijing, China: Zhong hua Book Company. Huang Shui-hua (1998). The Ancient Chinese Military System. Beijing, China: The Commercial Press. Li Jing (1985). General Theory of Ch’ing Law. Shandong, China: People’s Publishing Press. Meng Xiang-cai (1996). The History of China’s Political System (third volume, the Ch’in and Han). Beijing, China: People’s Publishing Press. ōba Osamu (1982). Legal History Research of Ch’in-Han. Shanghai, China: People’s Publishing Press. ōba Osamu (2001). Research of Han Bamboo Slips. Guangxi, China: Normal University Press. Shen Jia-ben (1985). Criminal Law Research of Past Dynasties (Book Three). Beijing, China: Zhonghua Book Company. Shui-hu-di Ch’in mu chuchien editing team (1978). Shui-hu-di Ch’in Mu Chu Chien. Beijing, China: Cultural Relics Publishing Press. Wu Chong-Kuang (1981). Han Dynasty’s Military Law. Chinese Literature and History Review (the first series). Shanghai, China: Ancient Books Publishing Press. Wu Jiu-long (1985). Han Bamboo Slips from Yinque Mountain Interpretation (No. 2601). Beijing, China: Cultural Relics Publishing Press. Xie Gui-hua, Li Jun-ming, Zhu Guo-zhao (1987). The Proofreading on the Annotation of Ju Yan Wooden Slips in Han Dynasty. Beijing, China: Cultural Relics Publishing Press. Xu Shi-hong (1998), The History of Chinese Legal System (volume 2). Beijing, China: Law Press. Yang Yi-fan (2003). Chinese Legal History Research. Legal History Research of Past (Third Volume of Part I). Beijing, China: China Social Science Press. Zhangjiashan Han mu chu chien editing team (2001). Zhangjiashan Han Mu Chu Chien (NO.247 tomb). Beijing, China: Cultural Relics Publishing Press. Fecha de recepción: 18 de agosto de 2014 Fecha de aprobación: 4 de noviembre de 2014

114 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 97-114 Issn 1870-6800 The Comparative Research on the Penalty Allocation between Mexico and China1

La investigación comparada sobre la asignación de penalización entre México y China

Zhang Juan-juan2

Abstract China and Mexico are both developing countries and are at the stage of economic transformation. As the advanced development of economy and industrialization, in both countries, environmental crime has become an unseen and gigantic social threat. The special characteristics of environmental crime have brought about new requirements to the traditional penalty. In order to attack the environmental crime in time and to ensure the seriousness and unity, it’s necessary to make a comparison research on the penalty allocation between Mexico and China and analyze the respective advantages and disadvantages to perfect the relative legislation of the two countries.

Keywords: China, Mexico, environmental crime, penalty.

1 Esta investigación es un logro obtenido del proyecto “Investigación en la legisla- ción del delito ambiental e internacional en tiempos de bajas emisiones de carbono”. Es un proyecto del Centro de Investigación de Prevención y Control de Deli- tos de Provincia de Sichuan (China), No. 11sd0147. 2 Profesora de la Facultad de Derecho de la Universidad de Ciencia y Tecnología de Suroeste, Mian Yang, Si Chuan, China, 621010. E-mail: [email protected].

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Resumen China y México son países en vía de desarrollo y se encuentran en la etapa de la transformación económica. Con el desarrollo avanzado de la economía y la industrialización en ambos países, los delitos ambientales se han convertido en una amenaza social invisible y gigantesca. Las especiales características de los delitos ambientales han dado lugar a nuevos requisitos a la pena tradicional. Con el fin de atacar el delito ambiental a tiempo y para asegurar la seriedad y la unidad de la justicia, es necesario realizar una investigación para comparar la asignación de penas entre México y China, así como analizar las respectivas ventajas y desventajas, con el objetivo de perfeccionar la legislación rela- tiva de los dos países.

Palabras clave: China, México, delito ambiental, pena.

Introduction Environmental Crime” is “an unauthorized act or omission “that violates the law and is therefore subject to criminal prosecution and criminal sanctions. This offense harms or endangers people’s physical safety or health as well as the environment itself.” (Yingyi Situ, 2000) With the increasing of environmental crime, the government of China and Mexico has applied criminal method to regulate environmental problems. Criminal Law is the core of Chinese environmental crime legislation. In chapter 6 of the Criminal Law of People’s Republic of China (1997), there is an additional section to regulate “Crimes of Undermining Protection of Environmental Resources” and other chapters also have some related crimes. Later, Amendment II, IV and XIII have revised some regulations. (Chen Xiao-Hua, 2012) In the last decade, the federal government of Mexico has paid much attention to protect the environment. For this reason, through the reform of the penal laws, the government has made the legislation concerning environmental crime. In December 1996, a number of amendments were made to the General Law on Ecological Equilibrium and Environmental Protection (Lgeepa) (1988), which were expressed in Title vi, Chapter vi and at the same time cancelled some contents relating to penalty. And then, environmental crimes were regulated in the Twenty Fifth Title

116 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 115-133 Issn 1870-6800 The comparative Research on the Penalty Allocation between Mexico and China in the Federal Penal Code (2014), with an independent chapter, which includes a new range of crimes concerning the protection of the environment. (Humberto Celis Aguilar Álvarez, Celis Aguilar Álvarez y Asociados, 2014) Although there are some regulations of penalty in the criminal law of both countries, but it seems like the present laws could not well adjust the continuously new phenomenon of environmental law. The objectives of this paper are: 1) to show the regulation about the penalty allocation of environmental criminal law of the two countries; 2) to summarize the characteristics of the environmental crime; 3) to analyze the advantages and disadvantages of the relative legislations of China and Mexico; 4) to reflect about the perspectives futures of the reform of the legislation of the two countries. Our questions are as following: whether the present penalty allocation of the environmental crime of two countries is reasonable and scientific? If the answer is no, what can we learn from each other, or whether there are some good references from other countries? How should we maximize the effectiveness to attack and control the environmental crime through perfect the legislation about the penalty? In order to reach those targets and respond the questions, we will analyze from several points: firstly, to begin with a background part, which provide an overview of the legislation regarding the penalty allocation of the environmental crime of the two countries; then to summarize the characteristics of environmental crime, which is different with general crimes; thirdly, to compare the penalty differences on the environmental crime from detailed aspect between China and Mexico to testify there are advantages and disadvantages in each penalty system, as well as it should be reference with each other; Finally, to make the conclusion that no matter to China, or to Mexico, it’s necessary to perfect the legislation of the environmental crime of penalty to protect the environment and human being.

Characteristics of the environmental crime Different with the general crime, the environmental crime possesses some special characteristics. Firstly, environmental crime has the nature of administrative subordination. To judge whether a behavior has committed an

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environmental crime, the principal requirement is to review whether it has violated the administrative regulations, on the basis of which, to check whether it has resulted in damages and dangers. So long as the behavior is permitted by the administrative law and regulation, the possibility of committing crime would be excluded. Therefore, the establishment of the environmental crime is an attachment to the administrative laws, that is, the nature of administrative subordination (Wang Yong, 2014). Secondly, the offensive object and the injured result of the environmental crime are widespread and uncertain. Environmental crime is affected on people and object through the intermediary of environment, so its offensive object is relatively widespread. Then, the environmental crime has the nature of integrity and commonality. Once the behavior results in concrete damage, inevitably, it would hurt uncertainly majority persons’ life, health, property and other interests and the extent would be fairly serious. And, the results brought by the environmental crime are usually exposed in a long time and during a complex procession. Furthermore, in a short time, the offensive object often couldn’t be confirmed. The uncertainty of the object and result has decided the widespread of the possibly offensive object (Colin Crawford, 2000). Thirdly, environmental crime has the features of potentiality, sustainability and uncertainty. Because the categories of the pollutant are lot and the nature of the pollutant would possibly transfer, spread and transform. As for some pollutant, it needs accumulate to certain amount or to some extent to be emerged. Maybe some pollutant itself is not dangerous, but when it mixes with other material, a chemical change would take place to produce poisonous matters. Once the environmental crime accomplished, normally, the damages would be particularly serious. At the same time, it results in great social damages, such as the famous “Eight Public Pollution Nuisances in the world”, 3 which have shocked the world and brought about serious hurts and economic loss. Moreover, to

3 The eight public pollution nuisance cases are: 1930 The smog event in Masi river vale (Belgium ), 1943 1943 Losangeles photochemical smog event (Usa), 1948 Dono- ra Smog Disaster (Usa), 1952 London Smog Disasters (Great Britain), 1950s Mina- mata Disease (Japan), 1960s Yokkaichi asthama episode (Japan), 1968 Yusho Rice- Oil Disease Incident (Japan), 1980s Itai-itai disease events (Japan). at http://www. baike.com/wiki/%E4%B8%96%E7%95%8C%E8%91%97%E5%90%8D%E5%85% AB%E5%A4%A7%E5%85%AC%E5%AE%B3%E4%BA%8B%E4%BB%B6.

118 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 115-133 Issn 1870-6800 The comparative Research on the Penalty Allocation between Mexico and China eliminate these hurts and damages needs much time. As we known, the recovery of the polluted ecologic environment needs long time and high cost and maybe still can’t recovery to the original states (Li Miao-miao, 2007). Fourthly, the causality of the environmental crime is very complicated. The environmental crime needs the carrier of the environment to act on person or property, which is indirect. The causality between the behavior and result is difficult to find. In addition, the pollutant often has the features of latent, accumulation and convertibility, so the result brought by the polluted behavior often needs a long time to be revealed, which has added the difficulty to judge the causality. Furthermore, much pollution is revealed comprehensively by many factors and which one is the direct cause to the pollution result is difficult to judge. (Wang Yun-zhe and Zhai Zi-yu, 2013) The Principle of Presumption of Causality has been adopted in the criminal law by many countries, but it couldn’t ensure that the unjust case would never happen (Cong Ma, 2014).

The allocation of the penalty of the environmental law of China and Mexico The current Criminal Law of People’s Republic of China has regulated the environmental crime in two chapters: Crimes of Undermining Protection of Environmental Resource, which has nine articles, and Environmental Crimes of Dereliction of Duty, which has two articles. These 11 articles includes 16 crimes, among which, 4 crimes have set one kind penalty and others have set 2 to 4 different kinds of penalty according to the serious extent of the circumstances of the crime, as well as the separately penalty range in each kind of penalty. The basic model of penalty is “principal punishments + supplementary punishments”. Seven crimes apply the “doctrine of cumulating punishment”, principally includes punishment against liberty and property; and others adopts “combined type”, which means can independently adopt Fines penalty or combined with the punishment against liberty. The principal punishment concentrates on fixed-term imprisonment and detention and only three crimes adopts punishment of “Public Surveillance”. Supplementary punishments include Fines and Confiscation of Property. The former has set in all crimes except Environmental

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Crimes of Dereliction of Duty, but there is no regulation of the amount and proportion of Fines. While the latter is only adopted in crimes of “illegally catches or kills the species of wildlife under special state protection which are rare or near extinction or illegally purchases, transports or sells the species of wildlife under special state protection which are rare or near extinction and their products” (Article 341), if the circumstances are especially serious. Moreover, if the criminal subject is the legal person, it would get Fines. (National People’s Congress of China, 2011a). As for the general information of penalty to the environmental crime in Mexico, the twenty fifth Title of Federal penal code of Mexico is named “Crimes against environment and environmental management”, which includes five chapters. The former four chapters have regulated four types of environmental crime with the respective name of “Crime of committing technological and dangerous activity”, “Crimes against biodiversity”, “Crime against biosecurity” and “Crimes against environmental management”, which have basically covered all phenomenon concerning endangering environment. As for the penalty to the environmental crime, the second Title “Criminal Responsibility” and the twenty fifth Title have regulated. According to the criminal lawof Mexico, the mainly penalties apply to the environmental law are imprisonment and fines. Additionally, in Chapter 5 of twenty fifth Title named “Provisions common to crimes against environment”, it regulates the penalties and security measures will be imposed to the environmental crimes: repair, compensation, suspension, modification or demolition, reinstatement, return of the hazardous materials or waste or specimens, disqualification when the perpetrator or the crime is itself a public servant, work for the community, etc. On the penalty to the crime of Legal person, the main punishments are suspension or dissolution (Congress of Mexico, 2014a).

Comparison of the allocation of the penalty of environmental crime between China and Mexico There are big differences between the legislation of the penalty of environmental crime from aspects of the strength of punishment, types of the penalty, the allocation of Fines, punishment to the Legal person, circumstances of the crime, etc.

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Comparison of the strength of punishment In fact, the strength of punishment of two countries is comparatively light. In the light of Mexico criminal law, the main categories of punishment to the environmental crime are imprisonment and fines, among which, the maximum prison time is no more than 9 years. If there is serous circumstance of crime, the prison sentence is increased by up to three years. While the amounts of fines are calculated by the day, the maximum is no more than 2,000 days. If it is the punishment for plural crimes, the maximum is no more than 3,000 days. (Congress of Mexico, 2014b) The “fine day” is according to one’s income every day and the lower limit of the day fine will be equal to the minimum daily wage in the place where the crime was consummated. In 2013, the minimum wage of a Mexico is about 63.12 pesos (about $4.85) per day (Chen Jie, 2013), which means the minimum fines of the environmental crime is about 189,360 pesos (about $14,566). And according to the investigation of Institute Social Security of Mexico, the average daily wage of Mexico worker is about 271.58 pesos (about $21.26) per day,4 which means the average fines of the environmental crime is about 814,740 pesos (about $63,780). For an ordinary crime, the strength of punishment is maybe enough. But if the crime is very serious and the influence is very bad, the sum of fines is obviously insufficient. Identically, there exists problem of insufficient range of the penalty in China. For example, Article 345 of Chinese criminal law regulates as following: Whoever illegally cuts down trees, bamboo, etc. shall, if the amount involved is relatively huge, be sentenced to fixed-term imprisonment of not more than three years, criminal detention or public surveillance, and concurrently or independently be sentenced to a fine; if the amount involved is huge, the offender shall be sentenced to fixed- term imprisonment of not less than three years and not more than seven years, and concurrently be sentenced to a fine; if the amount involved is especially huge, the offender shall be sentenced to fixed-term imprisonment of not less than seven years and concurrently be sentenced to a fine (National People’s Congress of China, 2011b).

4 Mexico: wages of works are lower than nearly 20% of that of China, Yu Guo net (on line), 7th, August, 2013, at http://www.cifnews.com/Article/3902.

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Apparently, the strength of penalty of the environmental crime of China is also insufficient to punish the environmental crime. It’s far from enough to make up for the continuous results made by the environmental crime. Compared with the regulations of Mexico, the weakness of the penalty of fines of China is more outstanding, there is no any regulation in the criminal law concerning the range and standard of Fines. The environmental crime is not only dangerous to our living environment, but also probably does harm to the living security of our future generations. The frequent occurrence of the environmental disaster in recent years has told us the fragility of the environment. Although in recent some decades, two governments have advocated powerfully to protect the environment and go along the way of sustainable development. But after all, the destroyed environment is hard to recovery and once destroyed, the cost usually is dozens of times of the interests obtained at the original time. Thus, when encounter with the serious environmental pollution, the present penalties are probably not in proportion to the consequences.

Comparison of the allocation of types of punishments The types of penalty to the environmental crime in Chinese criminal law include fixed-term imprisonment, criminal detention or public surveillance, fines and confiscation of property. The former three kinds are principal punishment and the latter two are supplementary punishment. There is no regulation about Non- penalty Measures. On the contrary, the principal punishment to the environmental crime in Mexico is imprisonment and the penalty of Fines is supplementary one. Besides, there are many other non-penalty measures such as recovery, compensation, suspension, disqualification, and work for the community, etc. By contrast, the types of penalty of Mexico are less than that of China, but the application of non-penalty measures are lot. In China, Article 37 of the criminal law regulates:

If the circumstances of a person’s crime are minor and do not require punishment, he may be exempted from criminal sanctions; however, he may, according to the different circumstances of each case, be reprimanded or ordered to make a statement of repentance, offer an apology,

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pay compensation for the losses or be subject to administrative punishment or administrative sanctions by the competent department (National People’s Congress of China, 2011c).

However, these types of non-penalty measures are obviously not suitable to apply to the environmental crime. The measures of Mexico are more pertinent to the characteristics of environmental crime, which has reflected that the environmental criminal law of Mexico is concentrated the environment as the legal interests to protect. Environmental problems are not simply economic problems. Only Fines or custody of body is difficult to take effect and the environmental governance is also couldn’t be solved only depend on money or punish some person. At present, the environmental governance has stepped in period of all-round and multiplex governance. Non-penalty measures adopted by Mexico criminal law could make up for the insufficiency of the penalty function to some extent, whose main aim of criminal law is not punishment, but recovery and consolidation, to reduce or eliminate the conditions of continuous harms made by the criminal behavior to the ecologic environment, as well as to play a really positive role in the environmental governance. (Jendrośka Jerzmański Bar & Partners, Environmental Lawyers, Environmental Management and Law Association (Emla), Milieu Ltd, 2004). In China, it’s better to supplement measures of education, restoration and remedy to make up for the shortcomings of single type of punishment and insufficiency of pertinence of Chinese criminal law.

Comparison of the allocation of Fines Fine is the most normal penalty in the environmental crime. In China, the allocation of Fines is the model of “concurrently sentence”, that is, the model of “Punishment against liberty +Fines”. But the amount of fine is comparatively rough and there are no concrete amounts in the criminal law, nor have the way to calculate the amount of fines. In the practice, it depends on the judge’s discretionary, which has brought about many problems such as there are big differences of the judgment in different areas and the penalty measure is relatively random.

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As for the method of payment of fines, China adopts method of disposable fine, which is hard and insufficient to prohibit crimes of pollution. Besides, the limited amounts of fine are easy to be taken as the normal running cost by the pollutant and Fines maybe couldn’t normally function of punishment (Wang Xin-ye and Yin Jian-zhong, 2010). Mexico’s Fines in environmental crime also adopts the model of “concurrently sentence”, but it’s better than Chinese regulation. The calculation of the amount of the fines is more detailed and reasonable. The second Title of the Federal Penalty Code generally regulates how to calculate the amount of Fines: “The penalty is the payment of a sum of money to the State, to be fixed by fine days, which may not exceed one thousand, except where the law itself point.” (Congress of Mexico, 2014c) In an environmental crime, the days of Fines could reach to 3,000, which show that to aggravate the punishment to the environmental crimes from aspects of economy. As for the “fine day”, the criminal law regulates: “The fine day equals the net daily perception sentenced at the time of consummation of the offense, taking into account all your income.” (Congress of Mexico, 2014d) In fact, Mexico is a country with a big gap between rich and poor, who could be proved by the data previously mentioned (the minimum wage of a Mexico person is 63.12 pesos, while the average is 271.58 pesos), so there must be dichotomy of the amounts of fines to a same crime. This difference has slowed down the conflicts of the society to some extent. The more important thing is that it has made a high-standard requirement to the wealthy citizens to protect the environment, which is also a proof of Mexico’s value of “priority of the environment protection”. Additional, in order to fulfill the aim of punishment, there is no regulation concerning the maximum amounts of Fines but have a minimum one. The Code regulates “the lower limit of the day fine will be equal to the minimum daily wage in the place where the crime was consummated. With respect to the continuing offense, shall address the minimum wage at the time of the last consumptive behavior. For permanent, consider the minimum wage in effect at the time it ceased consummation” (Congress of Mexico, 2014e). With the reference of Mexico criminal law, it’s necessary for Chinese legislator to make a detailed regulation of Fines to make it easier in the practice.

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Comparison of the penalty of environmental crime committed by the legal person On problem of environmental crime committed by the legal person, China has taken the doctrine of “Dual Penalty”, which means if a unit has committed a crime, not only the unit would take the responsibility, but also the principal person or represents of the legal person would be punished. Article 346 of Chinese criminal law regulates: “If a unit commits any crime mentioned in the provisions from Article 338 to Article 345 of this Section, the unit shall be sentenced to a fine, and persons directly in charge and other persons directly responsible for the crime shall be punished according to the provisions of respective Article s of this Section” (National People’s Congress of China, 2011d). The problem of punishment to the crime committed by the legal person existing in present society of China is that the range and strength of the penalty is far from enough. In practice, it’s seldom to punish the criminal responsibility of the legal person. Even if punished, the amounts are fairly low, which has made someone to feel that the cost of law-abiding is high and the law-breaking cost is low, which resulted in the growth of the negligence of the environmental law and add the difficulty of the implement of the environmental law. For example, in July of 2010, Zi Jin Mining Industry had happened twice tremendous environmental accidents. Before 2010, it had happened 11 pieces of environmental cases, but the industry only got penalty once. Although the environmental department had fined it 10 million Rmbs, according to the report of the Annual report of Zi Jin Mining Industry of 2009, the selling income of the company was 209,56 million Rmbs and the net profit amounted to 354,1 million Rmbs. The total amounts of administrative and criminal fines were no more than 1% of its profit. Also, the low cost of violating-law is also one of the important factors which caused Zi Jin Mining Industry repeatedly makes mistakes (Hu Xiao- hua, 2013). Under this kind of judicial circumstances, not only it needn’t the enterprise take the “enough to threat” economic burden, but also the vested interests of the enterprise could be out of the jail. To change the situation, it must to fulfill the function of the criminal punishment in the process of attacking the environmental crime.

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On the basis of the principle of the traditional Continental law system of “Societas delinquere nonpotest”5 (Latin for “legal entities cannot commit a criminal offence”), there is no regulations about the legal person crime in the traditional Mexico laws. However, as the development of the theory and the practice of the legal person crime, especially more and more environmental problems have brought about, which has challenged this traditional principle, the criminal law has reluctantly adopted the legal person crime. Article 11 regulates:

When any member or representative of a corporation or a partnership, corporation or business of any kind, other than state institutions, commits a crime with the means to this end will provide the same entities, so that it is committed on behalf of or under the protection of the social representation or benefit from it, the court may, in cases specified by law exclusively, in the judgment decreed the suspension of the group or its dissolution, when deemed necessary for safety public (Congress of Mexico, 2014f).

But in the practice, Mexico doesn’t completely accept legal person, so Article 11 is only an abstract regulation, which is not concretely expressed in crimes, also there is no regulation in Title of environmental crime. Therefore, it’s difficult to implement in the practice. Since a long time, many scholars of Mexico have advocated to reforming the regulation concerning the legal person crime.

This forces us to revise some brief ideas into material actives committer that the traditionally considers that only individual could commit crime, but nowadays legal persons should also be the subject to demonstrate crimes and we should pay attention to the criminal results brought about by the legal person (Raúl Plascencia Villanueva, 1998).

5 It was a Roman motto. The modern concept of “legal entity” was born in Rome with the concept of “Universitas” which was something different from the human being. Under the Roman law this abstract entity was not able to commit crimes because the Roman law had in the center of its doctrine the “human body”, which is considered as something that has morality and is able to suffer pain.

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But till now, the legislation has no change As for the punishment method to the legal person of Mexico, there is only suspension and dissolution, which seems that the penalty to the legal person is too heavy and also couldn’t be applied in the practice. Furthermore, there is no regulation about the responsibility of the natural person in the legal person in the Mexico Federal Penalty Code. Viewing the legislation of Mexico, it has only regulated the punishment of the legal. Also, the bill made by the Senate in 2012, has suggested to adding the articles about the personal responsibility in the legal person crime.6 (The Commission of Justice of Mexico, 2012) So, we can deduce that Mexico presently adopts the Single-Penalty System. In fact, no matter Single-Penalty System or Dual- Penalty System, respectively possesses the advantages and disadvantages. The key is to combine with the condition of the country to have a choice and to affirm in the legislation to be convenient to the practical operation.

Comparison of the circumstances of the crime When talking about the circumstances of the environmental crime, it couldn’t avoid paying attention to the regulation of the “Dangerous Crime”. Mexico has made a clear regulation about the dangerous crime in environmental crime. For example, in Section 2, Article 414, it regulates:

The same penalty shall apply to anyone who illegally performs behaviors with the substances listed in the previous paragraph, or substances that deplete the ozone layer and cause a risk of damage to natural resources, flora, fauna, ecosystems, water quality or the environment (Congress of Mexico, 2014g).

6 Article 13 Bis. The companies are criminally responsible for crimes committed on behalf or on behalf of them, by their agents, legal representatives, administrators, partners or shareholders in accordance with the following: 1. Do not be criminally responsible the public nature of corporations, unions, political parties or religious associations; 2. Criminal liability of legal persons does not exclude the physical for the acts or criminal acts carried out on behalf or on behalf of those people.

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There are similar regulations in Article 415, 416, 417, from which we can see that the environmental dangerous crime would get punishment in Mexico. In the academic field, they hold the opinion of ex ante real risk (Miguel Ángel Aguilar López, 2007). They deem that the adoption of this Article in the criminal law shows that besides to protect the actual damage offense, we may pay attention to other interests, that is, the interests are in risk of injured. For one side, these interests are connected with the actual damages, for the other side, these interests are easy to be injured by particular behavior, as well as the abuse of the high-tech in the modern society will result in intolerable risks. The target of the legislation of the dangerous crime concentrates the criminal law’s function of precaution. On the contrary, there is no regulation about dangerous crime in China’s criminal law and it pays more attention on the actual damages. Only those destruction behaviors which have brought about serious results to the environment or to others would be punished. Nevertheless, many dangerous results of environmental crime are often revealed for a fairly long time, which is decided by the characteristic of continuity of the environmental crime. Meanwhile, the origin of the pollution has continuously increased and the types of the environmental crime have been enlarged, which add the possibility of causing danger. Therefore, to adopt the dangerous crime in the criminal law is imperative. (Liu Yan-hong, 2008). Moreover, Mexico criminal law has a feature that it has adopted the system of “to punish a crime according to the accumulated quantity”, which means to accumulate the number of several infringement behaviors, which could reflect the subjective extent of injury of several behaviors. It include the damages results, infringed object, behavior scale several infringements, thereby to wholly evaluate the harm to the society brought out by several behaviors and punish them (Wang Fei- yue, 2009). This system has reflected the valuable judgment of criminal law to “quantity”, which is the expression on the philological theory of “changing in quantity leads to changing in quality” in the criminal law. For some behavior, maybe every time could not amount to make it a crime, but if the behavior is committed several times, whose accumulation is really harmful to the society, these behaviors will also be punished as a crime in Mexico. Especially with regards to the environmental

128 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 115-133 Issn 1870-6800 The comparative Research on the Penalty Allocation between Mexico and China destruction, such as deforestation, maybe for each time the criminal has only cut down one tree, but if he cuts one tree today, cuts another one tomorrow, cuts the third one the day after tomorrow… As time passes, it will result in the destruction of a forest. Consequently, Mexico criminal law regulates as following:

A person who unlawfully transports, trades, collects, stores or processes round wood, chips, charcoal, timber and other forest resources, or land from forest soils more than four cubic yards or amounts, if any, in equivalent lumber, worth from one to nine years in prison and three thousand three hundred days fine will be imposed. The same penalty applies even if the amount is less than four cubic meters, if it is repeated behavior that reaches this amount as a whole (Congress of Mexico, 2014h).

Conclusions The environmental crime and the general crime are different. The general crime has characteristics of short duration, with an obviously harmful consequence, the nature of the crime being distinctive, object being specific, etc., while the environmental crime has characteristics of administrative subordination, widespread and uncertainty of the offensive object and the injured result, potentiality, sustainability, uncertainty, and the causality being complicated, etc. Therefore, it’s inappropriate to use the general theory of criminal penalties to guide the penalty of the environmental crime, as well as in practice, it is also difficult to operate, which would fail to reflect the proper function of “Penalty”. The damage caused by environmental factors, results in not only the actually economic loss and the damages to human health, but also makes the ecological imbalance, loss of biodiversity, heritage destruction, and damage of the nationally cultural heritage, which could not be measured in money. Therefore, the allocation of the penalty of the environmental crime should be set particularly. The theory of general crime is based on the ethics of “Humanity-centered principle”, under the guidance of which, the allocation of the general penalty has reflected the thought of the priority of human everywhere and the prerequisite to apply the

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penalty often require the actual damages of human interests. On aspect of the environmental crime, this kind thought is reflected in the requirements of “actual damage offense”, that is, it would constitute a crime only if the behaviors of pollution or destroy the environment have actually damaged the environment or human’s interests. This would give a space for many serious behaviors escape from be punished, which makes it is difficult to achieve the particular function of criminal law on the prevention of environmental crime, and the penalty lose the deterrent function. To some extent, it has condoned offenders and let them act more unscrupulously to do harm to the environment (Zhao Xing, 2011). While the environmental penalty of China is just based on the environmental interest of “Humanity-centered principle”, which seems like to maintain the subject status of human beings, stabilize the social, promote the development of human society. However, it is defective on ignoring the intrinsic value of the Nature and the fact that human race is the part of Nature. Thus, the general system of penalty is lack of pertinence, which is not suitable for the prevention of the environmental crime. Unlike China, the environmental crime of Mexico is based on the legal interest of “Ecology-centered principle”. Mexican lawmakers have known that the traditional penalty theory has not satisfied the demands of the environmental protection of today, so they have summarized that the general penalty system is not suitable to the particularly environmental crime. Therefore, they set a new penalty system to the environmental crime in order to effectively prevent environmental crime and make a better development of humanity, as well as to protect the ecological environment. In consequence, due to the different protected legal interest of the environmental criminal law of the two countries, the allocation of the penalty of the environmental crime is totally different. From aspect of the strength of punishment, the regulation of both countries is comparatively light, and China still exists the problem of insufficient range of penalty; on aspect of the allocation of types of punishments, Mexico’s penalty type is less but more non-penal measures are applied, while there is no regulation concerning non-punishment in China and the type of penalty is lack of pertinence; as for fines, which is the most commonly used for environmental crime, both countries

130 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 115-133 Issn 1870-6800 The comparative Research on the Penalty Allocation between Mexico and China apply way of “concurrently sentence”, but to China, there is no detailed regulation to calculate the sum and in practice, usually the sum is decided by judge discretion, while Mexico’s law has regulated more concretely and reasonably; on aspect of penalty of environmental crime committed by the legal person, China adopts “Dual Penalty”, while till now, Mexico still reluctantly admit legal person crime, so Mexico has legislated the legal person crime in a single way and the type of punishment is solo, as well as the intensity is too heavy; on aspects of regulation of the “Dangerous Crime”, the Mexican Penal Code has clearly regulated the penalty to the dangerous crime, while China has not yet regulated that the dangerous crime should also be punished; finally, on aspects of the circumstances of crime, Mexico criminal law has a feature that it has adopted the system of “to punish a crime according to the accumulated quantity”. Overall, Mexico’s environmental crime penalties have set more reasonably and scientifically, which is a good reference to China. Also, there are some flaws of the legislation of Mexico and it needs to perfect its Penalty Code. The basic aim of environmental crime is to protect the environment and resource through the penalty to the environmental crimes. China and Mexico are both developing countries and now are at the stage of transformation. With the continuous developing of the national economy, the extent of industrialization will continuously improve, which means more resourced are required and the environmental problem would be more serious. The citizens’ awareness of “protecting the environment” must be constantly be strengthened with the continuously improving of the life standard. Therefore, with the development of the society, the range of the criminal law involving the environmental problems will be wider and deeper. No matter China or Mexico, both should recognize the existing problems in the legislation of the environmental crime law as soon as possible and study on how to perfect them, which is the demands of the revision of the environmental criminal law, as well as one of the method to protect the environment.

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Bibliography Cong Ma (2014). Problems of Chinese Environmental Criminal Law and Its Developing Trend. International Conference on Global Economy, Commerce and Service Science (Gecss 2014), pp., 182-186. Chen Jie (2013). Wage of Mexico is generally low and it could not be changes at one stroke. International on line, 5,th August, at http://gb.cri.cn/42071/2013/08/05/6931s4207400.htm. Chen Xiao-Hua (2012). To Protect the Environmental and Ecologic Interests the Environmental Crime Should Be Regulated In On Independent Chapter. Procuratorate Daily, 13,th Abril. Colin Crawford (2000). Criminal penalties for creating a toxic environment: Mens Rea. Environmental criminal liability standards, and the neurotoxicity hypothesis. Boston College, Environmental Affairs Law Review. No. 3, pp., 341-390. Congress of Mexico (2014). Federal Criminal Code. Mexico. Hu Xiao-hua (2013). Research on Chinese Environmental Crimes. Journal of Shanxi Institute of Technology. No. 1, p., 43. Humberto Celis Aguilar Álvarez, Celis Aguilar Álvarez y Asociados (2014). Environment 2014-Mexico, Latin Lawyer (on line), 28,th March, at http://latinlawyer.com/reference/topics/51/ jurisdictions/16/mexico/. Jendrośka Jerzmański Bar & Partners. Environmental Lawyers, Environmental Management and Law Association (Emla). Milieu Ltd (2004), Study on measures other than criminal ones in cases where environmental Community law has not been respected in a few candidate countries, 30, September. Li Miao-miao (2007). Research on the Subjective Requirements of the Environmental Crimes. Graduation Thesis of the Southwest Politics and Law University, pp., 1-53. Liu Yan-hong (2008). Study on the Potential Damage Offense in the Environmental Crime. Journal of University of South China (Social Science Edition). No.4, pp., 58-60. Miguel Ángel Aguilar López (2007). Condition of the issue: Dangerous Crime and Objective Culpability. Journal of the Institute of the Federal Judiciary. No. 23, p., 135. National People’s Congress of China (2011). Criminal Law of People’s Republic of China. China. Raúl Plascencia Villanueva (1998). The Legal Liability in Environmental Damage. Instituto de Investigaciones Jurídicas. México: Universidad Nacional Autónoma de México, p., 187.

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The Commission of Justice of Mexico (2012). A draft decree that adds and modifies various provisions of the Federal Criminal Code and Federal Criminal Procedure, on liability of legal persons. Parliamentary Gazette (on line), No. 3499-VII, Thursday April 26, At http://gaceta.diputados.gob.mx/Black/Gaceta/ Anteriores/61/2012/abr/20120426-VII/DictamenaD-11. html. Wang Fei-yue (2009). Research on the Rationality of the system of “to punish a crime according to the accumulated quantity”. Science of Law-Northwest University of Political & Law. No. 4, p., 137. Wang Xin-ye, Yin Jian-zhong (2010). On the Perfection of Chinese Penalty System of the Environmental Crimes. Journal of the Party School of Cpc Qing Dao Municipal Committee. No.3, pp., 119-122. Wang Yong (2014). The legislation of Environmental Crime: Converting the Philosophy and Foreseeing the tendency. Contemporary Law Review, No.3, pp., 56-66. Wang Yun-zhe, Zhai Zi-yu (2013). On the Penalty Allocation and Perfection of Environmental Crimes. People’s Forum. No. 5, pp., 122-123. Yingyi Situ (2000). Environmental Crime: The Criminal Justice System’s Role in Protecting the Environment. Usa: Sage Publication, Inc. p., 3. Zhao Xing (2011). The Legislation and Explanation of the Environmental Crime From perspectives of Interest Protection and Right Safeguard. Tribune Political Science and Law, Vol. 29, No. 6, pp., 166-174.

Fecha de recepción: 18 de agosto de 2014 Fecha de aprobación: 4 de noviembre de 2014

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Why countries fail: the origins of power, prosperity and poverty Por qué fracasan los países: los orígenes del poder, la prosperidad y la pobreza

Francisco Javier Haro Navejas

anto para políticos como para académicos, y por supuesto Tpara los burócratas, una de las dos grandes obsesiones de la segunda posguerra mundial es la de la dupla crecimiento-desarrollo (la otra es la de la seguridad en todas sus variantes). La investigación universitaria en economía, el entramado institucional y el discurso político se han construido alrededor del tema del crecimiento-desarrollo; el tópico se ha tratado incluso de forma cercana a la metafísica: se ha buscado desentrañar un milagro. Desde la perspectiva académica, existen dos grandes vertientes para estudiar los temas abordados en el libro Por qué fracasan los países: los orígenes del poder, la prosperidad y la pobreza, escritos por Daron Acemoglu y James A. Robinson. La escuela dominante es la culturalista-weberiana, la cual funda- menta su explicación en la ideología-religión-cultura-filosofía,

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y ha sido tan exitosa que ya se ha aplicado a Asia aun cuando el mismo Max Weber opinara lo contrario. Por otra parte, están las escuelas marxistas con dos vertientes principales, en una se enfatiza el papel de la tecnología, mientras que en la otra el punto de partida son las relaciones sociales; entre ellas existen muchos matices. Daron Acemoglu y James A. Robinson, de manera didácti- ca, emprenden la tarea titánica de explicar cómo se crea la prosperidad y la pobreza. El punto de partida es explicar las razones por las cuales dos ciudades: Nogales, Sonora y su homónima en Arizona, situadas en un mismo espacio con componentes demo- gráficos y culturales similares, son tan diferentes entre sí. Los autores de la obra se sitúan a la mitad de las antípodas explica- tivas sintetizadas arriba: con un índice extremadamente descrip- tivo del contenido de los capítulos, es posible saber claramente que su propuesta explicativa es la de las instituciones como ra- zón, según sea el caso, del éxito o del fracaso de los países. El contenido del libro es rico y diverso, son poco menos de 600 páginas con ilustraciones pertinentes, pero sobre todo con un fuerte sustento histórico que les permite a los autores plan- tear como elemento inicial de análisis las movilizaciones que echaron a Hosni Mubarak del poder. La obra está compuesta de 15 capítulos considerablemente breves, pero al mismo tiempo sustancialmente sólido en términos de información, y principalmente de análisis crítico. Los autores, con fuerte formación de economistas, conducirán a sus lectores por los vericuetos de la toma de decisiones políticas, y no los llevarán por los tortuosos senderos de la economía. A final de cuentas, hacen un análisis de las causas que han provocado la desigualdad mundial; para ello demuelen, desde el segundo capítulo, las explicaciones más socorridas, empezando por la centenaria hipótesis geográfica de acuerdo a la cual los países ricos están en los climas templados. Por supuesto, también se ocupan de la hipótesis cultural, la que según ellos, no alcanza a explicar. Por ejemplo: el porqué no todas las colonias inglesas se desarrollaron de manera diferente; una de las hipótesis más populares postula que algunos países no lo- gran la riqueza porque sus gobernantes no saben cómo hacerlo; simplemente son ignorantes, por lo cual bastaría tener gobernantes ilustrados para lograr lo deseado. En el capítulo 15 los autores demuelen la teoría de la modernización, fundamental-

136 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 135-137 Issn 1870-6800 Why fail countries: the origins of power, prosperity and poverty mente porque no sería adecuada para explicar la existencia de instituciones inclusivas. Para los investigadores del libro reseñado, se trata de entender las razones por las cuales algunas sociedades están or- ganizadas de forma ineficiente y socialmente indeseable. En úl- tima instancia, se trata de un trabajo sobre política y procesos políticos, principalmente del proceso de toma de decisiones. Al contrario de lo que hace tradicionalmente la economía, el análi- sis debe partir del supuesto de que los grandes problemas polí- ticos no están resueltos. Desde su perspectiva histórica, el ejemplo a seguir es la Revolución Industrial en Inglaterra. La solu- ción es crear instituciones políticas inclusivas, las cuales llevan a la creación de instituciones económicas inclusivas, que a su vez permiten que las primeras sigan existiendo. ¿Por qué fracasan los países?... es una obra indispensable en muchos cursos de licenciatura, esencialmente en aquellos donde analizamos los logros económicos de varias de las econo- mías del este de Asia. El libro podrá ser un auxiliar fundamental para explicar temas que han sido oscurecidos por las explicaciones simplistas. Sin llegar a clásicos como Chalmer Johnson, definitivamente pone al alcance de nuestros jóvenes universitarios explicaciones científicas fácilmente comprensibles y adecuadas, pero no por ello menos debatibles. Afortunadamente, el libro no pone punto final al debate, como tampoco a la necesidad de seguir la investigación de lo abordado en sus páginas. Por ejemplo, hay una pregunta sin responder: ¿por qué en unos países se crean instituciones inclusivas y en otros no? Para responder esta pregunta y muchas otras, los autores han plasmado en estas páginas una teoría sustentada en el estudio de los paralelismos (el declive maya ex- plicaría los límites del crecimiento económico chino actual), y la utilización de un alto grado de abstracción, para comprender el papel de las instituciones y de los procesos de toma de decisiones realizados por los actores políticos. Existen más dudas, tales como: ¿qué tan acertado es el paralelismo Unión Soviética de Stalin y la China actual? O bien: ¿la historia es lineal? ¿Son las instituciones europeas las únicas adecuadas para evitar el fracaso? Afortunadamente, son más preguntas que respuestas las que dejará la lectura de esta obra reseñada.

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China’s public diplomacy in Latin America. Lessons for Chile La diplomacia pública de China en América Latina. Lecciones para Chile

María Fernanda Guerrero Sánchez

on esta reseña se contribuye al análisis de la política exte- Crior china, con el objetivo de brindar un enfoque pensado desde Asia para los estudios latinoamericanos sobre China. Es el resultado del intercambio y cooperación entre el Instituto de Relaciones Internacionales Contemporáneas de China (Cicir) y la Universidad de Desarrollo de Chile (Udd). Esta obra está constituida por once capítulos de diferentes autores que reflejan la necesidad de explicar el creciente prota- gonismo de la República Popular China, en el escenario internacional, mediante sus acciones y el uso del soft power. Este trabajo reseñado está enfocado a los esfuerzos chinos del te- rreno de la diplomacia pública, y presta atención especial a las relaciones entre Chile y China.

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Este libro puede ser una herramienta práctica para aca- démicos y estudiantes de la disciplina de las relaciones internacionales; ayudará a analizar las nuevas acciones de la política exterior de China en países de América Latina, y a aprender de las lecciones para Chile, sin dejar de ser útil para otros países latinoamericanos. De esta forma, Isabel Rodríguez Aranda ofrece una apor- tación rica a las relaciones internacionales; aborda en primer plano el concepto de diplomacia, retoma su origen, prácticas y actores. Detalla su evolución y cómo el concepto se moldea de acuerdo a la complejidad existente en el sistema internacional. Para realizar dicho análisis, la autora de esta reseña contrasta y critica a los principales actores de los temas de diplomacia y soft power, justificando lo corto que éstos han quedado frente al nuevo contexto internacional. No menos importante son los debates teóricos de las relaciones internacionales que ella retoma. Con el objetivo de explicar el concepto central del libro: diplomacia pública, parte de lo que la autora identifica como tercer debate. Toda la transición del poder hard al soft que expone, viene acompañada de la intro- ducción de conceptos, y enfatiza lo que representa para China que dichos conceptos sean pensados desde occidente. Yang Shouguo, co-coordinador del libro y subdirector del Cicir, hace un seguimiento de las relaciones sino-latinoamericanas; acentúa etapas del desarrollo y desafíos presentes. Invita a trabajar para profundizar la relación, teniendo en cuenta los límites existentes. Por ejemplo: la falta de conocimiento derivado del alejamiento geográfico. Como bien lo destaca Yun Tso Lee, investigador de Rela- ciones Internacionales Asia-Pacífico y China, la diplomacia pú- blica ha generado un giro preciso y un gran interés en la acade- mia china para desarrollar conceptos ad hoc. Coincido con su idea de que la cultura y la economía son el eje de la diplomacia pública, y los que actualmente desempeñan un papel influyente en materia de opinión pública y atracción del público extranjero, se traduce en el incremento de poder del Estado. La diplomacia pública se ha apuntado a un manejo de marketing político. Este libro enfatiza que se debe generar un buen manejo del concepto en la arena internacional, atendien- do el uso de ideología, medios de comunicación, cultura, inter- cambios académicos, y mercado principalmente, como acciones

140 Portes, revista mexicana de estudios sobre la Cuenca del Pacífico Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 139-141 Issn 1870-6800 China’s public diplomacy in Latin America. Lessons for Chile para ganar público extranjero. Del mismo modo, promueve el buen uso del concepto de diplomacia pública. Lecciones para Chile… se concentra en los últimos capí- tulos, y ofrece una visión general del proceso de las relaciones sino-chilenas. Natalia Lizama Poblete, de manera clara y aserti- va, aborda las etapas sustanciales que han marcado la relación, y hace énfasis a la creciente importancia de la paradiplomacia para forjar la conexión entre China y Chile; la cronología que ofrece ayuda a entender el tejido y orientaciones de la política exterior de ambos países. De la misma forma, esta obra contiene otros temas como el de la penetración a través de los Institutos Confucio en arenas latinoamericanas, y la importancia estratégica que representan. Este libro, también alienta a generar más conocimiento sobre China y ofrecer alternativas de conceptos, tomando en cuenta que la única escuela y casi todos los estudios de diplomacia pública que existen en el mundo, son estadounidenses. Habría que concluir que es importante formar más especialistas en el tema para una fructífera relación sino-latinoamericana. Sin duda se trata un texto atractivo para estudiosos de las relaciones internacionales. Finalmente, es importante registrar los puntos con seguimiento de investigación.

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India: Democracy and religious violence India: Democracia y violencia religiosa

Melissa Mercedes Álvarez Silva

uando hablamos de un mundo multicultural y heterogéneo, Ces necesario mirar a un país que sobrepasa los límites de estas características, donde la diversidad étnica y las diferencias culturales frente a conflictos y tensiones internas forman parte de una misma nación. Ésta es la idea que más de una persona ten- drá al momento de leer a la filósofa-política Martha C. Nussbaum en su libro titulado India: Democracia y violencia religiosa, donde los diez capítulos que lo conforman dan una visión amplia de lo que India puede enseñarle al mundo entero.

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En este libro se presenta un análisis histórico donde se rescatan los elementos fundamentales de la sociedad, para entender la complejidad que existe al interior de India. Para ello, Nussbaum se centra en dos aspectos característicos que han sido objeto de conflicto dentro del país: por un lado, analiza el importante papel que la religión ha ejercido en la sociedad india; por el otro, se ocupa de la estabilidad y resistencia de la democracia. Esta autora debate el concepto del choque de civilizaciones, el cual fue acuñado por Samuel P. Huntington, quien considera que el mundo está dividido entre el islam y occidente. Esto lo hace parte esencial de su estudio de una manera profunda a partir de los hechos y conceptos utilizados. A través de la filosofía y la política rechaza esa tesis, realizando una propuesta con base a la experiencia propia de India. En el primer capítulo se centra el principal debate del tex- to: el incidente ocurrido en Guyarat, al noroeste indio; muestra y discute las causas de este suceso a través del cual puede apreciarse el comportamiento de la sociedad india y el gobierno. Detalla de manera puntual los hechos y pone de manifiesto la hostilidad existente entre hindúes y musulmanes. Dentro del capítulo El rostro humano de la derecha hindú, la autora hace una crítica a la filosofía de cuatro personas que se encuentran ligadas a la derecha. Muestra claramente la falta de interés de la no violencia religiosa, amenazando la diversidad y el pluralismo, ejes que forman parte del hinduismo. A pesar de los argumentos que cada una de estas personas aporta, no se tienen aseveraciones verídicas del porqué no se puede vivir en paz, principalmente entre musulmanes e hindúes. Justifican esta creencia a través del dogma del partido, lo cual lleva a la autora a analizar de manera más profunda la tesis del choque de civilizaciones. Considerados como los tres fundadores de India independiente: Rabindranath Tagore, Mohandas Karamchand Gandhi y Jawaharlal Nehru, apoyaron un Estado neutral, democrático y sin hostilidades religiosas. De esta manera, son descritos por Nussbaum, tratando de abordar sus trayectorias y entrelazando las ideas peculiares de cada uno de ellos, con sus diferencias y similitudes. El legado que ellos dejaron permite entender de forma más clara a este país.

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India: Democracia y violencia religiosa, es un libro al alcance de estudiantes y académicos interesados en conocer a fondo los aspectos sociales y políticos del pueblo hindú; esta obra ser- virá como una herramienta enriquecedora para comprender la cultura y la situación interna de este país, desde una perspectiva filosófica muy peculiar.

Portes, revista mexicana de estudios sobre la Cuenca del Pacífico 145 Tercera época / Volumen 8 / Julio • Diciembre 2014 / pp. 143-145 Issn 1870-6800

Instructions for Authors

The subject of the article and the review should concur with the focus and scope of Portes, Mexican magazine of studies on the Pacific Rim. These should be sent to: portes@ ucol.mx. Articles should be based on original research by the author, qualitatively meet the research objective and not have been submitted to any other publication for consideration. It must be clear, consistent, and respect the rules of grammar and syntax as well as the literary genre presented. The results should be a logical consequence of the data and hypotheses presented in the work. Article length should not exceed 30 pages and should be a minimum of 15. Reviews should not exceed four pages in length. Submissions should be double spaced in Times New Roman size 12, without hyphens at the end of any line of text. The title should be in uppercase and lowercase letters, in Spanish or English, and properly centered. Titles must provide a clear idea of the content of the work. Subtitles are presented in the same way, and aligned to the left. The use of these bold letter is the author’s decision. All pages should be numbered. In the case of reviews, these should include a full bibliographic record of the work to be commented on (title, author, year, editorial, country), and, if possible, an image of the book’s front in jpg format. The article must contain a summary in Spanish and English (abstract) of not more than one page, three to six key words (in Spanish and English), and introduction, development and conclusion sections, as well as notes, bibliography, charts, tables, graphs, photographs, drawings, diagrams, flow charts, maps and plans, when necessary. Charts, tables and graphs must be submitted in a separate file, sorted, numbered and with an indication of the page where they should be placed. These should be prepared in Microsoft Excel and inserted into a Microsoft Word document. Authors should always include the source below each table, chart or graph. Authors should also take into account the the interior pages of the journal are in black and white. For photographs, drawings, diagrams, flow charts, maps and plans, the file format must be in .jpg or .tif formats. The filenames must refer to the article´s contents and be in numerical order. In all cases, the minimum acceptable resolution is 300 dots per inch (dpi). Underneath each picture authors should include explanatory notes and source. Likewise, formulas and equations should be in Microsoft Word. All work will be submitted for review and will be evaluated by two specialists in the subject. A third reviewer will be asked to evaluate the work if the first two reviewers do do not concur. All texts refereed and published in the journal will contain the receipt and acceptance dates. To respect the work of both parties (author and reviewers), this process will be anonymous. All work will result in one of the following dictaminación in one of the three following categorizations:

• Accepted as is. • Accepted prior corrections. • Not accepted.

Should an article be “Accepted prior Corrections”, the author should address all reviewer observations, after which the article will be submitted again to the reviewers for final correction before publication. Authors should forward containing their personal information (full name, academic degree, name and address of their institution of affiliation); contact information (pho- ne, e-mail), and copyright release authorized by the Intellectual Property Program of the University of Colima School of Law. Important general guidelines The introduction should justify the nature of work and its relevance and, if present, the hypothesis that forms the basis of the work. The tables and figures should be self-explanatory, without the need to consult the text. Figures should be submitted in .tif or .jpg format, and tables in the program in which they were created, either .doc or .xls format. Citations and / or references must be submitted according to APA guidelines. The Editorial Board of the journal reserves the right to make editorial changes if deemed appropriate.